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CONSTITUTION, OBJECTS AND RULES OF THE MONTE SANT' ANGELO MERCY COLLEGE PARENTS' AND FRIENDS' ASSOCIATION NAME The name of the Association is the Monte Sant' Angelo Mercy College Parents' and Friends' Association Incorporated (the Association). PREAMBLE: Monte Sant' Angelo Mercy College Limited was incorporated in 1995 as an Australian Public Company limited by Guarantee. The management of the College is entrusted to the Board of the Company by the owners of the College, the Congregation of the Sisters of Mercy North Sydney, subject to the Memorandum and Articles of Association provided by the Congregation. Under the governance model provided to the Board by the Congregation, the responsibility for the day-to-day management is delegated by the Board to the Principal and the College Executive. Under the governance model followed by the College, the Principal carries the delegated accountability for the relationship with the Association. The Board recognises the important role played by the Association in assisting the Board to fulfil the charter given to it by the Sisters of Mercy is to provide the best educational opportunities to young women in a Christian environment and in a Catholic and Mercy tradition. OBJECTS: The objects of the Association are: 1 To assist in building friendships within the body of parents and friends of the College thereby increasing the sense of community within the College. 2 To represent the community of parents and friends of students of the Monte Sant' Angelo Mercy College in matters relating to the College. 3 To act informally as a forum through which parents' views can be presented to the College administration. 4 To promote the cause of education in the Mercy tradition by assisting in bringing together parents, friends and teaching staff of the College in co-operation relating to the educational and social needs of the College , staff and students. 5 To work co-operatively with the Principal in her work in connection with the College. 6 To assist the College with respect to the funding of expenditure given to those items that will have an immediate impact on the girls currently at the College. Part 1 - Preliminary: Definitions In this Constitution: "College" means the Catholic college for girls conducted by Monte Sant' Angelo Mercy College Limited ABN 68 071 488241 and known as Monte Sant' Angelo Mercy College in the State of New South Wales. "Board" means the board of directors of Monte Sant' Angelo Mercy College Limited. "special general meeting" means a meeting other than the annual general meeting or a general meeting. "the Act" means theAssociations Incorporations Act 2009. "The Regulation" means the Associations Incorporation Regulation 2010. "Executive" means the Executive Committee elected by the Association and the immediate Past President subject to Clause (7). "Public officer" shall be the Secretary of the Association. "Delegates" are those people who represent the Association to outside bodies. Part 2 – Membership: Membership generally 1 Membership of the association shall be open to the following: (a) (i) All parents or legal guardians of a student who is attending or has attended the College. (ii) Any person who has been approved for membership of the Association by the Executive Committee of the Association. (b) The Principal of the College shall be an ex-officio member of the Association. Cessation of Membership 2 A person ceases to be a member of the Association if the person: (a) dies; (b) resigns; (c) ceases to pay subscriptions without the leave of the Executive Committee; (d) is expelled from the Association. Annual subscription 3 (a) A member of the Association shall pay to the Association such amount as is determined by the Executive committee from time to time as being the annual subscription. (a) Where a membership fee has been paid on a family basis, each parent will be regarded as a separate member of the Association without a requirement to pay further fees. Liability of Members 4 The liability of a member of the Association to contribute towards the payment of the debts and liabilities of the Association or the costs, charges and expenses of the winding up of the Association is limited to the amount, if any, unpaid by the member in respect of membership of the Association as required by clause 3. Register of Members 5.1 (a) The public officer of the Association must establish and maintain a register of the Executive Committee of the Association specifying the name and postal or residential address of each person who is a member of the Executive Committee, together with the date on which the person became a member of the Executive Committee and the position they held. (b) The public officer of the Association must establish and maintain a register of the Members of the Association specifying the name and postal or residential address of each person who is a member of the Association, together with the date on which the person became a member of the Association. 5.2 The register of members of the Association and of the Executive Committee must be kept in New South Wales at the main premises of the Association or, if the Association has no premises, the Association's official address. 5.3 The register of members of the Association and Executive Committee must be open free of charge by any member of the Association at any reasonable hour. 5.4 If a member of the Association or Executive Committee requests that any information contained on the register about the member (other than a member's name) not be available for inspection, that information must not be made available for inspection. The register must note the date of entry of the person in the relevant register and that the details are excluded by request. 5.5 A member of the Association must not use information about that person obtained from the register to contact or send material to that person, other than for: (a) the purposes of sending the person a newsletter, a notice in respect of a meeting or other event relating to the Assocation or other material relating to the Association, or (b) any other purpose necessary to comply with a requirement of the Act or Regulation. 5.6 A member who obtains details from the Register of Members or Register of Members of the Executive Committee may not provide that information to any other person who is not also a member of the Association. Part 3 - The Executive Committee Powers of the Committee 6 Subject to the Act, the Regulation and this Constitution and any regulation passed in general meeting, the Executive Committee: (a) shall control and manage the affairs of the Association; (b) may exercise all functions which may be exercised by the Association other than those functions that are required by this constitution to to be exercised by a general meeting of the members of the Association; (c) has the power to perform all such acts as appear to the Executive Committee to be necessary or desirable for the proper management of the affairs of the Association; and (d) If a general meeting appoints more than one person as a co-holder of a position, each person will be regarded as a separate member of the Executive Committee and will hold all rights of a member in the Executive Committee in their own right. (e) shall consist of the elected officers, representative officers and members referred to in clause 7 of this constitution. 7 Composition and membership of the Executive Committee: (a) The Executive Committee is to consist of the office bearers of the Association, four ordinary Executive Committee members and two elected delegates to outside bodies, along with the Principal who will be an ex-officio member of the Committee. (b) The office bearers of the Association shall be the President, the Vice President, the Treasurer, the Assistant Treasurer, the Secretary, the Assistant Secretary, the Social Convenor and Class Parent Coordinator. (ba) The role of any of the office bearers may be held by more than one person is so appointed by a general meeting. (c) The immediate Past President(s) shall be a member of the Executive Committee and will occupy the non-elected position of Immediate Past President. Should the immediate Past President be unable to fulfil this role it will be left vacant. (d) An ex-officio member shall not be entitled to vote on Executive Committee proposals. 8 Each member of the Executive Committee is, subject to these rules, to hold office until the conclusion of the annual general meeting following the election of the Executive Committee, but is, with the exception of the President and Immediate Past President, eligible for reelection. The President (or joint President) may seek re-election for a further one (1) year term (maximum of a total of two (2) years' presidency). 9 In the event of a casual vacancy occurring in the membership of the Executive Committee, the Executive Committee may appoint a member of the Association to fill the vacancy, and the member shall hold office, subject to these rules until the conclusion of the annual general meeting next following the date of the appointment. Election of members to the Executive Committee: 10.1 Nominations of candidates as office-bearers of the Association or as ordinary Executive Committee members or as a delegate to outside bodies: (a) shall be made in writing, signed by two (2) members of the Association and accompanied by the written consent of the candidate (which may be endorsed on the form of nomination); and (b) shall be delivered to the secretary of the Association at least seven (7) days before the date fixed for the holding of the annual general meeting at which the election is to take place. 10.2 If the number of nominations received for a position equals the number of vacancies to be filled, the persons nominated shall be deemed to be elected. 10.3 If the number of nominations received exceeds the number of vacancies to be filled, a ballot shall be held. 10.4 The ballot for the office-bearers and ordinary members of the Executive Committee shall be conducted at the annual general meeting in such usual and proper manner as the Executive Committee may direct. 10.5 A person who is not a member of the Association shall not be eligible for election as an officebearer of the Association or as a member of the Executive Committee member. 10.6 If insufficient nominations are received to fill any of the vacancies on the Executive Committee, further nominations can be received at the annual general meeting. 10.7 If insufficient nominations are received to fill any of the vacancies by the conclusion of the annual general meeting, any vacant positions remaining on the Executive Committee shall be deemed to be casual vacancies. Secretary 11.1 The Secretary of the Association must, as soon as practicable after being appointed as Secretary, notify the Association of her or his address. 11.2 It is the duty of the Secretary to keep minutes of: (a) all appointments of office-bearers and members of the Executive Committee; (b) the names of members of the Executive Committee present at an Executive Committee meeting or a general meeting; and (c) all proceedings at Executive Committee meetings and general meetings. 11.3 Minutes of proceedings at a meeting must be signed by the Chairperson of the meeting, or by the Chairperson of the next succeeding meeting. Treasurer 12 It is the duty of the Treasurer of the Association to ensure: (a) that all money due to the Association is collected and received and that all payments authorised by the Association are made; and (b) that correct books and accounts be kept showing the financial affairs of the Association, including full details of all receipts and expenditure connected with the activities of this Association. Casual Vacancies 13 A casual vacancy in the office of a member of the Executive Committee occurs if the member: (a) dies; or (b) ceases to be a member of the Association; or (c) becomes an insolvent under administration within the meaning of the Corporation Act 2001 of the Commonwealth, or (d) resigns office by notice in writing given to the secretary, or (e) is absent without the consent of the Executive Committee from all meetings of the Executive Committee held within a period of six months, or MSAMC P&F Inc. Constitution – Ratified (AGM 11 Sept 2013) (f) is convicted of an offence involving fraud or dishonesty for which the maximum penalty or conviction is imprisonment for not less than three (3) months, or (g) is prohibited from being a director of a company under Part 2D.6 (Disqualification from managing corporations) of the Corporations Act 2001 of the Commonwealth. (h) The person is or becomes a prohibited person under the Child Protection (Offenders Registration) Act 2000. Meetings and Quorum 14.1 The Executive Committee shall meet at least once during each school term at such place and time as the Executive Committee may determine. 14.2 Additional meetings of the Executive Committee may be convened by the president or by any member of the Executive Committee. 14.3 Oral or written notice of a meeting of the Executive Committee must be given by the Secretary to each member of the Executive Committee at least forty-eight (48) hours (or such other period as may be unanimously agreed upon by the members of the Executive Committee) before the time appointed for the holding of the meeting. 14.4 Any six (6) members of the Executive Committee constitute a quorum for the transaction of the business of a meeting of the Executive Committee. 14.5 No business shall be transacted by the Executive Committee unless a quorum is present and if within half an hour of the time appointed for the meeting a quorum is not present the meeting stands adjourned to the same place and at the same hour of the same day in the following week. 14.6 If at the adjourned meeting a quorum is not present within half an hour of the time appointed for the meeting the meeting shall be dissolved. 14.7 At a meeting of the Executive Committee: (a) the President or, in the President's absence, the Vice President shall preside; or (b) if the President and the Vice President are absent or unwilling to act, one of the remaining members of the Executive Committee may be chosen by the members present to preside. Delegation from Executive Committee to sub-Committee 15.1 The Executive Committee may, by instrument in writing, delegate to one or more subcommittees (consisting of such member or members of the Association as the Executive Committee thinks fit) the exercise of such functions of the Executive Committee as are specified in the instrument other than: (a) this power of delegation; or (b) a function which is a duty imposed on the Executive Committee by the Act or by an other law. 15.2 A function, the exercise of which has been delegated to a subcommittee under this clause may, while the delegation remains unrevoked, be exercised from time to time by the subcommittee in accordance with the terms of the delegation. 15.3 A delegation under this section may be made subject to such conditions or limitations as to the exercise of any function or as to time or circumstances as may be specified in the instrument of delegation. 15.4 Notwithstanding any delegation under this rule, the Executive Committee may continue to exercise any function delegated. 15.5 Any act or thing done or suffered by a subcommittee acting in the exercise of a delegation under this clause has the same force and effect as it would have if it had been done or suffered by the Executive Committee. 15.6 The Executive Committee may, by instrument in writing, revoke wholly or in part any delegation under this rule. 15.7 A subcommittee may meet and adjourn as it thinks proper. Voting and decisions 16.1 Questions arising at a meeting of the Executive Committee or any subcommittee appointed by the Executive Committee shall be determined by a majority of the votes of members of the Executive Committee or subcommittee present at the meeting. (a) Each member present at a meeting of the Executive Committee or any subcommittee appointed by the Executive Committee (including the person presiding at the meeting) is entitled to one vote but, in the event of an equality of votes on any question, the person chairing the meeting may exercise a second or casting vote. (b) Subject to rule 14(4), the Executive Committee may act despite any vacancy on the Executive Committee. (c) Any act or thing done or suffered, or purporting to have been done or suffered, by the Executive Committee or by a subcommittee appointed by the Executive Committee, is valid and effectual notwithstanding any defect that may afterwards be discovered in the appointment or qualification of any member of the Executive Committee or subcommittee. Part 4 - General Meetings 17 A general meeting shall be held at least once every school term. Any member of the Association is entitled to attend such general meeting. Annual General Meetings – holding of 18.1 The Association must, at least once in each calendar year and within the period of three (3) months after the expiration of each financial year of the Association convene an annual general meeting of its members. 18.2 Clauses 18.1 has effect subject to any extension or permission granted under the Act. Annual General Meeting – calling of 19.1 The Annual General Meeting of the Association shall, subject to the Act and Clause 18 be convened on such date and at such place and time as the Executive Committee thinks fit. 19.2 In addition to any other business which may be transacted at an annual general meeting of the business of an annual general meeting shall be: (a) to confirm the Minutes of the last preceding Annual General Meeting and of any special general meeting held since that meeting; (b) to receive from members of the Executive Committee reports upon the activities of the Association during the last preceding financial year; (c) to receive a report from the Treasurer on the financial position of the Association during the last financial year; (d) to elect the office-bearers of the Association, delegates to outside bodies and ordinary members of the Executive Committee; and (e) to receive and consider the statement which is required to be submitted to members under the Act. 19.3 An Annual General Meeting shall be specified as such in the notice convening it. Special General Meetings – calling of 20.1 The Executive Committee may, whenever it thinks fit, convene a special general meeting of the Association. 20.2 The Executive Committee must, on the requisition in writing of at least five (5) per cent of the total number of members, convene a special general meeting of the Association. 20.3 A requisition of members for a special general meeting: (a) must state the purpose of the meeting; (b) must be signed by the members making the requisition ; (c) must be lodged with the Secretary; and (d) may consist of several documents in a similar form, each signed by one or more of the members making the requisition. 20.4 If the Executive Committee fails to convene a special meeting to be held within one (1) month after that date on which a requisition of members for the meeting is lodged with the Secretary, any one or more of the members who made the requisition may convene a special general meeting to be held not later than three (3) months after that date. 20.5 A special general meeting convened by a member or members as referred to in subclause 20.4 must be convened as nearly as is practicable in the same manner as general meetings are convened by the. 20.6 Executive Committee and any member who consequently incurs expense is entitled to be reimbursed by the Association for any expense so incurred. General Meetings - notice 21.1 Except where the nature of the business proposed to be dealt with at a general meeting requires a special resolution of the Association, the Secretary must, at least 14 days before the date fixed for the holding of the general meeting, give notice in the College newsletter (or similar publication) specify the place, date and time of the meeting and the business proposed to be transacted at the meeting. 21.2 Where the nature of the business proposed to be dealt with at a special general meeting requires a special resolution of the Association the Secretary shall, at least twenty-one (21) days before the date fixed for the holding of the general meeting, by notice in the College newsletter (or similar publication) specify in addition to the matter required under subclause 21.1 the intention to propose the resolution as a special resolution. Procedure 22.1 No item of business shall be transacted at a general meeting unless a quorum of members entitled under this Constitution to vote is present during the time the meeting is considering that item. 22.2 Twelve (12) members present in person (being members entitled under these rules to vote at a general meeting) constitute a quorum for the transaction of the business of a general meeting. 22.3 If within half an hour after the appointed time for the commencement of a general meeting a quorum is not present, the meeting if convened upon the requisition of members shall be dissolved and in any other case shall stand adjourned to the same day in the following week at the same time and (unless another place is specified at the time of the adjournment by the person presiding at the meeting or communicated by written notice to members given before the day to which the meeting is adjourned) at the same place. Presiding Member 23.1 The President or, in the President's absence, the Vice President shall preside as chairperson at each general meeting of the Association. 23.2 If the President and the Vice President are absent from a general meeting or unwilling to act, the members present shall elect one of their number to preside as chairperson at the meeting. Adjournment 24.1 The chairperson of a general meeting at which a quorum is present may, with the consent of the majority of the members present at the meeting, adjourn the meeting from time to time and place to place, but no business shall be transacted at an adjourned meeting other than the business left unfinished at the meeting at which the adjournment took place. 24.2 Except as provided in subclause 24.1 notice of an adjournment of a general meeting or of the business to be transacted at an adjourned meeting is not required to be given. Making of decisions 25.1 A question arising at a general meeting of the Association shall be determined on a show of hands, or a secret written ballot if requested by no fewer than three (3) members present. 25.2 A declaration by the chairperson that a resolution has, on a show of hands been carried or carried unanimously or carried by a particular majority or lost, or and entry to that effect in the Minute Book of the Association is evidence of the fact without proof of the number or proportion of the votes recorded in favour of or against that resolution. 25.3 If the question is to be determined by a secret written ballot the ballot is to be conducted in accordance with the directions of the chairperson. Special resolutions 26 A resolution of the Association may only be passed by the Association in accordance with Section 39 of the Act. Voting 27.1 Upon any question arising at a general meeting of the Association a member has one (1) vote only. 27.2 All votes shall be given personally. 27.3 In the case of an equality of votes on a question at a general meeting, the chairperson of the meeting is entitled to exercise a second or casting vote. Upon any question arising at a general meeting of the Association, a member has one (1) vote only. Insurance 28.1 The Association may effect and maintain insurance against public liability. 28.2 In addition to the insurance required under subclause 28.1 the Association may effect and maintain other insurance. Funds 29.1 The funds of the Association shall be derived from entrance fees and annual subscriptions of members, donations and, subject to any resolution passed by the Association in general meeting, such other sources as the Executive Committee determines. 29.2 All money received by the Association shall be deposited as soon as practicable to the credit of the Association's bank account, or held by the College for the Account of the Association. 29.3 The Association shall, as soon as practicable after receiving any money, issue an appropriate receipt. Use of Funds 30.1 Funds raised by the Association shall only be spent with the written approval of the Principal obtained in advance provided this approval will not be required for expenditure incurred in the day to day conduct and management of the Association. 30.2 At the start of each calendar year, the Principal will meet with the Executive Committee to determine the items of expenditure in the College's current operating and capital expenditure budgets that will be funded by the Association in that year. In determining the relevant items of expenditure, special consideration will be given to those items that will have an immediate impact on the girls currently at the College. 30.3 All cheques, drafts, bills of exchange, promissory notes and other negotiable instruments shall be signed by any two (2) members of the Executive Committee being members authorised to do so by the Executive Committee. 30.4 If funds are held on account of the Association by the College, payment by the College shall be at the request of the Association by way of request signed by the office bearers and shall be made in accordance with the Colleges payment processes. Alteration of Objects and Rules 31 The statement of objects and rules may be altered, rescinded or added to only by a special resolution of the Association. Any such alterations must be forwarded to the Board by the Principal for approval by the Board, prior to any special resolution being passed by the Association. In addition an application to the Director-General of the Department of Services, Technology & Administation for registration of a change in the association's name, objects or constitution in accordance with Section 10 of the Act is to made by the public officer or a committee member. Common Seal 32.1 The Common Seal of the Association must be kept in the custody of the public officer. 32.2 The Common Seal must not be affixed to any instrument except by the authority of the Executive Committee and the affixing of the Common Seal must be attested by the signature either of two (2) members of the Executive Committee or of one (1) member of the Executive Committee and of the Public Officer or Secretary. Accounts and Audit 33.1 The Executive Committee must cause financial statements for the year to be prepared in relation to the Association's financial position, and must cause the financial statements to be audited in time for them to be submitted to the Association's next Annual General Meeting. The Annual General Meeting shall be held not more than three (3) months after the end of the financial year. 33.2 The financial statements must deal with such matters as precribed by the Regulation and prepared in accordance with any requirements specified in the Regulations. 33.3 The financial year of the Association shall end on the 30 June and shall be for the period of 12 months unless the prior financial year ended on a different date in which case it will run from the end of the prior financial year. 33.4 A properly qualified Auditor shall be appointed and his or her duties regulated in accordance with the College's auditor. 33.5 The records, books and other documents of the Association must be open to inspection, free of charge, by a member of the Association at any reasonable hour. Custody of Books 34 Except as otherwise provided by these rules the Public Officer shall keep in his or her custody or under his or her control all records and other documents relating to the Association. Service of Notices 35.1 For the purpose of these rules, a notice may be served by or on behalf of the Association on any member either personally or by sending it by post to the member at the member's address shown in the register of members. 35.2 If a document is sent to a person by properly addressing, prepaying and posting to the person a letter containing the document, the document is, unless the contrary is proved, taken for the purposes of these rules to have been served on the person at the time at which the letter would have been delivered in the ordinary course of post.
TSE - 594 September, 3, 2015 "Quality standards versus nutritional taxes: health and welfare impacts with strategic firms" Vincent Requillart, Louis-Georges Soler and Yu Zang Quality standards versus nutritional taxes: health and welfare impacts with strategic ﬁrms ‡ Vincent R´equillart ∗ , Louis-Georges Soler † and Yu Zang September 3, 2015 Abstract Up to now, most nutritional policies have been set up to inform consumers about the health beneﬁts induced by more balanced diets. Reviews of the impacts of these policies show that the eﬀects are often modest. This has led governments to implement, in more recent times, policies focused on the market environment, especially on the characteristics of the food supply. The goal of this paper is to deepen the analysis of ﬁrms' strategic reactions to nutritional policies targeting food quality improvements and to derive a set of optimal policies. To reach this goal, we propose a theoretical model of product diﬀerentiation taking into account both the taste and health characteristics of products, and use it to assess the health and welfare impacts of taxation and MQS-based policies. The model studies how a duopoly of mono-product ﬁrms reacts to three alternative policies: an MQS policy, linear taxation of the two goods on the market, and ﬁnally taxation of the low-quality good. We ﬁnd that only the MQS policy and the linear excise tax on the low-quality product are welfare increasing. The choice, however, between the two depends on the priorities of the regulator. On the one hand, for a given moderate level of improvement in health, we show that social welfare increases more with the tax policy than the MQS policy. On the other hand, for a larger increase in the health status of the population, a MQS-based policy may be preferred. Moreover, the policies have distributional eﬀects that must be taken into account, in particular for reasons related to their social acceptability. Finally we show that policies aiming at changing the food market environment allow getting greater health beneﬁts and welfare than policies only based on information campaigns. JEL codes:I18, L13, Q18 Key words: taxation, MQS, product diﬀerentiation, strategic pricing, nutritional policies ∗ Toulouse School of Economics (INRA-GREMAQ; IDEI), France † INRA-ALISS, France ‡ Toulouse School of Economics (GREMAQ), France 1 Introduction Cardiovascular disease and cancers cause almost two thirds of the overall burden of disease in developed countries. A large part of these chronic diseases are due to lifestyle-related risk factors, most of them being preventable (WHO, 2009). In particular, poor dietary habits contribute to these diseases through excessive intakes of salt, carbohydrates, and fats, and insuﬃcient intakes of fruits and vegetables (F&V). According to the WHO (2009), combined with actions reducing physical inactivity and tobacco use, preventing diet-related risk factors could lead to an increase in the average life expectancy by three to ﬁve years in high-income countries. To deal with these public health issues, most nutritional policies aim at better informing consumers about the health beneﬁts induced by more balanced diets. Thus, governments and public health agencies have been implementing policies that aim at promoting preventive behaviors thanks to information campaigns, and food product labeling. Reviews of these policies show that they have some positive impacts but these impacts remain quite small, at least in the medium term (Brambila-Macias et al., 2011). In addition, they are suspected to increase the health inequalities, with less-educated individuals responding less to the information (Etil´e, 2013). Given the modest impacts of information-based policies, public health agencies are now considering other policies to modify the market environment in order to facilitate healthier food choices, even by non-health-sensitive consumers. A broad range of instruments have been considered, from taxation and subsidizing policies for modifying the relative prices of foods to nutrition-related standards (Brambila-Macias et al., 2011). In this context, public health agencies and policy makers urge the food industry to favor better food environment through changes in quality and variety of foods and through changes in advertising and marketing (WHO, 2012). Which public health beneﬁts can be reasonably expected from changes in ﬁrms' behaviors? How can these changes contribute to reducing diet-related chronic diseases? To answer these questions, it is important to analyze how food ﬁrms react to nutritional policies as depending on the design of the policy instruments they may amplify or weaken the impacts of these policies. Few recent works have begun to consider the strategic behaviors in prices of food ﬁrms in relation to health and nutrition policies. For instance, Bonnet and R´equillart (2013) studied the eﬀects of the soft drink tax which has been in place since 2012 in France, taking into account the price response of soft drink producers. They showed that the price reactions of ﬁrms strongly aﬀect the sugar intake at the consumers' level, the reduction in sugar intake being greater with an excise tax than with an ad valorem tax. Allais et al. (2015) studied the fresh dairy product market in France. They conducted simulations to determine what could occur if fat labeling were to become mandatory in this market. They showed that ﬁrms would react to this policy by making a signiﬁcant reduction in the price of the fattiest products. This price adjustment would limit consumers switching to healthier dairy products. Another example is related to price responses to advertising bans. Dubois et al. (2013) considered the potato chips sector in the UK and conducted an ex-ante analysis of the impact of an advertising ban. They showed that, on average, prices would be lowered to limit the direct eﬀect of the advertising ban leading to a lower reduction in potato chips consumption than expected. Firms can also aﬀect health outcomes induced by food consumption through their decisions related to the quality and the variety of foods. In general, the response of ﬁrms is based on market segmentation and product diﬀerentiation. Nutrition and health claims (such as 'rich in ﬁbers', 'light in sugar', 'enriched in vitamins'...) play this role by targeting health-sensitive consumers who have higher willingness to pay for additional health functions in foods. Market shares for those products, however, remain relatively small, about 20%. Regarding the remaining part of the market, the nutritional quality of food is more contrasted (R´equillart and Soler, 2014). For this reason, public health agencies urge the food industry to commit, in individual or collective agreements, to reduce the level of 'bad' nutrients in food products. Empirical studies have shown some moves, sometimes quite signiﬁcant for some brands or some nutrients (Webster et al., 2011; Rahkovsky et al., 2012). Voluntary commitments of ﬁrms to improve the nutritional quality of foods,however, remain modest. For instance, in the U.K., in 2006, the food industry and the Food Standards Agency set target levels of salt for each food category. The changes in food quality implemented by food ﬁrms contributed to a reduction of the average salt intake at the consumer's level (Griﬃth et al., 2014). This reduction, however, has been smaller than expected and the average consumer's salt intake is still above the target of 6g/day (Shankar et al., 2013). In France, 35 voluntary commitments were signed by the food industry between 2008 and 2013. This policy has led to signiﬁcant changes in some sectors, but the overall eﬀect on consumers' intake is weak (less than 10 Kcal/day/consumer) because the number of committed ﬁrms remain small (Oqali, 2012). On the whole, the economic and public health literature tends to consider that ﬁrms have very weak incentives to enter into a product reformulation strategy aimed at improving the nutritional quality of products. Several explanations have been proposed. A ﬁrst blocking point relies on the cost issue. Indeed, reformulation is likely to aﬀect production costs. For example, changes in ingredients might aﬀect variable costs, and development of new recipes might require R&D expenditures (Traill et al., 2012). A second reason is based on asymmetry of information between producers and consumers. Smith (2004) suggested that consumers do not really know a product's quality, even when nutrient fact panels are available on the food packages, as these panels are diﬃcult to understand. This asymmetric information problem results in a 'lemons-style' breakdown in the market for processed foods, leading to the 'McDonald's equilibrium' in which low-quality covers all the market. A third reason is related to the 'addiction assumption'. If consumption of added sugars or fat leads to addictive behaviors, then ﬁrms have strong incentives to continue to market foods with high contents in sugar or fat (Smith and Tasnadi, 2007). This assumption is plausible, but remains very controversial, even among neurophysiologists and nutritionists. A fourth explanation relies on consumers' expectations. Indeed, many studies show that, despite the fact that moderate changes in salt or fat content are not always perceived by consumers, once they know, many consumers reject the reformulated product because they consider that 'healthier' means 'less tasty' (Raghunathan and Naylor, 2006). In other words, for some consumers, taste is more important than health issues when they purchase foods. The assessment of nutritional policies must take into account this statement, as it inﬂuences not only consumers' behaviors and their responses to public interventions aiming at modifying their food choices, but also ﬁrms' decisions about price and quality, which may amplify or weaken the impacts of these policies. An example of strategic change of the quality of products is found in Moorman et al. (2012). These authors investigated how ﬁrms responded to standardized nutrition labels on food products required by the US Nutrition Labeling and Education Act (NLEA). They found that the NLEA had a negative eﬀect on the nutritional quality of labelled brands relative to control brands not required to have a nutrition label. The rationale behind this result is found in the correlation between taste and nutrition attributes and consumer arbitrage between taste and nutrition. If consumers believe that nutrition is negatively correlated with taste and the taste characteristic is more important than the nutrition characteristic in consumers' choices, then the strategic response of ﬁrms to the NLEA is to decrease nutritional quality to avoid discouraging consumption. This response is reinforced by the fact that price is also a key variable for consumers, whereas more nutritious products are likely to be more costly. To force food quality improvements, policy makers may use diﬀerent instruments. A ﬁrst policy relies on the implementation of minimum quality standards (MQS). The theoretical literature dealing with MQS provides mixed insights. In a simple setting, namely when diﬀerentiation between products relies on a single characteristic, quality standards seem to be quite eﬃcient (Ronnen, 1991; Crampes and Hollander, 1995). For example, the ban upon trans-fatty acid (TFA) in New York state and in Denmark, where a mandatory maximum content of TFA was implemented in 2004, seem to have had positive impacts (Unnevehr and Jagmanaite, 2008). In a more complex setting, however, where products are diﬀerentiated along multiple characteristics, setting MQS might be counterproductive, even if the market underprovides quality (Deltas et al., 2013). Other tools such as food taxes can be designed to inﬂuence the quality chosen by the ﬁrms. For instance, the regulator might deﬁne a quality threshold. Products that have a quality higher than the threshold are not taxed whereas products that have a quality lower than the threshold are taxed. Producers of low-quality products might have an interest in reformulating their products in order to escape the tax. Such a policy seems to be eﬃcient provided that quality thresholds are not too stringent (Duvaleix-Tr´eguer et al., 2012). Indeed, when the threshold is not too high, ﬁrms prefer to reformulate and then avoid the tax, leading to positive results for health and welfare. The goal of this paper is to deepen the analysis of ﬁrms' strategic reactions to nutritional policies targeting food quality improvements and to derive a set of optimal policies. To reach this goal, we propose a theoretical model of product diﬀerentiation taking into account both the taste and health characteristics of products, and use it to assess the health and welfare impacts of taxation and MQS-based policies. An important challenge comes from the need to integrate these two characteristics, both of which aﬀect consumers' utility. Dealing with two dimensions in product diﬀerentiation models is tricky. In particular, in a duopoly setting in which ﬁrms ﬁrst choose the characteristics of products and then compete in prices, it remains very diﬃcult to determine the optimal choice of characteristics by ﬁrms in a general setting. To solve this diﬃculty, researchers generally impose some restrictions in the choice of characteristics and/or in the heterogeneity of consumers. Thus, to analyze nutritional policies, Duvaleix-Tr´eguer et al. (2012) designed a duopoly model in which products are diﬀerentiated according to two characteristics. They studied the impact of the entry of a ﬁrm on this market and considered that the incumbent ﬁrm cannot change the characteristics of its product, thus restricting the complexity of the problem. In addition, they also put some restrictions on the heterogeneity of consumers. Deltas et al. (2013) explored a duopoly operating in a market with consumers who care about both an environmental attribute and another brand-speciﬁc attribute. They developed a twodimensional diﬀerentiation model and assumed that ﬁrms cannot choose the brand-speciﬁc attribute. They also restricted the heterogeneity of consumers, assuming they all value identically the environmental attribute. Greaker (2006), who analyzed the choice between an environmental standard and a voluntary eco-label scheme by a government in a trade model, also restricted the choice of product characteristics by ﬁrms. In the model of product diﬀerentiation we develop, we consider two mono-product ﬁrms competing in price and product characteristics. The products are diﬀerentiated along a one-dimensional axis of product characteristic (e.g., more or less salty) but the position of a product on this axis may aﬀect consumers' utility in two ways: through its health impact (the lower the content in salt, the greater the health beneﬁts), on the one hand, and its taste (due to the content in salt), on the other hand. 1 Thus, we take into account the linkages between the nutritional quality of food products and their taste characteristics. This complex relationship between taste and health characteristic of a product is a key point in the analysis of ﬁrms' strategy. Using this framework, we compare the impact of three policies - setting an MQS; setting an excise tax based on the nutrient content of the two products; and setting an excise tax based on the nutrient content of the 'bad' product - on consumer demand, prices, product characteristics, a health indicator, and welfare. We show that with the MQS both ﬁrms improve the quality of the products, by choosing products with a lower content of the nutrient. This policy improves health and is welfare increasing. Taxation of the two products has a positive impact on health because it provides incentives to ﬁrms to improve the quality of their products. This policy, however, might be welfare decreasing, which 1 Conrad (2005) used a similar idea that a characteristic of a product might aﬀect consumers according to diﬀerent dimensions. makes this option unappealing for the social planner. Taxation of the low-quality product is more appealing, as the policy improves health and is welfare improving. This policy induces a change in the quality of products, which is consistent with the social planner's point of view, provided that the tax rate is not too high. Among the three policies we analyzed, we ﬁnd that only the MQS policy and the linear excise tax on the low-quality product are eﬀective in a general sense. The choice, however, between the two depends on the priorities of the regulator. On the one hand, for a given moderate level of improvement in health, we show that social welfare increases more with the tax policy than the MQS policy. On the other hand, for a larger increase in the health status of the population, a MQS-based policy may be preferred. Moreover, the policies have distributional eﬀects that must be taken into account, in particular for reasons related to their social acceptability. Finally we show that policies aiming at changing the food market environment allow getting greater health beneﬁts and welfare than policies only based on information campaigns. The paper is organized as follows. Section 2 presents the model and section 3 the benchmark equilibrium. Section 4 contains the analysis of ﬁrms' strategic reactions to diﬀerent policy interventions. In Section 5, we compare the eﬀectiveness of policy initiatives, and Section 6 concludes. 2 The Model 2.1 Main assumptions We develop a duopoly model of product diﬀerentiation. There are two ﬁrms i and j producing a product of characteristics xi and xj respectively. The characteristic is the content of the product in respect of some nutrient (e.g., salt content, sugar content, fat content, ...). Each ﬁrm chooses the content of its product on a [0,1] interval. This characteristic has two eﬀects on the product. First, it aﬀects the taste of the product. From a consumer perspective, this is a horizontally diﬀerentiated characteristic, as some consumers might have diﬀerent preferences for the taste of the product. We model this as in the standard Hotelling model, and a consumer faces a transportation cost that is a function of the distance between her location (denoted x) and the location of the chosen product. We assume a uniform distribution of x over [0,1]; when x approaches 1, it means that this consumer prefers a high content of this ingredient. In addition, the characteristic of the good also aﬀects the health of the consumer. From the consumer perspective, this is modeled as a vertically diﬀerentiated characteristic. We assume that we are in a situation in which consumers have to reduce their intake of some nutrients (salt, fat, sugar) and we focus on a product category in which policies are designed to make the products healthier. As the xi characteristic of product i is its nutrient content, the lower xi the better is the product from a health perspective. This health eﬀect is a long-term eﬀect and consumers might diﬀer in their awareness about health impacts of their consumption. We denote λ as the awareness of a consumer and assume that it is uniformly distributed over [0,1]; consumers with larger λ give more importance to health. Moreover, we assume that there is independency in x and λ, which are the two characteristics of a consumer. Thus, we capture consumers' heterogeneity and consider diﬀerent types of consumers, depending on their sensitivity to health and taste dimensions. For instance, consumers with a low λ prioritize taste over health. To sum up, from the ﬁrm viewpoint, this model is a one-dimensional model of product diﬀerentiation. From the consumer perspective, however, it is a two-dimensional model as for a given characteristic a consumer infers two characteristics that have an eﬀect on her utility. A consumer is thus represented by a two-dimensional random variable (x, λ). We denote Uc(x, λ) as the utility consumer (x, λ) gets when she buys one unit of product c, c ∈ i, j, and write: with t the per-unit transportation cost. t(xc − x) 2 is the transportation cost just as in the Hotelling model. This part gives the disutility of not consuming the ideal food that consumer x has to suﬀer if she buys a product of characteristic xc. λ(1 − xc) is the health component of the utility. λ is the consumer's awareness of health, and 1 − xc represents the healthfulness of product c. The closer the food is to 1, the lower the health-related utility a consumer gets. This part of the model is similar to a Mussa-Rosen model with 1 − xc being the quality of product c. pc is the price charged by ﬁrm c. Finally, v is the intrinsic utility that consumers get from buying this food. As the two products diﬀer only in their content of the speciﬁc ingredient, v is the same for the two products. We assume that v is large enough so that the market is covered. Thus, with this utility function, if t = 0, then we are in the case of a Mussa-Rosen model. If alternatively λ = 0 for all consumers, we are in the case of a Hotelling model. As compared to a pure Hotelling model, the main interest to consider the heterogeneity of consumers with respect to health, is to discuss the impact of the diﬀerent policy instruments on health inequalities (see section 5.1). In the following we denote by Ui and Uj the utility a consumer gets when buying one unit of a product from ﬁrm i and j, respectively. Without loss of generality, we assume xj > xi. Firm i produces the 'healthy' product and ﬁrm j produces the 'unhealthy' product. We will also refer to these products as high-quality and low-quality products, respectively. By equating Ui and Uj, we get the indiﬀerence line, along which the consumers are indiﬀerent between consuming product i and consuming product j. It is given by: Consumers located to the left of the indiﬀerence line buy from ﬁrm i, and consumers located to the right of this line buy from ﬁrm j. It is easy to deduce the demand Di and Dj faced by ﬁrms i and j respectively. When consumer (0,0) buys product i and consumer (1,1) buys product j, we have: From the supply side, modifying the nutrient content of food is costly. In particular, producing healthier products might increase production costs. For example, in order to decrease the salt content in ham without worsening its quality in other respects, ﬁrms will need additional processes, and this will make production more costly (He and MacGregor, 2009). In the case of TFA, which was progressively removed from several products, it has been shown that lowering the content of this ingredient was costly, as ﬁrms had to substitute it with more expensive fats (Unnevehr and Jagmanaite, 2008). To take this eﬀect into account, and following Duvaleix-Tr´eguer et al. (2012), we assume that the marginal cost of production is a quadratic function of the product's healthfulness, that is, 1 − xc for a ﬁrm producing a product of characteristic xc. We have: where a is a cost parameter. The proﬁt functions of a ﬁrm is written as: To analyze competition between the two ﬁrms, we assume that they play a two-stage game. In the ﬁrst stage, ﬁrm i and ﬁrm j simultaneously choose the characteristic of their products (xi, xj). After their choices are observed by each other and consumers, they compete `a la Bertrand and simultaneously choose prices (pi, pj). Consumers then make their choice and proﬁts are realized. The design of the game is standard and reﬂects the idea that the choice of the characteristic of a product is a long-term decision whereas the choice of a price is a short-term one. 2.2 Health index and welfare The goal of the paper is to analyze how policies will aﬀect the equilibrium prices and characteristics of the products as well their impact on health and welfare. To evaluate the impact on health, we deﬁne a health index. As explained above, xc is the content of a product c in respect of a nutrient that adversely aﬀects health. The lower xc the better it is from a health point of view. Then, 1 − xi and 1 − xj are indicators of the healthfulness of products i and j respectively. As each consumer consumes one unit of either one of the two products, the health status of each individual is directly related to the quality (nutrient content) of the chosen product. In epidemiological models, the impact on health of a change in the consumption of a nutrient is evaluated thanks to a relative risk index (RR). This index links a change in the consumption of the nutrient by a consumer to a change in the probability of getting a disease. To integrate this issue in our analysis, we deﬁne the health index of a consumer consuming a product located in xc by hc = (1 − xi). By doing so, we consider the simple case in which the RR does not vary with the initial intake. 2 As we consider public health issues, we also deﬁne the aggregate index over the market. From a public health perspective, the overall population's health depends on the nutritional quality of the marketed products and the market shares of the diﬀerent products. Then we consider the following public health index hij: The deﬁnition of welfare also needs some discussion. Social welfare is the sum of producer surplus, consumer surplus, and tax revenues if there are any tax revenues. The issue is related to how the social planner evaluates the health impact of consumption. As explained above, we assume that consumers diﬀerently integrate the long-term impact of their consumption on health. The parameter λ is the consumer awareness for health. A consumer with a low value for λ does not take much into consideration the health impact of consumption whereas a consumer with a high value for λ almost fully integrates the health impact. To evaluate the consumer surplus by the social planner, we distinguish two cases. Following the terminology used by Salanie and Treich (2009), a ﬁrst case corresponds to a populist social planner who evaluates the consumer surplus on the basis of the utility function of consumers (we denote the associated level of social welfare SW 1). A second case corresponds to a paternalistic social planner who fully integrates the health impact of consumption (Cremer et al., 2012). In this case, the consumer surplus is evaluated by the social planner on the basis of a modiﬁed utility function. For the social planner, a consumer who consumes product i gets the following utility: The utility now integrates the 'true' impact of consumption on health (we denote the associated social welfare SW 2). 2 A more general case would be to consider that the impact of a given change in consumption does depend on the initial level of consumption. More precisely, in our case of an 'unhealthy' nutrient, this would mean that a given decrease in the consumption of the nutrient has more impact for a consumer who already has a high level of consumption (that is, who consumes product j) than for a consumer who has a low level of consumption (that is, who consumes product i). 3 Market Equilibrium To solve the two-stage game, we determine the perfect equilibrium by backward induction. We determine ﬁrst the Nash price equilibrium in the sub-game given the characteristics xi and xj. Then, we determine the optimal characteristics of products denoted by x B i and x B j . 3.1 Prices and product characteristics at the equilibrium At the second stage, prices are given by: And the equilibrium locations in the ﬁrst-stage game are given by: See the Appendix for detailed calculations. In the following, we constrain the optimal characteristics of products i and j to be in the range of possible locations (that is, 0 < xi < xj < 1). From (11) and (12), we get t < 1 and 1 + t < 4a. In addition, to ensure that consumer (0,0) buys product i and consumer (1,1) buys product j, we get an additional condition 1 2 < t . To sum up, we restrict our analysis to the following cases: The choice to consider only the cases with interior solutions is justiﬁed by the fact that we want to analyze how characteristics of products are aﬀected by policies. With interior solutions, any ﬁrm can adapt freely the characteristic of its product, whether this corresponds to an increase or a decrease in the nutrient content of the product. Moreover, by doing so, we also focus on situations in which both products have signiﬁcant market shares rather than a situation in which one of the two ﬁrms is in a 'niche' market. Under (13), we consider situations in which t is quite large and then in which consumers are more reluctant to move from their preferred location. This is meaningful as it is well known that taste plays an important role in food choices. In addition, under (13), we also consider situations in which a is large enough, meaning that changes in food quality are quite costly. With this assumption, we then focus on situations that are less favorable for public health. Using (10) to (12), we get the equilibrium prices, which are function of a and t (Table 1). At the equilibrium, ﬁrms choose characteristics that are not symmetric, that is, x B i ̸= 1 − x B j . This is related to the quadratic cost function as it is more costly for ﬁrm i to improve the quality of its product than for ﬁrm j. Proﬁts of both ﬁrms are, however, equal in this model. This comes from the fact that the absolute markups of producers i and j are equal (p B i − c ( x B i ) = p B j − c ( x B j ) = 3t 2 2(a+t) ) and demands are equal. Table 1: Characterization of the benchmark When the unit transportation cost increases, product i moves to the left while product j moves to the right, and the prices of both products increase. Thus, when t increases, a consumer is more likely to purchase the product near her own location, rather than the further one. This allows producers to soften competition by moving away from each other, which allows for a price increase. In addition, marginal costs of producers are aﬀected by the change in the characteristic of their products. Producer i increases the quality of its product, generating an increase in the marginal cost and thus in price. Producer j faces a diﬀerent situation. Its marginal cost of production decreases as a result of the decrease in the quality of its product (that is xj increases). The eﬀect, however, of softened competition on price is larger than that of the marginal cost change and, as a consequence, the price of product j increases. This also explains that the price increase of product j is lower than that of product i. As in a standard location model, ﬁrm proﬁt increase with t. An increase in the cost parameter a leads to a decrease in the level of quality chosen by both ﬁrms (that is, xi and xj increase). As the cost function is quadratic, when a increases, the high-quality ﬁrm i suﬀers more than the low-quality ﬁrm j. Hence, the quality adjustment by ﬁrm i is larger than that of ﬁrm j. As a result, the diﬀerentiation decreases and competition is more intense. At the equilibrium, prices decrease, meaning that the eﬀect on price of the tougher competition dominates the cost increase. As production costs increase, proﬁts decrease. 3.2 Health and welfare An increase in the unit transportation cost has a positive impact on the health index when a > 1/2 and a negative impact if a < 1/2. 3 The health index depends on the quality of products as well as on the market shares of each product. An increase in t does not modify the market shares. In equilibrium, when t increases, the slope of the indiﬀerence curve increase but in such a way that the market shares remain constant. The indiﬀerence curve rotates around the point (1/2, 1/2). When t increases, the role of transportation costs on consumers' choice increases, and, as a consequence, some consumers with a low preference for quality now switch to the high-quality product in order to have lower transportation costs. Conversely, some consumers with a high preference for quality switch to the lowquality product. Because market shares are not aﬀected by a change in t, the change in the health index is only due to the change in the quality of products i and j. When a > 1/2, the increase in the quality of product i is larger than the decrease in the quality of product j and hence the health index increases. Welfare decreases when t increases as this corresponds to an increase in the cost supported by consumers. This is true whether the welfare is evaluated using the populist or the paternalistic deﬁnition. Finally, the health index and welfare decrease when the cost parameter a increases, for intuitive reasons. With respect to the health index, this is the consequence of a decrease in the quality of both products, with market shares remaining constant. With respect to welfare, this is because there is an increase in production costs. 3.3 Optimal qualities for the social planner As a reference for the analysis of the impact of policies, we now deﬁne the choice of qualities by a social planner. The social planner maximizes social welfare. To do so, prices are equal to marginal costs and qualities are chosen such that social welfare is maximized. The populist social planner maximizes the consumer surplus as it is deﬁned by consumers. The optimal qualities are given by: 3 Thus, we have: ∂h ij ∂t = 2a−1 4(a+t) 2 . See the Appendix for detailed calculations. It is easy to show that x B i < x SW 1 i and x B j > x SW 1 j . In this model, price distortions do not directly play a role as, given the assumption with respect to the covered market, this essentially corresponds to a transfer between producers and consumers. 4 Firms have an incentive to diﬀerentiate the products in order to soften price competition. For the social planner, there is no reason to do so and the distortions come from transportation costs and choices of qualities. The social planner's choice tends to limit the wasted transportation costs and thus choose locations corresponding to less diﬀerentiated qualities. 5 A paternalistic social planner maximizes consumer surplus using a modiﬁed utility function (Eq. 8). The optimal qualities are given by: See the Appendix for detailed calculations. It is easy to show that x B i < x SW 2 i < x SW 1 i and x B j > x SW 1 j > x SW 2 j . As before, the social planner chooses less diﬀerentiated products. 6 Compared with the populist social planner, the paternalistic social planner chooses higher qualities for both products. This is intuitive as this social planner considers that consumers should fully internalize the health impact of consumption in their utility whereas a populist social planner uses the consumers' utility function, which only partially internalizes the health impact. The adjustment towards a higher quality is larger for product j than product i as a given increase in quality is less costly the lower the initial quality. 7 4 Strategic Responses to Policy Interventions We now analyze the impact on prices, product characteristics, health, and welfare of alternative policy interventions. We analyze ﬁrst the impact of an MQS policy. The MQS requires that ﬁrms operating in the market comply with a certain quality standard. In 4 Prices play an indirect role in the sense that they have an impact upon the choice of consumers between product i and product j. They also have an incidence on the optimal qualities. 5 In the case of a pure Hotelling model, with identical ﬁrms, optimal locations are 1/4 and 3/4. In our model, if quality is not costly (a=0) we ﬁnd x SW 1 i = 1 4 − 1+12 t 48t 2 and x SW 1 j = 3 4 + 1 − 12 t 48t 2 . The diﬀerences with the pure Hotelling model come from the fact that in our model consumers also value the quality, measured by 1 − xi and 1 − xj. 6 If quality is not costly (a=0) we ﬁnd x SW 2 i = 1 4 − 6 t − 1 12t 2 and x SW 1 j = 3 4 − 6 t +1 12t 2 . 7 Thus, x SW 1 i − x SW 2 i = 12t−5 48t(a+t) whereas x SW 1 j − x SW 2 j = 12t−3 48t(a+t) . our context of an 'unhealthy' nutrient, the MQS is deﬁned as the maximum content in the 'unhealthy' nutrient content of a product. Such type of policy was deﬁned in the case of TFA the use of which was progressively prohibited in diﬀerent countries (Unnevehr and Jagmanaite, 2008). That is to say that the maximum content in TFA of food products was progressively decreased thanks to an MQS policy. Then, we analyze the impact of excise taxes. We design two cases. We consider ﬁrst a case in which both products are taxed as a function of their nutrient content. This type of tax was introduced in 2011 in Denmark. The tax targeted saturated fats, and was speciﬁed in DK/kg of saturated fat in the product (Jensen and Smed, 2013). 8 The second version of the excise tax is to consider that the tax only applies to the low-quality product. In practice, it means that some products are taxed and some others are not. We ﬁnd examples of such taxes in the soft drink market. For example, Hungary introduced a tax on soft drinks that contain more than 80g/l of added sugar (ECORYS, 2014). In practice, it means that diet products are not taxed whereas sugary products are. For taxed products, however, the level of the taxes does not vary with the sugar content. 9 4.1 Minimum Quality Standard (MQS) We assume that the regulator imposes a requirement that the nutrient content of the products on the market should be lower than some threshold ¯ x. The MQS has an impact on the choice of characteristics only if ¯ x < x B j . Stage 2 of the competition game is not modiﬁed and (9) and (10) apply as they deﬁne the price equilibrium at given characteristics of the products. Stage 1 of the game is modiﬁed as the choice of ﬁrm j is constrained: we have x S j = ¯ x . 10 Given that ﬁrm j chooses the location x S j , the optimal choice for ﬁrm i is: When ﬁrm j faces a constraining MQS, then ﬁrm i responds by lowering the nutrient content of its product, that is, by increasing the quality of its product. We formulate in proposition 1 the main implications of the MQS policy. Proposition 1. Under an MQS policy that restricts the choice of the characteristic of the low-quality product, and relatively to the benchmark case: 8 The tax applied to a broad range of products, such as meat, dairy products, animal fats, and vegetable oils. The tax only applied to the products that had a content level of saturated fat that was higher than 2.3%. For many markets, however (e.g., the market for oil), all products were taxed, as it was not possible to completely remove saturated fats from those products. 9 France also introduced a tax on soft drinks in 2012. In the French case, however, the tax applies to all products whether they contain sugar or not. Moreover, the level of the tax does not vary with the sugar content. Thus, this cannot be considered as a nutritional tax (ECORYS, 2014). 10 We denote with a subscript S the values of variables at the equilibrium under the MQS scenario. * The quality of the high-quality good increases and the diﬀerentiation in the market decreases; * The price of the high-quality good decreases whereas the price of the low-quality good increases; * The high-quality producer is worse oﬀand the low-quality producer is better oﬀ; * The health index increases and so does welfare. Proof. See the Appendix When the choice of quality by ﬁrm j is constrained and thus ﬁrm j increases the quality of its product, the high-quality ﬁrm also raises the quality of its product to alleviate the more intense competition. Since improving the quality is more costly for ﬁrm i than for ﬁrm j, the change in xi is smaller than that of xj. The diﬀerentiation between the two products decreases, leading to tougher competition. The impact on prices depends on two opposite eﬀects. On the one hand, the increase in quality increases marginal costs of production and then prices according to (9) and(10). On the other hand, the reduced diﬀerentiation leads to more intense price competition. The net eﬀect of these two opposite eﬀects is positive for ﬁrm j, that is, the price of product j increases, whereas it is negative for ﬁrm i, that is, the price of product i decreases. Firm j's price and demand increase, along with a decrease in ﬁrm i's price and demand level. As a consequence, ﬁrm i is worse oﬀand ﬁrm j is better oﬀ. The health index increases due to the improvement in the quality of both products. This eﬀect dominates the negative impact (on health) of the shift in the demand. Thus, some consumers switch from the high-quality good to the low-quality good. We also ﬁnd that social welfare, whether it is deﬁned by a populist or a paternalistic social planner, increases. In this setting in which the market is covered, price distortions due to market power do not aﬀect welfare directly as this corresponds to a transfer between consumers and producers. The distortion that is reduced is the distortion due to the change in the characteristics of the products. The increase in quality of product j (that is, a lower xj) decreases the distortion on product j as x B j > x SW 1 j > x SW 2 j . On the contrary, the increase in quality of product i increases the distortion on product i as x B i < x SW 1 i . This latter negative eﬀect is, however, lower than the positive one due to the increase in quality of product j. These results are in line with the results from Ronnen (1991) and Crampes and Hollander (1995) who analyzed the impact of imposing an MQS in a duopoly framework with vertical product diﬀerentiation and in which ﬁrms ﬁrst choose the quality of their products and then compete in prices. Both papers found that the MQS acts as a commitment device for ﬁrm j, providing to this ﬁrm a ﬁrst-mover advantage. As a consequence, ﬁrm j is better oﬀand ﬁrm i is worse oﬀ. The papers by Ronnen (1991) and Crampes and Hollander (1995) diﬀer with respect to the cost of quality. In Ronnen (1991), an increase in quality has an impact on ﬁxed costs, whereas in Crampes and Hollander (1995), it has an impact on variable costs, as is the case in our framework. Interestingly, in Crampes and Hollander (1995), the qualitative results depend on the quality adjustment of product i. When the quality of product i increases less than that of the low-quality, which is the case in our model, then all qualitative results we have are similar to their results. On the other hand, our results about the impact of MQS on product quality diﬀer from those in Deltas et al. (2013). This paper considers a duopoly operating in a market with consumers who care about both an environmental attribute, which could be considered as the quality attribute, and another brand-speciﬁc attribute. With respect to the brand-speciﬁc attribute, the ﬁrms are assumed to locate at the two ends of a unit interval. With respect to the environmental attribute, consumers have the same willingness to pay for products' greenness. In their setting, the consumer heterogeneity is only in terms of brand-speciﬁc horizontal attributes. Additionally, the horizontal attribute and the vertical one are independent. Using this framework, the authors found that ﬁrms' environmental qualities are strategic substitutes. Then, the implementation of an MQS leads the highquality ﬁrm to decrease the quality of its product, which is the opposite of our results. In our setting, on the contrary, product qualities are strategic complements and as a result, an increase in the standard leads to the augmentation of both products' qualities. 11 4.2 Excise tax on both products To penalize the use of the 'unhealthy' nutrient, the regulator sets a tax on both products. In order to penalize the low-quality product more than the high-quality product, we consider a linear excise tax with a rate f . That is, a product of characteristic xc faces a tax f ∗ xc. The proﬁts of ﬁrms are given by: The tax acts as an increase in production costs. We formulate in proposition 2 the main implications of the excise tax policy. Proposition 2. Under an excise tax proportional to the nutrient content of both products, and relatively to the benchmark case: * The content of the taxed nutrient decreases for both products by the same amount; * The prices of both products increase; 11 In the benchmark case, at the equilibrium, we have, ∂Π 2 i ∂x i ∂x j = ∂Π 2 j ∂x j ∂x i = (a+t) 2 (x j −x i ) 9t > 0. * The proﬁts of producers remain constant; * The health index increases, the welfare evaluated by a populist social planner decreases, and the welfare evaluated by a paternalistic social planner increases as long as the tax rate is not too high. Proof. See the Appendix In order to limit the impact of the tax, ﬁrms choose higher quality for their products. As a consequence of the tax and the increased qualities, prices increase. Moreover, because the tax is linear, then the impact on the marginal cost of quality is identical for both ﬁrms (= f). This explains why the content in the taxed nutrient decreases for both products by the same amount. In addition, the markups remain constant, as do the market shares. The consequence is that proﬁts do not change. Those adjustments are also a consequence of the assumption relative to the market coverage. Thus, the cost increase, which both ﬁrms face, can be transmitted to the consumers without losing consumers. The adjustments in price and qualities are such that with linear taxes the indiﬀerence curve (which deﬁnes consumers indiﬀerent between consuming product i and j) is not aﬀected. Because market shares do not change and the quality of both products increases, then the health index increases. Social welfare, deﬁned by a populist social planner, decreases. On the one hand, the distortion on the low-quality decreases but on the other hand the distortion on the highquality increases. The overall eﬀect on welfare is negative. If deﬁned by a paternalistic social planner, however, welfare increases, meaning that the negative impact of an increase in the distortion of the high-quality product now has less importance than in the ﬁrst case. A variant of this policy is to design a bonus malus taxation policy (keeping the characteristic that the tax/subsidy scheme is linear with respect to the content of the 'unhealthy' nutrient). That is to say that products that have a level of content of the 'unhealthy' nutrient that is lower than some threshold beneﬁt from a subsidy. Conversely, products that have a level of content of the 'unhealthy' nutrient that is larger than the threshold are taxed. This type of policy was put in place in France in the car industry (Reynaert, 2014). A threshold in term of CO2 emission per km was deﬁned. Vehicles with higher emissions than the threshold face a tax whereas those with lower emissions beneﬁt from a subsidy. In term of nutrition, the idea is to acknowledge that the consumption of most nutrients is not 'bad' per se but rather it is their excessive consumption that has negative health impacts. Formally, rather than deﬁning the tax by f ∗ xc for a product of characteristic xc, the tax is deﬁned as f ∗ (xc − ˜ x). This is thus a combination of the previous scheme and a ﬁxed subsidy to the ﬁrm. In our model, the qualities at equilibrium are not aﬀected by a ﬁxed subsidy (applied to both products) or a ﬁxed tax. Prices change by the amount of the per-unit subsidy, so that absolute markups do not change. Other variables are not aﬀected. We only have a transfer between consumers and taxpayers. Thus, all the results presented in the case of a linear excise tax on the two products also apply to this kind of bonus malus policy. 4.3 Excise tax on the low-quality An alternative policy is to discourage the consumption of the low-quality good by setting a tax on this product. We keep the same scheme as above, that is a linear excise tax, but apply it to the low-quality product only. Thus, product j faces a tax f ∗ xj. Proﬁt of ﬁrm i is given by (6) and proﬁt of ﬁrm j is given by (20). The tax acts as an increase in the production costs of ﬁrm j only. We formulate in proposition 3 the main implications of the excise tax policy. Proposition 3. Under an excise tax proportional to the nutrient content of the lowquality product, and relatively to the benchmark case: * The quality of the high-quality product decreases; the quality of the low-quality product increases as long as the tax rate is not too high; * The price of the low-quality product increases whereas the price of the high-quality product decreases; * The high-quality ﬁrm is better oﬀand the low-quality ﬁrm is worse oﬀ; * The health index increases, and so does welfare. Proof. See the Appendix With the tax, ﬁrm j faces a cost increase that is proportional to the nutrient content of its product. This provides this ﬁrm with an incentive to improve the quality (that is, to lower the nutrient content xj) of its product. The response of ﬁrm i, facing a less competitive ﬁrm (because its product is taxed), is to reduce the quality of its product (that is to increase xi). The change in the price of product i results from three elements: a reduction in the cost due the change in quality, a less diﬀerentiated market meaning tougher competition, and an opposite eﬀect, which is facing a less competitive ﬁrm. On the whole, the ﬁrst two eﬀects dominate the third one, so that the price of product i decreases. The change in the price of product j results from two elements: an increase in the cost due to both the taxation and the increase in quality and an opposite eﬀect resulting from a less diﬀerentiated market. The ﬁrst eﬀect dominates the second one so that pj increases. The changes in proﬁts are rather intuitive: the taxed ﬁrm is worse oﬀand the other ﬁrm is better oﬀ. The change in the health index results from three eﬀects, the ﬁrst two having a positive impact and the third having a negative impact. First, the quality of product j increases. Second, due to the price changes some consumers switch from product j to product i. Third, the quality of product i decreases. The impact of the ﬁrst two eﬀects dominates the impact of the third one, explaining the increase in the health index with the tax. Welfare increases as a consequence in the change in quality. As explained above, distortions in this model come from the location of the product. In this scenario, both the distortions with respect to product i and product j are reduced. Then welfare increases. It is, however, interesting to note that the quality of the low quality good reaches a maximum for f = 1 2 (3 t − √ t 2 + 8at − 2t). If the tax rate is higher than that value, then, ﬁrm j has no longer enough incentives to continue to increase the level of quality. On the contrary, it starts to deteriorate the level of quality of its product. This is the result of both the increased competition from ﬁrm i as the quality of product i is still increasing, and the increase in the tax rate. For ﬁrm j, when the tax rate is high, it becomes more proﬁtable to lower the quality, thus relaxing competition and decreasing production costs. As a consequence, the health index decreases when the tax rate becomes high. 5 Policy Comparison The three policy interventions analyzed in the previous sections clearly diﬀer in their impacts on market segmentation: * The MQS policy increases both qualities, increases the demand for the low-quality product and decreases the demand for the high-quality product; * The tax policy on two products does not change the demands but both qualities increase; * The tax policy on one product increases the quality of the low-quality product (as long as the tax rate is not too high), decreases the quality of the high-quality product, and increases the demand for the high-quality product. A common feature of the three policies is to provide incentives to the low-quality ﬁrm to increase its product's healthfulness, that is, to move left. We have shown above that all of the three instruments - MQS, a linear excise tax on the two products, and a linear excise tax on the low-quality product - ameliorate the health index. Nevertheless, depending on the instruments, the eﬀects on the other parameters (quality of the high-quality product, demands, prices) are not identical. In terms of social welfare, both the MQS and the linear excise tax on one product increase social welfare whether welfare is deﬁned by a populist or a paternalistic social planner. On the contrary, a linear excise tax on the two products deteriorates social welfare deﬁned by a populist social planner whereas, as long as the tax rate is not too high, it increases social welfare deﬁned by a paternalistic social planner. It means that only a paternalistic regulator could decide to implement this last policy, provided that the tax rate remains small, that is to say as long as the social planner does not target a large improvement in the health index. The change in welfare is well explained by the changes in quality distortions. In this respect, a tax on the low-quality product is the only policy that reduces both the distortions on the low-quality product and the high-quality product. In order to go a step further in the analysis and to determine which policy is the most powerful in achieving the regulator's objective, we now compare the impact of the three policies on surplus and social welfare for a given increase in the health index. We discuss these eﬀects in relation to the heterogeneity of consumers. Finally, we compare these policies with information-based policies. 5.1 Impacts on social welfare In this section, we assume that the social planner has the objective of increasing health and we determine the best instrument to achieve this objective. Due to the complexity of the analytical expressions, we perform numerical simulations to compare the diﬀerent instruments. 12 Given condition (13), we choose speciﬁc values for the parameters t and a. We select three diﬀerent levels of health index improvement. For each level of the health index, we then determine the MQS (in the case of the MQS-based policy) and the tax rates (in the case of a tax policy) that are requested to obtain at the equilibrium the targeted health index. Table 2 provides the numerical values of the diﬀerent variables computed with the model. We do not comment upon the impact of each policy on the diﬀerent variables, as this was done in the previous sections. Rather, we focus on the comparison of welfare impacts of the diﬀerent policies. In addition, we determine the health impacts depending on the type of consumers. Indeed, an extensive literature reports large health inequalities between less and more informed (or health-sensitive) consumers in many countries (see for instance Drewnowski, 2009). Then, it is important to identify to what extent these health inequalities might be weaken or ampliﬁed depending on the policy instruments adopted by the policy makers. To do so, we split consumers into two groups depending on the weight they give to health issue. Consumers characterized by 1/2 ≤ λ ≤ 1 are health-conscious consumers, and consumers characterized by 0 ≤ λ ≤ 1/2 are non-health-conscious consumers. Result 1. For a given and moderate targeted increase in the health index, taxation of the 'unhealthy' product increases more social welfare than with an MQS-based policy. The MQS-based policy allows, however, to reach an increase in the health index that is higher than the one reached under a taxation policy. For a given and moderate level of the health index, the linear excise tax on the lowquality product has a larger positive impact on social welfare than the MQS. This is true whether social welfare is deﬁned by a populist or a paternalistic social planner. These two instruments dominate the linear excise tax on two products, which is even not socially desirable for a populist social planner. The diﬀerent agents are, however, diﬀerently aﬀected by the alternative policies. The excise tax on both products leaves total proﬁts unchanged, whereas they decrease under 12 We report the results for given values of t and a. To test for the validity of the qualitative results, we tested the diﬀerent scenarios for numerous values of a and t. This allows us to draw conclusions. a=0.5, t=0.7, v=2; BM stands for benchmark. hlow and CS1low refer to the health index and consumer surplus of non-health-conscious consumers. hhigh and CS1high refer to the health index and consumer surplus of health-conscious consumers. Table 2: Comparison of the impact of alternative policies for a given health index outcome the other two policies. From the industry point of view, the worst policy is the excise tax on the low-quality product (Table 3). Moreover, ﬁrm i and ﬁrm j have diﬀerent preferred policies. Firm i prefers the tax policy on the low-quality product whereas ﬁrm j prefers the MQS. Conversely, the low-quality ﬁrm beneﬁts from the MQS policy, which provides it with a ﬁrst-mover advantage. On the demand side, the consumer surplus decreases with any tax policy whereas it increases under the MQS policy. To sum up, the taxation of the two products does not seem to have strong support. It is the worst option for the social planner (and it is welfare decreasing for a populist social planner) and for the consumers. It is neither the preferred option of ﬁrm i nor of ﬁrm j. Table 3: Ranking of the impact of alternative policies (leading to a given and moderate health index outcome) for diﬀerent agents Taxation of the low-quality product and an MQS policy might ﬁnd some support. From the social planner's point of view, whether he is populist or paternalist, the best instrument is the taxation of the low-quality product (assuming here a linear taxation scheme). Both the consumers and the industry as a whole, however, would prefer the MQS to the excise tax on the low-quality product. It is worthwhile to note, however, that it is possible to target higher health impacts with an MQS than with a tax on the low-quality product. 13 Indeed, when the tax rate is low, ﬁrm j chooses to ameliorates the quality of its product. For higher level of taxation, however, ﬁrm j no longer chooses to ameliorate the quality of its product. On the contrary, ﬁrm j progressively decreases the level of quality of its product. As explained above, this is a consequence of the competition of the other ﬁrm which faces a less and less competitive ﬁrm. Thus, for a moderate gain in health, the tax policy can be preferred, but an MQS-based policy must be prioritized as soon as the social planner targets a large improvement of the health status of the population. Result 2. All policies reduce health inequalities. Taxation of the low-quality product, however, reduces health inequalities in a larger extent than an MQS-based policy. The disparity in consumers' surpluses between the most and least informed groups increases more under a tax of the 'unhealthy' product than under an MQS-based policy. Regarding the health impact, it turns out that all policies are progressive in that they reduce the gap between more and less informed consumers. Indeed, in all cases the quality of the low-quality product is improved. As, on average, less informed consumers consume initially more this product, their health status is always improved. 14 Regarding the quality of the high-quality product, it increases less than the low-quality product (MQS policy) or decreases (tax policy). As a consequence, the health status of more informed consumers is either less improved than the health status of less informed consumers, or is downgraded. Regarding the gap between consumers' surpluses, it appears that, in comparison with the benchmark situation, all policies increase it. An MQS-based policy is, however, the least regressive policy. Indeed, the consumers' surpluses of the most and least informed groups increases under an MQS-based policy, whereas the consumers' surplus of the least informed group is decreased by the tax policy. 13 The last column of Table 2 reports the results corresponding to the highest level of health index that is achievable by a policy. Taxation of the low quality product does not allow reaching such a level for the health index. 14 As explained above, under taxation of the low-quality product, the quality of the low-quality product increases only if the tax rate is not too high; this is the case we consider here. a=1, t=0.8, v=2; welfare is evaluated assuming a paternalistic social planner. Table 4: Comparison of the impact of market environment policies versus information policy 5.2 Information policy versus policies changing the market environment Up to now, we have considered policies targeting changes in the market environment of consumers. Their goal is to favor health beneﬁts even for non-informed and non-healthconscious consumers. In practice, however, public planners mainly develop information policies. In the following, we analyze if market environment policies perform better, in terms of health and welfare impacts, than policies exclusively based on education and information campaigns? To determine to what extent information-based policies may be more or less eﬀective than policies changing the market environment, we build the following scenarios. First, as in the previous sections, we consider that the consumers are heterogeneous and their information level (the parameter λ) is uniformly distributed between 0 and 1. Using numerical simulations, we determine the values of the MQS and the tax rate (assuming that the tax applies on the low-quality product) that maximize the social welfare (scenario 1 in Table 4). Second, in scenario 2, we assume that, thanks to successful information campaigns, all the consumers are informed (technically, we assume λ = 1 for every consumer) and we calculate the health index and welfare at the equilibrium. Result 3. An MQS-based policy increases more the social welfare and the health status of the population than a policy only focused on consumers' information. A tax policy is always more welfare-increasing than the information policy alone, but it does not allow reaching a higher health index. Our model suggests that public intervention on the consumers' environment through an MQS may be required for at least two reasons. First, the quality distortions at the equilibrium, discussed in section 3.3, still hold with perfectly informed consumers: the quality of the high-quality product is too high, and the quality of the low-quality product is too low. In other words, under an information policy distortions due to market power still exist and policies targeting changes in product quality must always complement the information policy. Second, as shown in Table 4, if we consider the two opposite policies a policy targeting changes in the market environment through an MQS (scenario 1) versus a successful information policy without any change in the market environment (scenario 2) - it turns out that the former allows reaching higher levels for the health index and welfare. The tax policy is welfare-increasing too, but the health index is smaller than the one obtained with a fully successful information policy. In conclusion, it appears that an MQS must be selected against an information policy to get higher welfare and health index. The superiority of the MQS-based policy on the information policy might be due to the fact that, in scenario 1, we assumed that at least some consumers were already informed and health-conscious (as λ is distributed over [0, 1]). To test this issue, we compare a successful information policy (scenario 2) with a MQS-based policy assuming that no consumer is informed (λ = 0, scenario 3). Numerical simulations show that, even in this case, an MQSbased policy is more eﬀective than the perfect information policy both for social welfare and the health status of the population. 6 Conclusion Besides public health policies targeting changes in consumers' behaviors, policy makers are implementing policies aiming at increasing the nutritional quality of foods available on the market. Indeed, many studies suggest that most of the food products available for sale are still of a low nutritional quality level, as they contain high quantities of salt, added sugars or fat. In this article, we propose an original model of product diﬀerentiation that aims at estimating to what extent tax- and standard-based policies can contribute to improve the nutritional quality of foods, and then the health status of the population. On the supply side, a single characteristic, that is, the content of the product in some 'unhealthy' nutrient, the consumption of which should be limited, is used to deﬁne the product. On the demand side, consumers value a product thanks to its taste, which is a function of the nutrient content, as well as its health impact. In this case of an 'unhealthy' nutrient, the lower the content of the nutrient, the better the product is for health. For consumers, the characteristic of a product has thus a horizontal dimension (taste) as well as a vertical one (health). We consider that consumers are heterogeneous with respect to taste and with respect to the weight they give to the health impact. The main contribution of our analysis is to evaluate the market, health, and welfare impacts of alternative policies, integrating strategic reactions of ﬁrms both in terms of prices and product characteristics. More precisely, we consider that ﬁrms compete in a two-stage game in which they ﬁrst choose the characteristic of the products, here represented by their nutrient content or equivalently by their healthfulness, and then set prices. Thanks to the design of the model, which considers the case of a single characteristic that aﬀects consumer's utility in two dimensions, we do not restrict the choice of product characteristic, as is frequently the case. In the absence of any policy intervention, we ﬁnd that in equilibrium, as in the standard horizontal diﬀerentiation model, ﬁrms diﬀerentiate their products. The diﬀerentiation between the two products increases with the transportation cost parameter whereas an increase in the production cost parameter leads ﬁrms to choose less 'healthy' products. Two important results are, however, that (i) the products are more diﬀerentiated than in the standard horizontal diﬀerentiation model - this is due to the consumers' heterogeneity in both health and taste dimensions; and (ii) for a welfare-maximizing planner, the two products are too diﬀerentiated- the quality of the high-quality product is too high, and the quality of the low-quality product is too low. Thus, the model gives a theoretical background to the empirical statement of the insuﬃcient nutritional quality of foods. In comparison to real-world observations, we could then consider that the market diﬀerentiation between 'niche' products based on health and nutritional claims and standard food products is not satisfying, 'niche' products' being positioned at too high a level of quality and price levels, and standard products at too low a level of quality and price levels. Alternative public interventions can be envisaged to favor welfare-increasing market segmentation. To compare the eﬀectiveness of alternative policy interventions, we consider three indicators: a health index, which is actually a index of the healthfulness of the products, and two welfare functions depending how the social planner evaluates the consumer surplus. A populist social planner evaluates the consumer surplus on the basis of the utility function of consumers as he does not fully integrate in the consumer surplus the 'true' health impact of consumption. Alternatively, a paternalistic social planner fully integrates the health impact of consumption. We show that a social planner chooses locations corresponding to less diﬀerentiated products. This is because ﬁrms have an interest in diﬀerentiating the products in order to soften price competition, which is not the case for a social planner. A social planner thus seeks to limit the full costs in the market, which depends on the production costs and the transportation costs. We also show that a paternalistic social planner chooses higher qualities for both products than a populist social planner. This is because the paternalistic social planner fully internalizes the health impact of consumption, whereas the populist social planner does not. We study three nutritional policies. A policy based on MQS that imposes a threshold upon the low-quality product and two scenarios of an excise tax proportional to the nutrient content of the product. A ﬁrst case is when both products are taxed whereas the second version assumes that only the low-quality product is taxed. With the MQS, both ﬁrms improve the quality of the products, that is, they choose products with a lower amount of the nutrient. Product diﬀerentiation decreases, however, as it is more costly for the highquality good to improve the quality of its product. Due to the ﬁrst-mover advantage, the low-quality ﬁrm gains a higher proﬁt than the benchmark model, while the high-quality ﬁrm loses under this regulation. This policy improves the health index and is welfare increasing whether welfare is evaluated by a populist or a paternalistic social planner. Those qualitative results are in line with those from the literature on MQS (e.g., Crampes and Hollander, 1995). Taxation of the two products has a positive impact on health because it provides incentives to ﬁrms to improve the quality of their products. For a populist social planner, however, this is not a policy option to favor because it decreases welfare. A paternalistic social planner might consider this option. For a given improvement in the health index, however, the increase in welfare is lower than the one under the other two options. Taxation of the low-quality product is more appealing, as the policy improves health and is welfare improving. This policy induces a change in the quality of products, which is consistent with the social planner's point of view. Thus, product diﬀerentiation decreases because, on the one hand, the quality of the low-quality good increases, and on the other hand, the quality of the high-quality good decreases. This leads to lower levels of distortions in the market. Among the three policies we analyze, we ﬁnd that only the MQS policy and the linear excise tax on the low-quality product are eﬀective in a general sense. The choice, however, between the two depends on the priorities of the regulator. On the one hand, for a given moderate level of improvement in health, we show that social welfare increases more with the tax policy than the MQS policy. But the MQS allows reaching higher targets in the health index as well as higher welfare. Therefore, from a social planner's point of view, the MQS-based policy must be privileged. On the other hand, the policies have distributional eﬀects that must be taken into account, in particular for reasons related to their social acceptability. On the supply side, the proﬁt of the high-quality ﬁrm decreases and the proﬁt of the low-quality ﬁrm increases under the MQS. The opposite occurs under the excise tax. There is thus no consensus in the industry, but the industry as a whole loses less under MQS. On the demand side, consumers' surplus increases under the MQS whereas it decreases if the tax is applied. Moreover, the MQS policy is less regressive than the tax policy. Finally, the health inequalities are reduced by all policies, but they are more decreased by the tax policy than the MQS-based policy. We also ﬁnd that an information policy, even if it is fully successful, performs less than policies targeting the market environment. The latter must always complement the information policy. A MQSbased policy always allows reaching higher levels of the health index and welfare than an information policy alone. It is not the case of the tax policy which leads to a higher welfare than the information policy, but to a lower level of health index. An important assumption of the model is the market coverage assumption. Thus, we assume that the global demand is ﬁxed. The demand for each ﬁrm is elastic as consumers switch from one product to another one, but the whole demand is inelastic. In practice, this means that we implicitly consider markets of products that are consumed by all consumers, which are diﬃcult to substitute in the diet. The limit is mainly related to the impact of an increase in the quality of the 'bad' product, which is the cheaper one. The diﬀerent policies analyzed above lead to an increase in the quality of the bad product and to an increase in its price. We assume here that it does not discourage consumption as every consumer continues to buy one of the products on the market. In practice, it is possible that some consumers stop consuming this product. This would aﬀect their surplus but this will also aﬀect the proﬁt of the ﬁrm selling that product. A second limitation of the model is related to the assumption that a consumer buys one unit of a product. By doing so, we do not capture an individual quantity eﬀect that might occur when the characteristic of the product changes. It is possible that a decrease in the content of a 'bad' nutrient generates an increase in the quantity consumed as consumers might think that they 'can' eat more of the product as it is now safer. 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European Action Plan For Food and Nutrition Policy 2007-2012. World Health organization, Regional Oﬃce for Europe, 28p. 7 Appendix All results are obtained using Mathematica. 7.1 Benchmark Model Given the indiﬀerence line (2), we deﬁne demands as functions of pi, pj, xi, xj: Optimal qualities Using (21) and (22), we rewrite the proﬁt function (6) and get the price equilibrium p ∗ i ( x i , x j ) and p ∗ j ( x i , x j ) in stage 2 (Eq. (9) and (10)) from the ﬁrst order conditions of proﬁt maximization. We deduce πi(p ∗ i ( x i , x j ) , p ∗ j ( x i , x j )) and π j ( p ∗ i ( x i , x j ) , p ∗ j ( x i , x j )) which are maximized wrt xi and xj respectively. Among the set of possible solutions, we select the optimal locations (Eq. (11) and (11)) using the second order conditions: Then, x B i , x B j are the optimal locations for ﬁrms i and j , respectively. Conditions of existence We ﬁrst impose that x B i , x B j are within the range ]0,1] with x B i < x B j . It implies 1+t < 4a and t ≤ 1. Moreover, our deﬁnition of the demand has some implicit assumptions. Considering (x = x00, λ = 0) the indiﬀerent consumer located in x00 and (x = x11, λ = 1) the indiﬀerent consumer located in x11, then we assume implicitly that x00 and x11 are in the range [0,1]. In other words, the indiﬀerence line crosses the horizontal lines deﬁning the consumer square. From (2), we deduce: Replace (25), (26) and x B i , x B j into (23), (24). We get: x 00 = 1 2 − 1 4t , x 11 = 1 2 + 1 4t . It is easy to check that, that conditions on x00 and x11 imply t ≥ 1/2. Conditions are summed up in (13). Equilibrium prices Substituting x B i , x B j into the second stage prices (Eq. (11) and (11), we get the equilibrium prices: To study how the equilibrium prices vary with the parameter t, we write: Under condition (13), it is easy to show that (27) and (28) are positive. We also have ∂p B i ∂t > ∂p B j ∂t . This is veriﬁed iﬀ a + 4 at − t > 0, which is true given that we have 1 + t < 4 a . To study how the equilibrium prices vary with the parameter a, we write: Given condition (13), we can draw the following curves of a = t +1 4 , a = t(1+10t+t 2 ) (1+10t+49t 2 ) and a = t − 2 t 2 − 23 t 3 1−2t+25t 2 on the range 1 2 < t < 1 (we use the software Mathematica), and it suggest that: as a > t +1 4 , then a > t(1+10t+t 2 ) (1+10t+49t 2 ) > t − 2 t 2 − 23 t 3 1−2t+25t 2 , through which we can get that (29), (30) are both negative. Equilibrium proﬁts To get the demand at equilibrium, substitute (25), (26) and x B i , x B j into (21), (22):. We have: To get the proﬁts at equilibrium, substitute (25), (26) and x B i , x B j and (32) into (6). We have: We also have: Distance between ﬁrm i and ﬁrm j The distance between the two forms is a measure of the product diﬀerentiation. We have: x B j − x B i = 3t 2(a+t) , and Health index The health index is computed by substituting (11), (12), and (32) into (7). When α = 1, we have: and It comes directly that ∂h ij ∂t ≥ 0 ⇔ a ≥ 1 / 2. Social welfare The indiﬀerence curve is given by: Welfare, for a populist social planner, is deﬁned as: By substituting the equilibrium values of x B i , x B j , p B i and p B j , we get the expression of SW1 as functions of parameters t, a: from which, we get: Welfare, for a paternalistic social planner, is deﬁned as: By substituting the equilibrium values of x B i , x B j , p B i and p B j , we get the expression of SW2 as functions of parameters t, a: from which, we get: To prove that ∂SW 2 ∂t < 0, we just need to solve the equation −15 − 32a 2 + a(48 − 52t) − 26t 2 = 0 by using Mathematica, and get that a = 1 16 (12 − 13 t − √ 3 √ 8 − 104t − 13t 2 ) or a = 1 16 (12 − 13 t + √ 3 √ 8 − 104t − 13t 2 ). Given that 1 2 < t < 1, the previous roots are complex roots. So there is no real root for that equation. In addition, the coeﬃcient before a is −32 < 0, then we conclude that ∂SW 2 ∂t is always negative given the conditions on t and a. 7.2 Instrument: MQS Stage 2 of the game is not modiﬁed and thus (9), (10) apply. x S i is found by maximising Πi(p ∗ i ( x i , ¯ x ) , p ∗ j ( x i , ¯ x )) over x i . The optimal solution is given by (18). Following the same method as for the benchmark, we deduce prices, demands, proﬁts, health index and welfare at the equilibrium. They are obviously function of ¯ x which is exogenously set. We provide in the following the analytical expressions of all those variables. Equilibrium prices: and Demands: and Proﬁts: and ∂p i 8t 2 + a(3t− 1) ∂¯ x \| x B j ∂p j 6( = a+t) >0 \| a(t− 1) ∂¯ x x B j = 2(a+t) <0 ∂D i 4a+ 4t ∂¯ x \| x B j = 18t >0 ∂Π i ∂¯ x x j B \| =t >0 Health index (assuming α = 1): and Social welfare: and and 7.3 Linear Excise Tax - Scenario 1: Taxing both products The analysis is similar to the analysis of the benchmark case. To determine the equilibrium, we use the new proﬁt functions deﬁned by (19) and (20). Optimal qualities: We also deduce that Conditions ensuring interior solutions are: Equilibrium prices: f 4f(8ta− af− t− 2tf− t 2 2 p + 4 a) i =p i + B 16(a+t) 2 and Given the conditions over t, a and f, we have p f i − p B i > 0, p f j − p B j > 0 and p f j − p B j > p f i − p B i . Demands and Proﬁts: It is easy to check that the line deﬁning indiﬀerent consumers is λ = 1 2 + t (2 x − 1) which is identical to that in the benchmark case. Note that the consumer ( 1 2 , 1 2 ) belongs to this line. Health index Welfare: and 7.4 Linear Excise Tax - Scenario 2: Taxing only product j The analysis of this case leads to much more complex expressions. 15 In order to characterize the properties of the equilibrium as compared to the benchmark, we are going to study the impact of setting a marginal tax. Technically we study ∂X ∂f \| f =0 with X representing any variable at the equilibrium. In this case we can get analytically the expressions of prices at the second stage and optimal qualities. To determine prices at the second stage and optimal qualities, we use the proﬁt functions deﬁned by (6) for ﬁrm i and (20) for ﬁrm j. Optimal qualities: From those expressions, and given the restrictions on parameters (13), that is 1 2 < t < 1; 1 + t < 4a) it is straightforward to show that ∂x fj i ∂f \| f =0 > 0 and ∂x fj j ∂f \| f =0 < 0. Moreover, it is easy to show that ∂x fj j ∂f = 0 for f = 1 2 (3 t − √ t 2 + 8at − 2t). Equilibrium prices Substituting x fj i and x fj j into the second stage optimal prices, we get the equilibrium prices. From which, we compute the partial derivatives. We get It is easy to prove that under (13) ∂p fj i ∂f \| f =0 < 0 and ∂p fj j ∂f \| f =0 > 0 Demands and Proﬁts From above, we deduce the demands and proﬁts and calculate the partial derivative wrt f 15 The Mathematica program is available to the authors upon request. It is easy to prove that under (13) ∂Di fj i ∂f \| f =0 > 0 and thus that ∂Dj fj i ∂f \|f=0 < 0 as the total demand is ﬁxed. We also have ∂ Π fj i ∂f \| f =0 > 0 and ∂Π fj j ∂f \| f =0 < 0 Health index: From the demands and optimal qualities we compute the health index and calculate the partial derivative wrt f Welfare: Using the same method than for the other policy we compute the impact of taxation on SW1 and SW2 and then calculate the partial derivative wrt f
Prüfungsordnung des Fachbereichs 4: Soziale Arbeit und Gesundheit - Health and Social Work der Fachhochschule Frankfurt am Main – University of Applied Sciences für den tätigkeitsbegleitenden Master-Studiengang Beratung und Sozialrecht vom 25. April 2007 Aufgrund des § 50 Abs. 1 Nr. 1 des Hessischen Hochschulgesetzes (HHG) in der Fassung vom 31. Juli 2000 (GVBl. I S. 374), zuletzt geändert durch Gesetz vom 18. 12. 2006 (GVBl. I S. 713), hat der Fachbereichsrat des Fachbereichs 4: Soziale Arbeit und Gesundheit, Health and Social Work der Fachhochschule Frankfurt am Main - University of Applied Sciences am 25. April 2007 die nachstehende Prüfungsordnung für den Master–Studiengang Beratung und Sozialrecht beschlossen. Die Prüfungsordnung entspricht den Allgemeinen Bestimmungen für Prüfungsordnungen mit den Abschlüssen Bachelor und Master an der Fachhochschule Frankfurt am Main University of Applied Sciences (AB Bachelor/ Master) vom 10. November 2004 (Staatsanzeiger für das Land Hessen 2005 S. 519) und ergänzt die Allgemeinen Bestimmungen. Nach § 94 Abs. 4 HHG hat der Präsident der Fachhochschule Frankfurt am Main - University of Applied Sciences die Prüfungsordnung am 17.07.2007 genehmigt. Die Genehmigung ist befristet für die Dauer der Akkreditierung bis zum 30. September 2012. § 1 Regelstudienzeit und Arbeitsbelastung (1) Die Regelstudienzeit beträgt sechs Semester. Die Abschlussarbeit (Master-These) und das Kolloquium zur Master-These sind Bestandteil des sechsten Semesters. (2) Das Studium ist ein modular aufgebautes tätigkeitsbegleitendes Studium. Das Studium ist auf der Basis von Leistungspunkten gemäß dem „European Credit Transfer System (ECTS)" organisiert. (3) Das Studium umfasst insgesamt 765 Lehrveranstaltungsstunden, 75 Stunden kollegiale Gruppenarbeit, 20 Stunden Lehrberatung im Einzelsetting sowie 100 Stunden studienbegleitende Praxis. (4) Die studentische Arbeitsbelastung bis zum Abschluss des Studiums beträgt maximal 3600 Stunden oder 120 ECTS. § 2 Akademischer Grad Nach bestandener Masterprüfung verleiht die Fachhochschule Frankfurt am Main – University of Applied Sciences den akademischen Grad Master of Arts. § 3 Module und ECTS-Punkte (Credits) (1) Der Studiengang umfasst 12 Module. Diese unterteilen sich in 11 Pflichtmodule und 1 Wahlpflichtmodul, das drei Wahlmöglichkeiten eröffnet. (2) Die Modulübersicht und die Modulbeschreibungen sind der Anlage 1 zu entnehmen. Jedem Modul sind in der Modulbeschreibung Leistungspunkte (Credits) zugeordnet. § 4 Zulassungsvoraussetzungen (1) Voraussetzungen für die Zulassung zum Studium sind: a) ein abgeschlossenes Hochschulstudium aus den Bereichen des Gesundheits-, Sozial- oder Pflegewesens mit einer Regelstudienzeit von mindestens sechs Semestern bzw. mit mindestens 180 ECTS-Punkten (Credits). Hochschulabsolventinnen und Hochschulabsolventen aus anderen Bereichen müssen beratungsrelevante Berufserfahrungen von mindestens drei Jahren nachweisen. Der Hochschulabschluss ist nachzuweisen durch ein Zeugnis einer anerkannten Hochschule. b) Nachweis zu selbstreflektorischen Kompetenzen (mindestens 20 Sitzungen erfolgreich durchgeführte Einzelberatung). (2) Die nachzuweisende Eignung für den Studiengang wird von einer Prüfungskommission durch ein Fachgespräch zum Bereich Theorien und Methoden der Beratung sowie zum Bereich Sozialrecht überprüft. Die Dauer des Fachgesprächs darf 30 Minuten nicht unterschreiten und 45 Minuten nicht überschreiten. Ziel der Eignungsprüfung ist es, beraterische Fähigkeiten und sozialrechtliche Kenntnisse festzustellen. Studierende, die Mitglieder des Prüfungsausschusses sind, können bei der Eignungsprüfung anwesend sein. § 5 Prüfungsleistungen Prüfungen sind als Modulprüfungen oder Modulteilprüfungen sowie als Master-These mit Kolloquium zu erbringen. Die zu erbringenden Prüfungsleistungen sind den Modulbeschreibungen nach Anlage 1 zu entnehmen. § 6 Prüfungsdauer (1) Die Dauer der jeweiligen mündlichen Prüfungsleistungen und der Präsentationen ist in den Modulbeschreibungen nach Anlage 1 enthalten. Die Dauer darf je Studierender oder je Studierendem 15 Minuten nicht unterschreiten und 60 Minuten nicht überschreiten. (2) Die Bearbeitungszeit der schriftlichen Prüfungsleistungen in Form von Klausuren und Hausarbeiten ist in den Modulbeschreibungen nach Anlage 1 enthalten. Die Bearbeitungszeit schriftlicher Prüfungsleistungen in Form von Klausuren darf 90 Minuten nicht unterschreiten und 180 Minuten nicht überschreiten. Die Bearbeitungszeit schriftlicher Prüfungsleistungen in Form von Hausarbeiten liegt zwischen sechs und acht Wochen. Nicht bestandene Prüfungsleistungen in Form von Modulprüfungsleistungen Modulteilprüfungsleistungen sind zweimal wiederholbar. § 8 Notenbildung, Gesamtnote, Diploma Supplement (1) Bei der Bildung der Gesamtnote eines Moduls mit mehreren Teilprüfungsleistungen werden die Teilnoten gleich gewichtet. (2) Bei der Bildung der Gesamtnote für die Masterprüfung werden die Einzelnoten der Module entsprechend der jeweiligen Credits gewichtet. Die Note des Moduls „Master-These und MasterKolloquium" geht mit dem doppelten Gewicht der Credits ein. (3) Für die Gesamtnote der Masterprüfung wird zusätzlich ein ECTS-Rang ausgewiesen. (4) Das Diploma Supplement ist der Anlage 2 zu entnehmen. § 9 Master-These und Master-Kolloquium (1) Der Bearbeitungsumfang für die Master-These inklusive des Kolloquiums beträgt 25 ECTS-Punkte (Credits). (2) Die Meldung zur Master-These soll im fünften Semester erfolgen. Der Prüfungsausschuss legt Termine für die Meldung fest. Die Meldung zur Master-These beinhaltet zugleich die Meldung zum Master-Kolloquium. (3) Die Meldung zur Master-These ist schriftlich an die Vorsitzende oder den Vorsitzenden des Prüfungsausschusses zu richten. Bei der Meldung sind vorzulegen: a) der Nachweis, dass die Modulprüfungen der Module 1 bis 8 nach Anlage 1 abgeschlossen sind; b) eine schriftliche Einverständniserklärung der Referentin oder des Referenten und der Koreferentin oder des Koreferenten, dass die Betreuung der Master-These übernommen wird. (4) Aufgrund der eingereichten Unterlagen entscheidet die oder der Vorsitzende des Prüfungsausschusses über die Zulassung zur Master-These. (5) Die Bearbeitungszeit für die Master-These beträgt fünf Monate. Die Bearbeitungszeit kann auf schriftlichen Antrag der Kandidatin oder des Kandidaten aus Gründen, die sie oder er nicht zu vertreten hat, von der oder dem Vorsitzenden des Prüfungsausschusses einmal verlängert werden, höchstens jedoch um zwei Monate. (6) Die Master-These ist fristgerecht im Prüfungsamt des Fachbereichs in zweifacher Ausfertigung und zusätzlich auf einem geeigneten Datenträger einzureichen. Das Abgabedatum wird aktenkundig gemacht. (7) Bei der Abgabe der Master-These hat die Kandidatin oder der Kandidat eine eigenhändig unterschriebene Versicherung abzugeben, dass sie oder er die Arbeit selbständig verfasst und keine anderen als die angegebenen Quellen benutzt hat. (8) Die Master-These wird von zwei Prüferinnen oder Prüfern bewertet. Prüferinnen oder Prüfer sind die Referentin oder der Referent und die Koreferentin oder der Koreferent. Kommt zwischen den beiden Prüferinnen oder Prüfern keine Einigung über die Note zustande, so wird das arithmetische Mittel der Einzelbewertungen gebildet. Das Bewertungsverfahren soll spätestens vier Wochen nach Abgabe der Master-These abgeschlossen sein. Die Bewertung der Master-These wird der Kandidatin oder dem Kandidaten spätestens eine Woche vor dem Kolloquiumstermin bekannt gegeben. (9) In dem Kolloquium zur Master-These soll die Kandidatin oder der Kandidat die Ergebnisse ihrer oder seiner Master-These gegenüber fachlicher Kritik vertreten. Das Kolloquium wird vor einer Prüfungskommission abgelegt, welche aus den beiden Prüferinnen oder Prüfern der Master-These besteht. Die Dauer des Kolloquiums beträgt mindestens 30 Minuten und höchstens 45 Minuten. Die Note für das Kolloquium wird von der Prüfungskommission unmittelbar nach Abschluss des Kolloquiums in Abwesenheit der Kandidatin oder des Kandidaten festgesetzt. Kommt zwischen den beiden Prüferinnen oder Prüfern keine Einigung über die Note zustande, so wird das arithmetische Mittel der Einzelbewertungen gebildet. (10) Das Master-Kolloquium ist in der Regel fachbereichsöffentlich. Soweit die Kandidatin oder der Kandidat bei der Meldung zur Prüfung nicht widersprochen hat, sind bei dem Master-Kolloquium als Zuhörerinnen und Zuhörer die Prüfungsamtsleiterin oder der Prüfungsamtsleiter sowie die Mitglieder des Prüfungsausschusses, andere Professorinnen und Professoren sowie Studierende des Studiengangs zugelassen, jedoch keine Studentinnen und Studenten, die im gleichen Zeitraum zum Kolloquium gemeldet sind. Die Durchführung des Kolloquiums darf durch die Öffentlichkeit nicht beeinträchtigt werden. Die Öffentlichkeit erstreckt sich nicht auf die Beratung und Bekanntgabe des Prüfungsergebnisses an die Kandidatin oder den Kandidaten. (11) Die Endnote des Moduls „Master-These und Master-Kolloquium" berechnet sich zu 4/5 aus der Note der Master-These und zu 1/5 aus dem Ergebnis des Kolloquiums. § 10 In-Kraft-Treten Die Prüfungsordnung tritt am 1. März 2007 zum Sommersemester 2007 in Kraft. Frankfurt am Main, 20. August 2007 Prof. Dr. Fasselt Dekanin des Fachbereichs 4: Soziale Arbeit und Gesundheit, Health and Social Work Modulbeschreibungen zur Prüfungsordnung Modul 1: Diagnostik und Methodenselektion Studiengang Beratung und Sozialrecht (M.A.) \| Studiengang \| Beratung und Sozialrecht (M.A.) \| \|---\|---\| \| Verwendbarkeit \| Masterstudiengang Beratung und Sozialrecht (M.A.) \| \| Dauer \| 2 Semester \| \| Credits \| 10 ECTS \| \| Voraussetzungen für die Teilnahme am Modul \| Keine \| \| Voraussetzungen für die Teilnahme an der Modulprüfung \| Nachweis der Beratungspraxis (40 Stunden) mit schriftlicher Doku- mentation (Bearbeitungszeit 80 Stunden) als Prüfungsvorleistung \| \| Modulprüfung \| Präsentation von Beratungskompetenz (mindestens 15, maximal 30 Minuten) sowie aktives Einbringen in die Präsentationen anderer \| \| Lernergebnis/ Kompetenzen \| • Wissenschaftlich begründete methodische Ansätze der Beratung mit rechtlichen Aspekten verbinden können • Kriterien für selektive Indikationsentscheidungen und Beratungs- strategien unter rechtlichen Perspektiven entwickeln, bewerten und einsetzen können. • Gestaltung von Gruppensituationen und Rückmeldungen • Reflektierte Beteiligung an Gruppenprozessen • Erkennen von Synergie- und Konfliktpotential zwischen rechtli- chen und beraterischen Anforderungen • Ausarbeitung angemessener Falldokumentationen • Berücksichtigung beratungsrechtlicher Rahmenbedingungen \| \| Inhalte \| • Integration der Inhalte der Module 1, 2 und 4 unter Bezug auf die in der kollegialen Beratung und Supervision reflektierte arbeits- feldspezifische Praxis \| \| Lehrformen \| Seminar, praktische Übungen zu den Methoden in Gruppen, Rollen- spiele, Selbststudium, Videofeedback, Übernahme von Aufgaben und Funktionen im Workshop, in der kollegialen Beratung und Supervision \| \| Arbeitsaufwand (h)/ Gesamtworkload \| 300/3600 \| \| Sprache \| Deutsch \| \| Häufigkeit des Angebots \| Jährlich, Beginn im Sommersemester \| \| Modul 5: Settingspezifische Beratung (Einzel-, Dyaden- und Mehrpersonenberatung) \| \| \|---\|---\| \| Studiengang \| Beratung und Sozialrecht (M.A.) \| \| Verwendbarkeit \| Masterstudiengang Beratung und Sozialrecht (M.A.) \| \| Dauer \| 2 Semester \| \| Credits \| 10 ECTS \| \| Voraussetzungen für die Teilnahme am Modu \| Keine \| \| Voraussetzungen für die Teilnahme an der Modulprüfung \| Keine \| \| Modulprüfung \| mündliche Prüfung (mindestens 15, maximal 30 Minuten) \| \| Lernergebnis/ Kompetenzen \| • Selbstreflexionskompetenz • Sicherheit in der Anwendung gelernter Beratungsmethoden in der Einzel-, Dyaden und Mehrpersonenberatung • Reflektierte Entwicklung eines individuellen Beratungsstils • Berücksichtigung methodenspezifischer Evaluationskenntnisse unter arbeitsfeldspezifischen Besonderheiten • Fähigkeit zur Entwicklung eigener Potentiale und Erkennen der eigenen Risikofaktoren • Vertiefte Kenntnis der Beratungsforschungsmethoden \| \| Inhalte \| • Empirische Forschungsergebnisse der Beratungs- und Psycho- therapieforschung • Methoden der Selbstreflexion • Formen der Gesprächsführung verschiedener Beratungsmetho- den in unterschiedlichen Settings • Beratung von Kindern und Jugendlichen • Beratung Erwachsener \| \| Lehrformen \| Vorlesungen, Seminare, Übungen, Selbsteinbringung, Rollenspiele, Supervision, Kurzvorträge zu spezifischen Fragestellungen, Video- feedback, Rückmeldungen anhand aufgezeichneter Beratungspro- zesse, Entwicklung von Dokumentationsformen \| \| Arbeitsaufwand (h)/ Gesamtworkload \| 300/3600 \| \| Sprache \| Deutsch \| \| Häufigkeit des Angebot \| sJährlich, Beginn im Wintersemester \| Modul 7: Integration 2: Evaluation und Forschung \| Studiengang \| Beratung und Sozialrecht (M.A.) \| \|---\|---\| \| Verwendbarkeit \| Masterstudiengang Beratung und Sozialrecht (M.A.) \| \| Dauer \| 2 Semester \| \| Credits \| 10 ECTS \| \| Voraussetzungen für die Teilnahme am Modul \| Keine \| \| Voraussetzungen für die Teilnahme an der Modulprüfung \| Nachweis der Beratungspraxis (40 Stunden) mit schriftlicher Do- kumentation (Bearbeitungszeit 80 Stunden) als Prüfungsvorleistung \| \| Modulprüfung \| Präsentation von Beratungskompetenz (mindestens 15, maximal 30 Minuten) sowie aktives Einbringen in die Präsentationen ande- rer \| \| Lernergebnis/ Kompetenzen \| • Fähigkeit zur reflektierten Anwendung zentraler Inhalte des SGB II, III und XII unter Berücksichtigung der besonderen Dy- namiken unterschiedlicher Beratungssettings • Unterschiedliche Methoden der Beratung mit rechtlichen Aspek- ten theoretisch verbinden und praktisch anwenden können • Kriterien für selektive Indikationsentscheidungen und Bera- tungsstrategien unter rechtlichen Perspektiven entwickeln, be- werten und einsetzen können • Gestaltung von Gruppensituationen und Rückmeldungen • Reflektierte Intervention in Gruppenprozessen • Quantitative und qualitative Forschungsstrategien entwickeln können • Fähigkeit zur wissenschaftliche Bearbeitung rechtlicher Frage- stellungen • Fähigkeit Qualitätssicherungssysteme auswählen und hinsicht- lich ihrer Anwendungsgrenzen beurteilen zu können • Erkennen und professionelle Handhabung eigener Anteile im Beratungsprozess \| \| Inhalte \| • Integration der Inhalte der Module 5 und 6 unter Bezug auf die in der kollegialen Beratung und Supervision reflektierte arbeits- feldspezifische Praxis \| \| Lehrformen \| Seminar, praktische Übungen zu den Methoden in Gruppen, Rol- lenspiele, Selbststudium, Videofeedback, Übernahme von Aufga- ben und Funktionen im Workshop, in der Kollegialen Beratung und Supervision, Lehrberatung im Einzelsetting \| \| Arbeitsaufwand (h)/ Gesamtworkload \| 300/3600 \| \| Sprache \| Deutsch \| \| Häufigkeit des Angebots \| Jährlich, Beginn im Sommersemesters \| \| \| Modul 8: Familien-, Kinder- und Jugendhilferecht \| \| \| \|---\|---\|---\|---\| \| \| Studiengang \| \| Beratung und Sozialrecht (M.A.) \| \| \| Verwendbarkeit \| \| Masterstudiengang Beratung und Sozialrecht (M.A.) \| \| \| Dauer \| \| 1 Semester \| \| \| Credits \| \| 10 ECTS \| \| \| Voraussetzungen für \| Keine; Empfohlen: Module 2 und 5 \| Keine; Empfohlen: Module 2 und 5 \| \| \| die Teilnahme an dem \| \| \| \| \| Modul \| \| \| \| \| Voraussetzungen für \| Keine \| \| \| \| die Teilnahme an der \| \| \| \| \| Modulprüfung \| \| \| \| \| Modulprüfung \| \| Klausur (90 Minuten) \| \| Lernergebnis/ Kompetenzen \| Lernergebnis/ \| • Erkennen der Zusammenhänge und Schnittstellen zwischen dem Familienrecht und dem Kinder- und Jugendhilferecht • Fähigkeit in komplexen, multikausalen familiären Krisen rechtli- che Optionen abzuwägen und praxisorientierte Lösungen zu erarbeiten \| • Erkennen der Zusammenhänge und Schnittstellen zwischen \| \| \| Kompetenzen \| \| dem Familienrecht und dem Kinder- und Jugendhilferecht \| \| \| \| \| • Fähigkeit in komplexen, multikausalen familiären Krisen rechtli- \| \| \| \| \| che Optionen abzuwägen und praxisorientierte Lösungen zu \| \| \| \| \| erarbeiten \| \| Inhalte \| \| • Scheidungs- und Scheidungsfolgenrecht, insbesondere Unter- halt nach der Scheidung; Lebenspartnerschaftsgesetz; rechtli- che Problemstellungen aus dem Bereich der nichtehelichen Lebensgemeinschaften • Rechtliches Verhältnis von Sorgeberechtigten zu ihren Kindern, insbesondere Personensorge und Umgangsrechte; Kinder nach Trennung und Scheidung; zivil- und jugendhilferechtlicher Kinderschutz; Rechtsansprüche auf Beratung im Kinder- und Jugendhilferecht; Leistungen der Jugendhilfe, Hilfeplanverfah- ren \| \| \| \| Lehrformen \| \| Seminar \| \| \| Arbeitsaufwand (h)/ \| 300/3600 \| 300/3600 \| \| \| Gesamtworkload \| \| \| \| \| Sprache \| \| Deutsch \| \| \| Häufigkeit des Ange- \| Jährlich, im Wintersemester \| Jährlich, im Wintersemester \| \| \| bots \| \| \| \| Wahlpflicht-Modul 9a: Beratung von Gruppen und Organisationen \| \| \|---\|---\| \| Studiengang \| Beratung und Sozialrecht (M.A.) \| \| Verwendbarkeit \| Masterstudiengang Beratung und Sozialrecht (M.A.) \| \| Dauer \| 2 Semester \| \| Credits \| 10 \| \| Voraussetzungen für die Teilnahme am Modul \| Keine; Empfohlen: Modul 1 und 5 \| \| Voraussetzungen für die Teilnahme an der Modulprüfung \| Keine \| \| Modulprüfung \| Schriftliche Hausarbeit (Bearbeitungszeit 6 Wochen) \| \| Lernergebnis/ Kompetenzen \| • Fähigkeit zur Auswahl und Anwendung diagnostischer und interventiver Methoden in der Beratung von Gruppen und in Organisationen • Fähigkeit zur Gestaltung von Beratungsbeziehungen im Ar- beitskontext (Coaching und Supervision) \| \| Inhalte \| • Organisationstheorien • Konfliktmoderation und Krisenmanagement • Coaching • Supervision • Organisationsentwicklung • Externe Beratungsformen • Gruppen und Systemdynamiken • Mediationsfunktionen in Systemen übernehmen • Forschungsergebnisse zu Supervision und Coaching • Kontraktgestaltung \| \| Lehrformen \| Seminar, praktische Übungen problemspezifischer Methoden in Gruppen, Rollenspiele, Selbststudium, Videofeedback \| \| Arbeitsaufwand (h)/ Gesamtworkload \| 300/3600 \| \| Sprache \| Deutsch \| \| Häufigkeit des Angebots \| Jährlich, Beginn im Wintersemester \| \| Studiengang \| Beratung und Sozialrecht (M.A.) \| \|---\|---\| \| Verwendbarkeit \| Masterstudiengang Beratung und Sozialrecht (M.A.) \| \| Dauer \| 2 Semester \| \| Credits \| 10 ECTS \| \| Voraussetzungen für die Teilnahme am Modu \| Keine; Empfohlen: Modul 1, 5 und 8 \| \| Voraussetzungen für die Teilnahme an der Modulprüfung \| Keine \| \| Modulprüfung \| Schriftliche Hausarbeit (Bearbeitungszeit 6 Wochen) \| \| Lernergebnis/ Kompetenzen \| • Fähigkeit zur Auswahl und Anwendung diagnostischer Verfah- ren und zum gezielten Einsatz interventiver Methoden in der Beratung von Kinder sowie deren Familien • Fähigkeit zur Einzelberatung von Kindern unterschiedlicher Alterstufen \| \| Inhalte \| • Familien- und Paargespräche • Paar- und Familiendiagnostik • Konfliktmoderation und Krisenmanagement • Mediationsfunktionen in Familien übernehmen • Stützende und präventive Begleitung von Sorgeberechtigten und ihren Kindern, insbesondere bei Umgang und Personen- sorge bei Kindern nach Trennung und Scheidung • Forschungsergebnisse zu Trennung, Scheidung, Sorge- und Umgangsrecht • Traumatisierung bei Kindern • nonverbale Interventionsformen \| \| Lehrformen \| Seminar, praktische Übungen problemspezifischer Methoden in Gruppen, Rollenspiele, Selbststudium, Videofeedback \| \| Arbeitsaufwand (h)/ Gesamtworkload \| 300/3600 \| \| Sprache \| Deutsch \| \| Häufigkeit des Angebot \| sJährlich, Beginn im Wintersemester \| Modul 10: Integration 3: Spezifische Praxisfelder \| Studiengang \| \| \|---\|---\| \| Verwendbarkeit \| \| \| Dauer \| \| \| Credits \| \| \| Voraussetzungen für die Teilnahme an dem Modul \| \| \| Voraussetzungen für die Teilnahme an der Modulprüfung \| \| \| Modulprüfung \| \| \| Lernergebnis/ Kompetenzen \| \| \| Inhalte \| \| \| Lehrformen \| Seminar, Kleingruppenarbeit, Gruppendiskussion \| \| Arbeitsaufwand (h)/ Gesamtworkload \| 150/3600 \| \| Sprache \| Deutsch \| \| Häufigkeit des Angebots \| Halbjährlich jedes Semester \| \| Modul 12: Master-These und Master-Kolloquium \| \| \|---\|---\| \| Studiengang \| Beratung und Sozialrecht (M.A.) \| \| Verwendbarkeit \| Masterstudiengang Beratung und Sozialrecht (M.A.) \| \| Dauer \| 1 Semester \| \| Credits \| 25 ECTS \| \| Voraussetzungen für die Teilnahme am Modul \| Keine \| \| Voraussetzungen für die Teilnahme an der Modulprüfung \| Erfolgreicher Abschluss der Module 1 bis 8 \| \| Modulprüfung \| Master-These (Bearbeitungszeit fünf Monate) Kolloquium zur Master-These (mindestens 30, maximal 45 Minuten) \| \| Lernergebnis/ Kompetenzen \| • Fähigkeit innerhalb einer vorgegebenen Frist eine Fragestellung selbständig mit wissenschaftlichen Erkenntnissen und For- schungsmethoden zu bearbeiten • Fähigkeit ein Problem aus dem Bereich der Beratung – Counse- ling – sowohl unter rechtlichen als auch unter psychosozialen As- pekten selbständig theoretisch zu fundieren und mit einer fachge- rechten Auswahl von wissenschaftlichen Beratungsmethoden zu verbinden sowie einen Beitrag zu Weiterentwicklung oder/und kri- tischen Reflexion der Integration von Beratung und Recht leisten \| \| Inhalte \| Alle Inhalte der Rechts- und Beratungsmodule des Studiengangs so- wie alle relevanten Praxisbereiche, in denen die Inhalte des Studien- gangs bedeutsam sind, wobei eine Verbindung beider Bereiche the- matischer Schwerpunkt der Master-These ist \| \| Lehrformen \| Eigenständige Ausarbeitung der Master-These unter Betreuung (je- weils ein Betreuer aus dem Bereich Beratung sowie Recht) \| \| Arbeitsaufwand (h)/ Gesamtworkload \| 750/3600 \| \| Sprache \| Deutsch \| \| Häufigkeit des Angebots \| Halbjährlich, jedes Semester \| Diploma Supplement This Diploma Supplement follows the model developed by the European Commission, Council of Europe and UNESCO/CEPES. The purpose of the supplement is to provide sufficient independent data to improve the international „transparency" and fair academic and professional recognition of qualifications (diploma, degrees, certificates, etc.) . It is designed to provide a description of the nature, level, context, content and status of the studies that were pursued and successfully completed by the individual named on the original qualification to which this supplement is appended. It should be free of any value judgements, equivalence statements or suggestions about recognition. Information in all sections should be provided. Where information is not provided, an explanation should give the reason why. 1. HOLDER OF THE B.A. Degree ``` 1.1 Family Name / 1.2 First Name 1.3 Date, Place, Country of Birth 1.4 Student ID Number or Code ``` 2. QUALIFICATION 2.1 Name of Qualification / Title Conferred(full, abbreviated; in original language) Master of Arts (M.A.) 2.2 Main Field(s) of Study Counseling and Social Law 2.3 Institution conferring the Qualification(in original language) Fachhochschule Frankfurt am Main - University of Applied Sciences, Department of Social Work and Health Status (Type / Control) University of Applied Science / State Institution 2.4 Institution Administering Studies(in original language) (same) Status (Type / Control) (same) 2.5 Language(s) of Instruction/Examination German 3. LEVEL OF THE QUALIFICATION 3.1 Level Second degree (3 years) by research with thesis 3.2 Official Length of Programm 120 ECTS, 3 years part-time 3.3 Access Requirements First degree (bachelor or equivalent) in any program that is relevant for professional activities including counseling in any form. Intake oral examination in Counseling and social law and 20 sessions in counseling. 4. CONTENTS AND RESULTS GAINED 4.1 Mode of Study Part-time 4.2 Programme Requirements / Qualification Profile of the Graduate The Master program Counseling and Social law leads to a Master of Arts (M.A.). In this program the student learns to combine counseling knowledge and intervention skills with social law knowledge. The course provides a skill oriented approach based on a differential combination of methods in counseling. The methods can be transferred and applied to individual, couple, family, and group settings. The graduates are able to apply theoretical and practical knowledge in counseling and law to solve legal, psychological, and social problems in various work settings. Furthermore the student develops a critical approach to reflect his personal stile of counseling and the limits of his abilities. During the Master program the student obtains fundamental knowledge and specific skills in: * Understanding explicit and underlying rational in social law * Analyze and customize social support to individual cases * Use empirically based methods to asses counseling effects * Participate and cooperate with courts * Intervention techniques to mediate conflicts * Design evaluation processes and use information technology * Work goal oriented in teams and institutions * Empirical and qualitative research to solve scientific questions adequately * Concept and project development in social organizations * Scientific skills to participate in doctoral programs The special integration module enables the student to identify synergetic and dysfunctional effects induced by the integration of law and counseling. 4.3 Programme details See "Transcript of records" for list of courses and grades, and "Prüfungszeugnis" (Final Examination Certificate) for subjects offered in final examinations (written and oral), and topic of thesis, including evaluations 4.4 Grading Scheme General grading scheme cf. Sec. 8.6 - In addition the ECTS grading scheme is used which operates with the levels A (best 10%), B (next 25%), C (next 30%), D (next 25%), E (next 10%). 4.5 Overall Classification (in original language) Gesamtnote Based on the accumulation of grades received during the study program and the final master thesis. cf. Prüfungszeugnis (Final Examination Certificate) 5. FUNCTION OF THE QUALIFICATION 5.1 Access to Further Studies Qualifies to apply for admission for doctoral program The professional skills qualify for a variety of professional fields in private practice and positions in social organizations, especially in counseling centers working with a wide range of clients 6. ADDITIONAL INFORMATION 6.1 Additional Information Experiences in counseling are recommended. One hundred hours of individually conducted counseling sessions in different counseling settings are enforced to transfer the basic counseling methods into practice. 6.2 Further information sources On the institution: www.fh-frankfurt.de On the programme: www.fb4.fh-frankfurt.de Hessisches Ministerium für Wissenschaft und Kunst (State Ministry), www.hmwk.hessen.de, Rheinstraße 23-25, D-65185 Wiesbaden For national information see Sect. 8.8 7. CERTIFICATION This Diploma Supplement refers to the following documents: - Urkunde über die Verleihung des Master-Grades vom (DATE) - Prüfungszeugnis vom (DATE) - Transcript of Records vom (DATE) Certification Date: ______________________________ Chairperson, Examination Committee (Official Stamp/ seal) 8. NATIONAL HIGHER EDUCATION SYSTEM The information on the national higher education system on the following pages provides a context for the qualification and the type of higher education that awarded it. 8. INFORMATION ON THE GERMAN HIGHER EDUCATION SYSTEM 7 8.1 Types of Institutions and Institutional Status Higher education (HE) studies in Germany are offered at three types of Higher Education Institutions (HEI). 8 - Universitäten (Universities) including various specialized institutions, offer the whole range of academic disciplines. In the German tradition, universities focus in particular on basic research so that advanced stages of study have mainly theoretical orientation and researchoriented components. - Fachhochschulen (Universities of Applied Sciences) concentrate their study programmes in engineering and other technical disciplines, business-related studies, social work, and design areas. The common mission of applied research and development implies a distinct application-oriented focus and professional character of studies, which include integrated and supervised work assignments in industry, enterprises or other relevant institutions. - Kunst- und Musikhochschulen (Universities of Art/Music) offer studies for artistic careers in fine arts, performing arts and music; in such fields as directing, production, writing in theatre, film, and other media; and in a variety of design areas, architecture, media and communication. Higher Education Institutions are either state or state-recognized institutions. In their operations, including the organization of studies and the designation and award of degrees, they are both subject to higher education legislation. 8.2 Types of Programmes and Degrees Awarded Studies in all three types of institutions have traditionally been offered in integrated "long" (one-tier) programmes leading to Diplom- or Magister Artium degrees or completed by a Staatsprüfung (State Examination). Within the framework of the Bologna-Process one-tier study programmes are successively being replaced by a two-tier study system. Since 1998, a scheme of first- and second-level degree programmes (Bachelor and Master) was introduced to be offered parallel to or instead of integrated "long" programmes. These programmes are designed to provide enlarged variety and flexibility to students in planning and pursuing educational objectives, they also enhance international compatibility of studies. For details cf. Sec. 8.4.1, 8.4.2, and 8.4.3 respectively. Table 1 provides a synoptic summary. 8.3 Approval/Accreditation of Programmes and Degrees To ensure quality and comparability of qualifications, the organization of studies and general degree requirements have to conform to principles and regulations established by the Standing Conference of the Ministers of Education and Cultural Affairs of the Länder in the Federal Republic of Germany (KMK). 9 In 1999, a system of accreditation for programmes of study has become operational under the control of an Accreditation Council at national level. All new programmes have to be accredited under this scheme; after a successful accreditation they receive the quality-label of the Accreditation Council. 10 Table 1: Institutions, Programmes and Degrees in German Higher Education 8.4 Organization and Structure of Studies The following programmes apply to all three types of institutions. Bachelor's and Master's study courses may be studied consecutively, at various higher education institutions, at different types of higher education institutions and with phases of professional work between the first and the second qualification. The organization of the study programmes makes use of modular components and of the European Credit Transfer and Accumulation System (ECTS) with 30 credits corresponding to one semester. 8.4.1 Bachelor Bachelor degree study programmes lay the academic foundations, provide methodological skills and lead to qualifications related to the professional field. The Bachelor degree is awarded after 3 to 4 years. The Bachelor degree programme includes a thesis requirement. Study courses leading to the Bachelor degree must be accredited according to the Law establishing a Foundation for the Accreditation of Study Programmes in Germany.xi First degree programmes (Bachelor) lead to Bachelor of Arts (B.A.), Bachelor of Science (B.Sc.), Bachelor of Engineering (B.Eng.), Bachelor of Laws (LL.B.), Bachelor of Fine Arts (B.F.A.) or Bachelor of Music (B.Mus.). 8.4.2 Master Master is the second degree after another 1 to 2 years. Master study programmes must be differentiated by the profile types "more practiceoriented" and "more research-oriented". Higher Education Institutions define the profile of each Master study programme. The Master degree study programme includes a thesis requirement. Study programmes leading to the Master degree must be accredited according to the Law establishing a Foundation for the Accreditation of Study Programmes in Germany.xii Second degree programmes (Master) lead to Master of Arts (M.A.), Master of Science (M.Sc.), Master of Engineering (M.Eng.), Master of Laws (L.L.M), Master of Fine Arts (M.F.A.) or Master of Music (M.Mus.). Master study programmes, which are designed for continuing education or which do not build on the preceding Bachelor study programmes in terms of their content, may carry other designations (e.g. MBA). 8.4.3 Integrated "Long" Programmes (One-Tier): Diplom degrees, Magister Artium, Staatsprüfung An integrated study programme is either mono-disciplinary (Diplom degrees, most programmes completed by a Staatsprüfung) or comprises a combination of either two major or one major and two minor fields (Magister Artium). The first stage (1.5 to 2 years) focuses on broad orientations and foundations of the field(s) of study. An Intermediate Examination (DiplomVorprüfung for Diplom degrees; Zwischenprüfung or credit requirements for the Magister Artium) is prerequisite to enter the second stage of advanced studies and specializations. Degree requirements include submission of a thesis (up to 6 months duration) and comprehensive final written and oral examinations. Similar regulations apply to studies leading to a Staatsprüfung. The level of qualification is equivalent to the Master level. - Integrated studies at Universitäten (U) last 4 to 5 years (Diplom degree, Magister Artium) or 3 to 6.5 years (Staatsprüfung). The Diplom degree is awarded in engineering disciplines, the natural sciences as well as economics and business. In the humanities, the corresponding degree is usually the Magister Artium (M.A.). In the social sciences, the practice varies as a matter of institutional traditions. Studies preparing for the legal, medical, pharmaceutical and teaching professions are completed by a Staatsprüfung. The three qualifications (Diplom, Magister Artium and Staatsprüfung) are academically equivalent. They qualify to apply for admission to doctoral studies. Further prerequisites for admission may be defined by the Higher Education Institution, cf. Sec. 8.5. - Integrated studies at Fachhochschulen (FH)/Universities of Applied Sciences (UAS) last 4 years and lead to a Diplom (FH) degree. While the FH/UAS are non-doctorate granting institutions, qualified graduates may apply for admission to doctoral studies at doctorate-granting institutions, cf. Sec. 8.5. - Studies at Kunst- and Musikhochschulen (Universities of Art/Music etc.) are more diverse in their organization, depending on the field and individual objectives. In addition to Diplom/Magister degrees, the integrated study programme awards include Certificates and certified examinations for specialized areas and professional purposes. 8.5 Doctorate Universities as well as specialized institutions of university standing and some Universities of Art/Music are doctorate-granting institutions. Formal 1 See note No. 4. prerequisite for admission to doctoral work is a qualified Master (UAS and U), a Magister degree, a Diplom, a Staatsprüfung, or a foreign equivalent. Particularly qualified holders of a Bachelor or a Diplom (FH) degree may also be admitted to doctoral studies without acquisition of a further degree by means of a procedure to determine their aptitude. The universities respectively the doctorate-granting institutions regulate entry to a doctorate as well as the structure of the procedure to determine aptitude. Admission further requires the acceptance of the Dissertation research project by a professor as a supervisor. 8.6 Grading Scheme The grading scheme in Germany usually comprises five levels (with numerical equivalents; intermediate grades may be given): "Sehr Gut" (1) = Very Good; "Gut" (2) = Good; "Befriedigend" (3) = Satisfactory; "Ausreichend" (4) = Sufficient; "Nicht ausreichend" (5) = Non-Sufficient/Fail. The minimum passing grade is "Ausreichend" (4). Verbal designations of grades may vary in some cases and for doctoral degrees. In addition institutions may already use the ECTS grading scheme, which operates with the levels A (best 10 %), B (next 25 %), C (next 30 %), D (next 25 %), and E (next 10 %). 8.7 Access to Higher Education The General Higher Education Entrance Qualification (Allgemeine Hochschulreife, Abitur) after 12 to 13 years of schooling allows for admission to all higher educational studies. Specialized variants (Fachgebundende Hochschulreife) allow for admission to particular disciplines. Access to Fachhochschulen (UAS) is also possible with a Fachhochschulreife, which can usually be acquired after 12 years of schooling. Admission to Universities of Art/Music may be based on other or require additional evidence demonstrating individual aptitude. Higher Education Institutions may in certain cases apply additional admission procedures. 8.8 National Sources of Information - Kultusministerkonferenz (KMK) [Standing Conference of the Ministers of Education and Cultural Affairs of the Länder in the Federal Republic of Germany]; Lennéstrasse 6, D-53113 Bonn; Fax: +49[0]228/501229; Phone: +49[0]228/501-0 - Central Office for Foreign Education (ZaB) as German NARIC; www.kmk.org; E-Mail: email@example.com - "Documentation and Educational Information Service" as German EURYDICE-Unit, providing the national dossier on the education system (www.kmk.org/doku/bildungswesen.htm; E-Mail: firstname.lastname@example.org) - Hochschulrektorenkonferenz (HRK) [German Rectors' Conference]; Ahrstrasse 39, D-53175 Bonn; Fax: +49[0]228/887-110; Phone: +49[0]228/887-0; www.hrk.de; E-Mail: email@example.com - "Higher Education Compass" of the German Rectors' Conference features comprehensive information on institutions, programmes of study, etc. (www.higher-education-compass.de) 1 The information covers only aspects directly relevant to purposes of the Diploma Supplement. All information as of 1 July 2005. 1 Common structural guidelines of the Länder as set out in Article 9 Clause 2 of the Framework Act for Higher Education (HRG) for the accreditation of Bachelor's and Master's study courses (Resolution of the Standing Conference of the Ministers of Education and Cultural Affairs of the Länder in the Federal Republic of Germany of 10.10. 2003, as amended on 21.4.2005). 1 Berufsakademien are not considered as Higher Education Institutions, they only exist in some of the Länder. They offer educational programmes in close cooperation with private companies. Students receive a formal degree and carry out an apprenticeship at the company. Some Berufsakademien offer Bachelor courses which are recognized as an academic degree if they are accredited by a German accreditation agency. 1 "Law establishing a Foundation 'Foundation for the Accreditation of Study Programmes in Germany'", entered into force as from 26.2.2005, GV. NRW. 2005, nr. 5, p. 45 in connection with the Declaration of the Länder to the Foundation "Foundation: Foundation for the Accreditation of Study Programmes in Germany" (Resolution of the Standing Conference of the Ministers of Education and Cultural Affairs of the Länder in the Federal Republic of Germany of 16.12.2004. 1 See note No. 4.
Prevent Policy Terminology Purpose Prevent is a key strand of the Government's Counter-Terrorism strategy 'CONTEST' it's main objective is to stop people becoming terrorists or supporting terrorism. Early intervention is critical to this strategy in diverting people away from being drawn into terrorist activity. Prevent is also about recognising, supporting and protecting people who might be susceptible to radicalisation. The Prevent Duty Objectives are… - Ideology: Respond to the challenge of terrorism and the threat we face from those who promote it. - Individuals: Prevent people from being drawn into terrorism and ensure that they are given advice and support. - Institution: Works with sectors and centres where there are risks of radicalisation, which are needed to be addressed. The current threat from terrorism and extremism in the United Kingdom is real; it can involve the exploitation of vulnerable people, including children and Young people. Consortia Training Ltd and all subcontracting staff must have an awareness of the Prevent agenda and the various forms of radicalisation and terrorism. Staff must also be able to recognise signs and indictors or concerns and respond appropriately. The Government defines the terms Radicalisation and Extremism as follows… - Radicalisation: Defined as the process by which people come to support terrorism and extremism; in some cases to then participate in terrorist groups. - Extremism: Defined as vocal or active opposition to fundamental British values, including democracy, the rule of law, individual liberty and mutual respect and tolerance of difference faiths and beliefs. Also included within this definition of extremism are calls for the death of members of the British Armed Forces, whether in the UK or overseas. The Channel Programme forms part of the Prevent Duty and was established to focus on providing support at an early stage to people who are identified as being vulnerable to being drawn into terrorism. The programme uses a multi-agency approach to protect vulnerable people by… - Identifying individuals at risk - Assessing the nature and extent of the risk - Developing the most appropriate support plan for the individual concerned. Scope of Policy Vulnerability/Risk Indicators The following lists are not exhaustive and all or none may be present in individual cases of concern. Staff must be aware that those involved in extremism may come from a variety of backgrounds and that there are no 'typical' extremist risk indicators. It is believed that a complex relationship between the various aspects of an individual's identity determines their vulnerability to extremism. The following identifying factors may suggest a person or their family may be vulnerable or involved with extremism. Please note that these factors may extend to others in connection to Consortia Training Ltd, such as partners, employers, visiting agencies/professionals and awareness must be applied to all situations including guest speakers or where space is rented out to external persons or groups. Vulnerability Factors - Identity Crisis: Distance from cultural/religious heritage and uncomfortable with own pace and position in society. - Personal Crisis: Migration, local community tensions, events effecting countries or region of origin, alienation from UK values, having a sense of grievance that is triggered by personal experience of racism or discrimination or aspects of Government Policy. - Unmet aspirations: Perceptions of injustice, feeling of failure, rejection of civic life. - Criminality: Experiences of imprisonment, poor resettlement or reintegration, previous involvement with criminal groups. Access to Extremist Groups - Reason to believe that the person associates with those known to be involved in extremism. - Possession or distribution of extremist literature/other media material likely to entice racial/religious hatred or acts of violence. - Use of closed network groups via electronic media for the purpose of extremist activity. Experiences, Behaviour and Influences - Use of the terms 'Them' and 'us' separating self from British Values and Law. - Experience of peer, social, family or faith group rejection. - International events in areas of conflict and civil unrest had a personal impact on the young person resulting in a noticeable change in behaviours. - Verbal or written support for terrorist attacks. - Extended periods of travel to international locations known to be associated with extremism. - First-hand experience of racial or religious hate crime. - Evidence of fraudulent identity/use of documents to support this. - Experience of disadvantage, discrimination or social exclusion. - History of criminal activity. - Pending a decision on immigration/national status. More Critical Risk Factors - Being in contact with extremist recruiters. - Articulating support for extremist causes or leaders. - Justifying the use of violence to solve social issues. - Accessing extremist websites, especially those with a social network element. - Joining extremist organisations. - Experience leading to capability to cause harm. - Significant change in appearance/behaviour. The prevent Duty calls for a review of Policy and Procedures within organisations.. Safeguarding -ensuring the safety and wellbeing of all learners, staff, partners' etc. and minimising risk of radicalisation and terrorist behaviours. Equality of opportunity - ensuring freedom of speech whilst supporting learners to act on this in a non-extremist way and encourage learners to respect other people with particular regard to protected characteristics set out in the Equality Act 2010. Data Protection - procedures both internally and externally in relation to the sharing of information regarding vulnerable people. IT Policy -highlights the use of filtering systems regarding restricting access to harmful content on the internet/social media. Persons involved The directors, funded organisations and all the Consortia Training funded personnel have a "Duty of Care" for learners. "It will be the responsibility of all Consortia Training funded personnel to do what is reasonable to safeguard the learner's health, development and welfare." Consortia Training Directors Consortia Training directors have the overall responsibility together with its funded organisations for ensuring that Consortia Training funded personnel are suitable and adequately trained to work with learners and ensure the learners' welfare and safety is at the heart of the organisation. Directors will ensure that there are, in place appropriate procedures to Safeguard and promote the ethos of this policy to Consortia funded learners and that all staff have a good understanding of Consortia Training's and their own responsibilities in relation to the PREVENT Duty. Consortia Training Directors will ensure that robust procedures are in place to ensure that subcontracting does not lead to the inadvertent funding of extremist organisations. Consortia Training & Subcontractor Safeguarding Designated Persons Have responsibility for ensuring that all Consortia Training funded personnel are trained and aware of the requirements of the Prevent Policy. The Safeguarding Designated Person/s will deal with all reports or concerns in relation to the Prevent policy and deal with reporting. Consortia Training Funded Personnel Will promote British Values and laws at all times and report any concerns to the safeguarding designated persons in relation of terrorism or radicalised risk indicators. British Values Consortia Training Ltd and all associated staff are to actively promote British Values and in turn the Spiritual, moral, social and cultural (SMSC) development of all learners in all areas of their programme. Staff must challenge any opinion or behaviour of learners or others that is opposed to the values stated below: - Democracy - The rule of Law - Individual Liberty - Mutual respect for and tolerance of those with faiths and beliefs and for those without a faith. Time-scale There is no specific timescale to this policy. However, all Consortia Training funded personnel should be aware that responding to concerns in relation to the Prevent Policy should be immediate (no matter what time or day). Related Documentation Promoting Fundamental British Values as Part of SMSO in Schools. Nov 2014 PREVENT Duty Guidance; For Further Education Institutions in England & Wales. 2015 Counter Extremism; HM Government 2015. Training and Induction to the Policy All Staff working for a Consortia Training Subcontractor must undertake appropriate training and development regarding the Prevent Policy. This will allow staff to exemplify British Values in their management, teaching and through general behaviours in each subcontractor setting and through planned curriculum. Staff must have an understanding of the factors that make people vulnerable to being drawn into terrorism and to challenge extremist ideas, which are used by terrorist groups and to purport to legitimise terrorist activity. Such staff must also be able to recognise this vulnerability and be aware of what actions to take in response. This will include when to make a referral to the Channel programme and where to seek additional advice and support. Only staff who have this awareness should discuss the subject within sessions or at other times; they must remain objective at all times and support and promote British values and Law. Staff must guide all learners to also understand the issues regarding extremism and radicalisation and to have the confidence to inform relevant members of staff if they have any concerns concerning a peer, member of staff, employer or other partner. All staff working for Consortia Training Ltd partners must complete a Channel General Awareness Training Module one can be found using the following link http://course.ncalt.com/Channel_General_Awareness/01/index.html . Once successfully completed copies of the certificate are to be filed in individual CDP files and with the Lead Director for Safeguarding and Prevent. Further information, Policy, guidance and resources can be found on the Prevent for Further Education and Training Website http://www.preventforfeandtraining.org.uk/ JISC facilitate Workshops to Raise Awareness of Prevent (WRAP). See useful contacts. Consortia Training Funded Organisations Personnel All personnel will receive an Induction which will include the Prevent Policy and ensure they have access to a copy of the Consortia Training Prevent Policy. Further training needs will be assessed on a continued basis, at their annual Personnel Appraisal in line with Quality Assurance Procedures and Personnel Appraisal Policy They will be asked to sign a declaration to register their understanding and agreement with this policy. Learners All learners will receive an Induction which will include in a "user friendly" manner the Prevent policy, raising learner awareness. They will also be informed where a copy of the full policy can be accessed. They will be asked to sign a declaration to register their understanding and agreement with this policy. Partner Organisations Partner organisations, e.g. employers, involved in the recruitment of learners, delivery of training or assessment, or supporting these processes, will receive information on the Prevent Policy and they will be asked to sign a declaration to register their understanding and agreement with this policy. Procedure Risk Assessment Each centre must carry out a risk assessment which assesses where and how learners/ staff and /or others may be at risk of being drawn into terrorism. The risk assessment, in partnership with this Policy/Guidance will help Consortia Training Ltd satisfy itself that it is able to maintain safety and security of its staff/learners/others. The risk assessment must cover all Consortia Training's Policies and Procedures regarding the individual subcontractor establishments and the management of learner and staff welfare. Consideration must also be given to the risk assessment of any visiting partners/organisations and events taking place within the setting including where space is rented out to external groups/individuals. ICT equipment and the use of it must be risk assessed for any potential access to harmful content over the internet or social media. JISC provide specialist support and advice to the FE sector regarding internet safety. Referral and intervention process Any identified concerns as a result of observed behaviour or reports of conversations to suggest that a person is in support of terrorism and/or extremism, must be initially reported to the designated Safeguarding/Prevent Person for the Consortia Training Subcontracting Centre as soon as possible, but no later than the end of the day. This concern must then be passed to the Designated Director for Safeguarding/Prevent who is Sylvia Lilley of The Bassetlaw Training Agency. Where a young person is thought to be in need/at risk of significant harm, and/or where an investigation needs to be carried out in relation to extremism/radicalisation, a referral to Children's Social Services should be made in line with Consortia Training Safeguarding Policy. In all cases of potential or suspected extremism/radicalisation the lead Director for Safeguarding/Prevent Duty will notify the BIS Prevent coordinator as well as the SFA/EFA and the Channel Police Practitioner. Following this a Prevent Action Plan will be developed to set out actions to be taken to mitigate any risks. An objective record of the concerns must be written and passed to the relevant Channel personnel. In the event of an online incident occurring where a learner/staff member/other may have accessed harmful material, the Joint Information Systems Committee (JISC) has a Security Incident Response Team who can provide assistance. Channel are key element of the Prevent Strategy; a process for safeguarding individuals by assessing their vulnerability to being drawn into terrorism. They aim to provide early intervention to protect and divert people away from the risk they may face of being drawn into any terrorist related activity. Channel Police practitioners complete preliminary assessments to look at how engaged a person is, their intentions and capability of carrying out acts of terrorism. Channel Multi-agency Panel uses existing collaborations between local authorities, police, voluntary sector and the local community (if suitable) for support. A support package and interventions will be put in place. Useful Contact Information Nottinghamshire email@example.com or phone 101 Derbyshire 101 Lincolnshire firstname.lastname@example.org or phone 101 Generic Anti Terrorism hotline 0800789321 JISC 02030066077 www.preventtragedies.co.uk www.pnct.gsc.gov.uk email@example.com East Midlands BIS Prevent Coordinator: Sam Slack firstname.lastname@example.org Tel: 01332643054 Safeguarding During the production of this policy, the safeguarding of learners, personnel and other partners in relation to their safety, health, achievement, enjoyment, contribution and wellbeing was considered to be of paramount importance. It is the aim of Consortia Training to ensure no individual or organisation's welfare will be unfairly disadvantaged due to the implementation of this policy. Equality and Diversity The Prevent Duty has been developed to safeguard learners, staff and others and to keep them safe and within the law. All staff must not prevent learners from having their own views regarding politics, religion or beliefs; however we must support people to not express or act on these in a radical or extremist manner. Monitoring, Review and Evaluation Monitoring of Process and Information The process of monitoring will build on the process of listen, consult and learn from actions and experiences of all involved and focus on improvement from the information obtained. Monitoring of Documentation and Policy The Consortia Training Quality Improvement Team will review this policy and documentation bi-annually. Updates and communications will be notified to employers of all relevant reviews and any specific outcomes from the reviews (where appropriate). The updated policy will be submitted to the Consortia Training Directors for approval/ratification. The completed policy will then be displayed / available for anyone to access. Where possible it will also be available to access through the company VLE. Grievances or Complaints in Relation to the Prevent Policy Personnel, learners or employers have the right to lodge a complaint or grievance about any of the areas covered under the Prevent Policy Personnel who are not satisfied with the action taken by Consortia Training and feels it right to question the matter further, s/he may consider the following possible contact points: Channel Police Practitioner Skills Funding Agency Children’s Safeguarding Board The Employee's Trade Union The Citizens Advice Bureau and / or Law Centre / Firm Relevant Professional Bodies Or Regulatory Organisations A Relevant Voluntary Organisation The Police Ofsted Approved by the Directors of Consortia Training on 15th September 2015 Signed: S. Bamford Signed: G. Daniels Signed: G. Iannantuoni Signed: S. Lilley
The Ubiquitin Ligase TRAIP: Double-Edged Sword at the Replisome R. Alex Wu, 1 David S. Pellman, 2,3,4 and Johannes C. Walter 1,4,5, * In preparation for cell division, the genome must be copied with high ﬁdelity. However, replisomes often encounter obstacles, including bulky DNA lesions caused by reactive metabolites and chemotherapeutics, as well as stable nucleoprotein complexes. Here, we discuss recent advances in our understanding of TRAIP, a replisome-associated E3 ubiquitin ligase that is mutated in microcephalic primordial dwarﬁsm. In interphase, TRAIP helps replisomes overcome DNA interstrand crosslinks and DNA-protein crosslinks, whereas in mitosis it triggers disassembly of all replisomes that remain on chromatin. We describe a model to explain how TRAIP performs these disparate functions and how they help maintain genome integrity. TRAIP: A New Player in the Preservation of Genomic Integrity During DNA replication, replisomes (see Glossary) often encounter impediments ('replication stress') that threaten genomic integrity [1]. Cells possess various means to respond to these challenges, including mechanisms to protect and restart stalled replication forks [2], replication-coupled DNA repair pathways [3], and DNA damage checkpoints that stabilize stalled forks, regulate the ﬁring of dormant origins, and increase the time frame to rescue stalled forks and/or repair DNA damage [4]. Failure of these pathways results in persistence of unreplicated DNA into mitosis, resulting in anaphase bridges, chromosome mis-segregation, and gross chromosomal rearrangements [5,6]. Mitosis thus becomes the last chance to prevent large-scale chromosome alterations that could result from incompletely replicated DNA. A recent series of studies has uncovered several key roles of the E3 ubiquitin ligase TRAFinteracting protein (TRAIP) in how cells respond to replication impediments and cope with unreplicated DNA during mitosis. This review highlights how TRAIP helps replication forks overcome speciﬁc obstacles during S phase but then triggers the wholesale disassembly of any replisome that remains on chromatin in mitosis. We propose a molecular model to explain how the selective action of TRAIP during interphase transforms into a general replisome disassembly role in mitosis. Finally, how failures of TRAIP function might lead to primordial dwarﬁsm, genomic instability, and cancer is discussed. In general terms, the new work on TRAIP deepens our appreciation of the intimate link between the response to replication stress and signaling by ubiquitin and the related small ubiquitin-like modiﬁer (SUMO) (reviewed in [7–10]). TRAIP Is a Component of the DNA Replication Machinery As its name indicates, TRAIP was initially discovered as a novel interactor of the TNF receptor/ TRAF signaling complex [11]. While TRAIP was proposed to regulate nuclear factor-kappa B signaling [11,12], proteins in this pathway that are ubiquitylated by TRAIP have not been identiﬁed [13,14]. More recently, a potential link between TRAIP and the DNA damage response emerged when three children with microcephalic primordial dwarﬁsm were found to have homozygous TRAIP mutations [15]. This phenotype is a form of Seckel syndrome, a genetically heterogenous Highlights TRAIP is an essential replisomeassociated E3 ubiquitin ligase that preserves genomic integrity by promoting replication fork progression, especially during genotoxic stress. TRAIP initiates the NEIL3 and Fanconi anemia DNA interstrand crosslink repair pathways and regulates the choice between them by ubiquitylating the CMG helicases of replisomes stalled at the lesion. TRAIP ubiquitylates DNA-protein crosslink fork barriers, marking the lesion for degradation. TRAIP triggers disassembly of replisomes that remain on chromatin in mitosis, enabling processing events that prevent chromosomal instability. According to the model proposed here, replisome-associated TRAIP ubiquitylates protein barriers ahead of the fork in S phase, whereas in mitosis, TRAIP also triggers ubiquitylation and disassembly of all replisomes remaining on DNA. 1 Department of Biological Chemistry and Molecular Pharmacology, Harvard Medical School, Blavatnik Institute, Boston, MA 02115, USA 2 Department of Pediatric Oncology, Dana-Farber Cancer Institute, Boston, MA 02215, USA 3 Department of Cell Biology, Harvard Medical School, Blavatnik Institute, Boston, MA 02115, USA 4 Howard Hughes Medical Institute, Cambridge, MA, 02139, USA 5 https://walter.hms.harvard.edu/ *Correspondence: firstname.lastname@example.org (J.C. Walter). autosomal recessive disorder caused by mutations in any one of ten genes functioning in the DNA damage response or centrosome function [15,16]. Notably, one of these mutations, R18C, resides in the RING domain of TRAIP and compromises the ubiquitin ligase activity of TRAIP [15,17]. TRAIP-deﬁcient cells proliferate slowly and exhibit hypersensitivity to the DNA interstrand crosslink (ICL)-inducing agent, mitomycin C. TRAIP-depleted cells display a diverse array of other phenotypes, including accumulation in the G2 phase, diminished activation of the DNA damage response, micronucleation, and gross chromosomal rearrangements [15,18,19]. Together, the data indicate that TRAIP plays broad roles in the maintenance of genomic integrity. TRAIP is usually concentrated in nucleoli [18–20], but colocalizes with PCNA at sites of DNA damage and upon replication stress [15,18–20]. This recruitment to stressed replication forks is mediated by a PCNA-interacting protein (PIP)-box motif at the C terminus of TRAIP [18,19]. However, TRAIP lacking its PIP box is still functional in tissue culture cells and in Xenopus egg extracts (detailed later) [17,19]. It is conceivable that the PCNA interaction is dispensable under certain experimental conditions (e.g., TRAIP overexpression). Adding to the intrigue, analysis of DNA replicating in Xenopus egg extracts and isolation of proteins on nascent DNA (iPOND) in mammalian cells suggests that TRAIP resides at replication forks in the absence of exogenous DNA damage [17,19,21,22]. Although this association could reﬂect de novo TRAIP recruitment to forks that encounter endogenous replication stress, TRAIP increases the replisome's physical footprint [17], consistent with TRAIP traveling constitutively with each replication fork. These observations raise the question of which proteins TRAIP ubiquitylates at replication forks and how their modiﬁcation contributes to the maintenance of genome stability. The Function of TRAIP in S Phase Regulating Replication-Coupled ICL Repair Silencing TRAIP sensitizes cells to mitomycin C [19], suggesting that TRAIP plays a role in the repair of ICLs, highly cytotoxic DNA lesions that impede replisome progression. Convergence of two replisomes on either side of an ICL initiates at least three distinct pathways that resolve ('unhook') the ICL and allow completion of DNA replication (Figure 1A). Acetaldehyde-ICLs appear to be directly reversed by an unknown enzyme [23], whereas psoralen/UV-A and abasic site ICLs are unhooked when the NEIL3 glycosylase cuts one of the two glycosyl bonds that form the ICL [24]. The third repair pathway involves the 22 FANC proteins that are mutated in Fanconi anemia, a human disease characterized by cellular sensitivity to ICL-inducing agents, short stature and other congenital abnormalities, bone marrow failure, and cancer predisposition [25]. The FANC proteins unhook ICLs through incisions of the phosphodiester backbone on either side of the crosslink, followed by repair of the resulting double-strand break by homologous recombination [26]. Since the Fanconi anemia repair mechanism promotes incisions adjacent to the ICL, it can unhook any ICL regardless of its chemical structure. Despite this, the majority of psoralen and abasic ICLs are repaired by NEIL3 [24,27], suggesting that the Fanconi anemia pathway might function primarily as a back-up. This prioritization of direct unhooking avoids double-strand breaks that could lead to chromosomal rearrangements. How is ICL repair pathway choice regulated? In Xenopus egg extracts, convergence of two forks at the crosslink is critical for all three forms of ICL repair [23,24,28]. Fork convergence triggers ubiquitylation of the stalled CMG helicases by TRAIP [17]. Short ubiquitin chains on CMG are sufﬁcient to promote recruitment of the NEIL3 glycosylase via a ubiquitin-binding domain within NEIL3 (Figure 1A,ii). In contrast, longer ubiquitin chains are required to trigger CMG removal from chromatin by the p97 segregase, which in turn allows endonucleases to access DNA and initiate the incisions that unhook the ICL (Figure 1A,iii) [29–32]. Thus, NEIL3 is Glossary CMG helicase: a DNA helicase consisting of the subunits CDC45, MCM2-7, and the GINS complex, that unwinds DNA at replication forks by passing the leading strand template of the parental DNA through its central pore, thus driving progression of the replisome. CRL2 Lrr1 : a member of the Cullin-Rbx family of E3 ubiquitin ligases, consisting of the subunits Cul2, Rbx1, Lrr1, Elongin B, and Elongin C, which has been implicated in ubiquitylating CMGs upon replication termination to trigger replisome disassembly. DNA interstrand crosslink (ICL): a DNA lesion in which the two strands of DNA become covalently linked, preventing the unwinding of DNA that is required for DNA replication and transcription. DNA-protein crosslink (DPC): a form of DNA damage in which a protein becomes covalently crosslinked to DNA, potentially blocking chromatinassociated processes, such as the translocation of DNA helicases. E3 ubiquitin ligase: eukaryotic enzymes that catalyze the covalent attachment of ubiquitin to substrate proteins. p97 Segregase: also known as Cdc48 in yeast or VCP, a hexameric AAA+ ATPase that functions with various adaptor proteins to recognize and unfold polyubiquitylated substrates by translocating them through its central pore. Replication forks: the splayed DNA structure where DNA synthesis occurs. Replication termination: the process during which converging replication forks meet, replisomes are disassembled, and daughter duplexes are decatenated. Replisome: the collection of proteins, including DNA helicase, DNA polymerases, and primase, that carry out DNA replication. RING domain: a zinc-coordinating domain commonly found in E3 ubiquitin ligases that facilitates transfer of ubiquitin from an E2 ubiquitin conjugating enzyme to the target substrate. Ubiquitylation: a post-translational modiﬁcation in which the amino group of a lysine side chain or the terminal amino group of a protein is conjugated to the carboxyl terminus of the 8 kDa protein ubiquitin. Monoubiquitylation refers to the attachment of one ubiquitin, whereas Figure 1. Replication-Coupled Interstrand Crosslink (ICL) and DNA-Protein Crosslink (DPC) Repair Pathways. (A) In Xenopus egg extracts, three pathways of ICL repair require the convergence of two replication forks at the crosslink. Fork convergence triggers ubiquitylation of the replisome's CDC45/MCM2-7/GINS (CMG) helicase by TRAF-interacting protein (TRAIP) (ubiquitin shown as purple spheres). Acetaldehyde-ICL repair is depicted as being initiated before CMG ubiquitylation (i), but this remains to be conﬁrmed. Ubiquitin chains as short as one or two ubiquitins may recruit the NEIL3 glycosylase to directly unhook psoralen and abasic ICLs, allowing completion of DNA replication (ii). If NEIL3 fails to unhook the crosslink, TRAIP continues to extend the ubiquitin chains (iii). Long ubiquitin chains trigger CMG unloading by the p97 segregase, which allows Fanconi anemia pathway endonucleases to unhook the ICL. The resulting double-strand break is repaired by homologous recombination. (B) Proteins crosslinked to the leading strand template hinder progression of the CMG helicase. Upon fork collision, TRAIP ubiquitylates the DPC (top arrow). After the accessory helicase RTEL1 promotes CMG bypass of the lesion, the DPC is ubiquitylated by a second, unknown E3 ubiquitin ligase. DPC ubiquitylation marks the lesion for proteolysis by the proteasome. The DPC-speciﬁc protease SPRTN also contributes to proteolysis of both ubiquitylated and unmodiﬁed DPCs. Note that at DPC-fork collisions, TRAIP activity does not require fork convergence and CMG is not ubiquitylated. In the absence of TRAIP, the initial ubiquitylation of the DPC is delayed, as is CMG bypass, but bypass does eventually occur, followed by CMG ubiquitylation by an unknown E3 ubiquitin ligase and proteolysis by SPRTN and the proteasome. conjugation of the modifying ubiquitin with additional ubiquitin molecules is termed polyubiquitylation. recruited to ICLs ﬁrst and, if it unhooks the lesion, repair occurs without formation of a doublestrand break. If NEIL3 cannot act (such as at cisplatin ICLs), ubiquitin chains grow, activating the Fanconi anemia pathway. Consistent with this model, psoralen ICL processing in cells generates Fanconi anemia pathway-dependent double-strand breaks only in the absence of NEIL3 [27]. Whether TRAIP-dependent CMG ubiquitylation also regulates the acetaldehyde-ICL pathway remains an important question. If not, it might suggest that acetaldehyde-ICL repair is engaged even before the NEIL3 pathway (Figure 1A,i). The question arises why human TRAIP mutations cause dwarﬁsm instead of classical Fanconi anemia. One possibility is that these TRAIP alleles retain enough function to support ICL repair, but are defective in other functions of TRAIP (see later) that suppress short stature. Importantly, mammalian cells possess a subpathway of ICL repair called 'traverse'. In this mechanism, single forks bypass ICLs [33,34], yielding an X-shaped DNA structure that is probably processed by the FANC proteins, as seen after fork convergence [34]. If traverse does not require TRAIP, this mechanism might provide enough ICL repair function to prevent Fanconi anemia. Ubiquitylating Replisome-Blocking Protein Obstacles Given that TRAIP can trigger CMG unloading at converged forks, it is crucial to understand how CMG unloading is avoided at single forks to prevent disassembly of replisomes that have not completed replication. One hypothesis is that the ubiquitin ligase of TRAIP is activated only when forks converge, for example, through TRAIP dimerization. While such a model is appealing, TRAIP has been found to act without fork convergence [35]. One such context is when single replisomes stall at DNA-protein crosslinks (DPCs) (Figure 1B). These lesions arise when chromatin-associated proteins become covalently crosslinked to DNA by chemotherapeutics or endogenous aldehydes [36]. DPCs attached to the leading strand template pose particularly challenging obstacles to DNA replication because they reside on the translocation strand of CMG [37]. Cells degrade DPCs through the action of the proteasome and the specialized protease SPRTN/DVC1 [35,38–40] (Wss1 in yeast [41]). As with ICL repair, DPC repair is triggered by arrival of a replication fork, which leads to ubiquitylation of the DPC (Figure 1B) [42]. In Xenopus egg extracts, CMG ﬁrst bypasses leading strand DPCs with the assistance of the RTEL1 DNA helicase [43]. After CMG has moved safely beyond the lesion, the DPC is degraded by SPRTN and the proteasome [35]. While DPCs are likely acted upon by multiple ubiquitin ligases, the modiﬁcation that occurs speciﬁcally as a result of CMG collision with the lesion depends on TRAIP [35]. Although it is not required for SPRTN-mediated degradation, TRAIP-dependent DPC ubiquitylation appears to stimulate DPC proteolysis by the proteasome, probably by enhancing CMG bypass of the DPC [35,42]. Whether TRAIP also promotes the ubiquitylation and clearance of noncovalent nucleoprotein barriers such as tightly bound proteins or transcribing RNA polymerases [44–46] has not been determined. However, such a function would be consistent with the observation that TRAIP-deﬁcient cells exhibit fork asymmetry and deﬁcient fork progression during replication stress [15,18]. A Model for TRAIP Action in S Phase As described earlier, when a replisome collides with a protein barrier such as a DPC, TRAIP ubiquitylates the barrier but does not trigger ubiquitylation or unloading of the 'host' CMG with which it travels [35]. In contrast, when forks converge at an ICL, CMG undergoes ubiquitylation. One model to explain these observations is that the RING domain of TRAIP is rigidly positioned on the leading edge of the replisome, like the hood ornament on an automobile. In this way, when TRAIP recruits an E2 conjugating enzyme, it can transfer ubiquitin to any protein obstacle located ahead of the replisome, whether this is a DPC or a converging CMG (Figure 2, 'S phase') [17]. In the model proposed, CMG ubiquitylation at ICLs occurs strictly in trans. Whether these ubiquitylation events involve a constitutively active TRAIP that travels with each replisome or TRAIP molecules recruited de novo upon fork stalling remains to be determined. Either way, a critical feature of the model is that during S phase, TRAIP is unable to ubiquitylate its host CMG. This constraint prevents ubiquitylation of single replisomes engaged in replication, which would cause premature replisome disassembly and fork collapse. An alternative model is that TRAIP indiscriminately ubiquitylates proteins in the vicinity of the replication fork. In this scenario, deubiquitylating enzymes (DUBs), some of which act at the replisome [47–50], would be required to erase modiﬁcations of host replisome proteins while allowing ubiquitylation of fork barriers such as DPCs. Moreover, to account for CMG ubiquitylation at ICLs, it would be necessary to invoke DUB inhibition or displacement speciﬁcally upon fork convergence at these lesions. A drawback of the DUB model is that inadvertent DUB dissociation prior to fork convergence would lead to premature replisome ubiquitylation and disassembly. Thus, the hood ornament model provides the most attractive explanation of how TRAIP function is constrained at the fork. TRAIP Functions during Mitosis A Transformation of TRAIP Function during Mitosis While TRAIP avoids ubiquitylating its host CMG in interphase extracts, its activity appears to be strikingly altered in mitosis. When egg extracts are driven into a mitotic state by addition of cyclin B1-CDK1, TRAIP ubiquitylates its host CMG in single replisomes stalled at various types of fork barriers, triggering their ubiquitylation and disassembly by p97 (Figure 3A,i,ii) [51]. The fact that this TRAIP-dependent CMG ubiquitylation occurs in the absence of fork convergence suggests that in mitosis, TRAIP gains the capacity to ubiquitylate any CMG on chromatin. How mitotic CMG unloading preserves genome stability is discussed later. Figure 2. Model for TRAF-Interacting Protein (TRAIP) Function in S Phase. During unperturbed DNA replication in S phase, TRAIP is assembled with the replisome with its RING domain positioned to ubiquitylate any protein encountered by the replisome (inset; purple arrow signiﬁes direction of ubiquitylation). Such proteins include DNA-protein crosslinks (DPCs) and CDC45/MCM2-7/GINS (CMG) helicases when forks converge at interstrand crosslinks (ICLs) ('S phase', center, gray). TRAIP ubiquitylation of the host replisome on which it is assembled ('S phase', inset, gray broken arrow) does not occur, possibly because rigid positioning of the RING domain prevents it from bringing its E2 ubiquitin conjugating enzyme (brown) into contact with CMG. During mitosis, TRAIP undergoes a conformational change, allowing it to ubiquitylate its host CMG ('mitosis', purple arrow). Trends Trends in inCell Biology Cell Biology The concept that TRAIP acts on all CMGs during mitosis is supported by experiments on replication termination. When CMGs converge at the end of DNA replication, they are ubiquitylated and unloaded by p97 (Figure 3A,iii) [52,53]. In interphase, this ubiquitylation depends on the E3 ubiquitin ligase CRL2 Lrr . TRAIP is not involved, probably because CMGs pass each other during termination [54,55], which precludes the in trans ubiquitylation by TRAIP observed at ICLs. However, in worms and Xenopus egg extracts lacking CRL2 Lrr1 , CMGs are retained on chromatin until mitosis and are then ubiquitylated by TRAIP and unloaded by p97 (Figure 3A,iv,v) [51,56–58]. Thus, mitotic ubiquitylation of terminated replisomes represents another situation where TRAIP ubiquitylates CMGs that are not in close contact. Together, these studies further support the notion that in mitosis, TRAIP triggers the unloading of any CMG from chromatin. What underlies the dramatic increase in TRAIP's appetite for unloading CMG during mitosis? Mitotic entry does not appear to trigger de novo recruitment of additional TRAIP molecules to the replisome [51]. Therefore, mitotic kinases could induce a conformational change in TRAIP that permits its RING domain to bring an E2 enzyme into contact with its host CMG (Figure 2, 'mitosis'). However, other mechanisms can also be envisioned, such as the displacement of inhibitors that suppress host CMG ubiquitylation in interphase, or mitosis-speciﬁc CMG modiﬁcations that make it a better TRAIP substrate. Structural analysis will likely be required to understand how the S phase constraint on TRAIP function is relieved in mitosis. How Does Mitotic CMG Unloading Protect Genomic Stability? The evidence discussed earlier indicates that TRAIP promotes unloading of terminated CMGs when the interphase pathway fails, but also CMGs associated with replication forks at incompletely replicated DNA [51,56–58]. Incomplete DNA replication poses a serious threat to genomic stability. This is because, upon sister chromatid segregation, unreplicated DNA forms DNA bridges, leading to binucleated cells, aneuploidy, chromothripsis, and other gross chromosomal rearrangements [59–62]. The effect of persistently stalled forks and underreplicated DNA is exempliﬁed by common fragile sites (CFSs), speciﬁc genomic loci frequently rearranged in cancer genomes. CFSs are replicated late in S phase and prone to under-replication due to the presence of difﬁcult-to-replicate sequences, large transcriptionally active genes, and sparse origins of replication [63]. Under-replication at CFS is enhanced by mild replication stress, which induces high levels of anaphase ultraﬁne bridges, copy number variations, chromosomal rearrangements, and distinctive gaps and breaks on metaphase chromosomes ('CFS expression'). Cells experiencing replication stress undergo a specialized form of mitotic DNA synthesis ('MiDAS') at known CFSs. Because MiDAS requires fork cleavage by the structure-speciﬁc endonuclease MUS81-EME1 [64–66], it has been interpreted as a form of break-induced replication that completes replication between the forks stalled at the CFS boundaries. But while break-induced replication would be consistent with the small deletions and microhomologies often found at expressed CFSs, it does not explain the high frequency of sister chromatid exchanges at these sites [63]. Experiments in Xenopus egg extracts suggest a new model of CFS expression. In mitotic extracts, CMG unloading at stalled forks is followed by quantitative fork breakage, consistent with previous observations of extensive chromosome breakage after S phase and mitotic cells are fused [67]. This breakage requires CMG unloading by TRAIP and p97 [51], suggesting that CMG normally protects the DNA it encircles. Upon mitotic entry, CMGs stalled at either end of a CFS undergo TRAIP-dependent unloading, which would expose the leading strand templates to cleavage by a structure-speciﬁc endonuclease such as MUS81-EME1 (Figure 3Bi–iii) [51]. Cleavage would result in one intact strand, which can be restored directly through gap ﬁlling Trends Trends in inCell Biology Cell Biology Figure 3. Cell Cycle Regulation of TRAF-Interacting Protein (TRAIP) Speciﬁcity. (A) (i) During S phase, the CDC45/ MCM2-7/GINS (CMG) helicases of stalled but unconverged replisomes are not ubiquitylated. However, if these stalled CMGs persist into mitosis, they undergo TRAIP-dependent ubiquitylation and subsequent unloading by p97. (ii) Terminated CMGs are normally ubiquitylated in S phase by the Cul2-based RING E3 ubiquitin ligase CRL2 Lrr1 . (iii) In the absence of CRL2 Lrr1 , terminated CMGs remain unmodiﬁed and persist on chromatin until mitosis, when they are ubiquitylated by TRAIP and unloaded. (B) (i) During mitosis, CMGs stalled at the boundaries of a common fragile site are ubiquitylated by TRAIP. (ii) Ubiquitylated CMGs are unloaded, which exposes the leading strand templates of the two forks to structure-speciﬁc endonucleases such as MUS81-EME1. (iii) Cleavage of the leading strand templates results in two broken ends (highlighted in red) and an intact strand (highlighted in blue). The two broken ends are repaired by end joining (iv), while the intact strand is restored by gap ﬁlling (green arrows) (v). These two repair processes result in the deletion of the unreplicated DNA and sister chromatid exchange, which are hallmarks of common fragile site expression. (C) If a chromosome containing a stalled fork enters mitosis in the absence of a nearby converging fork (e.g., at a telomere) (i), TRAIP-mediated mitotic CMG unloading (ii) leads to leading strand template cleavage and a single-ended double-strand break (highlighted in red) (iii). This break could then be repaired by break-induced replication (iv). (Figure 3B, blue arrow pathway), and two broken ends, which can be repaired by alternative end joining (Figure 3B, red arrow pathway). The result of these transactions is a sister chromatid exchange event and a small deletion corresponding to the unreplicated DNA, the hallmarks of CFS expression. If a converging fork is not available for end joining (as would be the case at a telomere), the single-ended double-strand break could be repaired via break-induced replication (Figure 3C). MiDAS could thus represent DNA synthesis involved in restoring the intact strand, joining the broken ends, and/or break-induced replication. Consistent with this interpretation, Sonneville et al. found that in mammalian cells, depletion of TRAIP suppresses MiDAS [57]. In conclusion, the model described in Figure 3 suggests that if cells fail to complete replication before mitosis, TRAIP promotes biased strand breakage of stalled forks, thereby avoiding the catastrophic genomic instability that occurs from segregation of incompletely replicated chromosomes [51]. In agreement with this idea, TRAIP deletion results in dramatic accumulation of anaphase bridges in Caenorhabditis elegans under replication stress [57] and TRAIP-depleted cells exhibit increased micronucleation and gross chromosomal aberrations [18,19]. TRAIP in Human Health and Cancer TRAIP-deﬁcient human cells proliferate slowly, even in the absence of exogenous DNA damage [15]. This observation explains why TRAIP deﬁciency causes microcephalic primordial dwarﬁsm, which involves a reduction of cellular proliferation during development [16]. A critical question is why loss of TRAIP compromises cell proliferation. The simplest explanation is that replication stress leads to cell cycle delay. For example, through delayed activation of the Fanconi anemia pathway, hypomorphic TRAIP mutations might elicit a G2 arrest, as seen in Fanconi patient cells [87], while still supporting enough repair to prevent the other symptoms of Fanconi anemia. However, defects in other putative functions (Box 1) may also disrupt normal cell cycle progression. A deeper understanding of the mechanism of action of TRAIP will be required to determine how it contributes to normal cellular proliferation. Genomic instability accelerates tumor progression and contributes to the development of cytotoxic chemotherapy resistance [68]. Chromosomal instability, apparent in TRAIP-depleted cells as micronuclei and chromosomal abnormalities [18,19], is a hallmark of cancer cells [69,70]. Given its roles in genome integrity maintenance, TRAIP loss-of-function mutations or decreased expression may be predicted to promote tumorigenesis. Indeed, TRAIP is expressed at signiﬁcantly lower levels in human lung adenocarcinoma patient tissues relative to matched normal tissues [71]. However, cancer predisposition is not a feature of Seckel syndrome, including the disorder caused by TRAIP deﬁciency [16]. One possible reason is that the TRAIP patients were not followed long enough to detect cancer development. However, an alternative explanation is that the cellular proliferation deﬁciency in Seckel syndrome suppresses tumor progression [72]. In this view, TRAIP may be under positive selective pressure in tumor cells. Consistent with this notion, TRAIP expression is upregulated in non-small-cell lung cancer tissues and overexpression is signiﬁcantly associated with tumor metastasis and poor patient prognosis [73]. Furthermore, cancer cells with elevated replication stress and/or defective DNA repair may be particularly sensitive to TRAIP inhibition. Such synthetic lethal relationships have been identiﬁed with ATR [72,74,75], another Seckel syndrome gene, and ATR inhibitors are now being developed for cancer treatment [76,77]. Concluding Remarks In the years since the link between TRAIP and microcephalic primordial dwarﬁsm was found, considerable progress has been made toward understanding the mechanisms by which TRAIP Outstanding Questions How do the varied functions of TRAIP contribute to the preservation of genomic stability? Which function is most crucial for cellular ﬁtness, viability, and suppression of dwarﬁsm? What is the structure of TRAIP within the replisome? Can this reveal how TRAIP ubiquitylates fork barriers and how TRAIP is prevented from prematurely disassembling its host replisome? While TRAIP deﬁciency sensitizes cells to ICL-inducing agents, less is known about its contribution to cellular tolerance of DPCs. Is the function of TRAIP crucial for the resolution of all DPCs or a particular subset? Which chromatin-associated proteins are ubiquitylated by TRAIP? Does TRAIP activity have particular consequences for speciﬁc replication contexts, such as at replication– transcription conﬂicts or at speciﬁc genomic loci? What is the mechanism of the mitotic speciﬁcity switch of TRAIP? Trends in Cell Biology Box 1. Other Proposed TRAIP Functions In addition to the functions discussed in the main text, the contribution of TRAIP to genomic stability may also derive from a role in double-strand break repair. TRAIP interacts with RNF20-RNF40, the E3 ubiquitin ligase complex responsible for monoubiquitylating histone H2B in vertebrates [71]. This interaction recruits TRAIP to double-strand breaks [71] and, reciprocally, TRAIP depletion leads to a decrease in ionizing radiation-induced H2B monoubiquitylation [78]. H2B monoubiquitylation has been implicated in homologous recombination by promoting BRCA1 recruitment [79]. Intriguingly, TRAIP also interacts with the BRCA1 partner RAP80 and TRAIP depletion decreases RAP80 levels at double-strand breaks [71]. These results suggest that TRAIP functions in double-strand break repair, both upstream and downstream of H2B monoubiquitylation. Accordingly, TRAIP correlates highly with recombination genes in genome-wide CRISPR screens against genotoxic agents [80]. Curiously, there are conﬂicting data on whether TRAIP depletion sensitizes cells to ionizing radiation (compare, for example, [19,71]). Regardless, it is notable that TRAIP potentially promotes H2B ubiquitylation, a modiﬁcation that has been implicated in many aspects of DNA replication and repair, including fork progression during unperturbed and stressed replication [81], checkpoint activation [82], nucleotide excision repair [83], and transcription [84]. Thus, TRAIP function could impinge on an array of chromatin-related processes, any of which could contribute to the defects in the DNA damage response and proliferation caused by TRAIP deﬁciency. TRAIP has also been reported to function at kinetochores during mitosis and meiosis. TRAIP depletion leads to decreased stability of kinetochore-microtubule attachments [85] and lowered MAD2 levels at centromeres, resulting in diminished spindle assembly checkpoint function [85,86]. Together, these defects lead to higher rates of chromosomal misalignment and segregation errors. The mechanisms by which TRAIP impacts kinetochore function and MAD2 localization remain unclear and a caveat of these studies is that rescue of chromosomal segregation defects by exogenous TRAIP re-expression was not reported. Nevertheless, the ﬁndings could point to an additional mechanism by which chromosomal instability arises from loss of TRAIP function. promotes DNA replication and genome stability. Studies in cells and extracts described here have shown that by ubiquitylating proteins blocking the replication fork during S phase, and by triggering replisome unloading during mitosis, TRAIP promotes the completion of DNA replication and, failing this, minimizes catastrophic outcomes upon cell division. Understanding how TRAIP carries out these functions will ultimately require answering fundamental outstanding questions (see Outstanding Questions), such as how TRAIP interacts with the replisome and how its speciﬁcity changes during the cell cycle. Given the central roles of TRAIP in the response to replication stress, we expect that elucidating its molecular mechanisms will have important ramiﬁcations for the treatment of human disease. Acknowledgments Studies on TRAIP in the Walter and Pellman Laboratories are supported by American Cancer Society postdoctoral fellowship 131415-PF-17-168-01-DMC to R.A.W and NIH grants 2R01 HL098316-09 to J.C.W. and 5R01 CA213404-22 to D.S.P. 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Framing AIDS as an Economic Development Challenge MARKUS HAACKER The global impact of HIV/AIDS has devastated millions of lives and has resulted in major reversals in health outcomes in a number of countries. 1 By 2009, an estimated 33 million people were living with HIV, 1.8 million died in that year, and 16 million young people had lost at least one parent because of the epidemic. 2 Compounding the challenges posed by the epidemic is the fact that it is distributed unevenly geo graphically, with 70 percent of people living with HIV/AIDS located in Africa, and 44 percent (14.6 million) in just 12 African countries with a combined population of 224 million people (3 percent of the global total). 3 The serious health impacts of the epidemic, combined with the fact that many people living with HIV/AIDS are located in low-income countries, have also mo tivated concerns that the epidemic is undermining development more generally, reinforcing the economic disadvantages of these countries. These concerns, in turn, have strengthened the impetus behind the global policy response to HIV/AIDS. The available evidence on the economic development impacts of HIV/AIDS thus fulfills a political role. In this setting, "policy" and "analysis" can be interpreted as interdependent—the supply of analytical work underlining the economic develop ment impacts of HIV/AIDS feeds the needs of policy and advocacy, while the needs of policy and advocacy create a demand for supportive analytical work. The paper sets out with a discussion of how major international policy documents have adopted and built on statements on the adverse economic development impact Markus Haacker is currently an Academic Visitor at the Centre for the Study of African Economies at the Uni versity of Oxford. He worked at the African Department of the International Monetary Fund from 1998-2008 and has since then been an honorary lecturer at the London School of Hygiene and Tropical Medicine and a consultant for the World Bank and UNAIDS. Among his numerous publications on the macroeconomic aspects of HIV/AIDS he has published The Macroeconomics of HIV/AIDS and Financing HIV/AIDS Programs in SubSaharan Africa. of HIV/AIDS. This is contrasted with an analysis of the available studies of the impact of HIV/AIDS on economic growth and studies addressing the implications of HIV/ AIDS for the affected households and for poverty more generally. This review finds that the literature in both areas is unconvincing. Empirical evidence of the growth impacts of HIV/AIDS is weak, and there is some evidence of policy-induced bias among studies modeling the growth impacts of HIV/AIDS. While some data are available of the immediate impacts of HIV/AIDS on affected households, the evi dence on the impacts over time and across households, and thus the understanding of the impacts of HIV/AIDS on poverty, is much weaker. The paper concludes by a discussion of casting HIV/AIDS as an economic development challenge, placing more emphasis on increased economic and health risks, and makes some points on better aligning the response to HIV/AIDS with the international development agenda. Presenting HIV/AIDS as an Economic Development Challenge The perception of HIV/AIDS as an economic development challenge is important not only in gaining a full understanding of the impacts of the disease, but also in soliciting political and financial support for the response to the epidemic. Sir George Alleyne, Director Emeritus of the Pan American Health Organization (PAHO), underlines the "role of health as an instrument for human development" in "persuading finance ministers to spend money." UNAIDS Executive Director Michel Sidibé emphasizes the need to "link HIV to the broader international health and development agenda, as represented by the MDGs [Millennium Development Goals] … to sustain and accelerate progress in the next phase of the global response to AIDS." 4 The impact of HIV/AIDS has commanded a prominent place in the international development agenda, especially over the last decade. The United Nations Millen nium Declaration of 2000, as part of the agenda to create an environment "which is conducive to development and to the elimination of poverty," resolved to halt and reverse "the spread of HIV/AIDS, the scourge of malaria and other major diseases that afflict humanity," and "to provide special assistance to children orphaned by HIV/ AIDS." 5 The 2006 UN Political Declaration states "that in many parts of the world, the spread of HIV/AIDS is a cause and consequence of poverty, and that effectively combating HIV/AIDS is essential to the achievement of internationally agreed de velopment goals and objectives, including the Millennium Development Goals." 6 The 1999 World Bank HIV/AIDS strategy listed "advocacy to position HIV/AIDS as a central development issue and to increase and sustain an intensified response" as one of its four pillars. 7 The 2005 World Bank HIV/AIDS Strategy states that "once seen as a health emergency, AIDS is now recognized as a broad, long-term develop ment issue," and the 2008 Agenda for Action focuses on "mainstreaming HIV/AIDS activities into broader national development agendas as a critical aspect of economic growth and human capacity development." 8 The economic development impacts of HIV/AIDS are also reflected in major publications of international organizations with a more specific health focus. The 2001 World Health Report states that "the HIV/AIDS epidemics has [sic] lowered economic growth and is reducing life expectancy by up to 50% in the hardest hit countries," and that "in many countries HIV/AIDS is now considered a threat to national security." The 2003 World Health Report notes that "a recent World Bank study predicts that South Africa will face 'complete economic collapse … within three generations' if the country does not take effective measures to combat AIDS." The 2004 World Health Report, which focuses on the challenges posed by HIV/AIDS, observes that "in many countries, the cumulative effects of the epidemics could have catastrophic consequences for long-term economic growth and seriously damage the prospects for poverty reduction." 9 UNAIDS addresses the macroeconomic impacts of HIV/AIDS in the 2004 and 2008 editions of the Report on the Global AIDS Epidemic. 10 The 2004 report notes that "the best available evidence suggests that HIV is likely to reduce economic growth in high-prevalence countries by 0.5% to 1.5% over 10–20 years … —an impact that is notable but not catastrophic." It emphasizes, however, "that the epidemic is deepening poverty" and that "given the heavier burdens borne by poor households, HIV also widens inequality within societies." The 2008 report summarizes that the macroeconomic impact of HIV/AIDS in high-prevalence countries is "seemingly modest, with these countries losing on average between 1% and 2% of their annual economic growth." As "the effect of AIDS on gross domestic product [GDP] growth is approximately matched by the impact on total population over the same period," […] " the epidemic's impact on per-capita gross domestic product is relatively small—and even positive in some of the scenarios considered." Instead, UNAIDS concludes that the significant macroeconomic impact of the epidemic could be the impact on government budgets, as both the impact of and response to the epidemic absorb scarce fiscal resources. In summary, the evidence on the economic impacts of HIV/AIDS has played an important role in establishing HIV/AIDS as an international development issue of the first order. At the same time, it is plausible that the policy needs of the international response to HIV/AIDS have contributed to shaping the research agenda in this area. The remainder of this paper discusses the available evidence on the development impacts of HIV/AIDS (focusing on economic growth and poverty), against the background of the evolving development policy agenda. Calibrating the Impacts of HIV/AIDS on Growth A considerable number of studies have calibrated the impacts of HIV/AIDS on GDP or GDP per capita. 11 While these models differ in the details, the logic is similar: HIV/AIDS reduces the rate of population growth, the savings rate declines because of the costs of care and treatment, and productivity subsequently declines because increased mortality and morbidity disrupt production processes. Ultimately, GDP grows more slowly, largely because of reduced population growth. Regarding the impacts of HIV/AIDS on GDP per capita, the picture is less clear. While productiv ity losses and a decline in savings and investment would reduce GDP per capita, increased mortality and reduced population growth would raise GDP per capita, because the economy's productive assets are shared among fewer people. Overall, the majority of growth studies suggest that HIV/AIDS has a small negative impact on GDP per capita. 12 The fact that much of the literature on the growth impacts of HIV/AIDS origi nates at the World Bank is worth noting. As this analytical work directly feeds into the World Bank's policy objective of "advocacy to position HIV/AIDS as a central development issue," this raises the possibility of some institutional bias. This poten tial bias has been illustrated by Jeffrey Lewis, an economist employed by the World Bank, who contributed to the analytical work on HIV/AIDS and growth, and who pointed out to the author that it was important to show that HIV/AIDS reduces GDP per capita, because otherwise the findings would not be considered credible. That such an institutional bias exists in the literature is empirically plausible. Studies of the growth impact of HIV/AIDS originating at the World Bank find that GDP per capita declines, including two studies showing large and persistent de clines in growth. 13 In contrast, studies not affiliated with the World Bank, including a number of substantial studies originating in South Africa, as well as one of the most substantial academic contributions by Alwyn Young, frequently find that GDP per capita increases. 14 Generally, the differences in the growth estimates and projec tions can be attributed to the authors' assumptions about the impact of HIV/AIDS on productivity, which are frequently ad hoc or based on microeconomic evidence that does not easily translate to the macroeconomic scale. Overall, the analytical literature calibrating the growth effects of HIV/AIDS of fers little guidance, beyond agreeing that reduced population growth translates into reduced GDP growth. The direction of the impact of HIV/AIDS on GDP per capita is unclear and the relevant literature appears politicized to an extent. More stylized analytical models attempting to capture the long-term effects of increased mortality (i.e., by discouraging investments in education) tend to find larger negative impacts on growth and GDP per capita and to illustrate the longer-term development risks arising from a health shock like HIV/AIDS, but cannot easily be interpreted and tested in terms of available economic data. 15 HIV/AIDS and Growth: the Empirical Evidence The UNAIDS Report on the Global AIDS Epidemic of 2008 points out that "estimat ing the epidemic's macroeconomic effects is complicated by the fact that high-burden countries have been undergoing important changes at the same time that they have been experiencing HIV. These changes include globalization, fluctuations in prices for commodities, political upheaval, civil and international conflict, and other hu manitarian crises." 16 Similarly, Arbache finds that economic growth in countries with high HIV prevalence has slowed down relative to economic growth in sub-Saharan Africa. 17 Such a comparison, however, also reflects adverse trends in a number of countries with high HIV prevalence that are arguably not related to HIV/AIDS. For example, the escalation of the HIV epidemic took place at about the same time as the onset of the economic crisis in Zimbabwe and the slowdown in growth driven by the expansion of mining in Botswana. 18 A number of empirical studies go further and attempt to assess the links between HIV and economic growth, though with mixed results. Mahal finds a negative but insignificant impact of accumulated AIDS cases on growth. Lovász and Schipp find a negative link between growth of GDP per capita and HIV prevalence, which, however, is not robust to changes in modeling assumptions. Papageorgiou and Stoytcheva find a statistically significant, but very small negative impact of HIV on economic growth. 19 Studies following an indirect approach, linking growth and life expectancy (or mortality), and the latter to HIV/AIDS, appear more successful in finding a negative impact of HIV/AIDS on growth. For example, McDonald and Roberts point to a link between HIV/AIDS and infant mortality, and subsequently, between infant mortality and growth. 20 For sub-Saharan Africa, their estimates imply that in a country with an HIV prevalence rate of 10 percent, growth of income per capita slows down by 1.2 percent initially, and as a result the impact on growth is highly persistent. This two-step approach is problematic, however, as causal interpretations of the correlation between growth and life expectancy or mortality have long been discredited in the literature on economic growth. Deaton, for example, concludes that the correlation most likely reflects "the importance of factors such as education and the quality of institutions that affect both health and growth. 21 Using this approach to estimate the growth impacts of HIV/AIDS is even more problematic, as this additionally relies on an assumption that the health shock caused by the HIV/AIDS epidemic, with a very particular mortality profile, plays out in a way that is equivalent to variations in mortality observed for different reasons. Academic publication bias, favoring significant findings, may also play a role in coloring the empirical evidence on the growth impacts of HIV/AIDS. The published studies estimating the growth impacts of HIV/AIDS directly produce negative, but barely significant results, and the study by Papageorgiou and Stoytcheva, arguably the most thorough study available from an econometric perspective, did not get published in a refereed journal, presumably because they did not find a substantial impact of HIV/AIDS on growth. Thus, it is quite possible that the published studies are located on one end of a scale that, on the other hand, includes plausible approaches that yield insignificant but un-publishable findings. HIV/AIDS and Poverty The most direct impacts of an HIV infection are those on people living with HIV/ AIDS, their families, and surviving dependents. In addition to experiencing illness and death, income losses caused by illness and death and the costs of care and treat ment affect material living standards of household members. While some empirical evidence is available regarding the impact of HIV/AIDS on affected households, the impacts of the epidemic on poverty are not well understood. The impact of HIV/AIDS on poverty and inequality broadly depends on three factors: the distribution of HIV infections across socioeconomic categories, especially in relation to income and wealth; the consequences of an HIV infection across socio economic categories, both from a medical perspective and an economic perspective; and the changes in the income distribution caused by the epidemic. Regarding the first factor, only indirect evidence is available. HIV incidence (i.e., new infections) cannot normally be measured directly. Instead, researchers rely on data on HIV prevalence (the number of people living with HIV/AIDS). 22 For example, Justin Parkhurst summarizes the data from demographic and health surveys including HIV testing data, finding that HIV prevalence tends to be higher for wealthier households in 11 of the 14 countries covered. 23 However, if HIV/AIDSrelated mortality among people in low wealth quintiles is relatively high, prevalence data understate the impact of HIV/AIDS in these categories. There are some reasons to believe that this may be the case. The medical literature suggests a link between disease progression and nutrition, and it is plausible that survival rates and access to treatment are higher among wealthier population groups. The evidence on the distribution of HIV infections across population groups therefore is not clear-cut. The evidence regarding the uneven consequences of an HIV infection across households is stronger. Available household surveys illustrate the economic burden arising from income losses and the costs of care and treatment. Booysen shows that the income of households affected by HIV/AIDS tends to deteriorate relative to nonaffected households. 24 The economic burden of disease appears to be disproportion ately large for poorer households. 25 Gustafsson-Wright, Janssens, and van der Gaag highlight lack of health insurance as a key reason why the economic consequences of HIV/AIDS are more severe for poor households. 26 The longer-term repercussions for surviving dependents are less well understood, partly because households may dissolve following the death of the household head. Available studies on the conse quences of mortality in general (that is, not necessarily HIV/AIDS-related) point to reduced consumption in the years following a death and as a consequence of funeral costs. 27 Orphans tend to live in poorer households than non-orphans and could be at a disadvantage in terms of access to education. 28 In summary, it seems clear that the economic consequences of HIV/AIDS are more severe for poor households. This, however, does not automatically mean that HIV/AIDS increases the extent of poverty. The most important gap in the understanding of the link between the microeconomic impacts of HIV/AIDS and poverty regards the distributional im plications of HIV/AIDS even for households not directly affected by the epidemic. The macroeconomic literature suggests that the adverse impacts of HIV/AIDS on productivity and savings are at least partly reversed by an increase in the capital-labor ratio, as productive assets are shared among fewer people. 29 Especially in an economy based on physical capital and natural resources, rather than human capital, this means that deaths translate into additional employment opportunities for survivors, and that the income losses in households affected by HIV/AIDS correspond to income gains elsewhere. Therefore, it is not possible to draw inferences from household level effects of HIV/AIDS for poverty in general. In summary, while the poverty impacts of HIV/AIDS play an important part in positioning HIV/AIDS as a complex development issue, the implications of the epidemic for poverty are not well understood. The evidence from household surveys suggests that the economic consequences of HIV/AIDS compound the consequences of poverty for households affected by the epidemic, and that HIV/AIDS causes poverty in some of these households. However, to understand the consequences of HIV/AIDS for poverty, it is necessary to fill two knowledge gaps. First, it is necessary to arrive at a better understanding of the socioeconomic profile of HIV incidence. Second, it is necessary to understand the economic consequences of HIV/AIDS across the population, including the economic opportunities that arise (frequently outside households affected by HIV/AIDS) as individuals take up employments which have been vacated by people who have died as a consequence of HIV/AIDS. HIV/AIDS and Economic Development The body of evidence cited here brings us back to Sir George Alleyne's predica ment, namely, the need to highlight the "role of health as an instrument for human development" in "persuading finance ministers to spend money." This leads to the question: Why is it that the evidence on the impacts of HIV/AIDS on economic development outcomes is so weak, even though the evidence on the impacts on the individual level is so obvious? The focus on GDP per capita in assessing the state of economic development rests on two premises. First, GDP per capita is a fairly good proxy for the state of development in general, due to the fact that the popula tions of wealthier countries tend to be healthier and better educated. Second, if a particular policy results in an increase in GDP per capita, it is generally possible to make everyone better off, by measures that directly or indirectly redistribute the gains. However, both of these premises are violated in the context of HIV/AIDS. First, HIV/AIDS has dramatically compromised the link between GDP per capita and health outcomes. Life expectancy in Botswana, at 54 years in 2008, was about the same as in Ethiopia (with GDP per capita in Ethiopia at one-sixteenth of Botswana's), and life expectancy in Swaziland (46 years, with GDP per capita at US$2,800) was in the same bracket as that of the Central African Republic (47 years, US$460) or Afghanistan (44 years, US$400). 30 Compared with the losses in life expectancy caused by HIV/AIDS (estimated at 14 years in Botswana, and 18 years in Swaziland), the estimated losses (or gains) in GDP per capita are trivially small. 31 Additionally, both GDP per capita and poverty rates can be very misleading indicators of the development impacts of HIV/AIDS. If the impact of HIV/AIDS is concentrated among poorer segments of the population, then GDP per capita increases and poverty rates decline because the number of poor individuals declines relative to the size of the population overall. These improvements, however, mask an increase in inequality and a deepening in the deprivation of poorer segments of the population (with economic disadvantages compounded by higher risks to the prospect of leading a long and healthy life). Finally, the second premise behind using GDP per capita as an indicator for the state of development—that, following an increase in GDP per capita, everyone could be made better off by suitable redis tributive policies—is violated if the increase reflects a change in the composition of the population. HIV/AIDS, however, through increased mortality, does affect the composition of the population, and the losers (loss of life) cannot be compensated by the survivors who on average might be better off. In sum, economic growth and GDP per capita are unsuitable indicators of the impacts of HIV/AIDS, as they average across the population, whereas the repercussions of HIV/AIDS for poverty and inequality arise from the increased risks to income and especially health on the individual level. Conclusions Our discussion highlights the important role that the economic impacts of HIV/ AIDS have played in building and reinforcing the momentum behind the interna tional response to HIV/AIDS. In contrast, we find that the available evidence on such impacts is weak, and does not fully support the use made of it in policy statements. In addition, some policy statements appear to make selective use of the available evidence, while the HIV/AIDS policy agenda appears to drive some of the available analytical work. This disconnect reflects a desire to highlight the economic development con sequences of HIV/AIDS, "persuading finance ministers to spend money," on one hand, and a mismatch between the characteristics of the impact of HIV/AIDS and the most commonly used economic development indicators (GDP per capita and poverty rates) on the other hand. While GDP per capita and poverty rates are ag gregate indicators, the principal impacts of HIV/AIDS are the increased risks to the prospect of living a healthy and prosperous life, reducing living standards even if GDP per capita remains broadly unchanged. The disconnects between the HIV/AIDS policy agenda and the available evidence on the economic development impacts of HIV/AIDS, apart from damaging the policy objectives of raising awareness (and funding) for HIV/AIDS programs, also have adverse implications for the effective design of HIV/AIDS programs. This regards, in particular, the impacts of HIV/AIDS across households and the distributional impacts of HIV/AIDS programs. First, to effectively support households and communities facing a severe HIV epidemic, it is necessary to better understand the impacts of increased premature mortality among adults for the affected households, those left behind, and the affected communities. The available evidence largely measures short-term effects of HIV/ AIDS on affected households and fails to capture longer-term implications (especially as households may dissolve following the death(s) of household heads). Moreover, in order to capture the implications of HIV/AIDS for poverty, it is necessary to mea sure the losses and gains across households, including the opportunities that arise if individuals take up employment opportunities vacated by people who have died. Second, as the increase in access to treatment extends the average lifespan of people with HIV/AIDS, it modifies and mitigates the impacts of HIV/AIDS on the affected households. While "over the past decade the AIDS response has played a major role in producing better health outcomes for people in developing coun tries," little is known about the distributional implications of access to treatment. 32 Specifically, improved access to treatment has the potential to exacerbate economic inequalities, if access to treatment replicates existing inequities in access to health services or crowds out non-HIV/AIDS health services. In the interest of credibly "linking HIV to the broader international health and development agenda," as pos tulated by Michel Sidibé, it is necessary to place more attention on the distribution of the benefits of HIV programs and their implications for access to health services across population groups. 33 A W Notes 1. The paper has benefitted from comments by Karen Grépin, Eric Lamontagne, and Susan C. Watkins, who do not necessarily agree with all of its findings. 3. UNAIDS, 2010 Report on the Global AIDS Epidemic; United Nations Population Division, World Population Prospects: The 2008 Revision (New York: United Nations, 2009). 2. UNAIDS, 2010 Report on the Global AIDS Epidemic (Geneva: UNAIDS, 2010). 4. George Alleyne, "Health and Economic Growth: Policy Reports and the Making of Policy," in Health and Growth, eds. Michael Spence and Maureen Lewis (Washington DC: World Bank, 2009); and Michel Sidibé, Crisis, "Opportunity and Transformation: AIDS response at a crossroads," speech delivered at UNAIDS Programme Coordinating Board, 23 June 2009. 6. United Nations General Assembly, Resolution adopted by the General Assembly, No. 60/262: Political Declaration on HIV/AIDS (New York: United Nations, 2006). 5. United Nations General Assembly, Resolution adopted by the General Assembly, No. 55/2: United Nations Millennium Declaration (New York: United Nations, 2000). 7. World Bank, Intensifying Action Against HIV/AIDS in Africa: Responding to a Development Crisis (Washington DC: World Bank, 1999). 9. WHO, World Health Report 2001 (Geneva: WHO, 2001); WHO, World Health Report 2003 (Geneva: WHO, 2003); and WHO, World Health Report 2004 (Geneva: WHO, 2004). 8. World Bank, The World Bank's Global HIV/AIDS Program of Action (Washington DC: World Bank, 2005); and World Bank, The World Bank's Commitment to HIV/AIDS in Africa: Our Agenda for Action, 2007–2011 (Washington DC: World Bank, 2008). 10. UNAIDS, 2004 Report on the Global AIDS Epidemic (Geneva: UNAIDS, 2004); and UNAIDS, 2008 Report on the Global AIDS Epidemic (Geneva: UNAIDS, 2008). 12. For a summary of findings, see UN Department of Economic and Social Affairs, The Impact of AIDS, Table 18. 11. For surveys covering this literature in more detail, see UNAIDS, 2008 Report; or UN Department of Economic and Social Affairs, The Impact of AIDS (New York: United Nations: 2004). 13. See UN Department of Economic and Social Affairs, The Impact of AIDS, for a survey of relevant papers. Authors affiliated with the World Bank while conducting analytical work on the growth impacts of HIV/AIDS include Clive Bell, John D. Cuddington, Shantayanan Devarajan, Jeffrey D. Lewis, Mead Over, Tejaswi Raparla, and James. Three studies showing particularly largely growth impacts of HIV/AIDS are: Channing Arndt and Jeffrey D. Lewis, 2001, "The HIV/AIDS Pandemic in South Africa: Sectoral Impacts and Unemployment," Journal of International Development 13: 427 49; Clive Bell, Shantayanan Devarajan, and Hans Gersbach, "The Long-Run Economic Costs of AIDS: A Model with an Application to South Africa," World Bank Economic Review 20, no. 1 (2006): 55–89, and Rene Bonnel . Two studies by Sackey and Raparla (quoted as World Bank 2001a, and 2001b in UN Department of Economic and Social Affairs, 2004) are outliers among World Bank studies, suggesting a very small positive impact of HIV/AIDS on GDP per capita. 15. Paul Corrigan, Gerhard Glomm, and Fabio Mendez, "AIDS Crisis and Growth," Journal of Development Economics 77 (2005): 107-24; David A. Robalino, Albertus Voetberg and Oscar Picazo, "The Macroeconomic Impacts of AIDS in Kenya: Estimating Optimal Reduction Targets for the HIV/AIDS Incidence Rate," Journal of Policy Modeling 24 (2002): 195–218. 14. See, for example, Linette Ellis, Pieter Laubscher, and Ben Smit, "The Macroeconomic Impact of HIV/AIDS Under Alternative Intervention Scenarios (With Specific Reference to ART) on the South African Economy," Bureau for Economic Research, University of Stellenbosch, 2006; ING Barings South African Research, "Economic Impact of AIDS in South Africa: A Dark Cloud on the Horizon," ING Barings South Africa, 2000. A number of studies from Southern Africa suggest a negative impact of HIV/AIDS on GDP per capita, by adopting assumptions introduced by World Bank studies, e.g., Channing Arndt, "HIV/AIDS, Human Capital, and Economic Prospects for Mozambique," Journal of Policy Modeling 28 (2006): 477-489; James Thurlow, Jeff Gow, and Gavin George, "HIV/ AIDS, Growth and Poverty in KwaZulu-Natal and South Africa: An Integrated Survey, Demographic and Economywide Analysis," Journal of the International AIDS Society 2009 12: 18, which both draw on Arndt and Lewis, "The HIV/AIDS Pandemic in South Africa: Sectoral Impacts and Unemployment"; Alwyn Young, "The Gift of the Dying: The Tragedy of AIDS and the Welfare of Future African Generations," Quarterly Journal of Economics 120, no. 2 (2005): 423-466. 16. UNAIDS, 2008 Report on the Global AIDS Epidemic. 18. For a fuller discussion, see Markus Haacker, "HIV/AIDS, Economic Growth, Inequality," in The Socioeconomic Dimensions of HIV, ed. David E. Sahn (Ithaca, NY: Cornell University Press, 2010). 17. Jorge Saba Arbache, "Links between HIV/AIDS and Development," in The Changing HIV/ AIDS Landscape: Selected Papers for the World Bank's Agenda for Action in Africa, 20072011, eds. Elizabeth L. Lule, Richard M. Seifman, and Antonio C. David (Washington DC: World Bank, 2009). 19. Ajay Mahal, "Economic Implications of Inertia on HIV/AIDS and Benefits of Action," Economic and Political Weekly (2004): 1049–63; Enrico Lovász and Bernhard Schipp, "The Impact of HIV/AIDS on Economic Growth in Sub-Saharan Africa," South African Journal of Economics 77, no. 2 (2009): 245–56; Chris Papageorgiou and Petia Stoytcheva, "What Is the Impact of AIDS on Cross-Country Income So Far? A Macro Perspective," unpublished draft, July 2009. 21. Angus Deaton, "Global Patterns of Income and Health: Facts, Interpretations, and Policies," Working Paper No. 12269, National Bureau of Economic Research, Cambridge, MA, 2006. 20. Scott McDonald and Jennifer Roberts, "AIDS and Economic Growth: A Human Capital Approach," Journal of Development Economics 80, no. 1 (2006): 228-250. 22. The presence of an infection can only be measured after it has occurred. For diseases with a short duration (e.g., flu), the number of current cases is a good proxy for recent infections. In case of HIV/AIDS, disease progression occurs over many years, so that the current number of people living with HIV/AIDS is not a useful indicator of recent infections. 23. Justin O. Parkhurst, "Understanding the Correlations Between Wealth, Poverty and Human Immunodeficiency Virus Infection in African Countries," Bulletin of the World Health Organization 88 (2010): 519–526. An earlier paper by Mishra and others arrives at similar conclusions based on demographic and health surveys from 8 countries. See Vinod Mishra et al., "HIV Infection Does Not Disproportionately Affect the Poorer in Sub-Saharan Africa," AIDS 21 (2007), Suppl. 7:S17–S28. 25. Malcolm Steinberg et al.,"Hitting Home: How Households Cope with the Impact of the HIV/AIDS Epidemic," Publication No. 6059, Kaiser Family Foundation, Washington, DC, 2002. 24. Frederick le Roux Booysen, "Income and Poverty Dynamics in HIV/AIDS-Affected Households in The Free State Province of South Africa," South African Journal of Economics 72, no. 3 (2005): 522-545. 26. Emily Gustafsson-Wright, Wendy Janssens, and Jacques van der Gaag, "The Inequitable Impact of Health Shocks on the Uninsured in Namibia," Health Policy and Planning 26 (2011): 142-156. 28. Anne Case, Christina Paxson, and Joseph Ableidinger, "Orphans in Africa: Parental Death, Poverty, and School Enrollment," Demography 41, no. 3 (2004):483-508. 27. Kathleen Beegle, Joachim De Weerdt, and Stefan Dercon, "Adult Mortality and Consumption Growth in the Age of HIV/AIDS," Economic Development and Cultural Change 55 (2008): 299-326; Anne Case and Alicia Menendez, "Requiescat in Pace? The Consequences of High-Priced Funerals in South Africa," Working Paper 14998, National Bureau of Economic Research, Cambridge, MA, 2009. 29. Keith Jefferis, Anthony Kinghorn, Happy Siphambe and James Thurlow, "Macroeconomic and Household-Level Impacts of HIV/AIDS in Botswana," AIDS 22, suppl. 1 (2008): S113–S119; Gonzalo Salinas and Markus Haacker, "HIV/AIDS: The Impact on Poverty and Inequality," IMF Working Paper No. 06/126, IMF, Washington, DC, 2006. 31. Calculated based on United Nations Population Division, World Population Prospects. 30. World Bank, World Development Indicators 2010 (Washington, DC: World Bank, 2010). 32. UNAIDS, AIDS and Global Health (Geneva: UNAIDS, 2009). 33. Sidibé, "Crisis, Opportunity and Transformation."
BIFENTHRIN Insecticide/Termiticide Only for use by individuals/firms licensed or registered by the State to apply termiticide products. States may have more restrictive requirements regarding qualifications of persons using this product. Consult the structural pest control regulatory agency of your State prior to use of this product. ACTIVE INGREDIENT: WT. BY % Bifenthrin. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25.1% OTHER INGREDIENTS:. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74.9% TOTAL:. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100.0% Contains 2 pounds active ingredient per gallon. *Contains petroleum distillates. 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For crack and crevice treatments, treat surfaces to ensure thorough coverage but avoid runoff. * Spot treatments must not exceed two square feet in size (for example, 2 ft. by 1 ft. or 4 ft. by 0.5 ft.). * Do not apply by ground within 25 feet of lakes, reservoirs, rivers, permanent streams, marshes or natural ponds, estuaries, and commercial fish ponds. * For applications to turf and lawns, do not apply more than 0.23 lb. bifenthrin/acre/year. * When treating adjacent to an existing structure, the applicator must check the area to be treated, and immediately adjacent areas of the structure, for visible and accessible cracks and holes to prevent any leaks or significant exposures to persons occu pying the structure. People present or residing in the structure during application must be advised to remove their pets and themselves from the structure if they see any signs of leakage. After application, the applicator is required to check for leaks. All leaks resulting in the deposition of termiticide in locations other than those prescribed on this label must be cleaned up prior to leaving the application site. Do not allow people or pets to contact contaminated areas or to reoccupy contaminated areas of the structure until the clean-up is completed. To treat insects harbored in voids and cracks-and-crevices, applications must be made in such a manner to limit dripping and avoid runoff onto untreated structural surfaces and plants. Additional Application Restrictions for Residential Outdoor Surface and Space Sprays All outdoor applications must be limited to spot or crack-and-crevice treatments only, except for the following permitted uses: 1. Applications to pervious surfaces, including soil, lawn, turf and other vegetation; 2. Applications to vertical surfaces (including the side of a man-made structure) directly above impervious surfaces (including driveways, sidewalks, etc.), up to 2 feet above ground level; 3. Applications to underside of eaves, soffits, doors, or windows permanently protected from rainfall by a covering, overhang, awning or other structure; 4. Applications around potential exterior pest entry points into man-made structures, including doorways and windows, when limited to a band not to exceed 1-inch; 5. Applications to vertical surfaces directly above pervious surfaces, including soil, lawn, turf, mulch or other vegetation) only if the pervious surface does not drain into ditches, storm drains, gutters, or surface waters. Other than applications to building foundations, all outdoor applications to impervious surfaces such as sidewalks, driveways, patios, porches, and structural surfaces (such as windows, doors, and eaves) are limited to spot and crack-and-crevice applications, only. PRODUCT INFORMATION Do not use on plants being grown for sale or other commercial use, or for commercial seed production, or for research purposes. For use on plants intended for aesthetic purposes or climatic modifications and being grown in ornamental parks and gardens, inte rior plantscapes, or lawns and grounds. Bidy prevents and controls termite infestations in and around structures and constructions. Bidy used in and around structures and building construction will prevent and control termite infestations. To institute a barrier between the wood and the termites in the soil, the chemical dilution must be effectively dispersed in the soil. It is important to remove unnecessary materials that contain cellulose and wood from around foundation walls, crawl spaces (inside of structure), and porches, and fix damaged plumbing and construction grade in order to deny termite access to moisture. Treat the soil around untreated structural wood in contact with soil as stated below. To use Bidy effectively, it is important that the service technician be familiar with current control practices including trenching, rodding, sub-slab injection, low-pressure spray applications, coarse fan spraying of soil surfaces, crack and crevice (void) injection, excavated soil treatment and brush and spray applications to infested or susceptible wood. Using these techniques correctly is essential to prevent or control infestations by subterranean termite species of genera Reticulitermes, Zootermopsis, Coptotermes and Heterotermes. When determining what procedures to follow, the service technician must consider certain variables. Some of the variables to consider are species biology and behavior, structure design, heating, ventilation, and air conditioning (HVAC) sys tems, water table, soil type and compaction, grade conditions, and the location and type of domestic water supplies and utilities. For information concerning the most up to date control practices in a given region or locale, consult the local resources for struc tural pest control, State Cooperative Extensions, or regulatory agencies. Subterranean Termite Control Use Important: Observe the following precautions to avoid contamination of public and private water supplies: * Use anti-backflow equipment and procedures to prevent insecticide from being siphoned into water supplies. * Do not contaminate cisterns, wells, or other water tanks by treating the soil beneath these structures. * Do not treat soil where runoff may occur. * Do not treat soil water-saturated or frozen soil. * Consult local and State specifications for specified treatment practices in your area. * If local or State specifications do not exist, consult the Federal Housing Administration (H.U.D.) guidance documents. Note: For the purposes of this label, crawl spaces are defined as being inside of the structure. Critical Areas: Points at which the foundation is penetrated or abuts another structure are critical areas. These include bath traps, cracks and expansion joints, utility entry points, and adjacent structures such as patios, slab additions, and stairs. Structures with Wells/Cisterns Inside Foundations Structures that contain wells or cisterns within the foundation of a structure can only be treated using the following techniques: 1. Do not treat soil while it is beneath or within the foundation or along the exterior perimeter of a structure that contains a well or cistern. The treated backfill method must be used if soil is removed and treated outside/away from the foundation. The treated backfill technique is described as follows: a. Trench and remove soil to be treated onto heavy plastic sheeting or similar material or into a wheelbarrow. b. Treat the soil at the rate of 4 gallons of dilute dilution per 10 linear feet per foot of depth of the trench, or 1 gallon per 1.0 cubic feet of soil. See the Mixing Directions section of this label. Mix thoroughly into the soil taking care to contain the liquid and prevent runoff or spillage. c. After the treated soil has absorbed the diluted emulsion, replace the soil into the trench. 2. Treat infested and/or damaged wood in place using an injection technique such as described in the Control of Wood-Infesting Insects section of this label. Structures with Adjacent Wells/Cisterns and/or Other Water Bodies Applicators must inspect all structures with nearby water sources such as wells, cisterns, surface ponds, streams, and other bod ies of water and evaluate, at a minimum, the treatment recommendations listed below prior to making an application. 1. Prior to treatment, if feasible, expose the water pipe(s) coming from the well to the structure, if the pipe(s) enter the structure within 3 ft. of grade. 2. Prior to treatment, applicators are advised to take precautions to limit the risk of applying the termiticide into subsurface drains that could empty into any bodies of water. These precautions include evaluating whether application of the termiticide to the top of the footer may result in contamination of the subsurface drain. Factors such as depth to the drain system and soil type and degree of compaction must be taken into account in determining the depth of the treatment. 3. When appropriate (i.e., on the water side of the structure), the treated backfill technique (described above) can also be used to minimize off-site movement of termiticide. Before these techniques are used close to cisterns, wells, or other bodies of water, seek advice from local, State, or Federal agen cies for information on treatment practices that are accepted in your area. Application Use Rate: Use a 0.06% dilution for subterranean termites. For other pests on the label use specific listed rates. Mixing Directions Mix the termiticide use dilution in the following manner: Fill tank 1/4 - 1/3 full. Start pump to begin by-pass agitation and place end of treating tool in tank to allow circulation through hose. Add appropriate amount of Bidy. Add remaining amount of water. Let pump run and allow recirculation through the hose for 2 - 3 minutes. Bidy may also be combined into full tanks of water. If combined into full tanks of water, allow sufficient time for agitation and/or recirculation to ensure consistency of the dilution. To prepare a 0.06% water dilution, ready to use, dilute 1 qt. of Bidy with 99.75 gals. of water. Mixing: Using the chart below, determine the volume of Bidy and water required to produce the desired volume of finished dilution. \| Amount of Bidy \| \| \| \| \|---\|---\|---\|---\| \| Dilution Concentrate \| Amount of Bidy \| Amount of Water \| Desired Gallons of Finished Dilution \| \| 0.06% \| 0.32 fl. oz. \| 127.68 fl. oz. \| 1 \| \| \| 1.6 fl. oz. \| 4.99 gals. \| 5 \| \| \| 3.2 fl. oz. \| 9.975 gals. \| 10 \| \| \| 8 fl. oz. \| 24.94 gals. \| 25 \| \| \| 0.5 qt. \| 49.875 gals. \| 50 \| \| \| 0.75 qt. \| 74.8125 gals. \| 75 \| \| \| 1 qt. \| 99.75 gals. \| 100 \| \| \| 1.5 qts. \| 149.62 gals. \| 150 \| \| \| 2 qts. \| 199.5 gals. \| 200 \| \| 0.12%* \| 0.64 fl. oz. \| 127.36 fl. oz. \| 1 \| \| \| 3.2 fl. oz. \| 4.975 gals. \| 5 \| \| \| 6.4 fl. oz. \| 9.95 gals. \| 10 \| \| \| 0.5 qt. \| 24.875 gals. \| 25 \| \| \| 1 qt. \| 49.75 gals. \| 50 \| \| \| 1.5 qts. \| 74.625 gals. \| 75 \| \| \| 2 qts. \| 99.5 gals. \| 100 \| \| \| 3 qts. \| 149.25 gals. \| 150 \| \| \| 1 gal. \| 199 gals. \| 200 \| When treating for termites, use this rate only in conjunction with volume adjustments, foam applications or underground ser vices applications. Units of measure: 1 quart = 2 pints = 4 cups = 32 fluid ounces (fl. oz.) 1 pint = 16 fluid ounces (fl. oz.) Application Volume: To provide maximum control and protection against termite infestation, apply the specified volume of the finished water dilution and active ingredient as set forth in the DIRECTIONS FOR USE section of this label. If soil will not accept the labeled application volume, the volume may be reduced provided there is a corresponding increase in concentration so that the amount of active ingredient applied to the soil remains the same. Note: Large reductions of application volume reduce the ability to obtain a continuous barrier. Variance is allowed when volume and concentration are consistent with the label directed rates and a continuous barrier can still be achieved. The volume of the 0.12% dilution may be reduced by half the labeled volume where desirable for pre- and post-construction appli cations. When the volume is reduced, the hole spacing for sub-slab injection and soil rodding may also need to be adjusted to account for lower volume dispersal of the termiticide in the soil. Consult the following VOLUME ADJUSTMENT CHART for details. \| VOLUME ADJUSTMENT CHART \| \| \| \|---\|---\|---\| \| Rate (% Dilution) \| 0.06% \| 0.12% \| \| Volume Allowed: Horizontal (gallons dilution/10 ft.²) Vertical (gallons dilution/10 linear ft.) \| 1 gal. 4 gals. \| 0.5 gal. 2 gals. \| After Treatment: All holes in commonly occupied areas into which material has been applied must be plugged. Plugs must be of a non-cellulose material or covered by an impervious, non-cellulose material. Pre-Construction Subterranean Termite Treatment Do not apply at a lower dosage and/or concentration than specified on this label for applications prior to the installation of the fin ished grade. The treatment site must be covered prior to a rain event in order to prevent run-off of the pesticide into non-target areas. The applicator must either cover the soil him/herself or provide written notification of the above requirement to the contractor on site and to the person commissioning the application (if different than the contractor). If notice is provided to the contractor or the person commissioning the application, then they are responsible under FIFRA to ensure that: 1) if the concrete slab cannot be poured over the treated soil within 24 hours of application the treated soil is covered with a waterproof covering (such as polyethylene sheeting), and 2) the treated soil is covered if precipitation is predicted to occur before the concrete slab is scheduled to be poured. Use Restrictions Do not treat soil that is water-saturated or frozen. Do not treat when raining. * Do not allow treatment to runoff from the target area. * Do not apply within 10 ft. of storm drains. Do not apply within 25 ft. of aquatic habitats (such as, but not limited to, lakes; res ervoirs; rivers; permanent streams; marshes or ponds; estuaries; and commercial fish farm ponds). * Do not make on-grade applications when sustained wind speeds are above 10 mph (at application site) at nozzle end height. When treating foundations deeper than 4 ft., apply the termiticide as the backfill is being replaced, or if the construction contractor fails to notify the applicator to permit this, treat the foundation to a minimum depth of 4 ft. after the backfill has been installed. The applicator must trench and rod into the trench or trench along the foundation walls and around pillars and other foundation elements, at the rate prescribed from grade to a minimum depth of 4 ft. When the top of the footing is exposed, the applicator must treat the soil adjacent to the footing to a depth not to exceed the bottom of the footing. However, in no case must a structure be treated below the footing. To produce effective pre-construction subterranean termite control, create vertical and/or horizontal chemically treated zones of protection using 0.06% dilution of Bidy. Horizontal Barriers Establish a horizontal chemical barrier wherever treated soil will be covered by a slab, such as basement floors, carports, entrance platforms, footing trenches, and slab floors. Apply 1 gal. of 0.06% dilution per 10 sq. ft., or use 0.32 fl. oz. of Bidy per 10 sq. ft. in sufficient water (no less than 0.5 gal. or more than 2 gals.) to provide a uniform treated barrier for the area being treated. If the fill is coarse aggregate, such as washed gravel, a sufficient volume of dilution must be applied to allow it to reach the soil beneath the coarse fill. Make applications with a low-pressure spray (less than 50 PSI), using a coarse spray nozzle. If foundation walls have not been installed around the treated soil and the slab will not be poured the same day as treatment, the treated soil must be covered with a water-proof barrier. Polyethylene sheeting may be used for this purpose. Vertical Barriers Establish vertical barriers in critical areas, such as along the inside of foundation walls, plumbing, bath traps, utility services and other features that will penetrate the slab. Using a 0.06% dilution, apply 4 gals. of dilution per 10 linear feet per foot of depth or 1.28 fl. oz. of Bidy per 10 linear feet per foot of depth from grade level to the top of the footing in sufficient water to provide a uniform treated barrier. Use not less than 2 gals. to not more than 8 gals. of water per 10 linear feet. When trenching and rodding into the trench, or trenching, take care to ensure that the dilution reaches the top of the footing. Space the rod holes so that a continuous treated barrier is created, but not exceeding 12" apart. Avoid washing-out the soil around the footing. Trenches must be about 6" wide and 6" deep. Mix the chemical dilution with the soil as it is being replaced in the trench. Inside vertical barriers may not be required for monolithic slabs. When treating hollow block voids, use 2 gals. of dilution per 10 lin ear feet to assure that the dilution reaches the top of the footing. Hollow block voids may be treated at the rate of 2 gals. of emulsion per 10 linear feet so that the emulsion reaches the top of the footing. Prior to each application, applicators must notify the general contractor, construction superintendent, or similar responsible party, of the intended termiticide application and intended sites of application and instruct the responsible person to notify construction workers and other individuals to leave the area to be treated during application and until the termiticide is absorbed into the soil. Post-Construction Subterranean Termite Treatment Application Volume: To provide maximum control and protection against termite infestation, apply the specified volume of the finished water dilution and active ingredient as set forth in the DIRECTIONS FOR USE section of this label. If soil will not accept the labeled application volume, the volume may be reduced provided there is a corresponding increase in concentration so that the amount of active ingredient applied to the soil remains the same. Note: Large reductions of application volume reduce the ability to obtain a continuous barrier. Variance is allowed when volume and concentration are consistent with the label directed rates and a continuous barrier can still be achieved. The volume of the 0.12% dilution may be reduced by half the labeled volume where desirable for pre- and post-construction appli cations. When the volume is reduced, the hole spacing for subslab injection and soil rodding may also need to be adjusted to account for lower volume dispersal of the termiticide in the soil. Consult the following VOLUME ADJUSTMENT CHART for details. After Treatment: All holes in commonly occupied areas into which material has been applied must be plugged. Plugs must be of a non-cellulose material or covered by an impervious, non-cellulose material. For post-construction treatment, use a 0.06% dilution. Post-construction treatments shall be made by sub-slab injection, trenching and rodding into the trench or trenching using low-pressure spray not exceeding 25 PSI at the nozzle. Proper precautions must be taken to avoid soil wash-out around the footing. Locate, identify, and mark wells, electrical conduits, water and sewer lines, and radiant heat pipes prior to application of Bidy. Do not puncture or inject Bidy into such structures. Foundations For applications made after the final grade is installed, the applicator must trench and rod into the trench or trench along the foun dation walls and around pillars and other foundation elements, at the rate prescribed from grade to the top of the footing. When the footing is more than 4 ft. below grade, the applicator must trench and rod into the trench or trench along the foundation walls at the rate prescribed to a minimum depth of 4 ft. The actual depth of treatment will vary depending on soil type, degree of compaction, and location of termite activity. When the top of the footing is exposed, the applicator must treat the soil adjacent to the footing to a depth not to exceed the bottom of the footing. However, in no case must a structure be treated below the footing. Slabs Create vertical barriers by trenching and rodding into the trench or trenching outside at a rate of 4 gals. of dilution per 10 linear feet per foot of depth and by sub-slab injection within the structure. Ensure an even distribution of chemical. Applications must not be made below the bottom of the footing. Apply beside the outside of the foundation and under the slab on the inside of foundation walls, where needed. Treatment of slabs may also be necessary under and beside both sides of any interior footing-supported walls, in all cracks and expansion joints, and beside one side of interior partitions. By long-rodding or grid pattern injection vertically through the slab, horizontal barriers may be created where necessary. a. To permit the creation of an uninterrupted insecticidal barrier, drill holes in the foundation and/or slab. b. For foundations that are less than or equal to 1 ft., dig a narrow trench about 6" wide beside the outside of the foundation walls. Do not dig beneath the bottom of the footing. As the soil is placed back into the trench, apply 4 gals. of 0.06% dilution per 10 linear feet per foot of depth to the trench and soil. c. Follow the rates for Basements (see below) for foundations that are deeper than 1 ft. d. A 0.06% dilution may be used to treat exposed soil and wood in bath traps. Basements Treatment must be made by trenching and rodding into the trench or trenching at the rate of 4 gals. of dilution per 10 linear feet per foot of depth wherever the footing, from grade to the bottom of the foundation, is greater than 1 ft. of depth. When the footer is greater than 4 ft. below grade, the applicator may trench and rod into the trench, or trench beside foundation walls at the rate des ignated for 4 ft. of depth. Space rod holes to create a continuous insecticidal barrier, but in no case more than 12" apart. Depending on the type of soil, degree of compaction, and location of termite activity, the actual depth of treatment will differ. However, a struc ture must never be treated below the footer. Sub-slab injection may be needed beside the inside of foundation walls, around con duits, piers, and pipes, beside both sides of interior footing-supported walls, and beside cracks and partition walls. Crawl Spaces - Accessible For crawl spaces, apply vertical termiticide barriers at the rate of 4 gals. of dilution per 10 linear feet per foot of depth from grade to the top of the footing, or if the footing is more than 4 ft. below grade, to a minimum depth of 4 ft. Apply by trenching and rodding into the trench, or trenching. Treat both sides of foundation and around all piers and pipes. Where physical obstructions such as concrete walkways adjacent to foundation elements prevent trenching, treatment may be made by rodding alone. When soil type and/or conditions make trenching prohibitive, rodding may be used. When the top of the footing is exposed, the applicator must treat the soil adjacent to the footing to a depth not to exceed the bottom of the footing. Read and follow the mixing and use direction section of the label if situations are encountered where the soil will not accept the full application volume. 1. Rod holes and trenches must not extend below the bottom of the footing. 2. Rod holes must be spaced so as to achieve a continuous termiticide barrier but in no case more than 12" apart. 3. Trenches must be a minimum of 6" deep or to the bottom of the footing, whichever is less, and need not to be wider than 6". When trenching in sloping (tiered) soil, the trench must be stepped to ensure adequate distribution and prevent termiticide from running off. The dilution must be mixed with the soil as it is replaced in the trench. 4. When treating plenums or crawl spaces, turn off the air circulation system of the structure until application has been completed and all termiticide has been absorbed by the soil. Crawl Spaces - Inaccessible For inaccessible interior areas, such as areas where there is insufficient clearance between floor joists and ground surfaces to allow operator access, excavate if possible, and treat according to the instruction for accessible crawl spaces. Otherwise, apply one or a combination of the following two methods. 1. To establish a horizontal barrier, apply to the soil surface, 1 gal. of dilution per 10 square feet overall using a nozzle pressure of less than 25 PSI and a coarse application nozzle (e.g., Delavan Type RD Raindrop, RD-7 or larger, or Spraying Systems Co. 8010LP TeJet ® or comparable nozzle). For an area that cannot be reached with the application wand, use one or more exten sion rods to make the application to the soil. Do not broadcast or power-spray with higher pressures. 2. To establish a horizontal barrier, drill through the foundation wall or through the floor above and treat the soil perimeter at a rate of 1 gal. of dilution per 10 square feet. Drill spacing must be at intervals not to exceed 16". Many states have smaller inter vals, so check State regulations which may apply. When treating plenums and crawl spaces, turn off the air circulation systems of the structure until application has been completed and all termiticide has been absorbed by the soil. Masonry Voids Drill and treat voids in multiple masonry elements of the structure extending from the structure to the soil in order to create a con tinuous treatment barrier in the area to be treated. Apply at a rate of 2 gals. of dilution per 10 linear feet of footing, using a nozzle pressure of less than 25 PSI. When using this treatment, access holes must be drilled below the sill plate and must be as close as possible to the footing as is practical. Treatment of voids in block or rubble foundation walls must be closely examined: Applicators must inspect areas of possible runoff as a precaution against application leakage in the treated areas. Some areas may not be treatable or may require mechanical alteration prior to treatment. All leaks resulting in the deposition of termiticide in locations other than those prescribed on this label must be cleaned up prior to leaving the application site. Do not allow people or pets to contact contaminated areas or to reoccupy the contaminated areas of the structure until the clean-up is completed. NOTE: When treating behind veneer structures (walls, etc.) take proper care to not drill beyond the veneer. If concrete blocks exist behind the veneer, both can be drilled and treated simultaneously. Not for use in voids insulated with rigid foam insulation. Excavation Technique - When treating in troublesome areas (e.g., beside fieldstone or rubble walls, beside faulty foundation walls, and around pipes and utility lines leading downward from the structure to a well or pond), apply using the following technique: a. Prepare a trench, placing the removed soil onto heavy-weight plastic sheeting or similar, water-impermeable material. b. Treat the soil with 4 gals. of 0.06% dilution per 10 linear feet per foot of depth of the trench. Completely mix the dilution into the soil, exercising care to avoid liquid running off the sheeting. c. Place the treated soil back into the trench after it has absorbed the dilution. Attention: Wear NIOSH approved respirator as listed in the PPE section of this label and unvented goggles when applying Bidy in a confined area. Foam Applications Bidy dilution, from 0.06 - 0.12% may be converted to foam with 2X - 40X expansion characteristics and used to control or prevent termite infestations. Depending on the circumstances, foam applications may be used alone or in combination with liquid emulsion applications. Appli cations may be made behind veneers, piers, chimney bases, into rubble foundations, into block voids or structural voids, under slabs, stoops, porches, or to the soil in crawlspaces, and other similar voids. Foam and liquid application must be consistent with volume and active ingredient instructions in order to ensure proper application has been made. The volume and amount of active ingredient are essential to an effective treatment. At least 75% of the labeled liquid emulsion volume of product must be applied, with the remaining percent delivered to appropriate areas using foam applica tion. Refer to label and use recommendations of the foam manufacturer and the foaming equipment manufacturer. Foam applications are generally a good supplement to liquid treatments in difficult areas, but may be used alone in difficult spots. Application Under Slabs or to Soil in Crawlspaces to Prevent or Control Termites When making applications, Bidy foam can be used alone or in combination with liquid dilution. Whether applied as a dilution, foam, or some of both, the equivalent of at least 4 gals. of 0.06% dilution (1.28 fl. oz. of Bidy concentrate) per 10 linear feet must be applied for a vertical barrier, or at least 1 gal. of 0.06% dilution (0.32 fl. oz. of Bidy concentrate) per 10 sq. ft. must be applied for a horizontal barrier. For a foam only application, apply Bidy concentrate in sufficient concentration and volume to equal 1.28 fl. oz. of concentrate per 10 linear feet or 1 fl. oz. of concentrate per 10 sq. ft. For example, 2 gals. of 0.12% dilution converted to foam and used to cover 10 linear feet is the equivalent of 4 gals. of 0.06% dilution per 10 linear feet. Sand Barrier Installation and Treatment As long as termites have access to soil that has not been treated and can avoid soil that has been treated with Bidy, they can build mud tubes over surfaces that have been treated. Cracks and spaces must be filled with play box or builder's sand and then treated in the same manner as soil. Follow the rates listed on the Bidy label. Retreatment for subterranean termites can only be performed if there is clear evidence of reinfestation or disruption of the barrier due to construction, excavation, or landscaping and/or evidence of the breakdown of the termiticide barrier in the soil. These vul nerable or re-infested areas may be retreated in accordance with application techniques described in Bidy's labeling. The timing and type of these retreatments will vary depending on factors such as termite pressure, soil types, soil conditions and other factors which may reduce the effectiveness of the barrier. Annual re-treatment of the structure is prohibited unless there is clear evidence that reinfestation or barrier disruption has occurred. APPLICATION IN CONJUNCTION WITH THE USE OF ABOVE-GROUND TERMITE BAITS As part of an integrated pest management (IPM) program for termite control, Bidy may be applied to critical areas of the structure including plumbing and utility entry sites, bath traps, expansion joints, foundation cracks and areas with known or suspected infes tations at a rate of 0.06% as a spot treatment or complete barrier treatment. Applications may be made as described in the Post- Construction treatment section of this label. Specific Pest Control Applications Underground Services (e.g. cables, conduits, pipes, utility lines, wires, etc.) may be in right-of-ways, inside of structures or to guard long range (miles) of installations of services. Treat the soil using a 0.06 - 0.12% Bidy dilution to prevent and control termite and ant infestations. Treat the bottom of the trench with 2 gals. of dilution per 10 linear feet and let it soak into the soil. Place the services on the treated soil and cover with about 2" of fill soil. Apply another 2 gals. per 10 linear feet over the fill soil to complete the chemical barrier. Only treat the soil in the area near the services in wide trenches, but ensure a continuous barrier of treated soil surrounding the services. In the event that the soil will not accept the volume stated above, 1 gal. of 0.12% Bidy may be applied per 10 linear feet of trench over the soil that covers the services and to the base of the trench. Fill the remainder of the trench with the treated fill soil. Where each service sticks out of the ground, the soil may be treated by trenching/rodding no more than 1 - 2 gals. of dilution into the soil. Restriction: Do not treat electrically active underground services. Posts, Poles, and Other Constructions Around wooden constructions (signs, fences, and landscape ornamentation) an insecticidal barrier can be established by treating with a 0.06% dilution. Sub-surface injection and gravity-flow through holes in the bottom of the trench, are two treatment methods that can be used on poles and posts that have already been installed. Establishing a complete chemical zone around the pole can be accomplished by treating on all sides. For poles and posts that are fewer than 6" in diameter use 1 gal. of dilution per foot of depth and 1.5 gals. for larger poles, applying under the wood to a depth of 6", 4 gals. per 10 linear feet per foot of depth must be used for larger constructions. Control of Wood-Infesting Insects in Wood (Localized Areas in Structures) \| Insects \| Application Rate \| \|---\|---\| \| Termites Ants Carpenter Ants Wood-Infesting Beetles (including Old House Borer & Powder Post) \| Apply a 0.06% dilution to voids and galleries in damaged wood and in spaces between wooden members of a structure and between wood and foundations where wood is at risk. \| Controlling termite carton nests in building voids can be accomplished by injecting with a 0.06% dilution. To obtain control, various depths of injection and numerous injection points may be needed. After treatment is complete and when feasible, remove the car ton nest material from the building void. To control Bees, Wasps, Hornets, and Yellow-Jackets, apply a 0.06% dilution late in the evening or when insects are at rest. Direct the spray at nest openings in the ground, bushes, and in cracks and crevices, where the insects may nest. Saturate the openings and contact as many insects as possible. Restrictions: * Locate, identify, and mark wells, electrical conduits, water and sewer lines, and radiant heat pipes prior to application of Bidy. Do not puncture or inject Bidy into such structures. * Do not apply into electrical fixtures, switches, or sockets. * In the home, all food processing surfaces and utensils in the treatment area must be covered during treatment or thoroughly washed before re-use. Remove pets, birds, and cover aquariums before spraying. * Do not permit humans or pets to contact treated surfaces until the spray has dried. * During any overhead applications to overhead interior areas of structures, cover surfaces below with plastic sheeting or similar materials (except where exempt). * Wear protective clothing, unvented goggles, gloves, and respirator, when applying to overhead areas or in poorly ventilated areas. Avoid touching sprayed surfaces until spray has completely dried. * Do not use in food/feed areas of food/feed handling establishments, restaurants, or other areas where food/feed is commer cially prepared or processed. Do not use in serving areas while food is exposed, or facility is in operation. Serving areas are areas where prepared foods are served such as dining rooms but excluding areas where food may be prepared or held. * In the home, cover all food handling surfaces and cover or remove all food and cooking utensils, or wash thoroughly after treat ment. Non-food/feed areas of food/feed areas are areas such as garbage rooms, lavatories, floor drains (to sewers) entries and vestibules, offices, locker rooms, machine rooms, boiler rooms, garages, mop closers, and storage (after bottling or canning). * Not for use in Federally Inspected Meat and Poultry Plants. Control of Wood-Infesting Insects and Nuisance Pests (Outside of Structures) In order to control listed wood-infesting insects active inside trees, utility poles and/or fences, inject 0.06% dilution into the infested cavity, which can be found by drilling into the wood. If treating nuisance pests on the exterior of the structure, use a fan spray at a maximum pressure of 25 PSI and apply up to the point of runoff. To control Bees, Wasps, Hornets, and Yellow-Jackets, apply late in the evening. Direct the spray at nest openings in the ground, bushes, and in cracks and crevices, where the insects may nest. Saturate the openings and contact as many insects as possible. Pests Under Slabs To control infestations of Arthropods (e.g., ants, cockroaches, and scorpions) that live beneath the slab area, drill or horizontally rod and inject 1 gal. of a 0.06% - 0.12% dilution per 10 sq. ft. or 2 gals. of dilution per 10 linear feet. Restrictions: * Do not apply to pets, crops, or sources of electricity. Firewood is not to be treated. * Use only in well ventilated areas. * During any application to overhead areas of structure, cover surfaces below with plastic sheeting or similar material (except where exempt). * Do not allow spray to contact food, foodstuffs, food contacting surfaces, food utensils or water supplies. * Thoroughly wash dishes and food handling utensils with soap and water if they become contaminated by application of this product. * Do not treat areas where food is exposed. * During indoor surface applications do not allow dripping or run-off to occur. Application Instructions Bidy formulation mixes readily with water and other aqueous carriers, and controls listed insects and mites on trees, shrubs, foli age plants, non-bearing fruit and nut trees, and flowers in interiorscapes including hotels, shopping malls, office buildings, and, outdoor plantscapes around residential dwellings, parks, institutional, recreational, athletic fields, and home lawns. Non-bearing crops are perennial crops that will not produce a harvestable raw agricultural commodity. Bidy may be tank-mixed with other products, including insect growth regulators. When tank mixing Bidy with other products, observe all precautions and limitations on each separate product label. The addition of spreader stickers is not necessary. The physical compatibility of Bidy may vary with different sources of pesticide products, and local cultural practices. Any tank mixture which has not been previously tested must be prepared on a small scale (pint or quart jar), using the proper proportions of chemi cals and water to ensure the physical compatibility of the mixture. It is the pesticide user's responsibility to ensure that all products are registered for the intended use. Read and follow the applicable restrictions and limitations and directions for use on all product labels involved in tank mixing. Users must follow the most restrictive directions for use and precautionary statements of each prod uct in the tank mixture. Always conduct a compatibility test prior to any tank mixture. The following procedure is for preparation of a new tank, mix, unless specified otherwise in label directions: 1. Add wettable powders to tank water, 2. Agitate, 3. Add liquids and flowables, 4. Agitate, 5. Add emulsifiable concentrates, and 6. Agitate. If a mixture is found to be incompatible following this order of addition, try reversing the order of addition, or increase the volume of water. Note: If the tank-mixture is found to be compatible after increasing the amount of water, then the sprayer will need to be recalibrated for a higher volume application. Do not allow tank mix to stand overnight. APPLICATION INFORMATION Resistance Management For resistance management, Bidy contains a Group 3A insecticide (or acaricide). Any (insect/mite) population may contain individuals naturally resistant to Bidy and other Group 3A insecticides/acaricides. The resistant individuals may dominate the insect/mite population if this group of insecticides/acaricides are used repeatedly in the same fields. Appropriate resistance-management strategies should be followed. To delay insecticide/acaricide resistance, take the following steps: * Use tank mixtures with insecticides/acaricides from a different group that are equally effective on the target pest when such use is permitted. Do not rely on the same mixture repeatedly for the same pest population. Consider any known cross-resistance issues (for the targeted pests) between the individual components of a mixture. In addition, consider the following recommen dations provided by the Insecticide Resistance Action Committee (IRAC): o Individual insecticides selected for use in mixtures should be highly effective and be applied at the rates at which they are individually registered for use against the target species. o Mixtures with components having the same IRAC mode of action classification are not recommended for insect resistance management. o When using mixtures, consider any known cross-resistance issues between the individual components for the targeted pest(s). o Mixtures become less effective if resistance is already developing to one or both active ingredients, but they may still provide pest management benefits. o The insect resistance management benefits of an insecticide mixture are greatest if the two components have similar periods of residual insecticidal activity. Mixtures of insecticides with unequal periods of residual insecticide activity may offer an insect resistance management benefit only for the period where both insecticides are active. * Adopt an integrated pest management program for insecticide/acaricides use that includes scouting, uses historical information related to pesticide use, crop rotation, record keeping, and which considers cultural, biological and other chemical control practices. * Monitor after application for unexpected target pest survival. If the level of survival suggests the presence of resistance, consult with your local university specialist or certified pest control advisor. * Contact your local extension specialist or certified crop advisors for any additional pesticide resistance-management and/or IPM recommendations for the specific site and pest problems in your area. * For further information or to report suspected resistance contact Sharda USA LLC or their representative. Lawns Bidy may be used as a broadcast treatment. To accomplish uniform control when applying to dense grass foliage, use volumes of up to 10 gals. per 1,000 sq. ft. For low water volume usage, less than 2 gals. per 1,000 sq. ft., addition of a non-ionic or silicone-based surfactant (0.25% v/v) is recommended, as is immediate irrigation of treated area with at least 0.25" of water following application to ensure efficacy of sub-surface pests including Mole Crickets. \| Pest \| Bidy (Fl. Oz. per 1,000 Sq. Ft.) \| \|---\|---\| \| Ants Armyworms Billbugs Chinch Bugs Crane Flies Crickets Cutworms Earwigs Fall Webworms Fleas (Adults, Larvae) Grasshoppers Mites Mole Crickets* Sod Webworms Spittlebugs Ticks \| 0.07 - 0.15 \| \| Imported Fire Ants** Japanese Beetles (Adults) \| 0.07 - 0.30 \| Use Restrictions: * Do Not Use This Product on Golf Courses and Sod Farms in Nassau County or Suffolk County, New York. * In New York State, this product may not be applied within 100 feet (using ground equipment) to 300 feet (using aerial equipment) of coastal marshes or streams that drain into coastal marshes. * In New York State, do make a single repeat application of this product if there are signs of renewed insect activity, but not sooner than 2 weeks after the first application. * Do not apply when wind conditions favor downwind drift to nearby water bodies. Do not apply when wind velocity exceeds 10 mph. * Avoid application when wind gust approach 10 mph. * Apply using nozzles that provide the largest droplet size compatible with adequate coverage. Ornamentals and Trees: Dilute 0.26 - 1.28 fl. oz. of Bidy per 10 gals. of water and apply at the rate of 10 gals. per 4,356 sq. ft. One gallon of finish spray will treat 435 sq. ft. If a higher volume application is needed to sufficiently cover the plant canopy, Bidy can be diluted in large volumes of water and applied through low volume equipment as long as the maximum label rate (1.28 fl. oz. per 4,356 sq. ft.) is not exceeded. ORNAMENTAL APPLICATION RATES \| Pests \| Rate \| \| \|---\|---\|---\| \| \| Lb. a.i. per 10 Gals. \| Fl. Oz. per 10 Gals. \| \| Ants Leafhoppers Aphids Leaf Feeding Bagworms Caterpillars Black Vine Weevil Mealybugs (Adults) Millipedes Brown Soft Scales Mole Crickets* Broad Mites Orchid Weevils Budworms Pillbugs California Red Scale Pine Needle Scales (Crawlers) (Crawlers) Centipedes Plant Bugs Clover Mites (including Lygus spp.) Crickets San Jose Scales Cutworms (Crawlers) Earwigs Sowbugs Elm Leaf Beetles Spiders Fall Webworms Spittlebugs Flea Beetles Tent Caterpillars Fungus Gnats (Adults) Tip Moths Grasshoppers Weevils Lace Bugs Whiteflies \| 0.004 - 0.02 \| 0.26 - 1.28 \| \| Citrus Thrips Leafrollers Beet Armyworm Spider Mites Diaprepes Thrips (Larvae, Adults) Twig Borers European Red Mite \| 0.006 - 0.02 \| 0.38 - 1.28 \| \| Black Vine Weevil Leafminers (Larvae) Pecan Leaf Scorch Mite Fungus Gnats (Larvae) Japanese Beetles (Adults) \| 0.01 - 0.02 \| 0.64 - 1.28 \| Pest Control on Outside Surfaces and Around Buildings Follow Additional Application Restrictions for Residential Outdoor Surface and Space Sprays under DIRECTIONS FOR USE section. Applications to vertical exterior surfaces (e.g., foundations) are permitted to a maximum height of 3 ft. from ground level. Sections of vertical exterior surfaces that abut non-porous horizontal surfaces can only be treated if either 1) these sections are protected from rainfall and spray from sprinklers or 2) they do not drain into a sewer, storm drain, or curbside gutter (e.g., not to sections that abut driveways or sidewalks that drain into streets). \| Use Sites \| Pests \| Rate \| \|---\|---\|---\| \| Garages Garbage Sites Foundations Outdoor Siding Overhang and Eaves Patios Porches Soil Trunks of Woody Ornamentals Window Frames Lawns next to: Apartments Barns Carports Condos Duplexes Fence Rows Garages Private Houses Townhomes Trailers Utility Sheds Residential and Non-Commercial Structures Areas where pests gather or have been seen \| Ants (Carpenter Ants and Fire Ants) Armyworms Bees Centipedes Chiggers Chinch Bugs Clover Mites Crickets Cutworms Dichondra Flea Beetles Earwigs European Crane Flies Grasshoppers Hornets Millipedes Mosquitoes Moths Roaches (Cockroaches) Scorpions Sod Webworms Sowbugs (Pillbugs) Spiders (Black Widow Spiders) Springtails Ticks (Brown Dog Ticks) Wasps \| For a 0.03% dilution mix 0.17 fl. oz./ 1 gal. water (1 fl. oz. = 2 tablespoons) For a 0.06% dilution mix 0.33 fl. oz./ 1 gal. water (1 fl. oz. = 2 tablespoons) \| Perimeter Treatment: Apply to a 7-foot wide band of soil and vegetation around and next to the structure and treat the foundation of the structure to a height of 2 ft. Use a spray volume of 2 - 10 gals. of dilution per 1,000 sq. ft. If foliage is thick or there is mulch or leaf litter nearby, higher volumes of water may be necessary. If certain pests such as Gypsy Moth adults and caterpillars, Boxelder Bugs, Elm Leaf Beetles, Earwigs or Silverfish are nearby, apply to house siding. For sections of foundation that abut non-porous horizontal surfaces, the treated areas must be protected from rainfall and spray from sprinklers or they do not drain into a sewer, storm drain, or curbside gutter (e.g., not to sections that abut driveways or side walks that drain into streets). For Optimal Control of Ant and Fire Ant Mounds, use Bidy 0.06% dilution as Drench Method: Sprinkle the mound, using 1 - 2 gals. of dilution, until it is wet and apply to a 4-foot diameter circle around the mound. When treating mounds larger than 12", use the higher volume. Do not treat in the heat of the day and for optimum results, apply in cool weather, such as in early morning or late evening hours. Application to Home Lawns: Apply Bidy as a broadcast treatment in 2 - 10 gals. of carrier per 1,000 sq. ft. When treating thick grass foliage, use higher volumes to get complete, uniform coverage. Attention: Keep children and pets off treated areas following application until the spray has dried. TRUNK SPRAYS TO ORNAMENTAL TREES To control Dendroctonus bark beetles such as Black turpentine beetle, mountain pine beetle, western pine tip beetle, southern pine tip beetle, and engraver beetles (lps spp.). Preventative Control: In the spring, or when trees nearby have become infested posing a threat, treat the trunk of the tree with a hydraulic sprayer using a mixture that contains 1 - 2 pts. of Bidy per 100 gals. (0.25 - 0.5 lb. a.i. per 100 gals.) of water. Treat the main trunk from the base of the tree to at least halfway into the live crown spraying the tree directly and until the bark is completely wet (usually 1 - 4 gals. of spray per tree). Do not apply more than 0.2 lb. a.i. (12.8 fl. oz.) of Bidy to trees per acre. If reinfestation is probable it may be necessary to repeat treatment. Depending on certain local variables and target pests, application rates and timing will differ. Check with your local State Extension specialist or other qualified expert for specific recommendations. Treatment of Infested Trees: To control emerging brood, treat trees that still have beetles in the bark by using a spray mixture con taining 2 pts. of Bidy per 100 gals. of water. Treat the main trunk from the base of the tree to at least halfway into the live crown spray ing the tree directly and until the bark is completely wet (usually 1 - 4 gals. of spray per tree). Do not apply more than 0.2 lb. a.i. (12.8 fl. oz.) of Bidy to trees per acre. Trees that have needles that have all turned brown normally have been vacated and must not be treated unless infestation is evident. Scrape off the outer bark to determine whether or not the tree is infested. If trunks are currently infested, fell the infested trees and cut into sections. Spray the trunk and large limbs of the sections thoroughly to treat the entire sur face area. Do not apply more than 0.2 lb. a.i. (12.8 fl. oz.) of Bidy per acre. To control other beetles including Ambrosia beetles, Elm Bark beetles and Emerald Ash borer Preventative Control: In the early spring or before adult beetle flight and tree infestation, treat the trunk, scaffolding, and limbs of the tree with a hydraulic sprayer using a spray mixture containing 1 - 2 pts. of the product per 100 gals. (0.25 - 0.5 lb. a.i. per 100 gals.) of water. Spray the tree until the bark is completely wet (usually 6 - 12 gals. of spray per tree). Do not to apply more than 0.2 lb. a.i. to trees per acre. If reinfestation is probable it may be necessary to repeat treatment. Depending on certain local vari ables and target pests, application rates and timing will differ. Check with your local State Extension specialist or other qualified expert for specific recommendations. OTHER BORERS ON ORNAMENTAL TREES To control other boring insects, see the table below. Depending on geographic location and environmental conditions, application rate and timing will differ. Spray the tree until the bark is completely wet but not to the point of runoff (usually 1 - 4 gals. of spray per tree). Do not apply more than 100 gals. of diluted spray mixture to trees on a treated acre. Check with your local State Extension specialist or other qualified expert for specific recommendations. \| Pest \| Rate (Fl. Oz. per 100 Gals.) \| \|---\|---\| \| Clearwing Moth Borers (Ash borer, banded ash clearwing, Dogwood borer, Lesser peachtree Borer, Lilac borer, Oak borer) \| 6.4 - 12.8 \| \| Coleopteran Borers (Bronze birch borer, Flatheaded Appletree borer) \| 6.4 - 12.8 \| STORAGE AND DISPOSAL Do not contaminate water, food, or feed by storage or disposal. Do not pour or dispose down-the-drain or sewer. Call your local solid waste agency for local disposal options. PESTICIDE STORAGE: Store upright at room temperature. Avoid exposure to extreme temperatures. In case of spillage or leak ages, soak up with an absorbent material such as sand, sawdust, earth, Fuller's earth, etc. Dispose of with chemical waste. PESTICIDE DISPOSAL: Improper disposal of excess pesticide, spray mixture, or rinsate is a violation of Federal law. If these wastes cannot be disposed of by use according to label instructions, contact your State Pesticide or Environmental Control Agency, or the Hazardous Waste representative of the nearest EPA Regional Office for guidance. CONTAINER HANDLING: Less Than or Equal to 5 Gallons. Nonrefillable container. Do not reuse or refill this container. Offer for recycling if available. Triple rinse container (or equivalent) promptly after emptying. Triple rinse as follows: Empty the remaining contents into appli cation equipment or a mix tank and drain for 10 seconds after the flow begins to drip. Fill the container 1/4 full with water and recap. Shake for 10 seconds. Pour rinsate into application equipment or a mix tank or store rinsate for later use or disposal. Drain for 10 seconds after the flow begins to drip. Repeat this procedure two more times. Then offer for recycling if available or recon ditioning if appropriate or puncture and dispose of in a sanitary landfill or by incineration. Greater Than 5 Gallons. Nonrefillable container. Do not reuse or refill this container. Offer for recycling, if available. Triple rinse container (or equivalent) promptly after emptying. Triple rinse as follows: Empty the remaining contents into application equip ment or a mix tank. Fill the container 1/4 full with water. Replace and tighten closures. Tip container on its side and roll it back and forth, ensuring at least one complete revolution, for 30 seconds. Stand the container on its end and tip it back and forth sev eral times. Turn the container over onto its other end and tip it back and forth several times. Empty the rinsate into application equipment or a mix tank or store rinsate for later use or disposal. Repeat this procedure two more times. Dispose of empty con tainer in a sanitary landfill or by incineration. For Bulk and Mini-Bulk Containers. Refillable container. Refill this container with pesticide only. Do not use this container for any other purpose. Cleaning the container before final disposal is the responsibility of the person disposing of the container. Cleaning before refilling is the responsibility of the person refilling. To clean container before final disposal, empty the remaining contents from this container into application equipment or mix tank. Fill the container about 10% full with water. Agitate vigor ously or recirculate water with the pump for 2 minutes. Pour or pump rinsate into application equipment or rinsate collection system. Repeat this rinsing procedure two more times. Then offer for recycling if available or puncture and dispose of in a san itary landfill, or by incineration, or by other procedures allowed by State and local authorities. CONDITIONS OF SALE AND LIMITATION OF WARRANTY AND LIABILITY NOTICE: Read the entire Directions for Use and Conditions of Sale and Limitation of Warranty and Liability before buying or using this product. If the terms are not acceptable, return the product at once, unopened, and the purchase price will be refunded. The Directions for Use of this product must be followed carefully. It is impossible to eliminate all risks inherently associated with the use of this product. Ineffectiveness or other unintended consequences may result because of such factors as manner of use or application, weather, presence of other materials or other influencing factors in the use of the product, which are beyond the con trol of Sharda USA LLC or Seller. To the extent consistent with applicable law, all such risks shall be assumed by Buyer and User, and Buyer and User agree to hold Sharda USA LLC and Seller harmless for any claims relating to such factors. Sharda USA LLC warrants that this product conforms to the chemical description on the label and is reasonably fit for the purposes stated in the Directions for Use, subject to the inherent risks referred to above, when used in accordance with directions under nor mal use conditions. This warranty does not extend to the use of this product contrary to label instructions, or under conditions not reasonably foreseeable to or beyond the control of Seller or Sharda USA LLC and Buyer and User assume the risk of any such use. To the extent consistent with applicable law, Sharda USA LLC MAKES NO WARRANTIES OF MERCHANTABILITY OR OF FITNESS FOR A PARTICULAR PURPOSE NOR ANY OTHER EXPRESS OR IMPLIED WARRANTY EXCEPT AS STATED ABOVE. To the extent consistent with applicable law, neither Sharda USA LLC nor Seller shall be liable for any incidental, consequential or special damages resulting from the use or handling of this product. TO THE EXTENT CONSISTENT WITH APPLICABLE LAW, THE EXCLUSIVE REMEDY OF THE USER OR BUYER, AND THE EXCLUSIVE LIABILITY OF SHARDA USA LLC AND SELLER FOR ANY AND ALL CLAIMS, LOSSES, INJURIES OR DAMAGES (INCLUDING CLAIMS BASED ON BREACH OF WARRANTY, CONTRACT, NEGLIGENCE, TORT, STRICT LIABILITY OR OTHERWISE) RESULTING FROM THE USE OR HANDLING OF THIS PRODUCT, SHALL BE THE RETURN OF THE PURCHASE PRICE OF THE PRODUCT OR, AT THE ELECTION OF SHARDA USA LLC OR SELLER, THE REPLACEMENT OF THE PRODUCT. Sharda USA LLC and Seller offer this product, and Buyer and User accept it, subject to the foregoing Conditions of Sale and Limita tion of Warranty and Liability, which may not be modified except by written agreement signed by a duly authorized representative of Sharda USA LLC. All trademarks are the property of their respective owners. NOTES 12/28/21 3:16 PM BIFENTHRIN GROUP 3A INSECTICIDE Insecticide/Termiticide Only for use by individuals/firms licensed or registered by the State to apply termiticide products. States may have more restrictive requirements regarding qualifications of persons using this product. Consult the structural pest control regulatory agency of your State prior to use of this product. Si usted no entiende la etiqueta, busque a alguien para que se la explique a usted en detalle. (If you do not understand this label, find someone to explain it to you in detail.) KEEP OUT OF REACH OF CHILDREN WARNING/AVISO FIRST AID - IF SWALLOWED: • Immediately call a Poison Control Center or doctor. • Do not induce vomiting unless told to do so by a poison control center or doctor. • Do not give any liquid to the person. • Do not give anything by mouth to an unconscious person. IF INHALED: • Move person to fresh air. • If person is not breathing, call 911 or ambu lance, then give artificial respiration, preferably by mouth-to-mouth, if possible. • Call a poison control center or doctor for further treatment advice. IF ON SKIN OR CLOTHING: • Take off contaminated clothing. • Rinse skin immediately with plenty of water for 15 - 20 minutes. • Call a poison control center or doctor for treatment advice. IF IN EYES: • Hold eye open and rinse slowly and gently with water for 15 - 20 minutes. • Remove contact lenses, if present, after the first 5 minutes, then continue rinsing eye. • Call a poison control center or doctor for treatment advice. NOTE TO PHYSICIAN - This product is a pyrethroid. This product also contains aromatic hydrocarbons. Because of the risk of hydrocarbon pneumonitis if even tiny amounts are aspirated into the lung during emesis, consideration should be given to gastric lavage with endotracheal tube in place. Treatment is symptomatic and supportive. Animal and vegetable fats, milk, cream, and alcohol may increase absorption and should not be administered. Contains petroleum distillates. Vomiting may cause aspiration pneumonia. HOTLINE NUMBER - Have the product container or label with you when calling a poison control center or doctor or going for treatment. For emergency information concerning this product, call your poison control center at 1-800-222-1222. PRECAUTIONARY STATEMENTS - HAZARDS TO HUMANS AND DOMES TIC ANIMALS - WARNING - May be fatal if swallowed. Causes substantial but temporary eye injury. Do not get in eyes or on clothing. Harmful if inhaled or absorbed through skin. Avoid breath ing vapor or spray mist and contact with skin. Wash thoroughly with soap and water after handling and before eating, drinking, chewing gum, using tobacco, or using the toilet. Remove and wash contaminated clothing before reuse. ENVIRONMENTAL HAZARDS - This pesticide is extremely toxic to fish and aquatic invertebrates. Do not apply when weather conditions favor drift from treated areas. Care must be used when spraying to avoid fish and reptile pets in/around ornamental ponds. This pesticide is highly toxic to bees exposed to direct treatment or residues on blooming crops or weeds. Do not apply Bidy or allow it to drift to crops or weeds on which bees are actively foraging. Additional information may be obtained from your Cooperative Extension Service. To protect the environment, do not allow pesticide to enter or run off into storm drains, drainage ditches, gutters, or surface waters. Applying this product in calm weather when rain is not predicted for the next 24 hours will help to ensure that wind or rain does not blow or wash pesticide off the treatment area. Rinsing application equipment over the treated area will help avoid run off to water bodies or drainage systems. PHYSICAL/CHEMICAL HAZARDS - Com bustible. Do not use or store near heat or open flame. Do not apply this product in or on electrical equipment due to the possibility of shock hazard. Do not mix or allow to come in contact with oxidizing agents. Hazardous chemical reaction may occur. STORAGE AND DISPOSAL - Do not contaminate water, food, or feed by storage or disposal. Do not pour or dispose down-the-drain or sewer. Call your local solid waste agency for local disposal options. PESTICIDE STORAGE: Store upright at room temperature. Avoid exposure to extreme temperatures. In case of spillage or leakages, soak up with an absorbent material such as sand, sawdust, earth, Fuller's earth, etc. Dis pose of with chemical waste. PESTICIDE DISPOSAL: Improper disposal of excess pesti cide, spray mixture, or rinsate is a violation of Federal law. If these wastes cannot be disposed of by use according to label instructions, contact your State Pesticide or Envi ronmental Control Agency, or the Hazardous Waste representative of the nearest EPA Regional Office for guidance. CONTAINER HANDLING: Less Than or Equal to 5 Gallons. Nonrefillable container. Do not reuse or refill this container. Offer for recycling if available. Triple rinse container (or equivalent) promptly after emptying. Triple rinse as follows: Empty the remaining contents into application equipment or a mix tank and drain for 10 seconds after the flow begins to drip. Fill the container ¼ full with water and recap. Shake for 10 seconds. Pour rinsate into application equipment or a mix tank or store rinsate for later use or disposal. Drain for 10 seconds after the flow begins to drip. Repeat this procedure two more times. Then offer for recycling if available or reconditioning if appropriate or puncture and dispose of in a sanitary landfill or by incineration. Manufactured For: See label booklet for additional Precautionary Statements and Directions For Use. Sharda USA LLC, 7217 Lancaster Pike, Suite A, Hockessin, Delaware 19707 EPA Reg. No.: 83529-145 EPA Est. No.: SC 39578-TX-1; MA 83411-MN-1; HP 44616-MO-2; CS 70815-GA-1 The EPA Establishment Number is identified by the circled letters above that match the first two letters in the batch number. Net Contents: 1 Gallon 83529-145-FPL-30Dec2021-Booklet
The Society for Agro Industrial Education in India Progress Report 2011-2012 Amarpurkashi, Bilari 202411, District Moradabad, U.P. Mob. 09411809030, 09411269157, 09837781554 Website: www.gramodayapgcollege.org.in ; www.vri-online.org.uk/society Programmes in Operation * Gramodaya Post Graduate College & Research Institute * Gramodaya Primary School * Krishi Audyogik Inter College * Jafarpur Gramodaya High School Health Centre, Health Camps and Eye Camps * * KOPAL III – Female Foeticide Campaign * HIV/AIDS Awareness Programme/Link Workers' Scheme * Aaroh – Rights of Women Farmers * International Journal of Rural Studies (IJRS) * Solar Energy * International Task Force for the Rural Poor (INTAF) * Campaign Against Pollution and Corruption * VRI Project Visitors' Scheme * Voluntary Action Networking - PAVAN * Experimental farm Students at Amarpurkashi Gramodaya Primary School Amarpurkashi Students this year came from 12 neighbouring villages: Nearly all children received a government scholarship so no scholarships were given from VRI funds. The Acting Head, Renu Singh, has now settled into her role and is managing the school very well. For the first time, all the salaries of the teachers are being paid by fees received from the students. In previous years, the head teachers did not make any effort to get students to pay their fees so the school could never meet its expenses. Jafarpur Gramodaya High School Students enrolled at the school were as follows:- \| Year \| Total \| Boys \| Girls \| G/C \| B/C \| S/C \| \|---\|---\|---\|---\|---\|---\|---\| \| 2010-11 \| 187 \| 64.2% \| 35.8% \| - \| - \| - \| \| 2011-12 \| 219 \| 64% \| 36% \| 5.5% \| 77.6% \| 16.9% \| At long last the school has received state government approval to be a high school. After two years, we will apply for it to be an inter college. With the generous support of donors from VRI (Volunteers for Rural India), we were able to build two new classrooms and make a start on a third. This year, all students were given government scholarships. The school now has a qualified headmaster, Pushpendra Singh. Krishi-Audyogik Inter College This college began as a junior high school in 1971, was promoted to a high school in 1996 and became an inter college in 1999. It received permission to run Inter classes in Science and Mathematics from July 2003. \| Year \| Total \| Boys (%) \| Girls (%) \| G/C \| B/C \| \|---\|---\|---\|---\|---\|---\| \| 2009-10 \| 898 \| 62.7 \| 37.3 \| 7.4 \| 75.4 \| \| 2010-11 \| 885 \| 59 \| 41 \| 10.7 \| 72.4 \| \| 2011-12 \| 837 \| 58.2 \| 41.8 \| 9.4 \| 74 \| Satya Pal Singh continues as Acting Head Master of the college. He is now well settled and working satisfactorily. Final results for 2011 were 88% for the 12 th class (Inter) and 78% for the High School examinations. This year, the Inter College was again an examination centre for high school and intermediate students. As well as 110 students from our inter college, 610 students from four other inter colleges sat their exams at our centre. All students of 6 th to 8 th classes received midday meals regularly throughout the year. In addition they received all their text books from the government. Nearly all students from 6 th to 12 th class received government scholarships this year amounting to over Rs. 600,000. Under the Government's scheme of encouraging the education of girls, 18 female students have received Rs. 15,000 each and 12 have received a bicycle after they passed the eleventh year examination. Gramodaya Post-Graduate College & Research Institute The college first received affiliation with M J P Rohilkhand University, Bareilly in 1995 and was later inaugurated by the Vice Chancellor, Dr. M D Tiwari. That same year, the college received an award of Rs.20, 000 and a citation from the Governor of Uttar Pradesh. Since then, it has steadily progressed, maintaining its excellent academic record with a high percentage of passes. Student enrolment over the last 7 years is given in the table below. \| Year \| Total \| Boys (%) \| Girls (%) \| G/C \| B/C \| S/C \| \|---\|---\|---\|---\|---\|---\|---\| \| 2007-8 \| 1117 \| 63.5 \| 36.5 \| 24.7 \| 57.6 \| 17.6 \| \| 2008-9 \| 1099 \| 62.2 \| 37.8 \| 23.9 \| 57 \| 19.1 \| \| 2009-10 \| 1383 \| 61 \| 39 \| 24 \| 56.4 \| 19.6 \| \| 2010-11 \| 1519 \| 55 \| 45 \| 24.8 \| 54.6 \| 20.5 \| \| 2011-12 \| 1770 \| 49.7 \| 50.3 \| 24.2 \| 56.9 \| 18.8 \| The college provides degree level education in ten subjects:- English Literature, General English, Hindi Literature, General Hindi, Sanskrit, Geography, Sociology, Political Science, Economics and History It also offers a B.Ed. for 100 students and a post graduate diploma in Rural Resource Management for 30 students. In 2009, the college received university affiliation for Masters Degrees in English Literature and Sociology with 60 seats in each subject. Enrolments in these classes this year were as follows:- \| Course \| 1st Year \| 2nd Year \| \|---\|---\|---\| \| M.A. English \| 51 \| 26 \| \| M.A. Sociology \| 60 \| 51 \| \| B.Ed. \| 101 \| - \| \| PGRRM \| 10 \| - \| \| Total Post–Graduate Students \| \| \| \| Total Undergraduate Students \| \| \| \| Grand Total \| \| \| This year, the ten-day National Social Service camp was held in Khata village. Campers included both girls and boys. The camp was inaugurated by Dr Ashok Kumar Singh, the principal. More than 68% of college students received state government scholarships. The college website is: - www.gramodayapgcollege.org.in . Year-wise results of Gramodaya Degree College in % Survey of Amarpurkashi village B.Ed. students undertook a snap two-day survey of Amarpurkashi village in December. They formed pairs of one male and one female student and knocked at every door on one particular day. They found some interesting results:- 1. The total population was 1522 which included 48.82% men and 51.18% women. This means that in Amarpurkashi, there are 1048 women for every 1000 men. 2. The total literacy rate was 48.16%. This included male literacy of 58.94% and female literacy of 41.0 %. 3. The total number of children aged 6 to 14 was 420 which is 27.6% of the total population. 4. Of these school age children, 27% were found to be out of school in spite of the fact that there are six primary schools in the village. These include one government and five private schools. Shri Ayodhia Ram Lal Gramodaya Junior High School, Fateh Pur Chandan Kirpal Singh (top student of the first PGRRM batch and District Resource Person for the HIV/Aids project) and his father, a retired teacher, have set up a primary and junior high school near their village. They have donated their own land for the school and built sufficient rooms. I was invited to attend the school's annual function in November and was most impressed by the progress of the school. There are 37.2% girls. Teachers' Training On Sunday, 28 th August, all teachers of the primary and secondary schools underwent a full day's in-service training. They were then monitored for two days to check that they were following the correct methods of teaching. On 22 nd of September they were taken on a staff outing to Vrindaban, near Mathura. Here our old friend Dr Vineet Narain who has a house there and a large office showed us around various places and temples, told us all about the conservation work he is doing and gave an interesting talk on the history of Vrindaban. The tour was much appreciated. Annual Science Fair This was held on Wednesday, 2nd November 2011 and was once again a great success. It was inaugurated by Dr Kripa Shankar Varma, Assistant Director of Health for the division of Moradabad. First prize for the best science model made by students went to H.S.A. Inter College, Raja-ka-Sahaspur and second prize to Nanak Chand Inter College, Chandausi. This fair is now an annual event with students participating from all our educational institutes as well as many other schools and colleges. INTAF National Conference in Amarpurkashi On 26 th and 27 th November 2011, a national conference on "Corruption and Its Effects on the Rural Poor" was held at Amarpurkashi. The Gramodaya Degree College and Research Institute hosted this event which was organised by INTAF India. Over 240 delegates from voluntary development organisations and networks attended, as well as researchers, students of rural studies and people living and working in villages. After two days' lively, well-informed discussion, the conference formulated nine recommendations which were sent to the Speaker of the Lok Sabha and the Chairman of the Rajya Sabha with a request that they be included in the anti-corruption bills due to be placed before parliament. Free Health Camp A free Health Camp was held at the Amarpurkashi Health centre on the 9 th October 2011, courtesy of private doctors from Moradabad. 384 patients came from 30 local villages. The doctors included three gynaecologists and a specialist in children's illnesses. Three days' medicine was given to every patient according to the advice of the doctor who examined them and they were told that, if they had any further problems, they could go to the doctor's clinic in Moradabad where they would be treated for free. Free Eye Camp From 10 th to 14 th November 2011, a free eye camp, funded by VRI trustee, Janet Wilson, was held at the Amarpurkashi Health Centre with the help of the Government District Eye Hospital, Moradabad. 354 patients were examined for various eye problems. Of these, 33 were identified for cataract operations to be done on 11 th November. Unfortunately, there was a strike of technical staff that day. However, 26 cataract operations were successfully carried out at the Government Hospital, Bilari on 14 th. The other 7 patients could not be operated on as they had other problems that made them unsuitable. The cataract patients spent some time at Amarpurkashi convalescing and then were checked and 12 days' medicine given to them. They returned to Amarpurkashi on 27 th for another check-up. No problems were found. They were told to return once more three weeks' later for a final check. These patients came from 18 villages, some of them 35 km away. Four women came on their own without any assisting friend or relative. HIV/AIDS Awareness Programme under the Link Workers' Scheme Initially running from February 2008 until 31 st March 2011, this programme was briefly extended in July 2011 and finished in March 2012. At the Integrated Counselling and Testing Centre, numbers of those tested increased significantly once the programme started. Of those found to be infected with HIV, 38% were women and 62% were men. It is most disappointing that the programme has been scrapped just when the workers were becoming more successful in finding those who are HIV infected. A.G.M. of the Society for Agro-Industrial Education in India This was held at Amarpurkashi on 1 st October and was very well attended. Two new committee members were elected. The meeting reviewed the progress of all the activities currently undertaken at Amarpurkashi. Overseas Visitors to APK There were two project visitors to APK in October – Brigid Muldoon from Canada and Tom Horton from the U.K. From 16 th to 18 th October, Amarpurkashi hosted a visit from Cynthia Wilkinson and Dr. Manjula Sharma from the University of Sydney. They are hoping to send a group of undergraduates to do two weeks' field study at Amarpurkashi next year. In November, Toby Whitfeld, pv from 2006, paid another very welcome visit. After his time as a pv, Toby set up an organisation, Villages Espoir, which has generously supported some of the activities at APK. In February, Vibha Aggarwal, pv from October 1996, came for a visit, this time with her two small daughters. In March, APK welcomed Adam Merchant, a volunteer from the U.K. Another visitor in March was Moppy Barr from the U.S.A. Moppy was a project visitor in November 2003. This was her third visit to APK. Other Visitors to Amarpurkashi In October, four undergraduate students from the Department of Agriculture Economics, Sardar Vallabhbhai Patel University of Agriculture and Technology, Meerut came to APK for three months' field work. During that time, they surveyed the village and learnt about local villagers and their life style. EIGHTH INTAF WORLD CONFERENCE London, 18-19th June 2011 A very successful Eighth INTAF World Conference was held in Development House, London, with the generous support of AFP (Asian Foundation for Philanthropy). The theme, "Experiences of Working with the Rural Poor", provided a unique opportunity for people with different experiences to give their views from a range of interesting perspectives. The first speaker was Mukat Singh, who spoke from a grass-roots perspective as someone who has worked with the rural poor for the last forty years. He talked frankly about the lessons he has learnt, namely, that it is only by living and working with the rural poor that you can help them; that the greatest obstacle is the attitude of those who are supposed to help them; that it is not enough merely to bring education to the villages – you must look at the kind of education they are receiving; that the lifestyle of urban dwellers is the most expensive, exploitative and wasteful while that of villagers is sustainable and community-oriented; that all policies and programmes are devised by urban academics sitting in offices far from the realities of rural poverty; and that none of their schemes takes regional differences into account. He finished on a positive note by pointing out that those fortunate to live and work among the rural poor are invariably enriched by the experience. The next two speakers, who gave a joint presentation, were Dr Kamal Taori, Chairman of the Rural Business Hub in India and Irmel Marla, originally from Germany but now living in India and Chair of the International Institute for Holistic Research and Voluntary Action, a joint India/Germany establishment. They emphasized the importance of a holistic approach and self-realisation without exploitation. There was a complete change of perspective from the next speaker, Stephen McClelland, who is Head of European Programmes at DFID (Dept. for International Development). He spoke in a personal capacity, drawing on his knowledge of the way the government works. He gave many facts and figures which enlightened the audience about the ways that the government is trying to help the rural poor. He agreed that criticism of government officials is often warranted and of course they have to be held to account, but he also pointed out that they are indispensible if we are to abolish poverty for only governments can deliver on a big enough scale. Hari Dhanoo, from Trinidad, whose ancestors came originally from Eastern U.P., spoke from the perspective of an individual donor. He has visited APK and seen the work done there and this has inspired his continuing support. Bala Thakrar spoke next. She first went to India as a graduate, backpacking around the subcontinent. This trip fired her deep love for India and paved the way for a remarkable career that culminated in the successful establishment of her own organisation, the Asian Foundation for Philanthropy. She has devised a pioneering scheme for people of Indian origin to volunteer in India as well as other innovative programmes such as Gyaan Yatra. The next speaker, Jasber Singh, brought the perspective of a researcher. He spent a year in four different districts of Andhra Pradesh, carrying out research into biofuels and the experiences of the rural people who grew biofuel crops. He found that biofuel was not the answer to rural poverty and was shocked to learn of the painful experiences dalits and tribals had. The final speakers were three volunteers. The first, Nayan Shukla, went to India in 1988. He has paid many return visits since then and became closely involved with VRI here, supporting development work in India by raising funds and raising awareness. Sophie Bray and Aditi Shah spoke of their recent time as volunteers. They had thoroughly enjoyed getting involved and felt it had been an enlightening experience. The conference was followed by an informal meeting the next day. Some of those who attended were keen to have the next conference in India in two years' time. VISITORS TO LONDON Unfortunately, no one from India was able to get a visa in time to attend the conference in London.. Dr Jai Pal Singh Vyast received his visa just two days later and decided to make use of it and go to London anyway. He stayed with Mukat and Jyoti Singh in Harrow for his twoweek visit and enjoyed trips to Oxford and famous London landmarks. He was also interviewed on television on Venus channel by Krishan Ralleigh, editor/founder of the magazine India Link International, and presenter of the Venus programme 'Mera India'. Other visitors who went abroad for the very first time were Ram Vir Singh and his wife, Sushma. Many VRI/IVCS project visitors know them. Their son, Pawan, who married Kiran Patel, a project visitor from 1999, sponsored them for a two-month family visit to England. Aaroh – a campaign for the Rights of Women Farmers With support from OXFAM through the NGO, Disha Samajik Sangathan, Saharanpur, we have been running a pilot project to raise awareness among women farmers in Moradabad district of their rights. This year, five villages have set up women farmers' groups. International Journal of Rural Studies ( IJRS) The IJRS continues to be published twice a year in April and October and is also available online (http://www.vri-online.org.uk/ijrs/index.php). The editorial in the April 2011 issue dealt with the problem of pollution and the details of protests carried out by local people. The editorial in the issue of October 2011 was about the main theme of the Eighth INTAF World Conference in London. PCPNDT Committee Mukat Singh, General Secretary of the Society, and Adil Husain, staff member, are representatives on this district committee which is a follow-up programme of the Campaign Against Female Foeticide that began in 2005. Our society, in partnership with the lead agency of Uttar Pradesh, Vatsalya and Plan International, are in fact the force that keeps this committee active. This year there were six meetings, all of which we attended. Fortunately, the committee is headed by the District Magistrate. Following the example of our work in Moradabad district, similar committees have been formed in the districts of Bijnor, Rampur and J P Nagar. Our man, Adil Husain, regularly attends meetings of these districts as well. Some other Highlights - Mukat Singh appeared twice on Venus Channel in London during his stay last summer. On the 12 th July 2011, he was interviewed with Dr Jai Pal Singh Vyast of Hindu College Moradabad when he was a guest at the Singhs' house in Harrow. - On 23 rd August 2011, Mukat Singh together with Dr Ashok Singh and Satya Pal Singh participated in a meeting called by the ADM (E) in the Police Station Bilari. - On 4 th September, all the staff of the society were invited to the Eid Milan celebration in the village of Mohd. Ibrahim Pur. - On 15 th October, we welcomed a Communal Harmony Rally and provided board and lodging for all the participants of the rally for the night. - On 31 st October, a field demonstration of sugar cane early sowing was carried out in the society's field, with guidance from the experts of Ajudhia Sugar Mill. - Mukat Singh and Dr Ashok Kumar Singh participated in a national conference of science teachers hosted by the Vice Chancellor of B H U, Varanasi. Mukat Singh was invited as a guest speaker and shared the stage with scientists such as Prof. Yashpal. - On 15 th Feb. Mukat Singh was invited as the chief guest of the annual function of the Prem Shanti High School, Bahoran Pur. - From 29 th Feb. to 4 th March, three battalions of Para Military Force were stationed in the degree and inter colleges while elections were taking place. - On the 26 th March 2012, all our staff and students gave a tumultuous welcome to Haji Mohd. Irfan Advocate who won the Assembly election on the 6 th March. He is an old pupil of our secondary school and also a valuable member of the management committee of the society. Representation The Society is represented on the following government bodies:- - National Rural Health Mission committee , Moradabad - District Blindness Eradication Committee, Moradabad - PCPNDT Committee, Moradabad, Bijnor, J P Nagar and Rampur - District Renewable Energy Sources Committee, Moradabad - Tehsil Child Labour Eradication Committee, Bilari, District Moradabad Acknowledgements Our heartfelt thanks go to VRI and its supporters who raised funds to build two more classrooms at Jafarpur High School. We are also grateful to the Indian media for their generous coverage in regional newspapers and local tv. Finally, our sincere thanks go to all those who contributed in the form of donations or time to the programmes and activities at Amarpurkashi.
May 5, 2013: Sixth Sunday of Easter LITURGY MASS INTENTIONS & READINGS Sunday, May 5 (Acts 15:1-2, 22-29; Rv 21:10-14, 22- 23; Jn 14:23-29) 8:00 am- Alphonse & Helen Steffek, Rudy & Bernadette Konarik 10:30 am- Lou Kubena, Anton & Agnes Kubena (First Holy Communion) Monday, May 6 (Acts 16:11-15; Jn 15:26--16:4a) 7:00 am- V. L. & Rose Rainosek 10:00 am- Martha Repka (H'ville Rehab) Tuesday, May 7 (Acts 16:22-34; Jn 16:5-11) 7:00 am- Frank & Agnes Polansky Wednesday, May 8 (Acts 17:15, 22--18:1; Jn 16:12-15) 7:00 am- Tyler Bludau 8:05 am- Arthur, Irene & Daniel Wick 6:15 pm- (CCD Mass) Hubert & Bunny Dornak, August & Karolina Dornak, Carl & Hilda Buss Thursday, May 9 (Acts 18:1-8; Jn 16:16-20) 7:00 am- Alfonse, Dorothy, Evelyn & Ervin Grahmann 10:00 am- Mary R. Janak, Benefactor (Stevens) Friday, May 10,St. Damiende Ve us te r, Priest (Acts 18:9-18; Jn 16:20-23) 7:00 am- Bowdy Migl & Gene Mikulik 8:05 am- Adolph Kraatz Saturday, May 11 (Acts 18:23-28; Jn 16:23b-28) 5:30 pm- Ervin J. Bludau, Sr. Sunday, May 12, The Ascension of the Lord (Acts 1:1-11; Eph 1:17-23; Lk24: 46-53 8:00 am- Mother's Day Novena (Mother's Day) 10:30 am- For our Parish Family (Sacred Heart School Baccalaureate) Bulletin & Radio Broadcast Sponsor: Bob Kubena in memory of Lou Kubena, Anton & Agnes Kubena. Vigil Light: In honor of St. Anthony. Our Gift to God: Envelopes-$6,127.50; Manna-$1,294; Collection for West, TX Disaster-$2,833; Home Missions-$246; Loose-$1,060; Children-$33. Anniversaries: Randy & Sandra Fojt 30 yrs. May 7 Harry & Linda Cull 40 yrs. May 9 April Baptisms: Jayden Michael, son of Michael & Valorie Schindler; Heidi Christine, daughter of Kevin & Melanie Rother; Noah Charles, son of Andrew & Sheila Henke. CALENDAR OF EVENTS SUNDAY, MAY 5 -SHCS Spring Band Concert, 6:00 p.m., Gym. MONDAY, MAY 6 -Rosary & Evening Prayers, 5:30 p.m., Church. TUESDAY, MAY 7 -Quilting Circle, 9:00 a.m., K.C. Hall of Fame Room. -Adult Education Class, 7:00 p.m., Family Center. -Knights of Columbus General Meeting, 7:30 p.m. WEDNESDAY, MAY 8 -CCD: K-12 th Gr., 6:00-7:15 pm (Closing Mass 6:15 pm) THURSDAY, MAY 9 -English Second Language Class, 6-7:15 p.m., Family Center. Babysitting available for children 2 yrs. & older. Among our sick: Edna Key, Frank Fishar, Faith Del Castillo, Michael Gerdes, Renae Ross, Doug Blumberg, Ed Aulick, Rose Thumann, Sterlin Ritchie, Ricky Skelton, Larry Appelt, Milissa Zamora, Chris Layton, Hank Morris, Frank, Patrick & Robben Nemec, LaNora Konvicka, Delores Grahmann, Benedict Bujnoch, Lorene Christ, Matt Pohler, Donna Avant, Donna Coldewey, Wilbert Kalinec, Mary Bonorden, Dorothy Allen Hass, Rev. Lundy Hooten, Josephine Muniz, Vivian Janak, Rose Mary Etzler, Helen Kresta, Bobbie Lee Drozd, Donna Steffek, Frank Gutierrez, Glenn Rabel, Jonathon Drozd, Lisa Grissom, Henry Joe Henke, Jr., Clinton Henneke, Rachel Davis, George Meyer, Leonard Lamza, Antonio DeLuna nursing home residents & homebound. Young Men's Vocation Retreat – The Diocese of Victoria QUO VADIS VOCATION RETREAT for young men who are completing their 8 th grade year this Spring through 21 years old will be held at Coopers Farm near LaGrange, Sunday, July 14–Wed., July 17. Spaces are limited. A $10 non-refundable deposit by July 1 guarantees your spot. Registration forms are available in the church office and in the back of the church. The week will include discussions on discerning God's call in your life. The retreat will be facilitated by priests and seminarians of the Diocese of Victoria. Retreat cost is $50 per person. Scholarships are available. Please call Fr. Tommy for more information. Baptism Preparation Class – Two couples are needed to facilitate the Baptism Preparation Class, which is held on the fourth Sunday of each month at 9:00 a.m. in the Family Center. If you are interested & need more information, please call Bruce & Gayle Wesson at 798-4600. Calendar Membership: Apr 25: Blackie & Karen Bludau-$100; Apr 26: Margaret Klekar-$100; Apr 29: Joanne Bourque, Houston-$50; Apr 30: Cathryn Holland, Houston-$50; May 1: Fred & Sharon Grahmann-$100. Please pray for vocations to the priesthood and religious life! From the Desk of Msgr. John Today, Sunday, we celebrate First Holy Communion at the 10:30 a.m. Mass. We congratulate and rejoice with the 35 young people who will be receiving Our Lord in Holy Communion for the very first time. This is a very special time for all of us because Holy Communion is central to our faith as Catholics. We receive Holy Communion reverently, respectfully and in the state of grace. We should not take the reception of Holy Communion lightly nor take it for granted. We thank God for the gift of Jesus in this sacrament. Our First Communicants are: Arabella Arellano, Braden Bludau, Ann Estelle Brown, Cole Bujnoch, Tyler Butschek, Brooklyn Cortez, Priscila Corvera, Cameron Davis, Jordan Evans, Savannah Filip, Trevor Gienau, Kylie Grahmann, Bailey Haas, Tyler Hawkins, Melea Henke, Grace Henneke, Madelyn Hynes, Jules Janak, Lilly Machicek, Briahna Mayfield, Seth Migura, Aidan Miksch, Jake Mullen, Katherine Pavliska, Lani Pilat, Katelyn Pustejovsky, Braxton Ranly, Cesar Reyes, Garrett Ridgeway, Briley Rother, Brandt Trlicek; Home school: Emma Baucom; Sacrament Prep: Johnathon Myers, Jasmine Rios, and Dalton Jahn. Religious Education (CCD) – May 5: First Communion, 10:30 a.m. Mass. May 8: Closing Mass & May Crowning. Sacred Heart Catholic School – May 12: SHCS Senior Baccalaureate, 10:30 a.m. Mass. Sacred Heart Youth – We thank everyone who attended the "farewell to seniors" event that took place this past Sunday, and we pray that they keep Christ in their lives as they continue forward and discern their vocations. Looking forward: Our final event of the year is on May 19 at Splashway Family Waterpark!! We will join the Columbus youth group for a day of fun and quality fellowship. Splashway Waterpark has been extremely gracious in allowing our groups to attend at very little cost! All you have to do is fill out a parent consent & medical release form, attach $5 and drop it off at the Rectory before the day of the event. Forms will be at the S.H. School Office, Religious Ed. Office (Angela McConnell), back of Sacred Heart Church, & Rectory. Without this form your child will not be able to attend as a part of the Sacred Heart Youth Group. We encourage all youth to wear appropriate swimwear for this event, keeping in mind that we represent our church on standards of modesty and decency. Mark Your Calendar: June 2 at 6:00 p.m. - Parish Eucharistic Procession in honor of the Solemn Feast of Corpus Christi (The Body and Blood of Christ) and the Year of Faith. Let us gather together as a parish family and celebrate our faith in the Holy Eucharist. Sacred Heart Parish Spring Picnic – May 26 th Our picnic is just around the corner! If you have cattle, antiques, or unusual or interesting items you would like to donate to the auction, please call the Rectory as soon as possible so that we may begin advertising. Vacation Bible School, June 17-21. It's time to start thinking about VBS! We love VBS at SH & this year's theme is awesome, "Cool Kingdom Party, Mary Leads Me Closer to JESUS!" If you love working with kids & sharing your faith, call the R.E. Office 798-3124 or Angela's cell 741-8730. Our first planning meeting is Wednesday, June 5 at 9:00 a.m. in the Cafeteria. You'll love that you said "YES!" It is always so rewarding! Area Church Picnics: May 5, Holy Rosary Church, Hostyn. May 5, Holy Family Church, Victoria Community Ctr. Truck Raffle Tickets for sale at the Rectory - $100 each. The 2013 Chevrolet Silverado 4x4 Z-71 4-door truck is on display at Grafe Chevrolet GMC. God's Embrace Renewal Centers serves the Church through spiritual formation. Beginning in August, groups will meet once every month for 2-1/2 hours with Michael Fonseca, program presenter. A manual and companion workbook will be provided. If you are interested, please mail your name, address, phone number, email address, & name of your parish, to Sandy Reese, P. O. Box 1211, El Campo, TX 77437, or email her at email@example.com. "Thank you!" to all CDA members who baked so many delicious treats and worked so hard to make our Annual Catholic Daughters Bake Sale at the Fiddler's Frolics such a great success! Many compliments were received. Thank you, too, to those individuals who gave cash donations and to the community for supporting our bake sale. Your generosity and support is greatly appreciated, and vital for the continued success of our bake sale. Catholic Daughters Bake Sale Committee 6th Sunday of Easter – In the Gospel this weekend Jesus is speaking to His disciples at the Last Supper describing the relationship between Himself and the Father and the Holy Spirit. Those who love Jesus will keep His word and He and the Father will come and make their dwelling with the disciple. This image of dwelling speaks to the abiding presence of God in the followers of Jesus. God is always with them. We are six Sundays away from Easter now, and maybe the joy of that feast has also dimmed a bit in our hearts. Maybe we've slipped back into some of our usual patterns and lost some of the fervor of our baptismal commitment. Jesus tells us in the Gospel not to be troubled or afraid. He and the Father are with us in a dwelling that is forever. (2013 Liturgical Publications, Inc.) Discovering hope and joy in the Catholic faith. May 2013 Sacred Heart, St. Mary, St. John and Ascension Churches Fr. John C. Peters, Pastor Make a difference in the world Jesus expects us each to do something great in the world, and he doesn't mean just the millionaires or heads of state. Pope Benedict XVI said, "The world promises you comfort, but you were not made for comfort. You were made for greatness." Start now. If we think that our contribution can't make a difference or that others will take charge, nothing will get done. Start today, and believe that God will strengthen your efforts. "I can do all things in him who strengthens me" (Philippians 4:13). Share your love. "This is how all will know that you are my disciples, if you have love for one another" (John 13:35). Mother Teresa once said, "If you can't feed a hundred people, then feed just one" and your kindness may influence others. Commit. Find a parish ministry or charity you love and adopt it. Your contribution will benefit the future. Give your mite. If you don't have much to give, give anyway - time, effort or funds. Remember the widow’s mite: "I tell you truly, this poor widow put in more than all the rest … from her poverty has offered her whole livelihood" (Luke 21:3-4). Empower others. Be generous with praise and stingy with criticism. Offering sincere praise and encouragement helps others achieve goals and adds value to the world. Why do we genuflect in church? Most Catholic Churches have a tabernacle in the sanctuary. The tabernacle contains consecrated hosts for people in the hospital or nursing homes, and those in danger of death. Therefore, Jesus is present in the sanctuary: body and blood, soul and divinity. When we cross in front of the tabernacle or enter a pew, we honor Christ by genuflecting on the right knee or making a deep bow. We use the right knee because that is considered the side of honor. Fr. Damien of Molokai The Year of Faith saint for May is Fr. Damien of Molokai. Born in Belgium in 1840, he joined his brother in the Congregation of the Sacred Hearts of Jesus and Mary. When his brother couldn't serve the lepers on the Island of Molokai (those with Hansen's disease), Fr. Damien went instead. Horrified by the conditions, Fr. Damien built schools, churches, hospitals and sanitation facilities. He bestowed dignity and hope and served until his death from the disease in 1889. Truth or white lie? When a friend asks your opinion, have you hesitated to tell the truth because you fear hurt feelings? When asked, a true friend always speaks the truth. It is gentler to hear a hard truth from a caring friend. "How beautiful is the gaze with which Jesus regards us – how full of tenderness! Let us never lose trust in the patience and mercy of God." Pope Francis A 3-step cure for stress St. Paul knew stress. He spent time in prison and exile, experienced frustration and conflict. His advice? "Have no anxiety at all, but in everything, by prayer and petition, with thanksgiving, make your requests known to God. Then the peace of God that surpasses all understanding will guard your hearts and minds in Christ Jesus" (Philippians 4:4-7). worry, which produces nothing but stress. "Make your requests know to God." Step 2 – Carry everything to God in prayer. St. Paul added the phrase, "with thanksgiving," to remind us to put our trust completely in the Lord to provide for us. "Have no anxiety at all." Step 1 – Rid yourself of worry. There is a difference between concern, which leads us to take steps to be prepared, and "The peace of God … will guard your hearts and minds." Step 3 – Keep your mind on God and experience his peace. The perfect peace that only God can give will come to those who keep their minds and hearts focused on Jesus. John 16:12-15, the coming of the Holy Spirit This reading is from St. John's account of the Last Supper. By this point, the Apostles knew and accepted that God is more than they had imagined. They also understood that Jesus had a special place in God's plan but their knowledge of his role was imperfect. In this reading, Jesus tried to explain to them that they would understand in time. taught was quite clear – love God, love one another and tell others about him. But much of what Jesus told them was hard to understand. In particular, Jesus told them that he would be the sacrificial lamb who takes away the sins of the world. The Apostles really struggled what this meant. But Jesus let them know the "Spirit of truth" (the Holy Spirit) would come By the time the Last Supper took place, the Apostles had spent three years with Jesus, traveling, listening, speaking, and learning from him. Some of what Jesus In May we honor Mary as Queen of Heaven and Earth. On May 31st, we commemorate the Visitation when Mary visited her cousin Elizabeth to share her joy at being favored by God. May 1 – St. Joseph the Worker. Entrusted with the care of the Blessed Mother and Jesus, Joseph was a carpenter dedicated to his family and obedient to God. May 20 – St. Bernardine of Siena (1444). As Franciscan, his boundless energy and joy was put to use running the local hospital during the great plague in Europe. Then, after a dozen to instruct them and to make everything clear. What are the precepts of the Church? The same is true for us. When we open ourselves to the Holy Spirit, much becomes clear. years in solitude, he journeyed across Italy preaching. The symbol of the sun with IHS, the first three letters of Jesus' name in Greek, is attributed to him. May 22 – St. Rita of Cascia (1457). Unwillingly married off to a cruel husband at the age of twelve, St. Rita spent eighteen unhappy years before being widowed. She then became an Augustinian nun and was known for her devotion to prayer and charity. The five precepts of the Church are designed to bring us closer to God through the Mass and penance. We're to attend Mass on Sundays. As members of the Body of Christ, we're strengthened when we worship together. We're to confess our sins at least once a year. We all commit sin, often on a daily basis. Yet we see a lack of the sense of sin in our society. Confession brings us to recognize our sinfulness and return us to a state of grace. We're to receive Holy Communion at least during the Easter season. There are those who think they're never worthy to receive the Eucharist and who never would without this precept. We're to keep the Holy Days of Obligation. These feasts honoring the Lord, the Blessed Virgin, and the saints who teach us more about our faith. We're to observe the prescribed days of fasting and abstinence. These acts of penance take us out of our comfort zone so we can focus on our relationship with Christ. Success Publishing & Media, LLC Publishers of Growing in Faith™ and Partners in Faith™ (540)662-7844 (540)662-7847 fax http://www.growinginfaith.com (Unless noted Bible quotes and references are from the Revised Standard Version and the New American Bible) To provide practical ideas that promote faithful Catholic living. © Copyright 2013 Success Publishing & Media, LLC
CONSORTIUM OF FORENSIC SCIENCE ORGANIZATIONS (CFSO) FLASH BRIEF JANUARY 2O23 The mission of the CFSO is to speak with a single forensic science voice in matters of mutual interest to its member organizations, to influence public policy at the national level, and to make a compelling case for greater federal funding for public crime laboratories and medical examiner and coroner offices. The primary focus of the CFSO is national, state, and local policymakers, as well as the United States Congress. Budget Briefing CFSO Board of Directors Matthew Gamette, MS Chair Representing ASCLD firstname.lastname@example.org Timothy P. Rohrig, PhD Vice-Chair Representing SOFT/ABFT email@example.com Ken Melson, JD Secretary Representing AAFS firstname.lastname@example.org Ken Martin, MS Treasurer Representing IAI email@example.com James Gill, MD Representing NAME firstname.lastname@example.org John Fudenberg Representing IACME email@example.com Beth Lavach, Legislative Liaison firstname.lastname@example.org The FY23 budget for forensic science has several increases, with some being significant. There is substantial language from Congress providing guidance on how those funds are to be spent. The following tables contain final funding for FY23, to include how it compares to FY22 and the FY23 request from the agency. The information includes the DOJ, NIST, and CDC. There is also specific budget language below for your review. DOJ Byrne JAG increased $96,305,000 over FY22 to $770.8m. Much of this increase is for "community projects" that are directed toward certain entities for specific projects. (See list below). Within Byrne JAG there is funding for NamUs. (Note some of the NamUs funding is in Byrne JAG and some is in the State, Local and Federal Forensic Activities under DNA Initiative funds), the Missing Persons and Unidentified Remains Act and the Forensics Ballistics Program in Higher Education. LANGUAGE: Congress emphasizes that Byrne JAG can also be used for forensics. DNA Initiative funding increased $19m from FY22 to $170m. Within those funds, Debbie Smith grants received $130m, State, Local and Federal Forensic Activities $20m, Kirk Bloodsworth $15m, and SAFE $5m ($2 to create Regional SANE nurse training centers). LANGUAGE: Congress continues to be very concerned with BJA's spending in this category of funds. Language is included that DOJ is directed to submit a spending plan to Congress detailing "funds appropriated for DNA related and forensic programs, including the alignment of appropriated funds with the authorized purposes of Debbie Smith DNA Backlog Grants". SAKI grants increased $5m from FY22 to $55m. LANGUAGE: emphasizes DOJ must spend as authorizing language directs and requests a report of the number of partially tested kits within 1 year of this act. 1 R&D (NIJ) received funding of $35m, an increase of $5m from FY22. LANGUAGE: emphasizes purposes of funding and includes forensics. ATF received $75m to construct a new forensic lab which is new funding. LANGUAGE: several places in the bill emphasize the need for ATF to work with State and Local law enforcement and to provide "all possible training opportunities". NIST Forensic Science Research includes $22m for FY23 an increase above FY22 by $1.5m. Of these funds, it is directed that no less than $3.5m be for OSAC and $1.5m for technical merit grants. A grant for SDOs was authorized in the CHIPS Act earlier in the year directing that NIST "shall establish a competitive program of grants for nongovernmental standards development organizations." Prior to the passage of the grant, CFSO asked Congress to fund the SDO grant. The Senate stated the following: "NIST is directed to report to the Committees whether Federal support is necessary for Standards Development Organizations in order to further advance the use of forensic standards." NIST did not respond to that direction and the language was reiterated in the final report. CFSO is currently working to resolve this matter. CDC $24.5m was included for NVDRS in FY23, which is the same as FY22 and includes SUDORS. The Opioid Overdose Prevention and Surveillance Program, which includes OD2A funding, is funded at $505.58m which is an increase above FY22. LANGUAGE: There is language that states CDC is directed to continue "expansion of case-level syndromic surveillance data, improvements of interventions that monitor prescribing and dispensing practices, better timeliness and quality of morbidity and mortality data, as well as the enhancement of efforts with medical examiners and coroner offices." FUNDING SUMMARY \| \| Department of Justice \| \| Final FY22 Budget \| \| FY23 Proposed \| Final FY23 Budget \| \|---\|---\|---\|---\|---\|---\|---\| \| Byrne JAG \| \| $674,500,000 \| \| $533,500,000 \| \| \| \| NamUs \| \| $2,400,000 \| \| $5,000,000 \| \| \| \| Missing Persons and Unidentified Remains Act \| \| $5,000,000 \| \| 0 \| \| \| \| Forensics Ballistics Program in Higher Education \| \| $1,500,000 \| \| 0 \| \| \| \| John R Justice Student Loan Repayment \| \| $4,000,000 \| \| $2,000,000 \| \| \| \| National Center on Forensics \| \| N/A \| \| $4,000,000 \| \| \| \| Paul Coverdell Grants \| \| $33,000,000 \| \| $35,000,000 \| \| \| \| DNA Initiative \| \| $151,000,000 \| \| $147,000,000 \| \| \| \| Debbie Smith DNA Grants \| \| $120,000,000 \| \| $112,000,000 \| \| \| \| State, Local and Federal Forensic Activities \| \| $15,000,000 \| \| $19,000,000 \| \| \| 1 Note: this line funds the ME programs, additional NamUs programs and other such items 2 \| Sexual Assault Forensic Exam Program \| \| $4,000,000 \| $4,000,000 \| \|---\|---\|---\|---\| \| Community Teams to Reduce the Sexual Assault Kit Backlog (SAKI) \| \| $50,000,000 \| $100,000,000 \| \| NIJ Research, Development and Evaluation \| \| $30,000,000 \| $43,000,000 \| \| Criminal Justice Statistics Program \| \| \| $45,000,000 \| \| Regional Sexual Assault investigative training academies \| \| 0 \| $20,000,000 \| \| ATF National Integrated Ballistics Information Network and Crime Gun Intelligence \| \| \| $21,200,000 \| \| \| Department of Commerce (NIST) \| \| \| \| Forensic Science Research \| \| $20,500,000 \| N/A *see note \| \| OSAC \| \| $3,300,000 \| \| \| Technical Merit Evaluations \| \| $1,200,00) \| \| \| \| Department of Health (CDC) \| \| \| \| National Violent Death Reporting System \| \| $24,500,000 \| $34,500,000 (52 recipients) \| \| Opioid Overdose Prevention and Surveillance \| \| $490,579,900 \| $713,500,000 \| FY23 LANGUAGE \| \| DOJ LANGUAGE \| HOUSE \| SENATE \| FINAL \| \|---\|---\|---\|---\|---\| \| \| SUBMISSION \| \| \| \| \| Research, Development and Evaluation- The 2023 Budget proposes a total of $43 million for the National Institute of Justice (NIJ) to support high-quality research, development, and evaluation in the forensic, social, and physical sciences. \| \| \| Research, Development and Evaluation-Funding in this account provides assistance in the areas of research, evaluation, statistics, hate crimes, DNA and forensics, criminal background checks, and gun safety technology, among others. \| \| \| Criminal Justice Statistics Program. - The 2023 Budget proposes $45 million for the Bureau of Justice Statistics (BJS) to carryout national \| \| Bureau of Justice Statistics (BJS). —The Committee recognizes the importance of the timely release of data on crime, criminal offenders, victims of crime, and the operation \| \| \| 3 \| statistical collections supporting data-driven approaches to reduce and prevent crime and to assist state, local and tribal governments in enhancing their statistical capabilities, including improving criminal history records and information systems. Current programs provide statistics on: victimization, corrections, law enforcement, Federal justice systems, prosecution, and adjudication (courts), criminal histories and recidivism, and tribal communities. \| of justice systems at all levels of government. The data produced by BJS is an indispensable resource for policymakers and researchers in understanding and advancing equality in the justice system. The Committee’s recommendation provides $45,000,000 for BJS, an increase of $5,000,000 above fiscal year 2022. \| \| \|---\|---\|---\| \| \| Byrne Memorial Justice Assistance Grant (Byrne JAG) Formula program. —In addition to the carveouts mentioned in the table above, the recommendation includes $417,326,000 for the Byrne JAG Formula grant program, $35,433,000 above the fiscal year 2022 enacted level. Funding under this formula program is authorized for law enforcement programs including those that promote data interoperability between disparate law enforcement entities; prosecution and court programs; prevention and education programs; corrections programs; drug treatment and enforcement programs; planning, evaluation, and technology improvement programs; \| Edward Byrne Memorial Justice Assistance Grant Program. —The Committee recommends $815,000,000 for Byrne- JAG. Funding is not available for luxury items, real estate, or construction projects. The Department should expect State, local, and Tribal governments to target funding to programs and activities that conform to evidence- based strategic plans developed through broad stakeholder involvement. The Committee directs the Department to make technical assistance available to State, local, and Tribal governments for the development or update of such plans. Funding is authorized for law enforcement programs including those that promote data \| SUBMISSION 4 SUBMISSION 5 SUBMISSION 6 SUBMISSION 7 SUBMISSION 8 \| funds. E:\HR\OC\B963.XXX B9 \| \| \|---\|---\| \| \| Assessment of NIJ and BJS. —Directives under the Foundations for Evidence-Based Policymaking Act of 2018 (Public Law 115–435) (Evidence Act) and other Congressionally-requested initiatives have given NIJ and BJS additional responsibilities and obligations. The Committee directs OJP to conduct a full assessment of the impact of these dynamics on NIJ and BJS’s ability to keep pace with cutting-edge scientific practices and emerging policy needs. OJP is further directed to develop a forward-looking vision for strengthening these agencies’ ability to respond nimbly to and anticipate future needs and scientific developments over the next decade and identify the resources needed to achieve this vision. These activities should, where possible, be integrated into OJP’s implementation of the Evidence Act. OJP shall provide an update to the Committee on its progress within 180 days from the enactment of this act. \| SUBMISSION 9 SUBMISSION SUBMISSION \| \| profession-ready and meet the applicable State certification and licensure requirements. These programs shall provide training and super- vision to nurses with the purpose of increasing sexual assault forensic nurse capacity in rural areas, and in support of population- specific programs and hospitals including, but not limited to, underserved or historically underfunded communities. Entities receiving these funds shall promote best practices in forensic nursing throughout a region, while continuing to research and develop the highest standards of care. \| \|---\|---\| \| DNA Initiative. —The Committee recommends $168,000,000 for DNA backlog and crime lab improvements to strengthen and im- prove Federal and State DNA collection and analysis systems that can be used to accelerate the prosecution of the guilty while simultaneously protecting the innocent from wrongful prosecution. The Committee expects that OJP will make funding for DNA analysis and capacity enhancement a priority in order to meet the purposes of the Debbie Smith DNA Backlog Grant Program. Within funds provided, $128,000,000 is for Debbie Smith DNA Backlog Reduction grants, \| DNA Backlog and Crime Lab Improvements. —The Committee continues its strong support for DNA backlog and crime lab improvements by recommending $173,000,000 to strengthen and im- prove Federal and State DNA collection and analysis systems that can be used to accelerate the prosecution of the guilty while simultaneously protecting the innocent from wrongful prosecution. With- in the funds provided, $132,000,000 is for Debbie Smith DNA Backlog Reduction grants, $15,000,000 is for Kirk Bloodsworth Post- Conviction DNA Testing grants, $6,000,000 is for \| SUBMISSION SUBMISSION \| Byrd Hate Crime Prevention Act grants. The Committee directs the Department to ensure these activities are highlighted in opportunity announcements. Further, the Committee urges that within the funds made available for ‘‘Local, State and Federal Forensic Activities’’, grants for FGG DNA are also eligible. \| \|---\| \| Rapid DNA. —The Committee understands that under certain conditions, Rapid DNA technology can help law enforcement agencies quickly compare DNA samples against profiles in the Combined DNA Index System (CODIS) and determine possible connections between a suspect and known criminal activity or facilitate exoneration of innocent suspects. The Committee recognizes the local law enforcement community’s interest in these uses as well as the technology’s potential for generating investigative leads from crime scene samples and uses in the aftermath of disasters. In 2017, Congress enacted the Rapid DNA Act (Public Law 115– 50) with broad bipartisan support. Working with stakeholders, the FBI has developed a process for states to use Rapid DNA to analyze and upload qualifying arrestee DNA samples, per State law, to \| SUBMISSION \| the national DNA database for near-immediate searches against the index of unsolved crimes. The Committee recognizes that while the FBI has not yet cleared the way for the direct upload of crime scene samples from Rapid DNA to the national database, it has published guidance for best practices for non-CODIS uses. The Committee appreciates the FBI’s support of local law enforcement in this manner. By decentralizing DNA testing, some of the burden can be removed from crime laboratories that are experiencing significant backlogs. Therefore, in the interest of public safety, the Committee encourages the Department to work to expand the availability of grant funding for Rapid DNA use in non-CODIS environments. \| \| \|---\|---\| \| \| DNA-related and Forensics Programs. — The Committee continues to direct the Department to allocate funds for DNA- related and forensics programs in compliance with all relevant requirements, including the Justice for All Reauthorization Act of 2016 (Public Law 114– 235), the Justice Served Act of 2018 (Public Law 115– 257), and appropriations directives. \| \| National Instant Criminal Background Check System (NICS). — The Committee continues \| \| SUBMISSION SUBMISSION \| eliminate the processing backlog, and include such requirements in future budget requests, or in forthcoming reprogramming requests as appropriate. \| \|---\| \| Digital Evidence. —The Department is directed to brief the House and Senate Committees on Appropriations not later than 90 days after the date of enactment of this Act, regarding the use of evidence from digital devices in the course of investigations conducted by DOJ and its agencies. The report shall address opportunities and challenges the bureau is currently facing within the following areas: digital evidence processing backlogs; training requirements for digital forensic examiners and agents that use digital evidence in criminal investigations; any technical, legal or other barriers or impediments to sharing digital evidence between agencies or be- tween Federal, State and local partners; and resource requirements. \| \| Marijuana impairment. —The Committee supports the development of an objective standard to measure marijuana impairment to ensure highway safety. Essential to that development are high- quality scientific studies using marijuana and products containing marijuana lawfully \| SUBMISSION SUBMISSION SUBMISSION SUBMISSION \| progress in this regard within 60 days of the enactment of this Act. \| \| \|---\|---\| \| \| Forensic Ballistics and Higher Education. — Subject to approval from ATF, educational institutions can join NIBIN in collaboration with local law enforcement agencies. Through the use of ballistics identification equipment, these NIBIN initiatives can provide students with hands-on training in the processing of firearms evidence used to generate actionable crime gun intelligence. The Committee provides $3,000,000 for a competitive grant program for universities and technical colleges, to acquire ballistics identification equipment and support forensic ballistics programs. \| SUBMISSION \| Survivors’ Bill of Rights in the States.—The Committee provides $5,000,000 for a grant program to incentivize States to develop and enact laws that guarantee certain rights to survivors of sexual as- sault, as defined in 18 U.S.C. 3772, including the right to receive medical forensic examinations, the preservation of evidence collection kit, and access to information resulting from such kits, prior notification of any destruction or disposal of evidence collection kits, and the right to request further preservation of any such kit. The Committee directs the Department to consult with STOP grant stakeholders to solicit their feedback on increasing formula grants authorized under 34 U.S.C. 10441 et. seq. as part of this incentivization program for States that have a law in place regarding rights to survivors of sexual assault. The Department is directed to submit its plan for administering this program, including the grant solicitation process, as part of the fiscal year 2023 spend plan. Within 1 year of the date of enactment of this act, DOJ shall provide a report to the Committee on any logistical challenges to administering this \| Sexual Assault Survivor's Bill/Rights.-The agreement provides $I0,000,000 as part of the STOP grants for a new program authorized by section 5903 of the James M. Inhofe National Defense Authorization Act for Fiscal Year 2023, including the right to receive medical forensic examinations, the preservation of evidence collection kits, and access to information resulting from such kits, prior notification of any destruction or disposal of evidence collection kits, and the right to request further preservation of any such kit. The Department is further directed to submit its plan for administering this program, including the grant solicitation process, as part of the fiscal year 2023 spend plan. Within one year of the date of enactment of this act, DOJ shall provide a report to the Committees on the number of States that have applied for grants, the number of awards made and the respective award amounts, and the level of unmet demand for this program. \| \|---\|---\| SUBMISSION \| DOJ LANGUAGE \| HOUSE \| SENATE \| \|---\|---\|---\| \| SUBMISSION \| \| \| \| \| \| program, the number of States that have ap- plied for grants, the number of awards made and the respective award amounts, and the level of unmet demand for this program. \| \| \| \| Internet of Things Capabilities Database. — The growing use of Internet of Things devices requires understanding of existing capabilities of such devices for training on options and best practices for handling of evidence to meet judicial standards and privacy concerns. To meet this need, $2,000,000 shall be dedicated for a separate competitive grant program in order to provide four awards of not less than $500,000 each for institutions of higher learning that provide training in computer forensics and digital investigation to develop a database on Internet of Things device capabilities and to build and execute training modules for law enforcement. \| DEPARTMENT OF COMMERCE NIST LANGUAGE \| \| NIST LANGUAGE SUBMISSION \| House \| Senate \| \|---\|---\|---\|---\| \| Safety, Security, and Forensics–Providing tools to help forensic crime laboratories validate their analytical methods and ensure accuracy in their results for DNA and biological evidence, \| \| Forensic Sciences. —The Committee provides $23,000,000 for forensic science research, an increase of $2,500,000 above the fiscal year 2022 enacted level. Within these funds, the Committee pro- \| Forensic Sciences. —The Committee provides $2,000,000 above the fiscal year 2022 enacted level for forensic science research, including $3,300,000 to support the Organization of Scientific Area Committees \| fingerprint and pattern evidence, illicit drugs, digital evidence, ballistics, and trace evidence, developing metrologies for threat detection and protective materials. Statement of Operating Objectives Special Programs Office - The SPO will continue to foster communication and collaboration between NIST, and external communities focused on critical national needs. To meet those needs, SPO works closely with and forges partnerships among government, military, academia, professional organizations, and private industry to provide worldclass leadership in standards and technology innovation. In FY 2023 the SPO will continue its efforts focusing on Forensic Science and GHG Measurements. In Forensic Science NIST is focused on 4 main areas: Advanced Forensic Science Research – NIST researchers work both on technologies for forensic analysis and the mathematical and statistical tools that help quantify confidence in the results of a forensics test. To disseminate this work into the forensic science community, NIST develops measurement protocols, calibration systems, Standard Reference Materials and Data, authoritative guidelines, and works with standards- vides no less than $3,500,000 to support the Organization of Scientific Area Committees and no less than $1,500,000 to support technical merit evaluations previously funded by transfer from the Department of Justice. and $2,000,000 to support technical merit evaluations. In addition, NIST is directed to report to the Committee whether Federal support is necessary for Standards Development Organizations in order to further advance the use of forensic standards. no less than $3,5000,000 to support the Organization of Scientific Area Committees and no less than $1,500,000 to support technical merit evaluations. In addition, NIST is directed to report to the Committees whether Federal support is necessary for Standards Development Organizations in order to further advance the use of forensic standards. developing organizations to formalize many of these as consensus standards. Science-based Standards Development – Since 2014, NIST has administered the OSAC Program which brings together over 550 members representing forensic science stakeholders from academia, Federal, state, and local government, and the private sector to develop scientifically sound forensic science standards and encourage their adoption across the country. Scientific Foundation Studies – NIST conducts indepth reviews to identify priorities for future research, help laboratories identify appropriate limitations on the use of forensic methods, and suggest steps for moving the field forward. NIST recently published the first of several scientific foundation reviews on DNA mixture interpretation. Reviews of firearm examination, digital evidence and bitemark analysis are currently underway. Operation of the NIST Center of Excellence in Forensics – CSAFE was established in 2015 and renewed in 2020 to help build a statistically sound and scientifically solid foundation for the analysis and interpretation of pattern impression evidence. This multiHEALTH AND HUMAN SERVICES/CENTER FOR DISEASE CONTROL LANGUAGE \| \| CDC LANGUAGE \| SENATE LANGUAGE \| HOUSE LANGUAGE \| \|---\|---\|---\|---\| \| \| SUBMISSION \| \| \| \| National Violent Death Reporting System (+$10.0 million) The FY 2023 request for the National Violent Death Reporting System (NVDRS) includes an increase of $10.0 million above the FY 2022 Annualized CR. In FY 2023, CDC will support 52 recipients to collect NVDRS data. CDC will use the additional funding requested for NVDRS to collect data on gender identity and sexual orientation. These data will increase our understanding of violent deaths among disproportionately \| \| National Violent Death Reporting System [NVDRS].—The Committee includes a $10,000,000 increase in recognition of the importance of the NVDRS. The Committee directs CDC to use this additional funding to collect data on underrepresented populations, including collecting data on gender identity and sexual orientation. \| \| affected groups and inform efforts towards decreasing the number of deaths across groups. Leadership through Alliances Program. Opioid Overdose Prevention and Surveillance (+$237.8 million) The FY 2023 request for opioid overdose prevention and surveillance is a $237.8 million increase above the FY 2022 Annualized CR. CDC will continue local investments and innovation to reach communities heavily impacted by the overdose crisis, while continuing to support all states, territories, and local jurisdictions to track and prevent overdose deaths. CDC will prioritize support to collect and report real-time, robust overdose mortality data and to move from data to action, building upon the work of the Overdose Data to Action (OD2A) program. To do so, CDC will partner with funded jurisdictions to implement surveillance strategies that include contextual information alongside data, as well as increase surveillance capabilities for polysubstance use and emerging substance threats such as stimulants. Opioid or Other Drug Use and Overdose Prevention.—The Committee includes an increase of $111,000,000 to enhance activities, and encourages CDC to ensure that funding for opioid and stimulant abuse and overdose prevention reaches local communities to advance local understanding of the opioid overdose epidemic and to scaleup prevention and response activities. The Committee encourages CDC to include community member naloxone education as a strategy for local community overdose prevention funds. The Committee continues to support rigorous monitoring, evaluation, and improvements in data quality and monitoring at a national level, including data collection and analysis on overdose deaths. Further, CDC is directed to continue expansion of case-level syndromic surveillance data, improvements of interventions that monitor pre- scribing and dispensing practices, better timeliness and quality of morbidity and Opioid Other Drug Use and Overdose Prevention- The agreement includes an increase to enhance activities and encourages CDC to ensure that funding for opioid and stimulant abuse and overdose prevention reaches local communities to advance local understanding of the opioid overdose epidemic and to scaleup prevention and response activities. In addition to the activities included in House Report 117-403, the agreement encourages CDC to include community member naloxone education as a strategy for local community overdose prevention funds. The agreement continues to support rigorous monitoring, evaluation and improvements in data quality and monitoring at a national level, including data collection and analysis on overdose deaths. CDC is directed to continue expansion of case-level syndromic surveillance data, improvements of interventions that monitor prescribing and dispensing Opioid or Other Drug Use and Overdose Prevention- The agreement includes an increase to enhance activities and encourages CDC to ensure that funding for opioid and stimulant abuse and overdose prevention reaches local communities to advance local understanding of the opioid overdose epidemic and to scale-up prevention and response activities. In addition to the activities included in House Report 117-403, the agreement encourages CDC to include community member naloxone education as a strategy for local community overdose prevention funds. The agreement continues to support rigorous monitoring, evaluation and improvements in data quality and monitoring at a national level, including data collection and analysis on overdose deaths. CDC is directed to continue expansion of casemortality data, as well as the enhancement of efforts with medical examiners and coroner offices. The Committee urges CDC to continue to maximize the use of State-based Prescription Drug Monitoring Programs [PDMPs] as a public health tool to as- sist in clinical decision-making and in conducting surveillance. CDC is directed to improve utilization of Statebased PDMPs to as- sist in clinical decisionmaking and surveillance. CDC is further directed to continue to expand an innovative model to coordinate care for high-risk patients receiving opioid treatment and encouraged to work with the Office of the National Coordinator for Health Information Technology to enhance integration of PDMPs and electronic health records. practices, better timeliness and quality of morbidity and mortality data, as well as the enhancement of efforts with medical examiners and coroner offices. The agreement urges CDC to continue to maximize the use of State-based Prescription Drug Monitoring Programs (PDMPs) as a public health tool to assist in clinical decision-making and surveillance. CDC is further directed to continue to expand an innovative model to coordinate care for high-risk patients receiving opioid treatment and encouraged to work with the Office of the National Coordinator for Health Information Technology to enhance integration of PDMPs and electronic health records. level syndromic surveillance data, improvements of interventions that monitor prescribing and dispensing practices, better timeliness and quality of morbidity and mortality data, as well as the enhancement of efforts with medical examiners and coroner offices. The agreement urges CDC to continue to maximize the use of State-based Prescription Drug Monitoring Programs (PDMPs) as a public health tool to assist in clinical decisionmaking and surveillance. CDC is further directed to continue to expand an innovative model to coordinate care for high-risk patients receiving opioid treatment and encouraged to work with the Office of the National Coordinator for Health Information Technology to enhance integration of PDMPs and electronic health records. \| Sexual Assault Nurse Examiners Program.-The agreement includes $15,000,000, an increase of $2,000,000 above the fiscal year 2022 enacted level. \| \|---\| COMMUNITY PROJECTS \| \| Agency \| \| Project \| Amount \| \|---\|---\|---\|---\|---\| \| Beaver County District Attorney’s Office \| \| Ten-County SW PA Rapid DNA Law Enforcement Initiative \| \| \| \| Cambria County District Attorney’s Office \| \| Multi-County Rapid DNA Law Enforcement Database Initiative \| \| \| \| Chester County District Attorney’s Office \| \| Chester County District Attorney’s Office Rapid DNA Program \| \| \| \| Elko County Sheriff’s Office \| \| Rapid DNA Technology \| \| \| \| Maricopa County Sheriff’s Office \| \| Rapid DNA Technology \| \| \| \| Mississippi Forensics Laboratory \| \| Unidentified and Missing Persons Digital and Skeletal Remains Repository \| \| \| \| New Mexico Department of Public Safety \| \| The Forensic Laboratory Gas Chromatograph— Infrared Detector (GC IRD) Instrument Project. \| \| \| \| Riverside County Sheriff’s Department \| \| Forensic Rapid DNA Technology \| \| \| \| Thurston County Sheriff’s Office \| \| Rapid DNA Forensic Technology for Investigations \| \| \| \| Utah Department of Public Safety, State Bureau of Investigation \| \| Utah Forensic Genetic Genealogy DNA Testing Initiative \| \| \| \| City of Thornton \| \| Rapid DNA Instrument \| \| \| \| All Faiths Children’s Advocacy Center. \| \| Children’s Safehouse Forensic Interview Program .... \| \| \| \| Delaware Division of Forensic Science \| Division of Forensic Science Equipment \| \|---\|---\| \| Hawai’i Department of the Attorney General. \| Sexual Assault Nurses and Forensic Examiners \| \| Marshall University \| Forensic Science Training and Services \| \| Oklahoma State University Center for Health Sciences. \| Forensic DNA Laboratory \| \| University of Alaska \| Forensic Training Program for Healthcare Providers and Advocates \| \| Madera County Sherriffs office \| Rapid DNA System Project \| \| Merced Country Sherriffss Officce \| Rapid DNA System \| \| Orange County Sherriff’s Office \| Identification of Unidentified Murder Victims Using Genetic Geneology \| \| Bucks County Sherriffs Office \| Rapid DNA \| \| Snohomish County Sheriff’s Office \| Rapid DNA System \| \| Grant Parish Sheriff’s Office \| Rapid DNA technology \| \| Quachita Parish Sheriff’s Office \| Rapid DNA Technology \| \| City of Bridgeport \| City of Bridgeport Forensic Technology \| \| City of Reno \| Reno Police Department—Forensics Software & Equipment \| \| Whitfield County \| Whitfield County - Forensic Equipment Purchase \| \| Jacksonville Police Department \| Implementation of a Rapid DNA Regional System \| \| Snohomish County Sheriff’s Office \| Rapid DNA System \| OTHER
"Escorts Limited Q2 FY16 Earnings Conference Call" November 02, 2015 MANAGEMENT : MR. S. SRIDHAR – CHIEF EXECUTIVE OFFICER, ESCORTS AGRI MACHINERY. M R . S UNIL S AKSENA – C HIEF E XECUTIVE O FFICER, ESCORTSCONSTRUCTIONEQUIPMENT. MR. DIPANKARGHOSH– CHIEFEXECUTIVEOFFICER, ESCORTSAUTO ANDRAILWAYPRODUCTS. MR. BHARATMADAN– GROUPFINANCIALCONTROLLER. MS. JYOTIKHATUKA– HEAD, TREASURY AND INVESTORRELATIONSTEAM, ESCORTSLIMITED MODERATOR: MR. RAGHAVENDRA JAIPURIA – PERFECT RELATIONS Moderator: Raghavendra Jaipuria: Bharat Madan: Ladies and gentlemen, good day and welcome to the Escorts Limited Q2 FY16 Earnings Conference Call. As a remainder, all participant lines will be in the listen-only mode. And there will be an opportunity for you to ask questions after the presentation concludes. If you need assistance during the conference call, please signal an operator by pressing '*' then '0' on your touchtone phone. Please note that this conference is being recorded. I now hand the conference over to Mr. Raghavendra Jaipuria of Perfect Relations. Thank you and over to you, sir. Thank you, Aman. Good evening and thank you for joining us on Escorts Limited Q2 FY16 Results Conference Call. For today's call the management would be represented by Mr. S. Sridhar – CEO, Escorts Agri Machinery, Mr. Sunil Saksena – CEO, Escorts Construction Equipment, Mr. Dipankar Ghosh – CEO, Escorts Auto and Railway Products, Mr. Bharat Madan – Group Financial Controller, Ms. Jyoti Khatuka – Head, Treasury and the Investor Relations Team at Escorts Limited. We will start the call with the brief opening remark from the management followed by an interactive Q&A session. Before we start, I would like to add that some of the statements that we make in today's discussion will be forward looking in nature. At this point, I would request Mr. Bharat Madan to make his opening remarks. Thank you, Raghavendra. Ladies and gentlemen, a very good evening to you all. Thank you for joining us on the second quarter earnings call for financial year 2016. A snapshot of company’s quarterly performance is as follows. Turnover at Rs.802 crores against Rs.993 crores last year, down by 19.2%, this is primarily due to drop in both Tractor volumes and Construction Equipment volumes. Tractor volumes went down by 23.8% to 11,438 Tractors as against 15,013 Tractors last year same quarter. Construction Equipment volumes went down by 18.1% to 612 machines against 747 machines last year same quarter. EBITDA went down by 12% to Rs.29.5 crores against Rs.33.5 crores last year. EBITDA margins now stands at 3.7% versus 3.4% last year. Despite fall in volumes EBITDA margin marginally improve due to lower margin material cost. Material cost went down by 311 basis points to 68% as compared to 71.1% last year. Finance cost went down by Rs.2.9 crores to Rs.11.1 crores as compared to Rs.14.1 crores in quarter ended September 2014. The total debt outstanding as on September 2015 is Rs.464 crores which is down from Rs.505 crores in quarter ended in September 2014. PBT before exceptional item went up by 9% to Rs 17.7 crores from Rs. 16.2 crores last year. The company reported a PAT of Rs.16.2 crores versus loss of Rs.7.9 crores last year. PAT margins now stands at 2% versus negative 0.8% last year in quarter ended September 2014. EPS is reported at Rs.1.36 for the quarter ended September 2015. Now, moving on to segmental business performance. Starting with the Agri Machinery business, Domestic Tractor industry volumes went down by 25% to 1.06 lakhs Tractors as compared to 1.41 lakhs Tractors last year in same quarter. For the first half of the year, the Tractor Industry registered a declined 20.3% as compared to last year. The Agriculture sector is struggling with second consecutive year of less than normal rainfall across all the four regions of India. Last year it was 12% below normal of long term period average and this year it was even worst 20% below normal rainfall. Continuous deficient rainfall has resulted in worsening of water reservoir situation much lower than last 10 years average level. Also wholesale price in segment is declining continuously for last 15 months at in the negative zone since last 10 months. Deficient monsoon worsening water reservoir, lower wholesale prices has resulted in lower disposable income in rural areas impacting rural demand negatively. While the domestic industry went down by 25% our domestic volumes went down by 20%. Therefore our domestic market share grew from 10% to 10.6% in the quarter ended September 2015. In this quarter our export volumes stood at 145 Tractors. Continuing with our strategy to offer innovative products, we have launched two new models Euro 45 and Euro 50 under Powertrac brand in 40 HP to 50 HP category. The Euro series of Tractors combine stunning looks along with enhanced engine power fuel efficiency and reliability. The market response to all the newly introduced models has been very positive. The new models are creating product full base market demand amongst the perspective buyers. Going forward in the current fiscal we shall continue to bring new products. EBIT margins in EAM marginally went down to 6.7%, against 7.1% last year, primarily due to fall in volumes. We are on track in our project and reducing material cost and better margins are expected once the industry turns the corner. Now coming to the construction equipment business, the construction equipment industry a witnessed growth of 12% on the back on growth in certain products segments which includes excavation, road compaction material processing and concreting equipment. However our served industry volume went down by approximately 4%. The Pick n Carry crane and Backhoe Loaders industry went on 10% and 7% respectively. Our total volumes manufactured and traded products went down by 18% to 612 machines against 747 machines in last year same quarter. Our volumes moved in line with the industry in the Pick n carry and compactor segment, however, we have lost market share in the Backhoe loader segment from 4.2% to 2.3% because of increase competitive intensity and the price discounts. We have not participated in any price discounts in this market. Revenue however has gone up by 2.5% from Rs.121 crores to Rs.124 crores, due to superior product mix, higher spare sales and some specialized equipment sale. EBIT losses also have reduced from Rs.10.8 crores to Rs.4.9 crores due, to sales of high contributing products and lower material cost. Some sectors of the infrastructure industry like Roads and Mining are looking up resulting in increase in demand Excavators and Compactors. The Backhoe Loader industry is yet to show signs of revival. The Crane market in the second half should be better than first half of this year, also historically H2 has been better than H1 which should help bolster the demand. In the short term however industry sentiments look better in especially in light up number of road projects having been awarded in the rate cut by RBI, however any structure revival in the industry expected to take time and we will push to next year. Coming to the railway division, revenues are up at Rs.53.55 crores as against Rs.47.3 crores last year. The EBIT margins are also up by 533bps at 14.9% against 9.6% last year. This is primarily due to favorable product mix and reduction in fixed cost. Order book for this division stood at approximately Rs.65 crores which will get executed in the next three months to four months. Given the Government's focus on revitalizing the Indian Railways we are very excited on the future outlook of this business. To Moderator: Mahesh Bendre: S. Sridhar: Mahesh Bendra: S. Sridhar: Moderator: Rakesh Jhunjhunwala: S. Sridhar: Escorts Limited November 02, 2015 capture the opportunity our endeavor is to expand our product range either through in-house development or through technology partnerships. In terms of new products we got the development order for Axel Mounted Disc Brakes in the second quarter which will partly be executed and balance will be executed in the second half of the year. Lastly, coming to the auto division it achieved the turnover of Rs.24.3 crores against Rs.26.8 crores, down by 10% Y-o-Y mainly due to lower exports. EBIT losses however have gone down by 2.33 crore from Rs.7 crore to Rs.4.7 crores correspondingly. This is achieved mainly due to cost savings in VRS, margin expansion due to sales portfolio rationalization and improvement in operations in EAP. Going forward, our focus will be to increase the sales in high margin segment which is exports and replacement market. Now I request the moderator to open the house for Q&A session. The first question is from the line of Mahesh Bendre from Way 2 Wealth. In the first half of this financial year tractor volumes are down by 20%, so what is the outlook for rest of the year and for FY17? Hello, Mahesh, Sridhar here. This Tractor industry to be very briefly about from last November to March industry was de-growing at the rate of 30%, from April to June the first quarter it was de-grown by 17% and from July to September the de-growth is almost 25%. This 25% was a little surprise for us it's more because of monsoon what should have otherwise been 17% given an adjustment of seasonality getting pushed into October. So it is almost 8% or 9% and much more than what we have expected because of monsoon related troubles. I think we should expect something like in quarter3 also to be +/-5% maybe more towards -3% to -5% in industry. So possibly the whole year at this rate may end anywhere around 9% to 10% average. Okay. And sir, FY17 do you think the lower base will benefit us in terms of growth? No, because of the lower base we did expect the growth rate to be something like 7%. This is how we were planning till June or July, but after this monsoon effect where we have lots of details already shared, with reservoir are also on all time low kind of capacity I think it will be something like -2% or -5% max kind of an area is what we are looking for quarter three. Thank you. Our next question is from the line of from Rakesh Jhunjhunwala from Rare Enterprises. Volumes for October were down and as against 8,000 you have done around 6,000 tractors. Last year in the third quarter you did about 16,000 tractor sale. So you feel this quarter you should be down only by 10%? That means, this quarter you will be able to do 14,500, so in November - December you should be able to do about 9,000 Tractor sale? See unfortunately, I think my guys are sayings don't forecast. What you are hearing is what will be around. But here are couple of things, around 7% growth is what we were looking for the quarter but now this may be around -5% to the extent of 10% to 12% swing. If case of this kind of swing, we will correct some of our stock in-line with our expectations. So this has a certain releases correction even though the retail may be a little more the release as correction we do. But having said that I think more or less what you hear is the kind of planning what you should be doing actually. Rakesh Jhunjhunwala: Rakesh Jhunjhunwala: Dipankar Ghosh: Moderator: Mitul Shah: Bharat Madan: Mitul Shah: Bharat Madan: Mitul Shah: Sunil Saksena: Mitul Shah: Sunil Saksena: Mitul Shah: Sunil Saksena: Mitul Shah: Escorts Limited November 02, 2015 I anticipate the orders in Railway will be far higher than any what any of us are envisaging. So tomorrow if we get an order of Rs. 400 crores a year are we prepare to execute that? Yes, we are prepared to execute that. Thank you. The next question is from the line of from Mitul Shah from Karvy Stock Broking. Tax rate is quite fluctuating and very low since last two quarters, what will be for H2 and FY17? We get a weighted reduction on R&D spends in this business and our R&D spends annually are in the range of Rs.50 crores to Rs.60 crores, which is reflected in the balance sheet, upto a level of Rs.80 crores to Rs.90 crores of PBT there is mostly zero tax. So if you have to look at effective Tax rate it depends on how much PBT you want to earn, so if you want to be at that level it will be zero tax for the company. But if we cross that level then tax starts setting in a normal rate. In this quarter particularly the overall PBT was low, the tax effective rate has come down significantly, but otherwise on the full years basis this Rs.80 crores – Rs.90 crores of offset is the normal tax for us. And same is applicable for FY17 sir? Yes, it would be something similar because of the same R&D deduction unless there will be a change in the tax law. And second question I have on the Construction Equipment business, this time we have done almost around 600 units and we are near to break-even as compared to our earlier indication of around 75 units to 800 units. I want to understand whether it is because of the product mix or any significant cost initiative which has brought down our breakeven point from earlier 750 level - 800 level to current 600 level. The breakeven remains at about 750 a quarter, we are still about 150 odd machines away. The most important is there are initiatives, there are three reasons I would say one is realizing better price compared to previous quarter in previous year, second is related to going to higher contributing model and third one is related to the cost reduction initiative that we have taken. So all the three are resulting into this kind of situation. So basically this quarter is like an exceptional quarter? No, this will continue, because this is not one time. Yes, but this type of product mix etc. may not be like a normal event right? No, we have just tried to do that within the constraint that we have. We have continuously tried in this year to go to higher contributing models so that we get a better profitability ratio. When can we expect breakeven by Q4 or in FY17? Mitul Shah: Bharat Madan: Moderator: Arjun Khanna: S. Sridhar: Arjun Khanna: S. Sridhar: Arjun Khanna: S. Sridhar: Arjun Khanna: S. Sridhar: Arjun Khanna: Bharat Madan: It is still in the severed market, severed market means out of the product range that we operate, if you look at H2 per se it’s still a negative growth area. We anticipate certain growth area, but they will all be sectoral, in the sense you will find compactor market which connected to Road Building, Excavators are growing. But more or less, the markets that we play in barring Compactors other things are on a decline. We expect the breakeven in second half which is usually better than the first half and we should be in smooth path possibly in next financial year. VRS plans for next one to two year and then its financial implications? This year too there is a VRS which we are planning and contemplating, the timing is not yet announced we are still on discussion maybe end of this quarter or next quarter something will come on this. It may not be the similar quantum which was there last time but it will be there. Thank you. The next question is from the line of from Arjun Khanna from Principal Mutual. Understanding on our exports, the same quarter previous year we did roughly 896 units and this quarter it is 145 units, why such a strong differentiation sir? Last year we had one institutional order which was a bulk order we got it from an African continents. This year we did not have. In this year we are having orders but nothing comparable to that kind of a scale. Something is there on pipeline but not like last year. So a run rate will be on 50 to 100 range per month? Without an institutional order? Yes, but getting an institutional order is distinct possibility at any point of time you may have seven to eight orders in pipeline but the timing cannot be predictable. The institutional order can also be continues phenomena. Sometimes you get the order in bulk, this quarter also we should expect something being executed as orders have already been received. So what would an order backlog be? We generally do not disclose this here but say for example the whole of last year we had something like 1200 worth institutional order. That kind of a thing is a possibility and thousand kind of odd number has a possibility in annualize basis. Our current exports are sold to which markets roughly? Some of the bulk sales comes from African continent, the rest goes from South East Asia and overall there are around 100 distributors between 20 countries to 30 countries. On the same way we have the assembly facility in Poland, does that also accounts for the exports from India or how do you account for that? This is a separate subsidiary, but there are some Tractors which also go from India but not to a large extent I think we are still manufacturing it over there locally. India fairly sends about 20% numbers to them overall. Arjun Khanna: S. Sridhar: Arjun Khanna: S. Sridhar: Arjun Khanna: S. Sridhar: Arjun Khanna: Bharat Madan: Arjun Khanna: Bharat Madan: Arjun Khanna: Dipankar Ghosh: Moderator: And we had launched a new series of Tractors there, how has been the demand of the same? You are talking about the Indian Tractor? No, we had planned to launch some Tractors in Europe Sir? Yes, Heritage series has already launched almost three - four months now. That is 75 horsepower tractor it is always buying aggregate, this will also have larger components from India that is homologation, and it also helps in terms of improving the profit in addition to placing it attractively. Received well I think the next season will tell us the full story actually but November- December may not be the good time I think from March onwards the season starts. So incrementally how many units do we think we can do from the European business? European on an average we do something like 600 to 800 numbers per annum. That kind of volume they do, but it has some inherent potentials to go up to 2,000 numbers, but the current range will be around like 600 to 800 depending on the season. Secondly sir, we have worked on a number of rationalization of expenses, how far are we in that? We talked about the raw material cost actually coming in which we have done this quarter how far we would be towards our optimal level? If you look at the project I think we are almost 60% to 70% done the balance 30 odd percent will happen in the balance six months to nine months, so we are still in work in process. So in terms of getting double digit margin what we require is that volumes actually come back up in terms of operating leverage. Yes that is right. So our initial thought was when we exited FY14 we have taken that as a base volume going forward for working on a double digit initiative and the material cost project reduction is very much on track, but since volume are going down and the industry declining that is something which is not getting visible on the P&L side. Once volume come back to the similar level, at a flat volume will we would assume it will go to double digit margin. So when the industry starts looking for a better numbers you will see an impact on P&L. On the auto ancillary business, you indicated that you are trying for new clients. Is this now a change in strategy that we really want to keep this business for the long terms? As of now we are focusing on stopping the bleeding out there and we have done a series of portfolio rationalization. We have also walked on the fixed cost and Q1-Q2, H1 we have reduced losses drastically. But in Q2 there has been a dip in export market particularly Brazil which is one of the main markets. We hope to get back to black by Q4 and we maintain that, once we get back to black parallely we will see how we take it forward and we are also actively looking for any strategic investors. Thank you. The next question is from the line of from Dhaval Joshi from Phillip Capital. Dhaval Joshi: S. Sridhar: Dhaval Joshi: S. Sridhar: Dhaval Joshi: S. Sridhar: Moderator: Amit Goela: Sunil Saksena: Amit Goela: Sunil Saksena: Amit Goela: Sunil Saksena: Amit Goela: Escorts Limited November 02, 2015 Just question on the inventory, recent channel checks suggest there has been a good amount of tractor repossession which has happened and the inventory is a bit bulky number. So would there be any estimate in terms of what could be the overall repossessed stock nationwide and how could it impact the next year growth target that we are building in? The repossess stocks we will not have an understanding because it will be more with the banker and NBFC it won't be lying in the dealerships. So as far as the dealerships are concerned, sales return and those kind of areas there is no such disturbing alarms. When it comes to inventory I think the industry may have marginally around 5% to 10% of inventory otherwise I do not think it's on the alarming level. It is not only us I think everybody is correcting there stocks. So in this industry you would not consider the repossessed stock with the bankers, right? Correct me if I am wrong. No we don't even get to know actually this all is done by NBFC directly. Because our checks recently do suggest that there is a good amount of inventory of the repossess stock and it could delay the kind of revival which is being anticipated in the Tractor industry? I think I have no comments to offer on this actually. Thank you. The next question is from the line of from Amit Goela from Rare Enterprises. Your ASP in Construction division seems too gone up very dramatically, I guess it is almost about 20 lakhs. So what would lead to this kind of an increase? The average realization is a function of what kind of models constitutions is there in the sale. If we have a larger value models then the realization would be better that is one part and second part is consistent effect of the price increase that we have done. If you look at it Y-o-Y this is almost a 25% increase, from Rs. 16 lakhs to almost Rs. 20 lakhs, so what kind of models are there now and what you weeded out? We did not weed out. There are two components to it, if you compare on Y-o-Y basis the price increase effect have now taken place and they are fully visible that is part one and the part two is related to within those models try and get the higher value models. So within crane we have Safe Cranes which have larger value so we move there. Would this increase in ASP, will it lead to a reduction in your breakeven units? We are trying to do that but I don't think it will result in reduction as such. It has to have that base volume of about 750 a quarter. And you hope to hit this year? Sunil Saksena: Moderator: Chintan Modi: S. Sridhar: Chintan Modi: S. Sridhar: Chintan Modi: S. Sridhar: Chintan Modi: S. Sridhar: Chintan Modi: We hope to hit it in quarter three or quarter four, but still skeptical in terms of the product mix in terms of growth areas, the third market is not still growing. Thank you. The next question is from the line of from Chintan Modi from MOSL. If you can throw some light on the new products that you have launched, in terms of USP that enjoys and the pricing versus the competition? I think almost in the last one year 75% of our portfolio now we have changed. So this things have become a new product, that is a very significant shift in both the Powertrac as well as Farmtrac both the brands have undergone a significant change in terms of new products and within the Powertrac we have brought in certain specialized products ALT what we call as haulage products and then the different products. So this is one of the reasons where we said that now onwards we should start looking for a market share jump, we are moving on those kind of direction actually. Now irrespective of how the overall market moves what we call it as our strong market which is something like 50% to 60% of an Indian domestic industries we should look for a significant market share increase. Thanks to all these new products and that is the direction we are moving in to now. Okay. In terms of pricing how it is different from competition? I think previously our products to give a rough idea it was something like to 5% to 7% we used to be costlier as compared to the leadership products. Now due lot of our initiative now we are holding it. Previously we have been passing it up. Along with the new product, new features and now we have also put in lot of cost control structure, this will also enable us in terms of growth, thus as and when the market revives you will start seeing companies spinning up very good volume and market share growth. In terms of employee counts what was the reduction this quarter? The Tractor which is the largest division we have already seen something like 950 types so we are holding on, there is no change brought on this quarter. There are further discussions on because you should also appreciate something like 1,550 we brought it down to 950 over a period of four years. There are further possibilities but the possibilities will not happen in a very simplistic way unless we do this structure and correction. Some discussion is happening it is too early to discuss maybe when we are ready we will disclose after six months. If you can also throw some light on discounting strategy that was adopted by industry players in the Tractor markets? I think discount is if I am to tell you it is no longer annoying because this is not a new phenomenon now at least two years this industry is going through a (-17%) / (-10%). This discounting over a period of time becomes a product positioning itself. Somehow this player will start selling at that price and gets stick to it, so I don't think that is an issue and it is also a good opportunity for us to reposition ourselves. It is nothing new in the industry now so that is neither the inventory nor the discounts things are fairly stable. How do you intend to ramp up the exports in the Tractor category? S. Sridhar: Moderator Viraj Kajaria: S. Sridhar: Viraj Kajaria: S. Sridhar: Viraj Kajaria: S. Sridhar: Viraj Kajaria: S. Sridhar: Viraj Kajaria: S. Sridhar: Escorts Limited November 02, 2015 In tractor category there are two-three critical thing – first thing what we should be doing is about certain product readiness, so when you say international business the significant business happens around 75 horsepower and 90 horsepower. Within that 75 horsepower we have already launched under the brand Heritage series this is where we have launched out 75 horsepower which is almost like 9 months now. Every market we started launching. The higher horsepower ones are under development so while products are getting developed there are markets which are parallelly developing thanks to that 75 horsepower. Thanks to this the overall idea it was last year we did something like 2200 which we wanted to multiply it at the rate of 25% to 50% every year. So the planning is on and let us see as of now our volumes are insignificant maybe in couple of year the exports volume will become significant. It will cost 5,000 - 6,000 or 7000 kind of volume. Thank you. The next question is from the line of Viraj Kajaria from Securities Investment Management. The sub-30 HP performance, how is the ramp-up being for the Steeltrac brand? No, it is a 15 horsepower it is even less than 20. As of now we will be doing on an average of something like a 50 to 60, ramp up possibilities are there. Steeltrac as a brand is preferred more for orchard and a different kind of a segment, as of now this neither adds to market share nor to our bottom-line. This is more of a strategic investment in terms of preparing products for future product lines. Maybe one more year you may have to give it to us to launch a very significant product under those kind of a brands. We will have very-very attractive four wheel drives at a small horsepower, we will start launching for Horticulture industries. So this will be play in the sub-30 HP segment, right? That is right. Right from 2015 and we can probably looking on introducing more products only 20 to 30HP? Yes. And we also talked about new production in the small farm mechanization space, anything on that front? No we have no such idea. We are not going to do as we are already into equipment manufacturing. There is also some of our idea called the Crop Solutions which is a product of a crop centric activity but the timing is not right. So we will not discuss as that is nothing to do with an Equipment manufacturing or selling. We do not have any idea of entering into those kind of businesses directly. We do sale some Rotavator and other things which is fairly small. It is not very significant. From a channel side which we understood that there are certain dealers which are offering tractors on credit basis and last time this was done was in 2002-2003 and it led to a very bad working capital scenario for the industry. Are you seeing there is money in certain pockets or you are seeing that as a wide spread trend for the industry? Historically this has happened but currently nobody is venturing into those kind of area. If at all it is done on a very marginal basis here and there. I do not think there is an area of a worry as of now. Moderator: Lakshmi Narayanan: S. Sridhar: Viraj Kajaria: S. Sridhar: Viraj Kajaria: S. Sridhar: Viraj Kajaria: S. Sridhar: Viraj Kajaria: S. Sridhar: The next question is from the line of Lakshmi Narayanan from Catamaran. As mentioned, 75% of products are actually new and in the presentation it is mentioned there is an XP series and the Anti-Lift series that are actually there. If you can help me understand out of the tractors that we have sold broadly what is the split between the XP series and the Anti-Lift series? These are from a very different brands, we have two brands called Farmtrac and Powertrac and under Powertrac, we use to have one generic product. This is for a one general purpose, tractor used to be used for all kind of purposes whereas in our analysis we have studied the tractor which has a better hold on haulage is in a position to go through this kind of ups and downs of monsoon. Because of this insight, we created a product which is haulage specialist product being branded as Anti-Lift Tractor (ALT). All haulage tractors are highly vulnerable for lifting, so we developed that technology. ALT does on an average of 400 to 500 numbers per month. Whereas the XP series is a part of Farmtrac. Historically, the Farmtrac markets wherever we sale, we used to sale a very good number between 45 horsepower to 50 horsepower and above. We had a very poor presence in 35 horsepower to 40 horsepower. So XP series was brought in to cater to those kind of entry level requirement of Farmtrac markets like Punjab, Haryana and Rajasthan. These are all different offerings for different market. So the bulk of your market is above 45 HP? No, not true. For example, if you take a Powertrac and Farmtrac are two different brands which almost contribute 50-50 and within that if you look at Powertrac, the entire volume will be coming only up to 40 horsepower, so up to 30 to 40 horsepower is the significant volume beyond that we used to have insignificant volume. It all depends on which brand we are talking about. FT used to be significant, PT used to be at 30 to 40HP. Now when we are talking about Euro, the new products we launched Euro 45, Euro 50, this will help expanding the portfolio of Powertrac market into 45 horsepower and 50 horsepower. Because for example, in place like Uttar Pradesh, Central and Eastern Uttar Pradesh where Powertrac is strong, we used to be weak in 45 horsepower and 50 horsepower category, but these products will help us in achieving better sales in those markets of 45 horsepower and 50 horsepower category, this is the idea. In the previous question you mentioned about your less than 30 horsepower i.e. 15 horsepower, right? And you mentioned you do around 50 units per month, is that a right number? That is right. I believe that for all both Powertrac and Farmtrac we make engines in our own factory? Yes. And when you talked about innovation, is innovation across transmission, across breaking systems and engine? So if the entire scheme of things went through a complete change to when you mentioned 75% new? The idea is not about technology, technology comes second. What is most important is insight, where there is a growth of segment, what exactly is the customer problem, where exactly the competition is Viraj Kajaria: S. Sridhar: Viraj Kajaria: S. Sridhar: Viraj Kajaria: S. Sridhar: Viraj Kajaria: S. Sridhar: Moderator: Sameer Deshpande: weak, for example tractor lifting is a biggest headache for any haulage customer, identifying this as a problem and also as and opportunity, developing technology around solving that problem. For example, we moved almost center of gravity by 10 centimeters inside, these an areas are called as our Inside Driven Technology and that tractor being made as yellow color, industrial paint and resistant proofing. There are lot of technologies brought in to support the customer insight. If at all we have to make a climb then first to climb on the Inside Driven Technologies and then speed. Broadly which are the markets where Escorts has a lot of scope to catch up for Farmtrac, which States you think you can scale up more than what it is now? The Farmtrac markets are Punjab, Haryana, Rajasthan and a bit of Western UP and the Western portion of Madhya Pradesh, these are all Farmtrac markets. In this Farmtrac market, generally in the 45 horsepower and 50 tractor segment, our market share will be something like a 22% to 23%, it will be very high. But where we will have a weakness is between 35 horsepower to 40 horsepower, there will be a big vacuum... So this is a huge catch up area. This is where XP series should help us in expanding our portfolio in those kind of a markets. Similarly, on Powertrac which is another half, has an opportunity in 45 horsepower to 50 horsepower and that is where the new product like Euro 45 and Euro 50 will help us in expanding the portfolio. The 60% of our strong markets where we are there, there is a potential to increase the market share by 2% to 3%. This is what we are working on priorities. And Powertrac also is in the similar markets like Punjab, Haryana, and UP? These areas are generally a Farmtrac markets where Powertrac is very, very weak. In the first level when we are trying to make the portfolio complete for both our brands, we are also trying to separate the dealerships in both the places. So the conflict does not happen, but that research to happen it is three years. It will take two to three years for us to realize good benefit. And the markets where Powertrac is there, is it different to these states or is it in the similar states? No. Powertrac is a very different market. For example, Farmtrac, I said Punjab, Haryana and then Western UP, Western side of Madhya Pradesh, Rajasthan whereas Powertrac is Central UP, Eastern UP, rest of Madhya Pradesh, Bihar and other portion of India. So these markets are different. In terms of consumers who walk-in, how many of them are actually already owning an Escorts or a Farmtrac and was doing a repeat purchase because in this market you should be a repeat purchase the buyer keep buying the same brand of tractors, right? Of course. It will be varying anywhere between 35% to 40% to the extent of 85% to 90% depending on the maturity of the market. The next question is from the line of Sameer Deshpande from Fairdeal Investments. Regarding the tractor volumes in the first half we have around 27,000 and as according to your estimate it seems that we will have a similar second half which was expected to be a bit better than the first half as said in your earlier Conference Call. Now you have mentioned that last year we had volumes of around S. Sridhar: Sameer Deshpande: Bharat Madan: Sameer Deshpande: Bharat Madan: Sameer Deshpande: Bharat Madan: Sameer Deshpande: Dipankar Ghosh: Sameer Deshpande: Dipankar Ghosh: Sameer Deshpande: Dipankar Ghosh: Sameer Deshpande: Dipankar Ghosh: Sameer Deshpande: Escorts Limited November 02, 2015 60,000 so (-10%) comes to 54,000 so this time it is 27,000 in half one so it is expected to be similar in second half? We cannot predict industry that is where we have given a range for the industry. Our volume is also a consequence of the industry. So the way we are planning things should happen. And regarding the profitability, segment margins because of lower volumes in this quarter have come down to around 6.7% which were at around (+9%) in June. So at what level of tractor volumes in a quarter can we achieve this 10% margin, segment margin? If we had the same volume as last year, the margin would have been double-digit this time. That is at what level of volumes? 15,000 tractors. So when you are (+15,000) in a quarter, we can be at around 10%? Yes. And railways, how is the outlook and the scalability there, because we are making good margins and also a reasonable rise in turnover but is the business substantially scalable because I had read in a news saying that in about two years we expect a turnover in this railway segment to be around Rs.1,000 crores? No. I do not think we have anything two years Rs.1,000 crores, but yes it is scalable and we are pretty excited that there are a lot of new opportunities in this particular railway segment and we are confident that we would be able to maintain a very healthy EBITDA even in the H2 also. Because last year we had some around Rs.200 crores odd turnover for the entire year this year it would be? Rs.83crores to be more precise but it should be around +200 crores this time. This year it should be around +200 crores and next year you expect better? Yes. Are we getting the new orders also recently? Yes, we have got a significant amount of orders and we have also introduced some new products like bogie mounted brake system and axle-mounted disc brakes, parallely some of our other technology transfer products for metro segments has also kicked in, so we hope to increase in both our top-line and out bottom-line. And regarding Construction equipment, are we making profits on Cranes now? Sunil Saksena: Sameer Deshpande: Sunil Saksena: Sameer Deshpande: Sunil Saksena: Sameer Deshpande: Sunil Saksena: Sameer Deshpande: Bharat Madan: Sameer Deshpande: Bharat Madan: Sameer Deshpande: Bharat Madan: Moderator: Jayesh Gandhi: Dipankar Ghosh: Jayesh Gandhi: Escorts Limited November 02, 2015 It all depends on the breakeven. What is most important is unless we talk about 750 odd of quarter we will not come to positive results and that's what our attempt is about. But now when you are mentioning the 750, does that also includes compactors, backhoes and everything? Yes. There is a certain ratio but mainly we are market leaders in Crane and that market has to grow because the market still is in a decline. Yes, basically it is unutilized capacities are there. Yes, everywhere across the industry. But now with this backhoes are not doing well that much? As mentioned we are not participating in the discount markets. What really is happening is backhoes as a product range is most in terms of the volume and it is also the area where the decline is most severe and continuous for last almost four years to five years, so everybody has huge surplus capacity and somehow to make both ends meet people are discounting like anybody's business. Even the market leader is discounting to a situation where possibly at the market level its prices are below Escorts price which is very-very unprecedented and what we are doing is as to remain healthy, we are not participating in discounts and therefore it is better to lose some volume rather than make further losses. And currently our working capital situation is comfortable? Yes, it is. Because normally when the industry is in distress the recovery problems, etc., are the situation but we are holding on well with same because our loans have been reduced. If you look at from cash flow the interest cost is going down so on the cash and working capital side the company has done a good work. The debts have gone down and interest cost is going down, in spite of all the decline in the industry still we have been able to keep overheads bottom comfortably. And we are not compromising anything on that front? No, not at all. The next question is from the line of Jayesh Gandhi from Harshad Gandhi Securities. In railway what product are we selling which is a driving growth? Primarily, we have launched new product like Axle-Mounted Disc Brakes and also we have gone into some new break systems particularly for the Mumbai MRVC (Mumbai Rail Vikas Coaches) which have recently been introduced by both Siemens and Bombardier from ICF. So there we have got a significant amount of volumes and we expect to see similar volumes in the coming quarters also. If I say the breaking system entire category that might be comprising like 80% of the volume of railway? Dipankar Ghosh: Jayesh Gandhi: Bharat Madan: Jayesh Gandhi: Bharat Madan: Jayesh Gandhi: Dipankar Ghosh: Bharat Madan: Moderator: Mitul Shah: Bharat Madan: Moderator: Raghunandan: S. Sridhar: Escorts Limited November 02, 2015 It will be around 65% to 70%. We are primarily a break system's player. We have been working with Indian Railway for brake systems for the last 50 years to 55 years and now we also have a big sizable portion of turnover from the coupling systems. All the different type of coupling system, coach to coach, loco to coach all those coupling systems also we are doing a fair amount of business in that. What can be the margins in this breaking system, the one which you just talked about? Overall if you look at the railway business segment performance, the EBIT margin at this turnover topline were close to 14% to 15%. Can you share for this specific? No, it is not in the public domain. Can you share the name of person who is taking care of the Railway Region Head in your organization? I am Dipankar Ghosh. Yes Mr. Dipankar Ghosh who is heading the Railway business, he is on the call right now. He has been answering your question. The next question is from the line of Mitul Shah from Karvy Stock Broking. On exceptional item so if you can throw some light on it. Exceptional item this time there were some small number of VRS so some backlog which we carrying about nine people have exited in this quarter. This was carryover from the last VRS which some settlements were pending that is what have been done. About 90 odd lakhs is the amount which has been billed in this quarter for those all nine cases. The next question is from the line of Raghunandan from Quant Capital. ALT has received a very good response however when we speak to some of the dealers, they indicate that the pricing is on the higher side and as pricing was more competitive the product could have done much better in terms of sales. Any comments on the pricing strategy and also what would be the timeline for more products in the series to come in? The dealers may be correct because in the haulage segment only few brands operate. Out of three brands, couple of brands are very aggressively priced the brands and hey maybe comparing with those brands. But all the efforts what we are trying to do is create a category of our own and not to compete with them, the company has to create a very profitable growth. So we will not do that way, rather what will happen is contra to whatever you have heard from the dealer the ALT's biggest growth of possibility is not in the ALT 4000 we have seen, the biggest growth possibility is what we call ALT 5000 which is a 50 horsepower Tractor, which is a due for launching in couple of months and that will be much more expensive and that is what the growth potentials are very high, while we hear the concern but growth is happening elsewhere so we are conscious. S. Sridhar: Raghunandan: S. Sridhar: Moderator: Bharat Madan: Moderator: Escorts Limited November 02, 2015 I mean just to extend that point slightly, when we went through in detail about the ALT, it had like 55 features. So one of the dealer highlighted was although the higher price is coupled with several new features, customers may not need so many features in the product. The feedback we got was if some of the features could be cut down, pricing could be more competitive but of course this is just a general feedback which I wanted to share in. My second query was on Escorts 50+ HP tractors which have been gaining market share and again what we heard was there were certain issues relating to hydraulics, just wanted your thoughts on how are we addressing these issues, some color on this would be helpful. When we introduce the classic series into 50 horsepower that is called FT 60, the presentation is so tempting when we have an old format even on 55 horsepower these at an attractive pricing I think lot of customers bought this classic FT 60 model and there is an internal cannibalization but on a positive contribution. This is what happened in the last one quarter but 55 horsepower is due for launching, it is already happening now but before this Dhanteras and Deepawali launches will start. This will happen with an enhanced classic looks and we call it as 60-55 classic, this is due for launch. In a matter of three months to four months it will regain its value. I do not think there is an issue. Quality issue what you here is, it is not true, I do not think so. The same problem what the dealers say maybe true but the explanation is not true, so explanation is something different. But in quarter four I think you will see normalcy being restored. Lastly, on the tractor sale side, ecosystem is very important, like financing tie-ups and exchange incentives, schemes during trouble times. So how you seeing or what are your thoughts on these two areas to help bolster volumes in the uncertain time? This is always an ongoing requirement, the trade in, the old Tractor disposal costs for much more money, people will always ask more money on this but there is no end to it. The kind of incentive what we give is an ongoing incentive what we have been giving for years together, nothing unusual. The climb is there but we cannot, there is no end to it. We have to endure the pain when the recession is there, more incentive and more discount is not the basis of getting over the problem actually. Thank you very much. Ladies and gentlemen, that was the last question. I now hand the conference back to the management for closing comments. Thank you and over to you. Thank you, ladies and gentlemen for being present on this call. For any feedback and query feel free to write into us at email@example.com. I would like to mention that we distribute our earnings release through our website www.escortsgroup.com. So do refer to our website for our earnings releases as well as other details and this transcript will be available on our website after some time. You can now download our Investor Relations app from Google Play store and Apple iTunes. You can visit our social media pages for the latest company news, development, etc. We will meet again in next quarter. Thank you very much and good evening. Thank you very much. Ladies and gentlemen, on behalf of Escorts Limited that concludes this conference call. Thank you all for joining and you may now disconnect your lines.
Small example of use of OmicABEL Yurii Aulchenko for the OmicABEL developers July 1, 2013 Contents 1 Important note on data format for OmicABEL The example of use provided below make use of the data provided together with the GenABEL-package. Note that when working with your data you do NOT need to have the data in the GenABEL-package format, and you do not need to follow this procedure to get data usable for OmicABEL; this is a simple example explaining the input and output ﬁles and usage of OmicABEL. The major fact you need to remember is that OmicABEL makes use of the 'ﬁlevector' (aka 'DatABEL') "DOUBLE" format for input. Hence, again, you do NOT have to have your data in GenABEL format, but you do need to get ﬁles into ﬁlevector/DatABEL "DOUBLE". The major issue is getting the (usually vast amounts of) genotypic data in right format. To get to right format, in real life we recommend that you use one of the GenABEL conversion procedures to convert your data from IMPUTE, MACH, or MiniMac to DatABEL/ﬁlevector. The corresponding GenABEL-package functions are impute2databel, mach2databel, and minimac2databel. Make, however, sure that you use the dataOutType = "DOUBLE" argument when argument when doing the genotype data conversion! For example (in R), ``` mach2databel(imputedgenofile = "f1.mldose", mlinfofile = "f1.mlinfo", outfile="f1", dataOutType = "DOUBLE") ``` This argument is added to the GenABEL-package since version >=1.7-7. If you have already have genotypic data in ﬁlevector/DatABEL format, but these are in the "FLOAT" format (default option for the xxx2databel procedures), you can use the float2double utility provided together with OmicABEL to convert to "DOUBLE". For example, if you have your genotypic data in (ﬁlevector-FLOAT) ﬁles myData.fvi and myData.fvd, you can convert them to DOUBLE by using (from command line): float2double myData myDataDouble After which you will get ﬁles myDataDouble.fvi and myDataDouble.fvd (note that the size of these ﬁles is roughly double the size of ﬂoats - take care you have enough HDD space). 2 Outline of the example In this example, we will use the data set distributed with GenABEL to show the use of OmicABEL. Hence you need to have GenABEL package installed on your system. You will also need the DatABEL package for data manipulations and 'mvtnorm' package (simulation of traits) installed. For conversion of ﬁles to the FaST-LMM format, you will need PLINK installed, you will also need FaST-LMM if you'd like to run the comparison. 3 Prepare the data for analysis Note that you do NOT need to follow this procedure to get data usable for OmicABEL. The trick is to get your data in tables and then dump these tables in 'ﬁlevector' (aka 'DatABEL') format. You do NOT need to have your data in GenABEL format for that! Please start R and . . . 3.1 Load the libraries and necessary data ``` We will load the 'ge03d2.clean' data set library(mvtnorm) library(DatABEL) library(GenABEL) data(ge03d2.clean) df <- ge03d2.clean[,autosomal(ge03d2.clean)] DatABEL v.0.9-4 (March 12, 2013) loaded Loading required package: MASS GenABEL v. 1.7-4 (February 22, 2013) loaded and check how many individuals and SNPs are there nids(df) nsnps(df) [1] 822 [1] 6826 ``` 3.2 Compute genomic relationship ``` Compute genomic KINSHIP gkin <- ibs(df,weight="freq") ``` ``` gkin[1:3,1:3] id4 id10 id25 id4 0.447279504 6.683000e+03 6687.0000000 id10 0.007856257 4.657045e-01 6678.0000000 ``` ``` set.seed(10) nTraits <- 10 model.h2 <- runif(nTraits,min=0.3,max=0.7) myPhenos <- matrix(NA,ncol=nTraits,nrow=nids(df)) s2 <- 3 j <- 1 for (current.h2 in model.h2) { Sigma <- s2(current.h2grel + (1-current.h2)diag(rep(1,nids(df)))) myPhenos[,j] <- rmvnorm(1,sigma=Sigma) j <- j + 1 } colnames(myPhenos) <- paste("tra",1:dim(myPhenos)[2],sep="") myPhenos[1:2,] tra1 tra2 tra3 tra4 tra5 tra6 tra7 [1,] -0.137185 -1.507003 3.2995679 -1.181792 0.2607997 -0.8527273 -2.3883019 [2,] -2.177526 -0.442744 0.1585556 1.784114 1.5286974 2.5535508 -0.9764274 tra8 tra9 tra10 [1,] -0.3908143 -1.0160779 -2.773482 ``` ``` id25 -0.007928409 6.881990e-03 0.4815139 Now transform this into relationship matrix grel <- gkin grel[upper.tri(grel)] <- t(grel)[upper.tri(grel)] grel <- 2grel grel[1:3,1:3] id4 id10 id25 id4 0.89455901 0.01571251 -0.01585682 id10 0.01571251 0.93140902 0.01376398 id25 -0.01585682 0.01376398 0.96302789 3.3 Simulate some traits [2,] 2.0045780 -0.1445038 2.448823 ``` Let us also compute all ratios between the traits: tmp <- myPhenos for (i in 1:(nTraits-1)) { for (j in (i+1):nTraits) { cRatioIJ <- tmp[,i]/tmp[,j] cRatioJI <- tmp[,j]/tmp[,i] tmp <- cbind(tmp,cRatioIJ) colnames(tmp)[dim(tmp)[2]] <- paste("rat_",i,"_",j,sep="") tmp <- cbind(tmp,cRatioJI) colnames(tmp)[dim(tmp)[2]] <- paste("rat_",j,"_",i,sep="") } } dim(tmp) myPhenos <- tmp [1] 822 100 3.4 Export the data in DatABEL format Make sure you always use the DOUBLE type! Need to make sure there are no 'older' ﬁlevector ﬁles around killFiles <- c("pheno?.???","genos.???","covars.???","grel.???") unlink(killFiles) Export traits. We ﬁrst export one trait tmp <- matrix2databel(from=myPhenos[,1,drop=FALSE],filename="pheno1",type="DOUBLE") and then all traits – this is handy to show the use of diﬀerent options tmp <- matrix2databel(from=myPhenos,filename="phenos",type="DOUBLE") Export covariates - note you need '1' as the ﬁrst covariate! myCovariates <- phdata(df)[,c("sex","age")] myCovariates <- cbind(1,myCovariates) myCovariates[1:3,] tmp <- matrix2databel(from=as.matrix(myCovariates),filename="covars",type="DOUBLE") 1 sex age id4 1 0 51.63771 id10 1 1 53.73938 ``` ``` id25 1 0 66.01148 Export relationship tmp <- matrix2databel(from=grel,filename="grel",type="DOUBLE") Export genotypes. Note that you do NOT need to have genotypes in the GenABEL format to do this operation. tmp <- matrix2databel(from=as.numeric(gtdata(df)),filename="genos",type="DOUBLE") Remove the 'tmp' object and 'gc' to keep things clean: rm(tmp) gc() used (Mb) gc trigger (Mb) max used (Mb) Ncells 364098 19.5 667722 35.7 467875 25.0 Vcells 3105774 23.7 17089802 130.4 20039530 152.9 ``` 3.5 Export the data in format for FaST-LMM We are going to compare the OmicABEL results with FaST-LMM, and there- fore will export the results in a format usable for FaST-LMM as well. Note this part is NOT necessary to run the OmicABEL! Start with genotypic ﬁles, to be exported in TPED format ``` export.plink(df,transpose=TRUE) Export covariates falmmCov <- cbind(1:nids(df),idnames(df),phdata(df)[,c("sex","age")]) falmmCov[1:3,] write.table(falmmCov,file="plink.cov",col.names=FALSE,row.names=FALSE, quote=FALSE) 1:nids(df) idnames(df) sex age id4 1 id4 0 51.63771 id10 2 id10 1 53.73938 id25 3 id25 0 66.01148 ``` Export phenotypes falmmPhe <- cbind(1:nids(df),idnames(df),myPhenos) write.table(falmmPhe,file="plink.phe",col.names=FALSE,row.names=FALSE, quote=FALSE) Export genomic relationship falmmRel <- grel nms <- paste(1:nids(df),idnames(df)) colnames(falmmRel) <- nms falmmRel <- cbind(var=nms,falmmRel) write.table(falmmRel,file="plink.sim",col.names=TRUE,row.names=FALSE, quote=FALSE,sep="\t") Now, you can leave R. Let us switch to the shell and convert the TPED into binary PLINK format (so our 'timing' comparison is more fair) plink --tfile plink --make-bed @----------------------------------------------------------@ \| PLINK! \| v1.07 \| 10/Aug/2009 \| \|----------------------------------------------------------\| \| (C) 2009 Shaun Purcell, GNU General Public License, v2 \| \|----------------------------------------------------------\| \| For documentation, citation & bug-report instructions: \| \| http://pngu.mgh.harvard.edu/purcell/plink/ \| @----------------------------------------------------------@ Web-based version check ( --noweb to skip ) Recent cached web-check found... OK, v1.07 is current Writing this text to log file [ plink.log ] Analysis started: Fri Mar 15 01:40:55 2013 Options in effect: --tfile plink --make-bed Reading pedigree information from [ plink.tfam ] 822 individuals read from [ plink.tfam ] 0 individuals with nonmissing phenotypes Assuming a disease phenotype (1=unaff, 2=aff, 0=miss) Missing phenotype value is also -9 0 cases, 0 controls and 822 missing 438 males, 384 females, and 0 of unspecified sex 6826 (of 6826) markers to be included from [ plink.tped ] Before frequency and genotyping pruning, there are 6826 SNPs 822 founders and 0 non-founders found Total genotyping rate in remaining individuals is 0.990041 1 ) 0 SNPs failed frequency test ( MAF < 0 ) After frequency and genotyping pruning, there are 6826 SNPs After filtering, 0 cases, 0 controls and 822 missing After filtering, 438 males, 384 females, and 0 of unspecified sex Writing pedigree information to [ plink.fam ] Writing map (extended format) information to [ plink.bim ] Writing genotype bitfile to [ plink.bed ] Using (default) SNP-major mode ``` Analysis finished: Fri Mar 15 01:40:59 2013 4 Run OmicABEL analysis Let us check that all ﬁles are present in the current directory: ``` ls *.fv? covars.fvd covars.fvi genos.fvd genos.fvi grel.fvd grel.fvi pheno1.fvd pheno1.fvi phenos.fvd phenos.fvi ``` Make sure that the executables 'CLAK-GWAS' and 'reshuﬄe', or make sure they are in your path. We can now run the OmicABEL analysis with (also using 'time' to time the run). We ﬁrst run analysis of single trait using the option 'chol' CLAK-GWAS -var chol -nths 3 -cov covars -phi grel \ -snp genos -pheno pheno1 -out myres1 Running a Genome-Wide Association Study of the following size: sample size: 822 # of covariates: 2 # of SNPs: 6826 # of phenotypes: 1 Will use CLAK-Chol with the following parameters x_b: 3072 y_b: 1 o_b: 3072 x_tile: 160 y_tile: 160 # of threads: 3 Available memory 3.107723 GBs (out of 3.873131 GBs) Estimating GWAS parameters: heritability and variance... Done ( took 0.287 secs ) Performing the study... Done ( took 0.888 secs ) (this takes about 3 seconds) Now, for analysis of multiple traits it is suggested to use the option 'eigen': CLAK-GWAS -var eigen -nths 3 -cov covars -phi grel \ -snp genos -pheno phenos -out myres Running a Genome-Wide Association Study of the following size: sample size: 822 # of covariates: 2 # of SNPs: 6826 # of phenotypes: 100 Will use CLAK-Eig with the following parameters: x_b: 3200 y_b: 100 o_b: 3072 ``` ``` x_tile: 160 y_tile: 160 # of threads: 3 Available memory 3.105980 GBs (out of 3.873131 GBs) Estimating GWAS parameters: heritability and variance... Done ( took 2.088 secs ) Performing the study... Done ( took 5.996 secs ) (this takes about 20 seconds) Easy, ergh?! Note that time does not add up - doing N phenotypes is much faster then doing N time one phenotype! ``` 4.1 Extract the data in text format This command will dump ALL results into single large text ﬁle (danger! danger! - check the reshuﬄe options for more targeted extracts) reshuffle myres --chi2 myres--chi2-- finish iout_file read 0.003161 TRAITS VALUE SET CHANGED TO ALL SNPS VALUE SET CHANGED TO ALL startwritetxt=0.004497 endwritechitrait tra1 0.126704 [OUTPUT TRUNCATED] Let us have a look at the ﬁrst few lines of the output: head -n 3 chi_data.txt SNP Trait beta_1 beta_sex beta_age beta_SNP se_1 se_sex rs1646456 tra1 0.0915423184633255 0.122388660907745 -0.0007078118505 rs7950586 tra1 -0.0256201047450304 0.11798419803381 -0.0008740884368 5 Explore the results Start R again and . . . 5.1 Load data into R ``` myRes <- read.table("chi_data.txt",head=TRUE,stringsAsFactors=FALSE) myRes$Pvalue <- pchisq(myRes$Chi2,1,low=FALSE) dim(myRes) myRes[1:2,] [1] 682600 18 SNP Trait beta_1 beta_sex beta_age beta_SNP se_1 1 rs1646456 tra1 0.09154232 0.1223887 -0.0007078119 -0.2248352 0.2267392 2 rs7950586 tra1 -0.02562010 0.1179842 -0.0008740884 -0.1955265 0.2193964 se_sex se_age se_SNP cov_sex_1 cov_age_1 cov_SNP_1 1 0.1071139 0.004135856 0.1023784 -0.006057684 -0.0008482659 -0.006096948 2 0.1071970 0.004135147 0.2361242 -0.006151666 -0.0008531595 -0.003884701 cov_age_sex cov_SNP_sex cov_SNP_age Chi2 Pvalue 1 -5.950255e-07 -4.163674e-05 -1.022416e-05 4.822943 0.02808336 2 -9.072596e-07 1.001256e-03 -1.512502e-05 0.685694 0.40763289 ``` 5.2 Explore the results Let us check GC λ's and max(χ 2 ) for all the traits: ``` for (cTrait in unique(myRes$Trait)) { condition <- which(myRes$Trait==cTrait) lambda <- median(myRes[condition,"Chi2"])/qchisq(.5,1) maxChi2 <- max(myRes[condition,"Chi2"]) cat(cTrait,"'s Lambda = ",lambda,"; max chi2 = ",maxChi2,"\n") } tra1 's Lambda = 1.040671 ; max chi2 = 11.51143 tra2 's Lambda = 1.001553 ; max chi2 = 14.37402 tra3 's Lambda = 1.005891 ; max chi2 = 12.72925 [OUTPUT TRUNCATED] ``` 6 Run alternative analysis and compare the results 6.1 Run FaST-LMM analysis Let us analyze trait number 1 (and on the way we will also store the eigendecomposition) fastlmmc -bfile plink -sim plink.sim -covar plink.cov \ -pheno plink.phe -mpheno 1 \ -REML -simLearnType ONCE -MaxThreads 3 \ -eigenOut flmmEigenRes -out flmmOutT1.txt (this takes about 3 seconds) Now, we can fairly time how long does it take to analyze all 10 phenotypes. For this, we will arrange an 'sh' ﬁle which will run all phenotypes analysis (and time it). This perl script generates the 'runFaST-LMM.sh': open OUF,">runFaST-LMM.sh" or die $!; for ($i=1;$i<=100;$i++) { print OUF " fastlmmc -bfile plink -sim plink.sim -covar plink.cov \\ -pheno plink.phe -mpheno $i \\ -REML -simLearnType ONCE -MaxThreads 3 \\ -eigen flmmEigenRes -out flmmOutT$i.txt "; } Let us run it and check few ﬁrst lines if the batch ﬁle: head runFaST-LMM.sh fastlmmc -bfile plink -sim plink.sim -covar plink.cov \ -pheno plink.phe -mpheno 1 \ -REML -simLearnType ONCE -MaxThreads 3 \ -eigen flmmEigenRes -out flmmOutT1.txt fastlmmc -bfile plink -sim plink.sim -covar plink.cov \ -pheno plink.phe -mpheno 2 \ -REML -simLearnType ONCE -MaxThreads 3 \ -eigen flmmEigenRes -out flmmOutT2.txt Finally, let us run (and time) the analysis of all 10 traits: sh runFaST-LMM.sh &> runFaST-LMM.out (this takes about 220 seconds) 6.2 Compare the results Time-wise, you can easily see that OmicABEL outperforms other implementations. Let us now check how close are the results. ``` Let us ﬁrst extract OmicABEL results for a speciﬁc trait, "tra3", so we do not need to load everything into R: head -n 1 chi_data.txt > chi_data_tra3.txt grep "tra3" chi_data.txt >> chi_data_tra3.txt Load OmicABEL results myRes <- read.table("chi_data_tra3.txt",head=TRUE,stringsAsFactors=FALSE) myRes$Pvalue <- pchisq(myRes$Chi2,1,low=FALSE) dim(myRes) myRes[1:2,] [1] 6826 18 SNP Trait beta_1 beta_sex beta_age beta_SNP se_1 1 rs1646456 tra3 -0.03245008 0.01006570 -0.0006363846 -0.0116124 0.2320724 2 rs7950586 tra3 -0.08013462 0.02045402 -0.0007954766 0.5805020 0.2243592 se_sex se_age se_SNP cov_sex_1 cov_age_1 cov_SNP_1 1 0.1095037 0.004230591 0.1063008 -0.006363481 -0.0008876185 -0.006569172 2 0.1095915 0.004229751 0.2449815 -0.006463339 -0.0008930187 -0.004231980 cov_age_sex cov_SNP_sex cov_SNP_age Chi2 Pvalue 1 -4.002032e-09 -4.097003e-05 -1.114071e-05 0.01193359 0.91301138 2 -3.186624e-07 1.078362e-03 -1.526427e-05 5.61488639 0.01780854 and results from FaST-LMM - say, trait 3: falmmRes <- read.table("flmmOutT3.txt",head=TRUE,stringsAsFactors=FALSE) falmmRes$Chi2 <- qchisq(falmmRes$Pvalue,1,low=FALSE) dim(falmmRes) falmmRes[1:2,] [1] 6826 19 SNP Chromosome GeneticDistance Position Pvalue Qvalue N 1 rs245122 1 0 366653 0.0003820629 0.9383752 822 2 rs5547541 3 0 10955677 0.0004055348 0.9383752 822 NullLogLike AltLogLike SNPWeight SNPWeightSE WaldStat NullLogDelta ``` ``` 1 -1579.886 -1586.850 0.2664040 0.07468547 12.72358 -0.08197409 2 -1579.886 -1586.996 -0.2423752 0.06825339 12.61037 -0.08197409 NullGeneticVar NullResidualVar NullBias NullCov01Weight NullCov02Weight 1 1.711163 1.576488 -0.06623389 -0.0006507778 -0.06623389 2 1.711163 1.576488 -0.06623389 -0.0006507778 -0.06623389 Chi2 1 12.61794 2 12.50652 The results are perfectly correlated: rownames(falmmRes) <- falmmRes$SNP table(rownames(falmmRes) %in% myRes[,"SNP"]) falmmRes <- falmmRes[myRes[,"SNP"],] cor(falmmRes$Chi2,myRes[,"Chi2"])^2 TRUE 6826 [1] 0.9998198 Cross-plot the results: jpeg("OmicAvsFaST.jpeg") plot(falmmRes$Chi2,myRes[,"Chi2"],xlab="FaST-LMM",ylab="OmicABEL") abline(a=0,b=1) dev.off() null device 1
Licence Chapter 593 Newspaper - Magazine Stand Chapter Index 593.5.1 Fine - for contravention Article 5 - Enforcement 593.5.2 Separate offence – daily 593.6.1 Effective date Article 6 - Enactment 593.1.1 Citation Article 1 - Short Title This Chapter may be cited and known as the "Newspaper and Magazine Stand Bylaw." Article 2 - Interpretation 593.2.1 Singular - plural - masculine - feminine Whenever the singular is used in this Chapter, it shall also be construed to mean the plural, and whenever the masculine is used, it shall also mean the feminine. Article 3 - General Provisions 593.3.1 Permit fee - insurance - list - location - required a. obtaining a permit for each and every vending or distribution box placed on the public road allowance; No person shall erect, install, place or maintain a print media vending or distribution box on any street, boulevard or highway within the City limits without first complying with the following: b. producing a certificate of insurance confirming that a general liability policy in the amount of $2,000,000 is in force. c. providing at the time of each annual payment and from time to time as may be required by the Engineer, an alphabetical street name inventory listing exactly where the vending or distribution boxes are placed. By-law 9230-18 – August 9, 2018 593.3.2 Box - clean – sanitary Each permit holder shall, at all times, keep the vending or distribution box in a clean and sanitary condition so that the said box does not constitute a public or private nuisance 593.3.3 Advertising matter - prohibited – exception No permit holder shall place or maintain any printing or advertising matter on the distribution boxes other than the name of the print media being sold, the name of the publisher and instructions for use of the said box. 593.3.4 Maintenance - restoration - vicinity – surrounding The permit holder shall maintain the area in the vicinity of the vending or distribution box in a condition satisfactory to the Engineer. In the event that the area in the vicinity of the vending or distribution box becomes eroded due to the utilization by customers, the permit holder will be fully responsible for the complete restoration of the area to the satisfaction of the Engineer. In the event that the problem reoccurs, the Engineer may request the permit holder to install, at the permit holder's expense, a suitable pad in the area of the vending or distribution box, the cost of restoration and/or pad to be equally proportioned among all permit holders. 593.3.5 Operation - without permit – prohibited No person shall place, operate or maintain a vending or distribution box on any public road allowance without first obtaining a permit to do so. 593.3.6 Application – requirements All applications for permits shall be made to the Clerk or designate in writing on the prescribed form and shall be accompanied by a plan showing the proposed location, size and design of the box. 593.3.7 Location - other than specified – prohibited No person shall place, operate or maintain a vending or distribution box in any location other than the location specified on the approved application. 593.3.8 Licence fee - with application No permit shall be issued until the Engineer has approved the proposed location, size and design of the distribution box and the permit fees have been paid. 593.3.9 Duration - one year - renewal fee The fee for an initial permit shall be $55 for each vending and distribution box. Permits must be renewed annually and the renewal fee shall be $30 for each. Bylaw 8486-08, October 2, 2008. By-law 8895-14 January 16, 2014 593.3.10 Permit - expiry - February 15 Each permit granted under this Chapter shall be for one year from February 15 in the current year and expire on the 15th of February one year after issuance or sooner if the licence so indicates. 593.3.11 Fee - non-refundable The fee payable for the permit or renewal shall not be refundable in whole or in part. 593.3.12 Non-transferable A permit for a box is non-transferable. 593.3.13 Obstruction - hazard - location - permit revoked If in the opinion of the Engineer, a print media vending or distribution box is located such that it constitutes a visibility obstruction, safety hazard or physical obstruction for a vehicle driver, vehicle, pedestrian or highway maintenance operation, the Engineer may revoke the permit for the box and the permit shall expire seven days after notice of revocation has been given to the permit holder in the City of Woodstock. 593.3.14 Not removed - removal by Engineer - owner's expense If the permit holder for a vending or distribution box fails to remove the said box following expiration of the permit, the Engineer may remove the box without notice and the permit holder shall pay the cost of removal forthwith upon demand. 593.3.15 Removal - unauthorized box - by Engineer The Engineer may remove, without notice, any vending or distribution box which is located on a public highway, street or boulevard and is not authorized by a permit. 593.3.16 Sidewalks - width - two metres – less No person shall place or maintain a vending or distribution box on sidewalks having a width of two metres (6.56 feet) or less. 593.3.17 Within 30 metres - intersection – exception No vending or distribution box shall be placed within 30 metres (98.43 feet) of an intersection, except at the back of the sidewalk. 593.3.18 Bus loading areas No vending or distribution box shall be placed at a bus loading area. 593.3.19 Within six metres - fire hydrant No vending or distribution box shall be placed within six metres (16.4 feet) of any fire hydrant. 593.3.20 Egress - ingress – obstruction No vending or distribution box shall be placed at or adjacent to a pedestrian and/or vehicular egress or ingress location including ramps and crosswalks so as to obstruct or interfere with egress or ingress. 593.3.21 Obstruction - interference - street maintenance a) traffic poles, lamp poles, street name sign poles, utility poles or parking devices; nor No vending or distribution box shall be chained, fastened or affixed to: b) a building, structure or fixture not designed to accommodate vending or distribution boxes, unless prior written permission from the owner of such building, structure or fixture is first obtained. By-law 8534-09, May 7, 2009. Article 4- Refusal - Revocation - Suspension of Licence 593.4.1 Notice - issued - conditions set out The Clerk shall provide a notice of refusal to issue a licence to an applicant if the conditions for issuance have not been met, the Clerk determines that, the information on the licensee's application for a licence is inaccurate, the applicant has contravened a Section of this Chapter or if the applicant, or any of its directors, officers or managers have been convicted of an offence under the Criminal Code of Canada. The Clerk shall provide the applicant with the written notice of refusal to issue a licence setting out the reasons for refusal, when the right to review will expire and how to apply for a review. 593.4.2 Notice - how served The notice shall be served personally or by registered mail to the applicant at the address shown on the application. 593.4.3 Application - not filed - expired without notice If an application for review has not been filed within fourteen days of the Clerk having effected service of the notice, the applicant's right to a review will expire without further notice. 593.4.4 Licence fee returned - not granted - review expired The Clerk shall return the licence fee paid at the time of the application if the licence is not granted and the applicant's right to a review has expired. 593.4.5 Revocation or suspension of a licence The Clerk shall provide a notice to revoke or suspend a licence if the licensee no longer complies with the conditions for issuance after the licence is issued, the Clerk determines that, the information on the licensee's application for the licence is inaccurate, the licensee has contravened a Section of this Chapter or if the licensee or any of its directors, officers or managers have been convicted of an offence under the Criminal Code of Canada. The Clerk shall give the licensee notice of the revocation or suspension in writing setting out the reasons for revocation or suspension, when the right to a review will expire and how to apply for a review. The notice shall be served personally or by registered mail to the licensee's address last on file with the Clerk. 593.4.6 Application for review - expiry If an application for review has not been filed within fourteen days of the Clerk having effected service of the notice, the applicant's right to review will expire without further notice. 593.4.7 Licence - fee - refund - pro-rated The Clerk shall return a pro-rated portion of the licence fee (based on the length of time the licence was in effect) of a revoked or suspended licence. 593.4.8 Application for review - procedure - deadline An applicant or licensee in receipt of a notice to refuse, revoke or suspend a licence, may, within fourteen days after service of notice apply in writing for a review of notice to refuse, revoke or suspend a licence by filing the application for review with the Clerk and the provisions of Sections 593.4.10 to 593.4.21, inclusive shall apply. 593.4.9 Report for a review of status of licensee The Clerk may report to the Review Tribunal any reasons for the issuance of notice of refusal, revocation or suspension including any breaches by the licensee of this Chapter or other relevant considerations. 593.4.10 Review hearing - date of Upon receipt of the application to review, the Clerk shall determine a date for the review hearing with the Review Tribunal chairperson which shall be at least fourteen days after the receipt of the application for review. 593.4.11 Review hearing - notice of Upon determination of the review hearing date, the Clerk shall give notice in writing to the applicant or licensee, said notice to: a) include a statement, i. as to the time, date, place and purpose of the review hearing, and ii. that, if the applicant or licensee does not attend the review hearing, the Review Tribunal shall proceed in the absence of the applicant or licensee and the applicant or licensee will not be entitled to any further notice; b) be served personally or by registered mail to the applicant or licensee at the address last on file with the Clerk; and c) where the good character, propriety of conduct or competence of an applicant or licensee is an issue, contain reasonable information of any allegation with respect thereto. 593.4.12 Review hearing - by Review Tribunal - procedure The Review Tribunal shall hold the review hearing at the time, place and date set out in the notice. The applicant or licensee may be represented at the review hearing by counsel, and the applicant or licensee or their counsel shall have the right to adduce evidence, submit argument on their behalf and cross-examine witnesses adverse in interest. 593.4.13 Review hearing - City - represented The City shall be represented at the review hearing by either the Clerk or the City Solicitor, who is entitled to adduce evidence and submit arguments in reply to evidence and arguments on behalf of the applicant or licensee. 593.4.14 Review hearing - onus upon applicant a) the licence should be granted; At the review hearing, the onus shall be upon the applicant or licensee to show cause why: b) the licence should not be suspended or revoked; or c) conditions should not be imposed on the licence. 593.4.15 Review hearing - open to public - exception All review hearings shall be public hearings unless the applicant or licensee requests that the hearing be held in closed session and the Review Tribunal may approve the request by a simple majority. 593.4.16 Review hearing - applicant absent - decision rendered Where notice of the review hearing has been served on the applicant or licensee and the applicant or licensee does not attend the hearing, the Review Tribunal may proceed with the review hearing and render a decision in the absence of the applicant or licensee. 593.4.17 Review hearing - completion - decision rendered a) confirm the Clerk's decision to refuse, revoke or suspend the licence; Upon completion of the review hearing, the Review Tribunal shall render a decision which shall: b) reject the Clerk's decision and order the Clerk to issue a licence; or c) reject the Clerk's decision to revoke or suspend the licence. 593.4.18 Licence - conditions - imposed Where the Review Tribunal rejects the Clerk's decision, the Review Tribunal may impose conditions, including special conditions, on the applicant or licensee as a requirement to hold a licence on such terms as are deemed just. 593.4.19 Review Tribunal - decision final - binding The Review Tribunal's decision shall be final and binding. 593.4.20 Review Tribunal - decision in writing The Review Tribunal shall give its decision in writing to the Clerk within seven days of the date of the completion of the review hearing. 593.4.21 Waiver of hearing a) without a hearing; or Despite any of the provisions of this Chapter, a proceeding may be disposed of by a decision of the Review Tribunal given: b) without compliance with any other requirements of the Statutory Powers Procedure Act, as amended, or of this Chapter, where the applicant or licensee has waived such hearing or compliance. 593.4.22 Review Tribunal - decision - notification procedure a) the applicant or licensee at the address shown on the application, or last on file with the Clerk; or The Clerk shall notify the applicant or licensee of the decision by serving a copy personally or by registered mail to: b) the counsel or agent of the applicant or licensee, if any, at the address as stated to the Review Tribunal. 593.4.23 Licence - continued until expired If the decision rendered is to reject the Clerk's decision, the licence shall be issued or in the case of a notice to suspend or revoke the licence shall continue until its expiry date. 593.4.24 Licence - suspended or revoked - authority If the decision is to confirm the Clerk's decision to suspend or revoke the licence, the licensee shall within twenty-four hours of service of notice by registered mail, or immediately if the notice is personally served, return the licence to the Clerk and the Clerk shall have access to any premises or other property of the licensee for the purpose of receiving or taking the same. 593.4.25 Conditions - imposed - acceptance confirmed If the decision is to confirm the Clerk's decision to impose conditions on the licence, the licensee shall within twenty-four hours of service of notice by registered mail or immediately if the notice is personally served, advise the Clerk as to his or her acceptance of the conditions. 593.4.26 Service of notice - by registered mail Service of a notice by registered mail is effective on the fifth day after the document is mailed. By-law 8775-12, June 7, 2012. Article 5 - Enforcement Every person who contravenes any of the provisions of this Chapter is guilty of an offence and upon conviction is liable to a fine or penalty as provided in the Provincial Offences Act. 593.5.1 Fine - for contravention 593.5.2 Separate offence - daily Each day a violation of this Chapter is contravened, shall cause to be a separate and distinct offence under this Chapter. 593.6.1 Effective date Article 6 - Enactment This Chapter shall become effective as of the third and final reading of the enabling by-law. By-law 8534-09, May 7, 2009.
ERIKSEN & ASSOCIATES LTD Actuaries & Investment Strategists Eriksen's Master Trust Survey Results to 31 December 2012 Investment Returns In the year to 31 December growth funds rose 12.7%, balanced funds gained 9.9% and conservative funds had positive returns of 5.7% after tax and fees. Inflation fell 0.2%, in contrast to the previous quarter. The calendar year to December 2012 saw inflation rise just 0.9%. For these reasons we do not consider the Eurozone crisis improving in any shape or form. Over five years only conservative funds have managed to outperform both CPI and the cash rate. Economic Commentary Attempts to curtail the US budget deficit have only been moved on slightly by the "fiscal cliff" deal agreed late on January 1. This averted the package of automatic tax hikes and severe spending cuts which would have otherwise been introduced under the Budget Control Act of 2011. The Act was originally passed in 2011 as a compromise which would provide an incentive to the parties to work together before it took effect, since allowing it to go ahead was seen as likely to push the U.S. economy into recession. The agreed changes will still reduce the U.S. productivity probably by about 1.5% of GDP or more. The Eurozone may well face another recession as it struggles to resolve the fiscal issues of the peripheral countries. Predictions are for -1% GDP over the next year. It seems likely that most austerity programs will continue – however there's no certainty. Italy could be a case in point especially when the election campaigning starts in earnest. Some senior European politicians (not including Mrs Merkel) have started to claim that the Euro zone crisis is almost over. However considerable structural reform will be required before the situation stabilises – even before considering how the Euro zone can move forward without some form of fiscal union. Greece, for example, has made little progress in its fiscal reforms. The rampant tax avoidance by the rich has hardly been reduced. This has created widespread resentment amongst ordinary Greeks who feel that the economic pain is not being borne by those at the top. This has led to a scandal over a list of 200 Greeks with Swiss bank accounts which was provided to the Greek government by the French in 2010. The then Finance Minister Mr Papaconstantinou (who incidentally signed Greece up for its first multi billion euro bailout) failed to take any action over this list and was initially unable to provide a copy to the next incoming government. When the list was produced it was found to have had the names of three of Mr Papaconstantinou's relatives removed, although he denied any wrongdoing and blamed his political opponents for the changes. Under strong public pressure to be seen to do something the Greek parliament is shortly to vote whether Mr Papaconstantinou should be charged with breach of duty and criminal tampering. In the meantime life for most Greeks is continuing to get tougher; unemployment was up over 26% (now higher than Spain's). National output is expected to shrink by 4.5% in 2013 and the economy is on target to shrink by almost 25% between 2008 and 2013. In New Zealand the rebuild of Christchurch will have a positive effect on the economy, with more workers arriving daily and salary growth strong. In a world of quantitative easing bond yields are at all-time lows. With less indebtedness New Zealand as well as Australia are seen as safer havens. This is likely to leave the dollar at high levels, something that exporters will not be happy with. Dairy prices remain firm with 2013 tipped to be another good year. In China it is not expected that the recent change in leadership will have a major impact. So it is likely to be incremental rather than radical policy moves. A good but not spectacular growth rate of around 7% seems most likely. The big question is when China starts reforms to move from an export led economy to domestic consumption. There have been no signs that this process has been really started yet. The Australian treasurer has conceded the Federal Government cannot achieve a fiscal balance this financial year. The two tiered economy makes it harder especially when the resource sector is struggling with less demand and weaker prices. However the ASX reached 4700 at year end which was positive. The biggest danger to the stock markets would be if investors believed GDP going forward will be lower than normal and discounted the value of future dividends. If accompanied by inflation all markets could disappoint. Let's hope that isn't the case. Many fund managers are predicting a good year for equities – with the caveat that Europe and the US don't implode. We are not of that view and wonder if and when investor confidence will be dented by the state of the real global economy which seems perilous compared to the euphoria of the markets. There is thus the risk that Australia and New Zealand share markets suffer from profit taking. We note that although inflation is low our domestic bond yields have started to rise. This may be a continuing trend. KiwiSaver Members and Employers are reminded that from 1 April 2013 the minimum rate of KiwiSaver contribution rises to 3% of gross taxable earnings. Happy New Year We hope all our friends and clients are well rested after the Christmas break and wish everyone a happy new year. 2013 is shaping up to be a very interesting year! Contact us at: Auckland email@example.com Ph 64 9 486 3144 Wellington firstname.lastname@example.org Ph 64 4 470 6144 Back issues are available from www.eriksensglobal.com (c) Eriksen & Associates Ltd, 2008 - 2012 All rights reserved Eriksen's Master Trust Survey Results to 31 December 2012 \| Fund Name \| Fund Size $ million \| Annualised Returns (Net of Tax & Expenses) \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| 1 Year \| 2 Year \| 3 Year \| 4 Year \| 5 Year \| The material presented here has been compiled from publicly available sources and information from the respective Master Trust providers. Where tax paid returns for PIE compliant funds have not been available, tax paid returns have been calculated using a 33% tax rate up to 31 March 2008, 30% to 30 September 2010 and 28% thereafter. Eriksen's Master Trust Survey Results to 31 December 2012 \| Fund Name \| Fund Size $ million \| Annualised Returns (Net of Tax & Expenses) \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| 1 Year \| 2 Year \| 3 Year \| 4 Year \| 5 Year \| * The AMP Tyndall Balanced Fund was managed by BT until 25 June 2008 The material presented here has been compiled from publicly available sources and information from the respective Master Trust providers. Where tax paid returns for PIE compliant funds have not been available, tax paid returns have been calculated using a 33% tax rate up to 31 March 2008, 30% to 30 September 2010 and 28% thereafter. Eriksen & Associates accepts no liability for any errors herein, or any legal or investment decisions made as a consequence of the information shown. Investment decisions or comparisons should not be based on past performances in isolation from other factors. Eriksen's Master Trust Survey Results to 31 December 2012 The material presented here has been compiled from publicly available sources and information from the respective Master Trust providers. Where tax paid returns for PIE compliant funds have not been available, tax paid returns have been calculated using a 33% tax rate up to 31 March 2008, 30% to 30 September 2010 and 28% thereafter. Eriksen & Associates accepts no liability for any errors herein, or any legal or investment decisions made as a consequence of the information shown. Investment decisions or comparisons should not be based on past performances in isolation from other factors. Eriksen's Master Trust Survey Results to 31 December 2012 \| Fund Name \| Fund Size $ million \| Annualised Returns (Net of Tax & Expenses) \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| 1 Year \| 2 Year \| 3 Year \| 4 Year \| 5 Year \| \| Single Sector Aggressive Aventine's SuperLife NZ Shares Aventine's SuperLife Gemino Tower LifeSaver Trans Tasman Equity Aventine's SuperLife Property ASB Australasian Shares ASB Global Property Shares Aventine's SuperLife Oseas Shares Hedged Mercer Shares Tower LifeSaver Equity Aventine's SuperLife Australian Shares ASB World Shares Aventine's SuperLife Oseas Shares Unhedged All Single Sector Aggressive \| 70.0 4.3 10.4 37.6 11.9 19.7 103.4 16.1 25.4 50.3 40.0 65.4 454.5 \| 37.0 29.7 24.8 20.7 18.8 17.6 14.7 14.1 11.3 10.6 8.9 8.7 17.2 \| 14.0 -9.8 10.7 14.1 5.4 7.7 3.7 2.9 1.1 0.8 2.0 0.2 5.3 \| 12.5 -1.5 7.6 11.3 4.6 10.1 6.6 3.2 3.8 1.6 3.5 1.0 6.0 \| 15.1 5.1 11.5 11.7 9.8 10.9 10.7 5.6 7.4 9.6 5.5 1.2 9.1 \| 3.9 -8.6 0.9 0.1 -0.1 -2.4 -1.0 -4.3 -2.4 -0.2 -5.2 -4.1 -1.1 \| The material presented here has been compiled from publicly available sources and information from the respective Master Trust providers. Where tax paid returns for PIE compliant funds have not been available, tax paid returns have been calculated using a 33% tax rate up to 31 March 2008, 30% to 30 September 2010 and 28% thereafter. Eriksen & Associates accepts no liability for any errors herein, or any legal or investment decisions made as a consequence of the information shown. Investment decisions or comparisons should not be based on past performances in isolation from other factors. Eriksen's Master Trust Survey Results to 31 December 2012 \| Fund Name \| Fund Size $ million \| Annualised Returns (Net of Tax & Expenses) \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| 1 Year \| 2 Year \| 3 Year \| 4 Year \| 5 Year \| \| Single Sector Defensive Aventine's SuperLife Overseas Non Govt Bonds Aventine's SuperLife NZ Bonds Aventine's SuperLife Overseas Govt Bonds ASB World Fixed Interest Tower LifeSaver NZ Fixed Income ASB New Zealand Fixed Interest Aventine's SuperLife Cash Tower LifeSaver Preservation AMP Cash ASB Cash Fund Mercer Cash AXA SMT Cash All Single Sector Defensive \| 56.7 132.5 60.5 13.5 15.0 16.6 113.5 53.0 70.8 50.4 43.6 58.7 684.9 \| 8.4 5.7 5.0 3.9 3.9 3.6 2.8 2.4 1.9 1.9 1.7 1.4 3.7 \| 6.6 6.6 5.6 4.7 5.7 5.6 2.8 2.3 1.9 1.9 2.0 1.6 3.9 \| 6.3 6.3 6.1 4.6 5.3 5.4 2.9 2.4 2.0 1.9 2.2 1.8 3.9 \| 6.3 5.6 5.2 3.9 4.4 4.7 2.9 2.5 2.1 2.0 2.1 1.9 3.7 \| 7.4 6.2 6.8 4.9 5.6 5.7 3.5 3.1 2.8 2.7 2.7 2.3 4.4 \| \| Fund Name \| Fund Size $ million \| Annualised Returns (Net of Tax & Expenses) \| \| \| \| \| No of Employers \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| 1 Year \| 2 Year \| 3 Year \| 4 Year \| 5 Year \| \| Contact us: Auckland email@example.com Ph +64 9 486 3144 Wellington firstname.lastname@example.org Ph +64 4 470 6144 The material presented here has been compiled from publicly available sources and information from the respective Master Trust providers. Where tax paid returns for PIE compliant funds have not been available, tax paid returns have been calculated using a 33% tax rate up to 31 March 2008, 30% to 30 September 2010 and 28% thereafter. Eriksen & Associates accepts no liability for any errors herein, or any legal or investment decisions made as a consequence of the information shown. Investment decisions or comparisons should not be based on past performances in isolation from other factors.
How Cognito meets CIS Critical Security Controls (CSC) 6.0 The Cognito™ threat detection and response platform from Vectra ® continuously monitors and analyzes all network traffic to detect cyber attacks in progress as criminals attempt to steal enterprise data or cause harm to the organization. By using data science, machine learning and behavioral traffic analysis, Cognito reveals the hidden, fundamental attack behaviors that cyber criminals must perform in order to succeed. The intelligence in Cognito learns normal network traffic patterns and host behaviors, which makes malicious attack behaviors stand out – even in encrypted traffic. Always-learning threat detection models pinpoint attackers automatically and in real time over hours, days and weeks, correlates their malicious behaviors with hosts that are under attack, and anticipates their next move. The Critical Security Controls (CSCs) developed through federal and community efforts, coordinated by the SANS Institute and maintained by the Center for Internet Security (CIS), are designed to mitigate modern attack profiles. "Realistically, only by adopting basic cyber hygiene will enterprises meaningfully reduce their cyber-risk profile," said Jane Holl Lute, board member and former CEO at CIS. "Innovations such as machine learning that incorporate behavioral analytics from Vectra automate a number of the Critical Security Controls and will enable wider-spread adoption of these best practices to really change the game in cybersecurity," she added. Cyber attacks are a fact of life. It has become routine to hear about massive data breaches in the news. That's because organizations have multiple vulnerability points: * Physical access * Employees * Devices * Network and wireless access routers * Online presence * Shared connections with vendors and partners With Cognito monitoring all network traffic 24x7, organizations can protect their assets, while achieving CIS Critical Security Controls across physical and virtual networks and their individual hosts. Cognito provides real-time insight into advanced persistent threats (APTs). This insight is fully automated with clear, intuitive reports that enable organizations to create a compliance audit trail as they take immediate, decisive action to stop attacks and mitigate their impact. Achieving CIS Critical Security Controls with autonomous detection Cognito continuously monitors all network traffic. Deployed inside the network perimeter, Cognito monitors internal (east-west) and Internet-bound (north-south) traffic to identify malicious attack behaviors that put in-scope assets at risk. Cognito uses the network to gain high-fidelity visibility into the actions of all devices – from cloud and data center workloads to user and IoT device – leaving attackers with nowhere to hide. Cognito also detects attack behaviors in all phases of the attack kill chain – command and control (C&C), internal reconnaissance, lateral movement, ransomware activity, data exfiltration, and botnet monetization behaviors – across all applications, operating systems and devices. For example, Cognito will detect cyber thieves as they patiently make their way to assets in the network, persistently track the hosts involved in an attack, and recognize when a specific host or user account is abnormally accessing servers or data. Cognito also provides multiple early-warning opportunities to detect ransomware, other malware variants and malicious activity that precede an attack on any network device, including devices that may not be able to run antivirus software. This includes the ability to detect malware on mobile and IoT devices and servers that use any operating system. Cognito learns the traffic patterns and behaviors that are typical to a network, while remembering and correlating anomalous behaviors it has previously seen. Protect enterprise data with Security that thinks ® In addition, Cognito tracks the internal Kerberos infrastructure to understand normal usage behaviors and detect when a trusted user's credentials are compromised by an attacker, including the misuse of administrative credentials. It's time for security to get smarter. Attackers are already in your network, looking for an opportunity to steal high-value data. Cognito does the hard work by recognizing cyber threats amid the normal chatter in your network and anticipating the next move of attackers in real time so they can be stopped. HOW COGNITO ADDRESSES CIS CRITICAL SECURITY CONTROLS 6.0 Control description Cognito Critical Security Control 1: Inventory of authorized and unauthorized devices 1.1 Deploy an automated asset inventory discovery tool and use it to build a preliminary inventory of systems connected to an organization's public and private network(s). Both active tools that scan through IPv4 or IPv6 network address ranges and passive tools that identify hosts based on analyzing their traffic should be employed. Host ID – A host identification engine receives network traffic from a network and uses one or more artifact extractors to extract artifact data items that can identify a host. The artifact data items are stored in a host signature database. Network addresses to which the hosts correspond are stored in a network address database. A mapping table is implemented to match the data in the signature database and network database to generate durable host identification data that can accurately track hosts as they use different identification data and/or move between hosts. Critical Security Control 4: Continuous vulnerability assessment and remediation 4.6 Monitor logs associated with any scanning activity and associated administrator accounts to ensure that this activity is limited to the timeframes of legitimate scans. Port scan – An IT-run vulnerability scanner or asset discovery system is mapping out system services on a host. Port sweep – An IT-run vulnerability scanner or asset discovery system is mapping out system services in your network. Critical Security Control 5: Controlled use of administrative privileges 5.1 Minimize administrative privileges and only use administrative accounts when they are required. Implement focused auditing on the use of administrative privileged functions and monitor for anomalous behavior. Suspicious admin behavior – Detects rogue or compromised admins & users; Identifies misuse of low-level management protocols that control system below the OS and BIOS (IPMI, ILO [HPE], iDRAC [DELL]). Critical Security Control 6: Maintenance, monitoring, and analysis of audit logs 6.6 Deploy a SIEM (Security Information and Event Management) or log analytic tools for log aggregation and consolidation from multiple machines and for log correlation and analysis. Using the SIEM tool, system administrators and security personnel should devise profiles of common events from given systems so that they can tune detection to focus on unusual activity, avoid false positives, more rapidly identify anomalies, and prevent overwhelming analysts with insignificant alerts. Hidden Markov Chain on belief networks (Heuristics + Bayesian networks) – Automated scoring of hosts to reveal the overall risk to the network; Quickly boil down many events to reveal the key elements of an attack. Vectra CIS Critical Security Controls 2 HOW COGNITO ADDRESSES CIS CRITICAL SECURITY CONTROLS 6.0 Control description Cognito Critical Security Control 8: Malware defenses 8.1 Employ automated tools to continuously monitor workstations, servers, and mobile devices with anti-virus, anti-spyware, personal firewalls, and host-based IPS functionality. All malware detection events should be sent to enterprise anti-malware administration tools and event log servers. 8.5 Use network-based anti-malware tools to identify executables in all network traffic and use techniques other than signature-based detection to identify and filter out malicious content before it arrives at the endpoint. 8.6 Enable domain name system (DNS) query logging to detect hostname lookup for known malicious C2 domains. Malware update – An internal host is downloading and installing software from the Internet. Abnormal ad activity – The internal host has been infected and is part of a botnet which is using ad click fraud to make money; A user installed a piece of adware, such as a web browser toolbar, that interferes with the browsing experience by displaying ad impressions. Abnormal web activity – The internal host has been infected with malware and is controlled by a botnet. Peer-to-peer – The internal host is infected with malware which is using peer-to-peer communication for its command and control. Relay Communication – An internal infected host is being used as a relay so that all the transactions from the first host appear to originate from the internal host. Suspicious HTTP – Malware installed on the host may be communicating back to its command and control server. Suspect domain activity – An infected host which is part of a botnet is using a domain generation algorithm (DGA) to locate its command and control servers. Critical Security Control 9: Limitation and control of network ports 9.1 Ensure that only ports, protocols, and services with validated business needs are running on each system. Shell knocker – Detects use of backdoors; Detects subverted network ports. Critical Security Control 12: Boundary defense 12.3 Deploy network-based IDS sensors on Internet and extranet DMZ systems and networks that look for unusual attack mechanisms and detect compromise of these systems. These network-based IDS sensors may detect attacks through the use of signatures, network behavior analysis, or other mechanisms to analyze traffic. 12.8 Periodically scan for back-channel connections to the Internet that bypass the DMZ, including unauthorized VPN connections and dual-homed hosts connected to the enterprise network and to other networks via wireless, dial-up modems, or other mechanisms. 12.1 To help identify covert channels exfiltrating data through a firewall, configure the built-in firewall session tracking mechanisms included in many commercial firewalls to identify TCP sessions that last an unusually long time for the given organization and firewall device, alerting personnel about the source and destination addresses associated with these long sessions. Critical Security Control 13: Data protection 13.6 Use network-based DLP solutions to monitor and control the flow of data within the network. Any anomalies that exceed the normal traffic patterns should be noted and appropriate action taken to address them. 13.7 Monitor all traffic leaving the organization and detect any unauthorized use of encryption. Attackers often use an encrypted channel to bypass network security devices. Therefore, it is essential that organizations be able to detect rogue connections, terminate the connection, and remediate the infected system. Critical Security Control 15: Wireless access control 15.3 Use wireless intrusion detection systems (WIDS) to identify rogue wireless devices and detect attack attempts and successful compromises. In addition to WIDS, all wireless traffic should be monitored by WIDS as traffic passes into the wired network. Supervised machine-learning, heuristic analysis, random forest – Find the hidden traits that all threats share in common. Unsupervised machine-learning, k-means clustering – Reveals attack patterns that are unique to the network. External remote access – A host includes malware with remote access capability (e.g. Meterpreter, Poison Ivy) that connects to its C&C server and receives commands from a human operator; A user has intentionally installed and is using remote desktop access software and is accessing the host from the outside (e.g. GotoMyPC, RDP). Hidden DNS, HTTP, or HTTPS tunnel – A targeted attack may use hidden tunnels to hide communication with command and control servers; A user is utilizing tunneling software to communicate with Internet services which might not otherwise be accessible; Intentionally installed software is using a hidden tunnel to bypass expected firewall rules. Data exfiltration – Detects fast, high-volume data theft; Detects low and slow exfiltration over many connections. Hidden DNS, HTTP, or HTTPS tunnel – A targeted attack may use hidden tunnels to hide communication with command and control servers; A user is utilizing tunneling software to communicate with Internet services which might not otherwise be accessible; Intentionally installed software is using a hidden tunnel to bypass expected firewall rules. Supervised machine-learning, heuristic analysis, Random forest – Find the hidden traits that all threats share in common. Unsupervised machinelearning, k-means clustering - Reveals attack patterns Vectra CIS Critical Security Controls 3 HOW COGNITO ADDRESSES CIS CRITICAL SECURITY CONTROLS 6.0 Control description Cognito Critical Security Control 16: Account monitoring and control 16.1 Suspicious admin behavior – Identifies misuse of low-level management protocols that control system below the OS and BIOS (IPMI, ILO [HPE], iDRAC [DELL]). Suspicious Kerberos account – A Kerberos account is being used differently than its learned baseline in one or more ways – connecting to unusual domain controllers, using unusual hosts or accessing unusual services or generating unusual volumes of Kerberos requests using normal domain controllers, usual hosts and usual services Profile each user's typical account usage by determining normal time-of-day access and access duration. Reports should be generated that indicate users who have logged in during unusual hours or have exceeded their normal login duration. This includes flagging the use of the user's credentials from a computer other than computers on which the user generally works. Critical Security Control 17: Security skills assessment and appropriate training to fill gaps 17.2 Deliver training to fill the skills gap. If possible, use more senior staff to deliver the training. A second option is to have outside teachers provide training onsite so the examples used will be directly relevant. If you have small numbers of people to train, use training conferences or online training to fill the gaps. Detections explained – Cognito is able to serve as a training tool for junior security admins. It teaches the type of network behaviors of an attack as well as the what an attack lifecycle would look like using real time network data. Automated detection, triage, and threat prioritization combined with quick and simple one-page explanations of each attack detection including possible triggers, root causes, business impacts, and steps to verify. Critical Security Control 19: Incident response (IR) and Management 19.4 Devise organization-wide standards for the time required for system administrators and other personnel to report anomalous events to the incident handling team, the mechanisms for such reporting, and the kind of information that should be included in the incident notification. This reporting should also include notifying the appropriate Community Emergency Response Team in accordance with all legal or regulatory requirements for involving that organization in computer incidents. Automated threat prioritization – IR teams are able to define consistent Tier 1 analyst report times based on continuous monitoring combined with automated scoring of hosts to reveal the overall risk to the network; Quickly boil down many events to reveal the key elements of an attack. Phone+1 408-326-2020 vectra.ai © 2017 Vectra, the Vectra Networks logo and Security that thinks are registered trademarks, and Cognito, the Vectra Threat Labs and the Threat Certainty Index are trademarks of Vectra Networks. Other brand, product and service names are trademarks, registered trademarks or service marks of their respective holders.
Growth Diagnostics: Clinical Significance of Growth Hormone (GH), Insulin-like Growth Factor-I (IGF-I), and Insulin-like Growth Factor Binding Protein-3 (IGFBP-3) Answers for life. Growth hormone (GH) is secreted from the pituitary gland. These secretions fluctuate in a circadian pattern over the course of a day, peaking about one hour after the onset of nightly sleep, and are lowest during the day. GH production is stimulated in a pulsatile manner predominantly during sleep under the influence of hypothalamic hormones, but also can be stimulated to a small extent by exercise. As a result of these irregular secretions, the information acquired from a single GH result is very limited. In the past, a series of multiple GH samples collected over a 24-hour period were used to determine GH status. 1 This is not a practical diagnostic procedure in any clinical setting; therefore, current practice usually involves the use of GH provocation testing. Insulin-like Growth Factor-I (IGF-I) and circulating Insulin-like Growth Factor Binding Protein-3 (IGFBP-3) mediate the growth-inducing functions of GH. Both are regulated by GH but do not exhibit daily fluctuations. IGF-I and IGFBP-3 can be useful serological markers that can aid in the diagnosis of GH dysfunctions, GH deficiencies (GHD), and acromegaly. Both IGF-I and IGFBP-3 can also be used as good surrogate markers for monitoring recombinant human GH (rhGH) and IGF-I replacement therapies. GH provocation testing along with IGF-I and IGFBP-3 baseline measurements assist endocrinologists in diagnosing growth conditions. Growth Hormone Interactions Understanding the details of these complex hormone interactions of the Growth Hormone/Insulin-like Growth Factor Axis (Figure 1) is critical in the diagnosis and treatment of growth disorders. 1 Growth hormone releasing hormone (GHRH) is released from the hypothalamus to stimulate the pituitary gland to release GH. Somatotropin release-inhibiting factor (SRIF) is also secreted by the hypothalamus and inhibits the GH release. These two factors constantly up- and down-regulate the release of GH, causing pulsatile secretion throughout the day. 1,2 Deep sleep induces more secretions in higher concentrations, generating a primarily nocturnal secretory pattern. The up-regulation of GH triggers IGF-I synthesis in the liver and, to a lesser extent, in peripheral cells. IGF-I mediates the growth-promoting actions of GH through both autocrine and paracrine signaling. This accounts for the broad range of physiological actions of IGF-I. 3 IGF-I circulates bound to one of six binding proteins (IGFBPs). IGFBP-3 has a high affinity to IGF-I and it's the most abundant of these binding proteins; therefore, the predominance of IGF-I circulates bound to IGFBP-3. After the IGF-I and IGFBP-3 complex is formed, it further associates with the Acid-Labile Subunit (ALS). The IGF-I/ IGFBP-3 /ALS complex preserves protein conformation and increases the half-life of circulating IGF-I, making it available for future use. IGF-I can also be released from the binding proteins by a specific IGFBP protease reaction. 3 Figure 1: Growth Hormone/Insulin-like Growth Factor Axis Hypothalamus SRIF GHRH GH Pituitary Free IGF-I IGF-I ALS IGFBP-3 All IGFBPs Stimulates cartilage growth 2 Diagnostic Growth Assays The irregular GH production cycle makes a single, random measurement ineffective in diagnosing GHD. The most useful GH measurements are associated with GH provocation tests for diagnosing GHD. Numerous pharmacological agents are used in the GH provocation tests, such as insulin, arginine, and GHRH. The GH provocation tests require that the patient fast for 10 to 12 hours prior to administering the provocative agent. Afterward the GH is sampled for several hours to monitor the change in GH. These tests are expensive, timeconsuming, do not have well-established intervals or cutoffs, and introduce additional risk to the patient. Despite these shortcomings the GH provocation tests are a direct means of probing GHD. An overproduction of GH is most frequently caused by a GH-secreting pituitary tumor, and may present clinically as acromegaly or gigantism. When a GH excess is suspected, an oral glucose tolerance test is the best means of directly measuring GH. This is an expensive and time-consuming test that requires the patient to fast and have multiple samples drawn. However, cutoffs for diagnosing acromegaly and gigantism are more established using this method. Elevated IGF-I and IGFBP-3 levels are also indicative of GH overproduction. It is important to compare the IGF-I and IGFBP-3 results against the established reference intervals, 4 as shown in Figures 2 and 3. IGF-I and IGFBP-3 levels show only minor fluctuations throughout the day, in contrast to the circadian variations that GH displays. The stable serum readings of IGF-I and IGFBP-3 can be thought of as an integrated measurement of GH secretions. GHD and GH-resistance patients typically have low IGF-I and IGFBP-3 concentrations. These measurements should be compared to the age-based reference intervals that have been determined for these assays 4 (Figures 2 and 3). IGF-I is produced in the liver and mediates many of the GH biological functions. It serves as an important signal, transmitting the GH secretion and nutritional status to various cells. Additional stimuli of IGF-I should be taken into consideration as they could significantly alter a patient's results and lead to falsely reduced or elevated values. Table 1 lists confounding conditions that may increase or decrease IGF-I levels. Table 1: Confounding conditions that affect IGF-I levels. 5 \| Reduced IGF-I Levels \| Increased IGF-I Levels \| \|---\|---\| \| Malnutrition/malabsorption \| Precocious puberty \| \| Hypothyroidism \| Obesity \| \| Liver disease \| Kidney disease (dialysis) \| \| Untreated diabetes mellitus \| \| \| Chronic inflammatory disease \| \| \| Malignant disease \| \| \| Multiple injuries \| \| Reference Intervals Under normal conditions, diurnal fluctuation of IGF-I and IGFBP-3 is minimal. The establishment of sex- and age-based reference intervals allow a single, random measurement to assist in the evaluation of the patient's growth status and monitoring of their treatment. Age-based reference intervals for IGF-I and IGFBP-3 were established 4 and are depicted in Figures 2 and 3. Excessive Growth Excessive action of IGF-I while epiphyseal growth plates are open causes gigantism, 5 which occurs very rarely. Children and adolescents with gigantism stand > 2 standard deviations above the mean height for their gender and age. Acromegaly is also caused by hypersecretion of IGF-I. 6 In contrast to gigantism, it occurs in adolescence and adults after their epiphyseal growth plates have fused. Acromegaly in adults is the most common disorder of GH excess, with an estimated prevalence of between 45 and 120 per million. 7 Visible signs of acromegaly and gigantism are enlarged hands and feet, in addition to larger and broader facial features. These conditions are most often caused by a GH-secreting pituitary adenoma, or less frequently by ectopic causes of GHrelease, and are commonly treated by surgery, radiation therapy, and the use of a GH receptor antagonist. The initial tests for GH excess are a fasting or random GH and IGF-I. According to the Acromegaly Consensus Group statement, 8 acromegaly can be excluded if either of the following sets of tests results are observed: 8 1. Random GH < 0.4 µg/L and IGF-I is normal; or 2. Oral glucose tolerance test results of < 1 µg/L in addition to normal GH and IGF-I values. The consensus statement 8 clearly points out that the IGF-I value needs to be compared to a reference interval that is age and gender appropriate for the patient. The publication also defines criteria for treatment outcomes (controlled, inadequate control, and poor control) based on GH, IGF-I, and MRI data. As an example, the controlled treatment outcome criteria are as follows: 1. Nadir GH < 1.0 µg/L 2. IGF-I normal (vs. age-gender reference interval) 3. No clinical activity observed by MRI Growth Hormone Deficiency (GHD) in Children Often when a child is taken to a doctor for evaluation of growth hormone deficiency, the family is concerned about the child's lack of size and physical development. Two terms that are commonly used in treating patients that have not met their growth targets are growth failure and short stature. Short stature is defined by the child's height being < 2 standard deviations below the mean (or approximately the 3rd percentile). Many children with short stature actually have normal growth velocity. Growth failure, however, describes a growth rate below the appropriate growth velocity for age based on normal growth rates. 9,10 Siemens Healthcare Diagnostics, a global leader in clinical diagnostics, provides healthcare professionals in hospital, reference, and physician office laboratories and point-of-care settings with the vital information required to accurately diagnose, treat, and monitor patients. Our innovative portfolio of performance-drive solutions and personalized customer care combine to streamline workflow, enhance operational efficiency, and support improved patient outcomes. IMMULITE and all associated marks are trademarks of Siemens Healthcare Diagnostics Inc. All other trademarks and brands are the property of their respective owners. Product availability may vary from country to country and is subject to varying regulatory requirements. Please contact your local representative for availability. Global Siemens Headquarters Siemens AG Wittelsbacherplatz 2 80333 Muenchen Germany Global Siemens Healthcare Headquarters Siemens AG Healthcare Sector Henkestrasse 127 91052 Erlangen Germany www.siemens.com/healthcare Phone: +49 9131 84-0 www.siemens.com/diagnostics Order No. A91DX-100095-GC2-4A00 \| 08-2011 \| All rights reserved \| © 2011 Siemens Healthcare Diagnostics Inc. Global Division Siemens Healthcare Diagnostics Inc. 511 Benedict Avenue Tarrytown, NY 10591-5005 USA www.siemens.com/diagnostics Table 2: GH-IGF disturbances that cause short stature or growth failure. ↑ = increased, ↓ = decreased, N = normal When a child presents with a history of slow growth that suggests GHD, the physician should evaluate the patient for other causes of growth failure, such as hypothyroidism, chronic systemic disease, Turner syndrome, and skeletal disorder. 11 After these conditions have been ruled out, the child should be screened for a GH/IGF-I deficiency. The consensus document on GH therapy for children and adolescents 11 calls for a single GH provocation test when the patient presents with defined central nervous system pathology, history of irradiation, multiple pituitary hormone deficiencies (MPHD), or a genetic defect (Table 2). If isolated GHD is suspected, it is recommended that two GH provocation tests be conducted. In practice, IGF-I and IGFBP-3 are often measured initially, so the possibility of GHD can be evaluated before subjecting children to GH provocation testing. Provocation tests are not only costly and time-consuming, but some can also put children in jeopardy. Additionally, provocation tests do not have wellestablished assay-specific reference values and cutoffs. Child Dosing and Maintenance Guidelines In children, the principle measure of successful GH therapy is the increase of the patient's height and growth velocity. IGF-I and IGFBP-3 levels are monitored routinely during therapy to confirm GH dosage is sufficient; serological monitoring can also help assess patient compliance. Additional patient monitoring is essential to check for potential negative side effects, such as intracranial hypertension. The 2000 consensus guideline states that the GH dose should be 25 to 50 µg/kg/day delivered intramuscularly, with dose adjustments made for obese children. 11 Recently, Cohen et al. 12 published a randomized, controlled study that achieved improved growth response by titrating individualized GH dose. This type of dosing requires that the initial dose be adjusted based on the IGF-I and IGFBP-3 levels. 8 Adult Growth Hormone Deficiency (AGHD) The diagnosis of AGHD is often difficult because the patient is fully grown and height is no longer an indication of the condition. Therefore, the physician needs to rely on biomarkers to identify adults who have GHD. The most common causes of AGHD are: * hypothalamic-pituitary disorders, * childhood-onset GHD, * previous cranial ablation, and * traumatic brain injuries. The suspicion of GHD is heightened when other pituitary hormone deficiencies are present. 13 These patients often have a higher incidence of cardiovascular disease and reduced bone mass, which increases their risk of fractures. AGHD is also associated with reduced lean body mass with concomitant decreased physical strength and increased fatty tissue (especially central obesity), which can lead to metabolic disease, reduced quality of life, anxiety, and depression. Tests to diagnose GHD include measurement of GH using provocation tests and measurement of IGF-I. As with children, the GH provocation tests do not have well-established cutoffs and can cause some risk to the patient. One consensus document 13 outlines the limitations of these tests. Consensus documents also recommend that IGF-I is a good initial screening test when GHD is suspected for patients who are over 40 years old and have a body mass > 25 kg/m. 11,13 As stated in a 2007 consensus document, 13 "Not all patients suspected of having GHD, however, require a GH stimulation test for diagnosis. Patients with three or more pituitary hormone deficiencies and an IGF-I level below the reference range have > 97% chance of being GHD, and therefore do not need a GH stimulation test." 13 This is further supported in a publication by Kwan et al., 14 in which an algorithm for AGHD testing is proposed (Figure 4). Adult Dosing and Maintenance Guidelines Importance of Growth Hormone Assays IGF-I and IGFBP-3 are useful markers for titrating an individual patient's dose. Normally, the initial dose is 0.1 mg GH/day for older patients, 0.2 mg GH/day for younger men, and 0.3 mg GH/day for women. After six weeks, IGF-I and IGFBP-3 are measured to optimize the therapy; the dose is adjusted so the IGF-I and IGFBP-3 concentrations are slightly below the age- and gender-related upper limit of the reference interval. 13 Once the individual's dose is established, monitoring needs to take place annually, or if changes in dosing are made. GH, IGF-I and IGFBP-3 results are essential when diagnosing and treating growth disorders. The Siemens GH assay is very specific and sensitive that requires only a small volume of sample. Siemens IGF-I and IGFBP-3 assays have established sex- and age-based reference intervals that are crucial in assessing the patient's growth condition. All three of these growth assays are analyzed on all IMMULITE ® systems, facilitating timely and accurate results. References: 1. Melmed S, Jameson JL. Disorders of the Anterior Pituitary and Hypothalamus. In: Jameson JL editor. Principles of Endocrinology, New York, McGraw-Hill; 2006. p. 19-56. 2. Roelfsema V, Clark RG. The Growth Hormone and Insulin-Like Growth Factor Axis: Its Manipulation for the Benefit of Growth Disorders in Renal Failure. J Am Soc Nephrol. 2001;12:1297–1306. 3. Bayes-Genis A, Conove, CA, Schwatz RS. The Insulin-Like Growth Factor Axis: A Review of Atherosclerosis and Restenosis. 2000;86:125-30. 4. Elmlinger M, Kuhnel W, Weber MW, Ranke MB. Reference Ranges for Two Automated Chemiluminescent Assays for Serum Insulin-Like Growth Factor 1 (IGF-I) and IGF Binding Protein 3 (IGFBP-3). Clin Chem Lab Med. 2004;42:654-64. 5. Kuhnel W. Growth Diagnostics: "Clinical Relevance of GH, IGF-I and IGFBP-3. Los Angeles (CA): Diagnostic Products Corporation, DPC Technical Report ZB223-B, 2004. 6. Ferry RJ. Gigantism and Acromegaly. eMedicine Specialities [Internet]. 2010 July. Available from: http://emedicine.medscape.com/ article/925446-overview 7. Schneider HJ, Sievers C, Saller B, Wittchen HU, Stalla GK. High Prevalence of Biochemical Acromegaly in Primary Care Patients with Elevated IGF-I Levels. Clin Endocrinol. 2008;69:432-5. 8. Giustina A, Barkan A, Felipe F, Casanueva FC, Frohman L, Ho K, et al. Criteria for Cure of Acromaegaly: A Consensus Statement. J Clin Endocrinol Metab. 2000;85:526-9. 9. Kemp S. Growth Failure. eMedicine Specialities [Internet]. 2009 September. Available from: http://emedicine.medscape.com/ article/920446-overview 10. Ferry RJ. Short Stature. eMedicine Specialities [Internet]. 2010 July. Available from: http://emedicine.medscape.com/ article/924411-overview 11. GH Research Society. Consensus Guidelines for the Diagnosis and Treatment of Growth Hormone (GH) Deficiency in Childhood and Adolescence. J Clin Endocrinol Metab. 2000;85:3990-3. 12. Cohen P, Rogol AD, Howard CP, Bright GM, Kappelgaard A, Rosenfeld RG. Insulin Growth Factor-Based Dosing of Growth Hormone Therapy in Children: A Randomized, Controlled Study. J Clin Endocrinol Metab. 2007;92:2480-6. 13. Ho KKY. Consensus Guidelines for the Diagnosis and Treatment of Adults with GH Deficiency II: A Statement of the GH Research Society in Association with the European Society for Pediatric Endocrinology, Lawson Wilkins Society, European Society of Endocrinology, Japan Endocrine Society, and Endocrine Society of Australia. European Journal of Endocrinology. 2007;157:695–700. 14. Kwan AYM, Hartman ML. IGF-I Measurements in the Diagnosis of Adult Growth Hormone Deficiency. Pituitary. 2007;10:151–7.
DESTINATION SA BLOWS EVERYONE AWAY Adelaide, South Australia: The Adelaide Convention Bureau's annual destination showcase "Destination SA" (DSA) has been hailed as an unqualified success by delegates, been quoted the 'best one ever' by media who have attended previously and has already reaped rewards for the state with a several leads for future events to be followed up by the Bureau as well as a number of events confirming Adelaide as their host city already. For the last 11 years, the annual showcase has continued to grow and evolve and has been integral in maintaining Adelaide, South Australia's position as a primary destination for national and international business events and incentives. The four day DSA showcase brings in around $30m to South Australia from business secured as a result of the event. Below is * A number of quotes from delegates * A snapshot of the 2015 Destination SA event and itinerary including an overview of three 2 day famils experienced by delegates. Arrival day and Welcome – 25 March An afternoon tea at Hilton Adelaide, in the newly renovated Collins Bar awaited guests on arrival to Adelaide, and was the perfect opportunity to catch up with old friends and make new ones. Fresh locally sourced food and magnificent wines set the theme for the coming days. Adelaide Convention Centre's newest events space, the Panorama Ballroom (opened just a week prior to Destination SA) was the host venue for the official Destination SA Welcome Reception. Upon arrival, guests enjoyed South Australian (of course) wines, canapés and a tour of the new West Wing area of the Convention Centre. An official welcome to Destination SA, with Bureau CEO Damien Kitto declared the event open, followed by the Minister for Tourism Leon Bignell, who was pleased to announce that in 2017, Adelaide will play host to the World Hapkido Seminar and Championships. Minister Bignell was presented with an honorary black belt by the guests representing the World Hapkido Federation. Thursday March 27 The Destination SA Business Exchange held at the Adelaide Convention Centre saw a record number of exhibitors from across the South Australian business events sector engaged to offer tailored event solutions In past years, Destination SA has contributed to some $25-30 million total economic benefit brought into South Australia by the Adelaide Convention Bureau and early signs following the Business Exchange is that this year will be no different if not bigger, already $10 million of business has been secured. A break for lunch gave the Bureau's CEO, Damien Kitto, the opportunity to update guests with the latest news on the destination while the Hon. Lord Mayor of Adelaide, Martin Haese, updated guests on the huge riverbank precinct and the investment going into making this the best connected business events, medical and entertainment precinct in Australia. Thursday evening, was a time to relax and unwind at the Destination SA Gala Dinner, hosted at the redeveloped Adelaide Oval. Renowned as the best sporting venue in Australia, the venue has also built an enviable reputation for hosting some of Adelaide's most spectacular functions across its numerous spaces and 23 function rooms. From Friday, invited guests split into three groups for a two day famil to some of South Australia's best regions, The Classic Adelaide Hills, the famous picture perfect Barossa Valley whilst the third group comprising a delegation from China visited Australia's Seafood Capital – Port Lincoln FAMIL #1 - THE CLASSIC ADELAIDE HILLS 20 of the Destination SA hosted guest made their way to Mt Lofty House, an iconic manor hotel situated in the Adelaide hills, just 30 minutes' drive from the Adelaide CBD. The 160 year old building played host to an eclectic blend of breakfast canapés, stunning valley views and Hapkido. The Hapkido demonstration, led by grand Master's Don Oh Choi and Ali Modiri, included a little audience participation. A short drive later had guests meandering their way down Hahndorf's Main Street. With a strong German heritage and culture as its foundation. Guests were greeted by Billy and Cam at The Haus, a locally owned establishment featuring kitchen and bar, along with event spaces, provided the perfect backdrop for Billy and Cam to take guests through the art of cider making. Already well known for its wine, the Adelaide Hills region is becoming increasingly popular for cider production. Sourcing apples grown in the Adelaide Hills, guests got busy washing, chopping and juicing 100kg of apples in the first steps of cider making. A taste of the local cider was also encouraged! Conveniently located in Hahndorf is the Adelaide Hills Convention Centre, able to cater for conferences up to 300 delegates and dinners for 200 people. The centre has been newly refurbished providing the perfect meeting and event space in the Adelaide Hills. A gourmet barbeque satisfied all, and with pre-lunch drinks on the large and open deck it was a relaxing mid-point of the day. No visit to the Adelaide Hills, or indeed South Australia, is complete without tasting the premium wines. The Penfold's name needs little introduction, and a visit to Penfolds Magill Estate located just 8km from the CBD saw guests enjoying a tasting of six of their premium wines, culminating with a glass of the 2010 Penfold's Grange. Wine experts or not, all guests appreciated the nuances between differing wines from their premium collection. A walk through the cellar door and past the renowned restaurant finished off proceedings. A perfect day ended perfectly at Glen Ewin Estate north of the Adelaide Hills. Glen Ewin Estate is home to 5,000 fig trees and a stroll through the terraced orchards with the opportunity to pick and eat the ripe figs straight from the tree was an opportunity too good to refuse for most. The walk ended at The Pulp Shed, a venue steeped in character and adjacent to a lake complete with weeping willows provides a picturesque location for dinners up to 270 people or cocktail events for 450. Invigorated from the stroll and fresh air, the group retired back to The Gatehouse for a sumptuous three course meal, preceded by a wine tasting with matched canapés. A short drive back to the city ensured that guests were able to rest and relax in preparation for the day ahead. SATURDAY Staying in the city for the day meant guests were able to start the day at the iconic Adelaide Central Markets – the largest undercover food market in the Southern Hemisphere. Led by Adelaide food legend and market veteran, Mark Gleeson, breakfast was enjoyed in the newly completed private kitchen and dining area. This area is able to be used for private events such as cooking demonstrations, classes or meals. Sated, guests stepped out to soak in the hustle and bustle of the markets on a Saturday morning. Guests sampled a huge variety of foods from smoked kangaroo to yoghurts to cheese to grains. Central Market tours can be tailored to any group's needs and can be as creative as required. Traction Team Building were next on the schedule, providing an 'amazing race' style experience around the Adelaide Zoo. The well drilled team made sure that the group were all scratching their heads during the 'helium sticks' challenge, as well as ensuring that they got to take some selfies with the zoo's residents. Adelaide Zoo is located next to the Botanic Gardens, which houses the Botanic Gardens Restaurant. Catered for by Blanco Food and Events the emphasis is on fresh simple flavours delivered differently. A walk through the gardens had the creative juices flowing for ideas for events in this beautiful part of the city. The garden walk continued a short distance to the National Wine Centre of Australia. With stunning architecture to match its impressive cellar of world renowned Australian wines, this is a true destination representative venue. Catering for dinners of 350, and with numerous smaller rooms, the versatility of the venue is complemented by the team's creativity in making the world of wine approachable for all. The itinerary for this group ended with a wine tasting at the National Wine Centre using the 120 enomatic wine tasting machines in The Wined Bar. Delivering tastes of diverse regions and grape varieties, this is a true one stop shop for tasting premium wines in the Adelaide CBD. The National Wine Centre was the perfect conclusion to encapsulate South Australia's venue capabilities, creativity and affinity with its regions in bringing business events to life. FAMIL #2 – THE PICTURE PERFECT BAROSSA The Barossa group started their morning bright and early in the heart of the CBD with a delicious breakfast courtesy of Epicure on the balcony of the Adelaide Town Hall which was followed by a tour of the Town Hall's stunning event spaces. After an easy one hour drive to the world renowned Barossa wine region, guests arrived at the historic Yalumba Winery. Zoom Photography provided each guest with a DSLR camera, memory card and a crash course in professional photography to help them capture the beauty of the Barossa and have some fun exploring the region. Beautiful Chateau Tanunda was next on the itinerary where guests were welcomed with a glass of sparkling chardonnay and a short talk about the history of the estate followed by a sneak peek into a basket press shed and meeting with the wine maker. This unique venue, which this year celebrates its 125 th anniversary, is Australia's only 'winery in a castle' and has been recognised multiple times for its award winning wine and catering. Chateau Tanunda's 100-Year-Old Semillon 2013 was handpicked to be served to world leaders at the G20 world summit in Australia last year. Head Chef Owen Andrews prepared a delicious gourmet long table lunch served in the Chateau's Long Room – with matching wines of course! A fun game of croquet on the estate's own manicured lawns entertained some of the group after lunch whilst others opted to take part in a special tasting of the award winning Terroirs of the Barossa range. Just a short transfer had guests arriving at the beautiful Novotel Barossa Valley Resort to check in to their Deluxe Rooms overlooking the rolling hills and vines. By early evening guests were on their way to Seppeltsfield Winery. Renowned for its fortified wines and home to the longest lineage of single vintage wines in the world, Seppeltsfield has kept a barrel of each wine they have made since 1878. Guests were provided with the exclusive opportunity to taste fortified wine from the year of their birth – a truly unique experience. Fino Seppeltsfield Restaurant is the newest addition to the estate complete with a beautiful new landscaped, palm lined courtyard to admire whilst enjoying a variety of dishes sourced from the best local South Australian producers. Fino owner Sharon Romeo ensured the group were wowed with their beautifully cooked contemporary dishes accompanied by a variety of SA wines. SATURDAY After a leisurely breakfast, Traction Team Building met the group for a variety of fun and exciting team building activities. Three teams were formed and after a quick introduction and safety demonstration kicked off the morning with a competitive archery challenge. Teams then raced to the Jacobs Creek Visitor Centre for a quick quiz and introduction by the Centre to highlight the variety of events and experiences they can create for large and small groups. Teams then undertook some further physical and cognitive challenges in the beautiful manicured gardens of Jacobs Creek Cottages. The morning's challenge ended at the famous Maggie Beer's Farm Shop for one last photo finish. After exploring the homemade delights of the Farm Shop guests sat on the set of the hit television show 'The Cook and the Chef' where interactive cooking demonstrations can take place for visitors. This was followed by a fantastic private lunch in The Farm Function Centre hosted by Elli Beer. Here the group learnt about the Beer family foundations and the region. It was then time for the ride back to the city with those guests who didn't need to depart Adelaide that night being hosted in style by the Adelaide Casino, with pre-dinner cocktails in the Casino's brand new French-Vietnamese restaurant 'Madame-Hanoi'. The dinner venue for the evening, Sean's Kitchen, founded by renowned chef Sean Connolly, where guests enjoyed gourmet shared platters of local seafood and meats. The night was rounded off with an exclusive tour of the Adelaide Casino and a behind the scenes look at the VIP gaming floors. FAMIL #3 PORT LINCOLN, AUSTRALIA'S SEAFOOD CAPITAL Guests arrived in beautiful Port Lincoln after a short 40 minute flight on a private charter where they were greeted by David Doudle from Goin' Off Safaris. From the airport, David took the group on a tour of the Coffin Bay National Park, offering some of the most spectacular coastal scenery in South Australia, ranging from ancient granite, limestone and sandstone cliffs to long beaches bordered by white sand dunes. Guests were very also excited to encounter wild native Australian animals including kangaroos and emus and were amazed by the picture perfect, white sandy beaches. To top it off, guests then headed to Coffin Bay Pure Oysters for a private educational session at the oysterprocessing shed where they were given a lesson in the oyster growing and harvesting process. Guests finished the session by tasting oysters fresh from the rack. The group arrived at the Coffin Bay 1802 Oyster Bar & Grill for a gourmet banquet lunch involving the freshest seafood one can imagine. Lunch was followed by a short boat ride into Boston Bay, where guests were greeted by the Swim With The Tuna crew for a truly unique experience, swimming with 60-70kg Southern Blue Fin Tuna. That evening the group dined in one of the region's best award winning winery - aptly named Boston Bay Winery. Tony Ford, who is an internationally acclaimed chef as well as a renowned comic, indulged the guests with award winning wines and a three course degustation menu. The evening concluded in laughter while enjoying delicious food and being entertained by Tony's comical cooking video shows. Later on guests retired at their leisure at the Port Lincoln Hotel overlooking Boston Bay. SATURDAY The day began with an opportunity for guests to purchase seafood before the short private flight back to Adelaide. Following a short transfer from Adelaide Airport to the Adelaide Hills, guests arrived at Cleland Wildlife Park, home to some of South Australia's most iconic inhabitants. A behind the scenes tour, provided guests with a memorable opportunity to meet and feed the kangaroos and pat a koala. Next the guests arrived at the world famous Penfold's Magill Estate for a prestigious 'Grange' wine tasting and a tour of this iconic winery. Needless to say large purchases were made by the guests to take back home. Guests enjoyed a little leisure and shopping time during the afternoon in Adelaide's newly re-developed shopping district- Rundle Mall. Just before dinner, the group were met by something quite unexpected - EcoCaddy's (bamboobodied tricycles, Australia's most creative sustainable transport). Guests were given a tour of the city centre on the tricycles before arriving at nationally renowned restaurant Orana for an exclusive fine dining experience. Scottish-Australian chef Jock Zonfrillo spoiled the guests with a tasting menu that embraces all the elements of Australia – from ancient civilisations to the modern day – representing a food philosophy and cuisine style that are uniquely his own. In summing up the event, Damien Kitto, CEO Adelaide Convention Bureau said "the time for Adelaide, South Australia is now. We're a city on the move with major infrastructure projects either recently completed or nearing completion. The opportunities abound and Destination SA has shown our guests what we can deliver and they've voiced their approval. We're excited about the future and bringing more and more events to our wonderful city" Destination SA quotes ..thanks for hosting such a seamless event in Adelaide, I had a wonderful time and fell in love with Hahndorf! Yasmin Green Osteopathy Australia Thank you so much for allowing us to be a part of Destination SA, it was a fantastic opportunity and a great experience. We were really looked after and the tour to Adelaide Hills was fantastic. Tim was an excellent host for us and I cannot speak more highly of the food and wine offered, it was absolutely amazing and I will be working it all off for months to come. Rachael Corby Australian Institute of Company Directors The whole trip was amazing thank you SO much! Please pass along my thanks to our team and the ladies at Plan Ahead Events. I can tell a lot of thought and time was put into making it a great experience for all of us, and it did not go unnoticed or unappreciated…. ... the site inspections were all great, and the food was amazing! I never thought I'd need to eat again after my stint in Adelaide! Alexis Llinton The MHS Learning Network ….. I look forward to visiting again soon on a personal trip, and bringing our conference back there within the next few years ….see what a beautiful city Adelaide is and all it has to offer! I am very keen and excited to bring a group there (ASAP!!) Honestly I have had nothing but good words to say about SA since I returned. Thank you so much for allowing me to experience the highlights of Adelaide and Barossa and for your extra help in putting me in touch with the other suppliers I met personally. I feel confident that I can now sell Adelaide as a destination to my clients and I am on a mission to get a group or conference there. Alana EmblenHurricane Event group Thank you so much for such an amazing event and famil over the last 5 days. I thoroughly enjoyed all aspects of the trip and was thrilled to be able to participate. You have a wonderful city and I can now understand why you are all so proud and passionate and I will be back, hopefully leading a conference group! Carol Spence - Realize Ltd...the difference I had such a great time. The team did an amazing job showcasing what SA has to offer, it's definitely on the list of places to take my events!! Thank you again for the invitation to attend – I learnt a lot in just a few days and can't wait to come back. Kerin Clancy - CommSec / Local Business Banking -ENDS- Issued for the Adelaide Convention Bureau by Foster Hill PR & Marketing – Sue Hill T +61 88271 4211 E firstname.lastname@example.org
LEAN MEAN MACHINE! 1, 2, 3, diet plan Daily Diets to LIVE STRONG, LIVE HEALTHY AND HAPPY LIVES (Provided by Fitness Lane Inc.; Founder Fentris Lane) Fitness Trainer and Professional Body Builder Fentris Lane shares his training secrets with you and your young athlete. Fentris recommends "Eating several high quality small meals daily keep the machine in high gear!!" Also Fentris is sure to ADD 8 hours of sleep every night for optimal health. A sample of a TWO week "Clean Diet" is provided for your family to understand just how clean a "Clean Diet" must be. Notice how the percentages of Carbohydrates (Sugars and Simple Flour) is greatly reduced in a training diet where one's goal is to limit excess body fat and build muscle. Try it today, Good Luck! - Cor2Life Monday MEAL 1 - ½-1 cup oatmeal made with soy milk, strawberry slices - 1 orange or banana - 8 oz water MEAL 2 - 1 medium apple - 1 tablespoon peanut butter - 1 handful of almonds MEAL 3 - Raspberry Almond Salad, Mixed Spring lettuce, Raspberry salad dressing, almond slices, sunflower seeds, goat cheese crumbles, fido dry noodles - 1 cup rice wild or brown rice, 1 tsp light mayo - 6 oz skinless chicken breast cutlet or fish, grilled MEAL 4 - 1 cup baby carrots with light Ranch - 1/2 cup hummus (peanut butter optional) 8 0z vitamin water MEAL 5 - 6 oz fish, grilled - 1 small sweet potato with light sour cream - 1 small salad light vinaigrette -8 oz vitamin water MEAL 6 - 1 cup mixed berries with plain yogurt, honey 1 tsp. - 8 0z water Tuesday MEAL 1 - 1 egg - 4 egg whites, scrambled - 1 cup peach or tomato salsa - 1 cup soy or 2% milk MEAL 2 - 1 cup cherry tomatoes - 1/2 cup hummus - 8 oz water MEAL 3 - 6 oz skinless chicken breast cutlet or fish grilled - 1 cup mixed veggies - 1 cup Jell-O pudding, sugar-free with light whipped cream MEAL 4 - 10 oz protein shake with soy milk (Oats and Whey) MEAL 5 - 6 oz grilled fish - 1 cup mixed veggies - ½- 1 cup wild rice MEAL 6 - 8 oz water - You choose late snack today, maybe rice cake and almond butter with honey Wednesday Meal 1 -5-8 egg whites one yolk with feta cheese -1 cup of oatmeal with honey/blueberries -1 serving Protein powder with soy milk Meal 2 pack your snack and lunch for school today -1-2 chicken or turkey breast with hummus -Vegetables- carrots, broccoli and low fat ranch - 1 Cup brown rice Meal 3 -1-2 chicken breast or turkey breast -1 cup of brown rice -1 cup mixed vegetables - 6 oz protein shake with soy milk and fruit in blender 45 minutes later Meal 4 -4-6 oz flank steak or sirloin with grilled onions - asparagus and sliced carrot rounds in oven grilled crisp, with salt and sea salt. -5 oz protein shake with soy milk and fruit in blender Meal 5 Fish and vegetables stir fry with light oil Sweet potato slices baked crisp in oven with olive oil spray, salt and pepper * Protein shake 45 minutes later. MEAL 6 - Late snack today, maybe rice cake and almond butter! - Angel Food cake slice with strawberries and light whipped cream Thursday Meal 1: Wake up meal: - 2 cups tea w/stevia - one cup Oats & Whey with soy milk or 2% milk - cliff Bar or Kashi hi grain bar - 1 serving canned white fish Recess: run around for 30 minutes Meal 2 –Mid Morning, take to school in small baggies - Half a mandarin orange - 2 Handful of sea salt almonds - mix with two handfuls of whole whear chex cereal Meal 3 Lunch at home or school - Choose baked fish or meat, example 6 oz. chicken breast - 1 rice cake packed from home in baggie with almond butter - 4 oz. sweet potatoes - Green beans, choose a boiled vegetable - 1 oz raw almonds from home Outside:-go play and exercise! Meal 4: Home from School - 6 oz. canned tuna fish with 1 tbsp light mayo and celery and rice chips with sea salt - 1 rice cake - 6 oz. sweet potatoes chips - Edamame dried snacks Meal 5: no later than 7 pm - 6 oz. chicken breast or fish fillet (tilapia or salmon or tuna) - 2 rice cakes w/teaspoon almond butter - Green beans or broccoli boiled with salt and Benechol Spread Meal 6: Before you go to Bed no later than 9:30 pm -6 oz of Tofutti Soy based ice cream Vanilla with Almond Bark, 1 cup blue berries - 1 Graham cracker Friday Meal 1: Don't forget breakfast! - 1 cup peaches sliced- Delmonte Light Syrup - 6 oz. Salmon grilled with mint jelly - 1 slice of Multi Grain bread with Hummus - 1 6 oz glass of low sugar OJ Meal 2 Mid morning - Kashi bar – Orange Spice or almond Meal 3 Pack a lunch for school today - 2Whole Wheat or Spinach tortillas in baggies - 1 serving hummus - 1 serving chopped chicken - ½ cup of shredded skim mozzarella cheese Place in tortilla ingredients and either microwave 15 seconds or eat cold Meal 4 Home from school for weekend-go outside and play/run one hour After snax - 2 cups GORP "Good Old raisins and Peanuts" that you mixed during the week with 34cups of whole wheat chex cereal, 1 cup almonds, 1 cup walnuts, ½ cup Hersheys chocolate bits, raisins or cranberries, or dried blueberries. - 1- 8 oz glass water Meal 5: Help Mom make turkey burgers tonight - 1.5 lb. ground lean turkey, add salt and pepper and shredded carrots and make patties about the size of a deck of cards - Slice tomatoes into 10-12 rounds, add a slice of skim mozzarella on top, lightly srpinkle olive oil, basi, salt and pepper. Place in small oven until melted. Serve with turkey patties and ground mustard. - Drink 8 oz. of light V-8 splash Mango-Peach - Wash 6 strawberries and slice in rounds, lightly sprinkle powdered sugar and serve with a light sprinkle of sunflower seeds on top. Meal 6: Before 10 pm - have mom by crepes, Nutella and bananas, slice bananas and line ½ of crepe, spread nutella on other half, fold and enjoy one before bed with a glass of milk Saturday The Weekend, time to play hard, get your parents to the fields and play soccer, football or chase for one hour Meal 1: more time to make a delicious breakfast - have mom buy Wheat pancake mix, strawberries and walnuts. Wash and slice strawberries, add crushed walnuts and fruit to pancake mix, use soy milk. Make funny shapes in a large skillet and eat 1-3 pancakes with low sugar syrup. - Turkey bacon slices Go outside and play- drink oz water Meal 2 - Veggie plate- baby carrots, cucumber slices, cherry tomatoes, dipped in light ranch dressing - Pretzel crackers with sea salt, hummus - Vitamin water – Berry Meal 3 -Whole Chicken from Publix- cooked, lemon pepper for family of 4, eat 1 thigh and leg without skin - 1 bag of shredded cabbage, mixed with Almond slices, add ½ bag Ramman noodles, 2 tbsp Olive oil, 2 tbsp. Balsamic Vinegar, 1 tsp. brown sugar. - 1 small can of Bush's baked beans Meal 4 -2 cups Orville Redenbacher Light Popcorn with sprinkled parmesan cheese - 2 handfuls of GORP - 1 8 oz glass of water Meal 5 - Make a Pizza with whole wheat dough, sundried tomatoes, tomato sauce, ricotta cheese, low salt ham or left over chicken shreds, add pineapple or sliced papaya to jazz it up - Light Root Beer Meal 6 Watch a movie with your parents - Rice Chips or Veggie straws with green salsa - 6-8 dark chocolate covered cashews (Walgrees) - 8 0z soy milk- vanilla Sunday Your personal day-drink 8 oz water every morning before anything else Read for one hour in the am quietly in your room before family gets up Go outside and walk around the block Meal 1 - 4 egg white, 1 yolk omelet, diced ham, turkey or whatever lean meat is left over, add 1 cup feta cheese, diced tomato and cook with olive oil spray on medium heat. - When egg hard, flip and brown each side after folding in middle, slide into plate and slice in 3-4 oz pieces, cut 3 slices of wheat toast into 4 squares each without edges and spread hummus or light butter and Polander low sugar jelly. Wake up mom and Dad with coffee and this plate then ask them to take you to walk up Stone Mountain or Kennestone Mt. today! Meal 2 Pack a snack, always have a backpack ready to go with towel, sneakers and water bottle. - baggies full of GORP, salted almonds and cashews, or granola - Water bottles 8 oz. - Apple slices and almond butter - Baby carrots. Meal 3 give mom the day off, plan and cook a Sunday late lunch-early dinner - 6-8 lean Pork chops, defrost and place in cooking tray, lightly cover in honey glaze, salt and basil. Sliced Papaya or pears. Cook at 350 degrees for 10 minutes and flip, another 10 minutes, open and add sliced fruit on top. Cook until crispy and not burned! - Slice small potatoes into rounds and place in skillet with 2 tbsp olive oil, slat pepper, oregano and let simmer until golden brown - Ready washed mixed greens, cranberries, 2 tbsp goat cheese, almond slices mix and add Raspberry Vinaigrette dressing. Call mom and dad. Meal 4 – early snack meal after long day (6-8 pm) - Smoothies- 1 cup protein powder (Oats and Whey), 3 cups soy milk, one cup crushed cherries, blueberries or strawberries, 2 tbsp honey, 1 cup plain low fat yogurt, blender high speed until mixed, pour over plain granola in bowl and enjoy Meal 5 - 8 0z water before bed - 1 dark chocolate wafer
Stonehenge World Heritage Site Committee Meeting on Tuesday 18 March 2014 10.30am at Antrobus House, Amesbury FINAL MINUTES Present: Lady Elizabeth Gass (Chairman), Beth Thomas (Stonehenge WHS Coordinator) , Dr Nick Snashall (National Trust) , Richard Osgood (DIO/MoD), Philp Miles(CLBA), Richard Crook (NFU), Cllr Fred Westmoreland (Wiltshire Council/Amesbury Community Area Board, John Mills (Durrington TC), Norman Parker (The Amesbury Society), Patrick Cashman (RSPB), Colin Shell (ASAHRG), Alistair Sommerlad (Stonehenge WHS Partnership Panel), Ariane Crampton (Wiltshire Council), Carole Slater (Shrewton PC), Andy Shuttleworth (Winterbourne Stoke PC), Kate Davies (English Heritage), Stephanie Payne (Natural England), Christopher Young (English Heritage). \| 1 \| Introductions and apologies The following new members were welcomed to the Stonehenge WHS Committee: Norman Parker (Chair of The Amesbury Society), Alistair Sommerlad (Chair of the Stonehenge & Avebury WHS Partnership Panel), Carole Slater (Chair Shrewton PC), Andy Shuttleworth (Winterbourne Stoke PC), Colin Shell (ASAHRG) and Kate Davies, English Heritage, General Manager of Stonehenge. Apologies were received from: Roger Fisher (Amesbury TC) , Leila Al Kazwini (DCMS), Simon Ramsden (English Heritage), Richard Ormerod (Highways Agency), Jan Tomlin (NT), Adrian Green (Salisbury Museum), David Andrews (VisitWiltshire), Peter Bailey (Wilsford cum Lake), Melanie Pomeroy Kellinger (Wiltshire Council) \| \|---\|---\| \| 2 \| Agree minutes of last meeting & matters arising The minutes of the meeting were agreed with the exception that Richard Ormerod (Highways Agency) had been omitted from the list of attendees to the meeting in November. \| \| 2.1 \| Actions from last meeting: Item 3.1 BT to contact ICOMOS UK to see if they are able to allocate a named representative for our meetings - BT had emailed and phoned and not received a response. Will keep ICOMOS UK on the invitation list. BT to make contact with groups/organisations according to recommendations of the membership report – New representatives had been invited to join Stonehenge WHS Committee as per the recommendations of the report. See item 3.1 below. \| \| 2.2 \| Item 5.0 BT to ask if members of the Committee can purchase a map at a discounted rate. A discount was offered to all members of both the Advisory Forum and the WHS Committee at the opening event for the new prehistoric galleries at the Wiltshire Museum in November 2013. BT to present summary of the information from pedestrian \| counters at next meeting – BT has been unable to do this for this meeting due to pressure of work but will submit a report at the meeting in July 2014. BT 2.3 Item 6.0 \| 2.4 \| Item 9.0 JT and FW to discuss the plans for the apple track after the meeting Discussions have taken place. \| \|---\|---\| \| 2.5 \| Item 14.4 BT to supply contact details to R Osgood for the team responsible for the WW1 temporary exhibition at the visitor centre September 2014. BT has given RO contact details for Simon Jones and Mel Coussens who are working on the EH WW1 exhibition in September 2014. \| \| 3 \| Governance Review \| \| 3.1 \| Membership of Committee BT presented updated report on membership of Stonehenge WHS Committee. ACTION: BT was asked to circulate a full list with the minutes. \| \| 3.2 \| Stonehenge Committee Chair Now that review of membership is complete the Stonehenge WHS Committee need to elect a new chair to take over from Lady Elizabeth Gass. The process is outlined in the documents prepared by the Working Group who looked at the recommendations of the original Egeria Heritage Report on the governance of the WHS. 3.2 Proposed Approach to Selection of Chairs To be drawn from membership of Steering Committees Members of the Steering Committee representing organisations who are also members of the Partnership Panel are not eligible to stand for election as Chair of the local Steering Committee. The post should be reviewed every three years Candidates may either nominate themselves or be nominated by another member this should be seconded by a member of the Steering Committee. If more than one candidate is proposed there should be a postal ballot. The successful candidate is the person who receives the majority vote. It may be appropriate for the committee to elect a vice-chair for the Local Steering Committee BT will circulate details of the process and the deadline will be 11 April 2014 for nominations. Should there be more than one candidate a postal ballot will take place. It was agreed that the nomination of a Vice Chair should also take place. \| \| 4 \| Report from Stonehenge & Avebury WHS Partnership Panel Alistair Sommerlad introduced himself as the Chair of the new WHS Partnership Panel which is made up of 6 organisations: English Heritage, National Trust, Wiltshire Council, and representatives from the two local steering committees and ASAHRG. The Panel represents the whole of the WHS ie both Stonehenge & Avebury. It exists to promote the WHS and protect the OUV of the site, assist the local committees in their work and \| R Ormerod to ensure traffic signals at Countess Rd are working improve presentation and interpretation. The first meeting was held on 24 February 2014. The role of the Partnership Panel was clarified and the next meeting is in June 2014. It is intended that the Partnership Panel will meet twice a year and complement the work of the local committees. \| 5.0 \| Stonehenge and Avebury WHS Management Plan BT updated the Committee on current progress on the joint Stonehenge and Avebury WHS Management Plan. The review of both the Avebury and Stonehenge management plans is now complete. SS and BT are now in the process of putting together the draft management plan. A draft programme timetable was tabled at the meeting. A project board made up of members of both local committees is overseeing the project. The next date for everyone’s diaries is a second stakeholder workshop on 20 May 2014. \| \|---\|---\| \| 6 \| World Heritage Site Coordinator’s update BT had circulated an update on actions. BT drew the Committee’s attention to: Action 8 – The review of the boundary is currently on hold due to the review of the management plan and current work related to the MoD re- basing programme. This may be undertaken in a different way and unlikely to be restarted until 2015. CS asked if the Committee had seen the final proposed boundary. BT noted that the Committee only saw a draft and there was more work to be done. ACTION: BT to re-circulate the proposed draft boundary and paper submitted to the Committee in July 2013. Action 54 – A climate change risk assessment is about to be published by English Heritage. It will appear as a PDF on the EH and WHS website. Action 44/45 – as part of the review of the current Management Plan a small working group was founded to look at the chalk grassland in both parts of the WHS. As a result of these discussions Wiltshire Wildlife Trust are carrying out a Phase 1 Vegetation Survey and RSPB are to undertake bird survey of both parts of the WHS. These will inform actions in the next management plan, form a base line for future study and go a long way towards providing an “ecological map” of the WHS. Action 79 – A Megalith for 2014 will be produced in June and BT is looking for copy before Easter. Any suggestions for articles welcome. BT will be concentrating mainly on completing the Management Plan within the desired timescale. \| \| 7 \| Update on Stonehenge Environmental Improvements Project KD noted that Phases 2 & 3 of the SEIP are now complete with the stopping up of the A344 and the opening of the visitor centre on 18 December 2013. There is a number of snagging and construction issues still to be resolved. The operations team are getting used to the building and how it works. Phase 4 which is the removal of the old visitor facilities is now underway and is expected to be completed by June/July 2014. PM asked about how the new facility was operating as there had been some negative press. KD responded that EH had very good coverage on the opening of the visitor centre however, there was some negative press following an exceptionally busy Christmas period with +30% visitors on previous years. There had been some issues with transport and car parking. However the operations team have been working very hard to resolve the issues and there have now been significant improvements in the \| feedback received on social media such as Trip Advisor. +70% of visitors are giving 4/5 star reviews now. Visitor numbers are up on last year so far but are very much affected by the weather as Stonehenge is an outdoor attraction. The team are now preparing for the busy period from Easter onwards. \| 8.0 \| English Heritage update An update report has been submitted by EH. A number of the actions relate to the work on the new visitor centre and Stonehenge Landscape interpretation scheme which the National Trust developed in partnership with English Heritage. In addition, EH has been working with MoD on the re-basing project and Dept of Transport/Highways Agency on the A303 feasibility scheme and in particular in highlighting all the studies undertaken for previous schemes. \| \|---\|---\| \| 9 \| National Trust update An update has been received from NT. NS drew the Committee’s attention to: Tree felling at the East end of the Cursus and on Amesbury G42 which is now complete. The view along the Cursus is now much improved and has improved the conservation of Amesbury G42. Chalk grassland has been further extended by 8 ha on West Amesbury Farm south of the A303 and SW of the King Barrow Ridge. NT’s contribution to the SEIP has been the installation of a large number of additional access points into the landscape and an information point at Fargo Wood which it hopes will encourage visitors to further explore the landscape. New signage is being installed to encourage and welcome visitors into the landscape. The National Trust is holding +70 events in 2014 including a new walk “Discover Durrington Walls”. More volunteers have been recruited and NT has been working with EH on a new Discovery Visit for education groups. Chris Jones has been appointed as the Visitor Experience Officer for the Stonehenge Community Team. \| Planning Policy The Core Strategy has not yet been adopted. On 2 December 2013 the Planning Inspector said that Wiltshire Council had not made enough provision for housing and asked them to increase it to 42,000. The increase has been allocated proportionately across the County, taking into account the WHS and respecting the previous distribution. Coordination Unit This has now been formed and housed at the Wiltshire & Swindon History Centre in Chippenham within the Archaeology Service. Comments: FW noted that EH had received some criticism at a recent public meeting regarding the rebasing and felt that this was unjustified. CY noted that any development needs have to be assessed against any impact on the outstanding universal value of the site and UNESCO will certainly take an interest in the most iconic WHS in the UK and any negative impact could result in being put on the endangered list and ultimately being de-listed. Any works needed a full Heritage Impact Assessment to avoid potential risks. AS noted that he understood that there were a number of planning permission conditions which had not been fulfilled and asked what Wiltshire Council had done to enforce these. ACTION: AC & FW to investigate the details. EG reminded the Committee that the old visitor centre was very poor and what we have now is much improved and that many people have worked hard to put the changes in place. 11.0 Natural England Update A written update has been submitted. SP noted that 3 HLS agreements have recently been completed within the WHS. These will continue to protect monuments and improve habitat for wildlife. A link to information on the new environment schemes in included in the report to get the latest information. 12.0 Highways Agency Update 1. A303 Signing and Carriageway Marking The signs referred to in the previous minutes were erected in December along with the additional carriageway markings to improve lane usage of the extra capacity that was created at the A303/A360 Longbarrow Roundabout. It is difficult to assess the full effectiveness of these additional measures as traffic flows are lighter at this time of year. The first real test will be the Easter bank holiday traffic demands 2. Highways Agency / Wiltshire Council Amesbury Area Board Meeting 31 st January 2014 Richard Ormerod and Ed Halford met with Cllr John Noeken and Cllr Graham Wright on 31 st January to understand the concerns relating to the traffic at A303 / A345 Countess Junction and the effect on the local community. The current traffic signal control strategy and traffic operation was discussed in detail and potential for further improvement (see below) together with concerns for "rat running" through the local road network. 3. A303/A345 Countess Roundabout – Traffic Signals AC/FW Now that the traffic signal controls have been fully operational for some time the Agency has asked Skanska (route operator) to prepare a short study scope to check the traffic signal control and performance is fully optimised. This study will review the existing control strategy and operation at the junction include a signal calibration check together with identification of any further additional improvements that can be made to improve efficiency of the junction. It is intended this study will be undertaken shortly. 4. A303 Feasibility Study A meeting of key stakeholders was held on 24 January 2014. The meeting allowed the Department for Transport ( DfT) to present the background to the proposed Feasibility Study and the draft scope, seeking feedback or comments from those present. There were no formal notes of the meeting, as it was an opportunity for the Department for Transport to present and discuss the proposed draft scope of work. The Highways Agency are currently collecting information on the issues affecting the route and traffic modelling that would help with analysis of infrastructure solutions. FW thanked the Committee as following its intervention the Community Area Board has had constructive discussions with Highways Agency. AS noted that there is a diversion using the symbol of a triangle which pushes people off the A303 onto the A360 but it there is no onward signage at Airman's Corner which is causing drivers to travel back ward and forwards along A360 between A303 and Airman's Corner. ACTION: BT will raise the issue with the Highways Agency. 13.0 RSPB Update Great Bustard There will be a talk on the project on Tuesday 8 April at 7.30 given by David Kjaer at the Salisbury Arts Centre who will give an update. Have been seen close to the new visitor centre. Normanton Down Reserve RSPB are currently renewing their reserve agreement with the Hosier family and are hoping to extend into 2 further fields just north of the Kite Enclosure. Wildlife Leaflet PC was pleased to note that action 83 was now complete with the publication of a new wildlife leaflet for the Stonehenge landscape which had been developed in partnership with the NT. It will also be available as a PDF shortly. Please contact PC if you wish to display this leaflet within your organisation. 14.0 Report from Avebury & Stonehenge Archaeological and Historical Research Group ASAHRG is a loose association of those interested in the archaeology and history of both parts of the WHS and just beyond. They have been working on the revised Research Framework and developments in the WHS area are often considered and informal advice given. It does consider areas beyond the WHS. It hopes to expand its role by sharing and commenting on new research projects. A project discussed at the last meeting is called "Sconehenge" and is a study of the Stonehenge cafe which used to stand near to Stonehenge Bottom. It is an early example of a purpose built facility for visitors and possibly the BT ALL first Stonehenge "visitor centre". NP noted that there were continuing connections between the cafe and Amesbury. ACTION: BT will pass on NP's contact details to Martyn Barber \| 15.0 \| Other partner updates \| \|---\|---\| \| 15.1 \| Community Area Board No additional comments \| \| 15.2 \| MoD Army Rebasing project is taking up a considerable amount of time. The public consultation is currently underway. https://www.gov.uk/government/consultations/salisbury-plain-training- area-master-plan-army-basing-programme The MoD and DIO are aware of the issues surrounding the WHS at a high level. The Larkhill Sewage works have reached capacity and DIO are currently looking at options with EH and Wiltshire Council. Hope to remove the redundant sewage pipe work across the Cursus this year. Phase 2 training troops may be able to assist this year with the clearance of barrows near to the old incinerator works at Larkhill, south of the Packway which are currently overgrown. Third and final year of excavations at Barrow Clump this year. The open day is Saturday 19 July 2014. Currently undertaking research work on a project “Digging War Horse” focused on the First World War Horse Hospital which was located near to the present Fargo ammunition dump. Dealing with request to relocate the Hewetson Memorial on Larkhill Down or install access path to it. This is being initiated by Wings over Stonehenge (WOSH) NT volunteer group. \| \| 15.3 \| Salisbury & South Wiltshire Museum No update available but BT noted that The new Wessex Gallery would be opening June/July 2014 and a launch event was planned for 12 July 2014 The museum are to change their name to “Salisbury Museum” \| \| 15.4 \| VisitWiltshire No update \| \| 15.5 \| Amesbury Society NP noted that The Amesbury Society is a small but consistent group that has been going for more than 40 years. In the past year or two they have been involved in supporting the Amesbury Heritage Centre & Museum in the Melor Hall. NP asked that the Amesbury Heritage Centre & Museum be mentioned alongside the other museums involved in the World Heritage Site. The Heritage Centre receives no public funds and is run entirely by volunteers. It is currently open 5 days a week (Tuesday/Saturday) to visitors. \| \| 16 \| Parish and Town Council Updates \| \| 16.1 \| Amesbury Town Council FW noted that there would be a small dig at Vespasian’s Camp run by the University of Florida later in March and there will be a 14 day dig September/October this year. The site is not open to visitors except by pre-arranged conducted tours because it is on private land. \| 16.2 Durrington Town Council JM noted that Durrington Town Council are polling the community regarding their preferences for the options set out by the DIO/MoD for new accommodation in the area \| 16.3 \| Shrewton Parish Council Army rebasing is taking a good deal of time and attention. Currently developing a neighbourhood plan to deal with the question of accommodating c64 homes in the area (900 in 2014). A meeting to consider traffic management in the village being held 18 March. The Parish Council has been working with EH throughout the development of the visitor centre and very much hope the village will benefit commercially too. \| \|---\|---\| \| 16.4 \| Winterbourne Stoke Parish Council The parish spend a good deal of time considering the A303 and affect of traffic on the village. It has been involved with the planning applications related to the visitor centre which is in the parish. A stakeholder meeting is being arranged by Wiltshire Police to consider “quick fixes” to improve the situation but the long term solution also needs to be resolved. \| \| 17.0 17.1 \| Information exchange and AOB Pedestrian access from Amesbury Access from south of the A303 and Amesbury was raised as an issue. BT is aware of this and was raised by a number of members of the public. Access into and around the WHS will almost certainly form part of the action plan of the new Management Plan. A footpath has been installed along the A303 but unfortunately a crossing at Stonehenge Bottom was rejected as it failed to meet the Highways Agency’s safety criteria. Any future scheme for the A303 should include facilities for pedestrian and cyclists. There is a safe crossing point at the Countess Road roundabout. \| \| 17.2 \| RC noted that there are no mentions of Amesbury at the new visitor centre ACTION: KD undertook to investigate and report back. \| \| 17.3 \| UNESCO CS noted that New Grange in Ireland which is also a prehistoric WHS found that UNESCO not only considered development within the WHS but also developments outside the boundary of the WHS which raised their concerns. \| \| 17.2 \| Rebasing & the natural environment PC asked if the environmental impact of the rebasing project was being considered. It was confirmed that they are considering a wide range of impacts including nature and the environment. \| \| \| existing boundary and including monuments such as Robin Hood’s Ball mentioned in the nomination document but not included in the boundary in 1986. \| \|---\|---\| \| 17.4 \| Boscombe Down Archive NP has been archivist of this collection for some 15 years. He recently found evidence that Stonehenge was used for calibrating rocket sites from Boscombe Down. \| \| 17.5 \| Dogs in the landscape RC noted that there had recently been a number of distressing incidents where sheep had been injured or killed by dogs which were off the lead. ACTION: KD & NS agreed to discuss what could be done to raise awareness of this issue amongst dog walker at the next EH/NT liaison meeting. \| \| 17.6 \| Lady Gass Lady Gass will be stepping down as Chairman of the Stonehenge World Heritage Site Committee a role she has been doing for around 20 years. She thanked everyone who had worked so hard for the WHS and Antrobus House for providing such an excellent venue for the meetings. Lady Gass said that she will follow future developments with interest. Nick Snashall made a vote of thanks to Lady Gass for her hard work and support of the WHS over such a long time. The Committee responded with a round of applause. \| \| 17.7 \| Christopher Young Christopher is retiring from English Heritage at the end of March 2014. Lady Gass thanked him for his support of the Stonehenge WHS for many years and in particular for the completion of the Stonehenge Management Plan in 2008. \| \| 18 \| Date of next meeting Tuesday 22 July 2014 \|
Sultana et al. European Journal of Pharmaceutical and Medical Research EUROPEAN JOURNAL OF PHARMACEUTICAL AND MEDICAL RESEARCH Research Article ISSN 2394-3211 www.ejpmr.com EJPMR PRELIMINARY PHYTOCHEMICAL SCREENING, IN VITRO THROMBOLYTIC AND MEMBRANE STABILIZING ACTIVITIES OF GYNURA NEPALENSIS LEAVES OF BANGLADESHI ORIGIN Razia Sultana 1 * and Sitesh Chandra Bachar 2 1Department of Pharmacy, Jagannath University, Dhaka 1100, Bangladesh. 2Department of Pharmacy, University of Dhaka, Dhaka 1000, Bangladesh. *Corresponding Author: Razia Sultana Department of Pharmacy, Jagannath University, Dhaka 1100, Bangladesh. Article Received on 31/12/2017 Article Revised on 19/01/2018 Article Accepted on 09/02/2018 ABSTRACT Gynura nepalensis (Family: Asteraceae), is one of the commonly used medicinal plants that was investigated for in vitro thrombolytic and membrane stabilizing activity. People of Bangladesh have been using this herbaceous plant for various medicinal purposes from the treatment of diabetes mellitus to control of blood pressure etc. Preliminary Phytochemical screening influenced the presence of different phytoconstituents e.g. alkaloids, glycosides, tannins, carbohydrates, phenols, resins and coumarins. The crude ethanolic extract of the leaves of G. nepalensis and its different partitionates were studied by using Streptokinase (SK) and acetyl salicylic acid (ASA) as standards for thrombolytic and membrane stabilizing activities. In case of in vitro thrombolytic activity, the ethanolic fraction of leaves (EF) Showed 50.84 ± 0.79 %, n-Hexane fraction (HXF) 47.70± 0.43 %, chloroform soluble fraction (CF) 42.94± 0.13%, aqueous soluble fraction (AQF) 41.15± 0.92% and pet-Ether soluble fraction (PF) 24.98 ± 0.35% against thrombosis whereas standard SK showed 64.19 ± 0.22%. ASA exhibited 71.25 ± 0.21% haemolysis inhibition of human red blood cell (RBC) membrane in normal condition whereas EF inhibited 64.79 ± 0.51%, HXF inhibited 58.63 ±0.36%, PF inhibited 51.98 ±0.12%, CF inhibited 47.42 ±0.22%, and AQF 44.51 ±0.10%. In heat induced condition, the EF inhibited 54.95±0.42%, HXF inhibited 50.57±0.79%, CF inhibited 44.92±0.24%, PF inhibited 48.90±0.71%, and AQF 39.93±0.46% respectively and ASA showed 61.64±0.31% for against unstable membrane. The abovementioned results suggested that the ethanolic extracts exhibit favourable influence for the use of this plant as traditional medicine and its further study. KEYWORDS: Gynura nepalensis, Asteraceae, thrombolytic, membrane stabilizing activity. INTRODUCTION For a long period of time, plants have been a valuable source of natural products for maintaining human health, especially in the last decade, with more intensive studies devoted to natural therapies (Kumar et al., 2005). The use of plant derived natural compounds which are used as alternative sources of medicine continues to play major roles in the general wellness of people all over the world. The curative nature of medicinal plants are most of the presence of various chemical substances of different composition (Jahan et al., 2017). Gynura nepalensis is a medicinal plant having wide curative application based on ethnomedical knowledge. Many researchers, having recognized this wide potential, have conducted studies on G. nepalensis (Salas, 2016 and San Andres, 2014). Forty-four species of Gynura are distributed in Africa, South and East Asia and Australasia Vanijajiva, 2009; Vanijajiva & Kadereit, 2011). The leaf extract of G. nepalensis is one of the 40 ethnomedicinal plants used to treat indigestion by the members of the Apatani tribe, in the Ziro Valley of Arunachal Pradesh, one of the 28 states in Northeast India and also considered the 12th mega bio-diverse regions of the world (Kala, 2005). The leaves are also used to treat diabetes that has been reported in Bangladesh (Afroz, Uddin, & Hassan, 2014) and in the Philippines (Ursulom & Rialubin, 2013) and G. nepalensis's juice is used to heal cuts and wounds in Nepal (Manandhar, 2002, cited in Afroz, Uddin, & Hassan, 2014) and external wounds in the Philippines (Ursulom & Rialubin, 2013). Studies have shown that plants have chemical components and biological activities that pro-duce definite physiological actions in the body and therefore, could be used to treat various ailments. The most important of these bioactive constituents of plant are alkaloids, tannins, flavonoids and phenolic compounds (Edeoga et al., 2005). The present study reported biological activity of the extract of Gynura nepalensis and its fractions on blood cells exposed to both heat and hypotonic induced lyses and with it the thrombolytic activity of the plant was also evaluated. MATERIALS AND METHODS Plant materials Fresh leaves of Gynura nepalensis were collected in June 2017, from Dhaka city. Plant identification and authentication was done by Bangladesh National Herbarium, Mirpur, Dhaka, Accession no is 45113. The leaves were shade dried and then oven dried to facilitate grinding and then stored in a air tight container. Preparation of extract The dried powder materials (about 300 gm powder) were soaked in sufficient amount of 90% ethanol for about two weeks. The container with its contents were sealed and kept for a period of 7 days accompanying occasional shaking and stirring. Then, the whole mixture was subjected to filter by clean, white cotton materials. Then the filtrate was filtered again using Whatman filter paper, total filtrate was concentrated using a rotatory evaporator to get the crude extract. The partition of the concentrated aqueous ethanol extract was done by the Kupchan method and the resultant partitionates, i.e. Chloroform, Petroleum ether, N-hexane and Aqueous soluble materials were stored & used for our current investigations. Phytochemical screening The freshly prepared crude extract was qualitatively tested for the presence of secondary metabolites (Trease and Evans, 2002; Oyedapo et al., 1999) by using the following reagents and chemicals, for example, alkaloids were identified by the Dragendorff's reagent, flavonoids with the use of Mg and HCl, tannins and phenols with Ferric chloride and Potassium dichromate solutions, Terpenoids with the use of chloroform and conc. H2SO4 and steroids with Salkowski reagent, Tannins with Broymers test, reducing sugars with Benedict's reagent etc. (Table1). Streptokinase (SK) Commercially available lyophilized Altepase (Streptokinase) vial was collected and 5 ml 0.9% NaCl was added and mixed properly. This suspension was used as a stock for in vitro thrombolysis activity. Blood sample Blood was drawn from five healthy human volunteers without a history of oral contraceptive or anticoagulant therapy and was transferred to the previously weighed sterile Eppendorf tubes. Thrombolytic activity Sample preparation For sample preparation, the crude extract was suspended in 10 ml of distilled water and was shaken vigorously on a sonicator. The suspension was kept overnight and decanted to remove soluble supernatant, which was filtered through a filter paper. The solution was then ready for in vitro evaluation. Thrombolytic assay Following the method developed by Prasad et al. (2007) whole blood was drawn from healthy human volunteers and 1ml of blood was transferred to the previously weighed sterile Eppendorf tubes and was allowed to form clots. The serum was completely removed after clot formation without interfering the clot. To each Eppendorf tube containing pre-weighed clot, 100 μl aqueous solutions of different extracts along with the crude extracts were added separately. 100 μl of streptokinase (SK),as a positive control, and 100 μl of distilled water, as a negative non thrombolytic control were separately added to the control Eppendorf tubes. All tubes were labeled carefully and then incubated at 37°C for 90 minutes and observed for clot lysis. The released fluid was removed again and Eppendorf tubes were again weighed to observe the difference in weight after clot disruption. Difference obtained in weight taken before and after clot lysis was expressed as percentage of clot lysis as shown below: % clot lysis = (Weight of the lysis clot / Weight of clot before lysis) × 100 Membrane stabilizing activity The membrane stabilizing activity of the extractives was determined with human erythrocytes by following the method developed by Omale et al. (2008) The membrane stabilizing activity of the extractives was assessed by using hypotonic solution and heat induced RBC haemolysis. Hypotonic solution Induced hemolysis For this experiment, erythrocyte (RBC) suspension (0.5ml) was taken with 5ml of hypotonic solution (50 mM NaCl) in 10 mM sodium phosphate buffer having pH 7.4. The extractive was taken at a concentration of (2mg/ml) and acetyl salicylic acid (0.1mg/ml) to the mixtures. The acetyl salicylic acid was used as reference standard. The mixtures were centrifuge for about 10 min at 3000 rpm, and incubated for 10 min at a room temperature. The absorbance of supernatant portion was measured at 540 nm using UV spectrophotometer. The percentage inhibition of either haemolysis or membrane stabilization was calculated out using the following equation. % inhibition of haemolysis =100× {(OD1-OD2)/OD1} Where, OD1 = optical density of hypotonic-buffered saline solution (control) alone and OD2 = optical density of test sample in hypotonic solution. Heat induced haemolysis Isotonic buffer solution containing 2mg/ml of different fractions of Gynura nepalensis were taken into two duplicates of centrifuging tube. The vehicle in the same amount was added to another tube as control. Erythrocyte suspension (30 μl) was added to each tube and was mixed gently. One pair of tubes was incubated at 54°C for 20 min in a water bath and the other pair was maintained of 0-5°C in an ice bath. The reaction mixture was centrifuged for 10 min at 3000 rpm and the absorbance of the supernatant portion was measured at 540 nm. The percentage of inhibition was calculated out according to the equation: % inhibition of haemolysis = 100×(1-100×OD2OD1/OD3-OD1) = 100×(OD3-OD2/OD3-OD1) RESULTS AND DISCUSSION Thrombolytic activity As a part of discovery of cardioprotective drugs from natural sources the extractives of Gynura nepalensis were assessed for thrombolytic activity and the results are presented in table 2. Addition of 100 μl Streptokinase (30,000 I.U.), standard to the clots along with 90 minutes of incubation at 37°C, showed 64.19± 0.22% clot lysis. In this study, the ethanol extract of Gynura nepalensis showed thrombolytic activity of 50.84 ± 0.79%, pet. ether soluble fraction 24.98 ± 0.35%, N hexane soluble fraction 47.70± 0.43%, chloroform soluble fraction 42.94± 0.13% and aqueous soluble fraction showed 41.15± 0.92% lysis. Membrane stabilizing activity Different partitionates of Gynura nepalensis at the concentration of 2 mg/ml were tested against lysis of human erythrocyte membrane induced by hypotonic solution and heat as compared to standard Acetyl salicylic acid (0.1 mg/ml). The results are presented in table 3. Among the different fractionates, the ethanol extract inhibited 64.79 ± 0.51 and 54.95±0.42 of haemolysis of RBC induced by hypotonic solution and heat as compared 71.25 ±0.21and 61.64±0.31 demonstrated by acetyl salicylic acid, PF 51.98 ±0.12 and 48.90±0.71, HXF 58.63 ±0.36 and 50.57±0.79, CF 47.42±0.22 and 44.92±0.24, AQF 44.51±0.10 and 39.93±0.46. Table 1: Results of different chemical groups of the ethanolic extract of Gynura nepalensis. Coumarins (+) means positive, (-) means negative Table 2: % Clot lysis by different extracts of Gynura nepalensis. EF PF CF SK \| Weight of empty vial (w1) g \| Weight of vial with clot (w2) g \| Weight of clot before lysis (w2-w1) g \| Weight of vial with clot after lysis (w3) g \| Weight of clot lysis (w2-w3) g \| \|---\|---\|---\|---\|---\| \| 6.27 \| 6.63 \| 0.36 \| 6.44 \| 0.19 \| \| 6.1 \| 6.5 \| 0.4 \| 6.4 \| 0.1 \| \| 6.76 \| 7.11 \| 0.36 \| 6.94 \| 0.17 \| \| 6.7 \| 7.27 \| 0.56 \| 7.02 \| 0.24 \| \| 6.66 \| 7.07 \| 0.41 \| 6.9 \| 0.17 \| \| 5.17 \| 5.73 \| 0.56 \| 5.7 \| 0.03 \| \| 4.64 \| 5.03 \| 0.39 \| 4.78 \| 0.25 \| 50.84 ± 0.79 24.98 ± 0.35 47.70± 0.43 42.94± 0.13 41.15± 0.92 64.19± 0.22 Table 3: Effect of different extracts of Gynura nepalensis on hypotonic solution & heat induced hemolysis of erythrocyte. Values are expressed as mean ± SD (standard deviation).EF=ethyl soluble fraction, HXF= hexane soluble fraction,CF= chloroform soluble fraction, AQE=aqueous soluble fraction,ASA=acetyl acetic acid \| Fraction \| \| \|---\|---\| \| \| Hypotonic solution induced \| \| EF \| 64.79 ± 0.51 \| \| PF \| 51.98 ±0.12 \| \| HXF \| 58.63 ±0.36 \| \| CF \| 47.42 ±0.22 \| \| AQF \| 44.51 ±0.10 \| \| ASA \| 71.25 ±0.21 \| \| Hypotonic solution \| -- \| CONCLUSION It is evident that the ethanolic crude extracts of the leaves of Gynura nepalensis has significant in vitro thrombolytic and membrane stabilizing activity obtained from the results of the above study. Besides this preliminary study, the extracts should be thoroughly checked for phytochemical and pharmacological activity to find out more specific medicinal and pharmaceuticals potentials as well as to isolate and characterize the specific active ingradients responsible for the presented activities. ACKNOWLEDGMENTS The authors are grateful to the Department of Pharmacy, Jagannath University and the Department of Pharmacy, World University of Bangladesh for providing excellent research facilities and also for cordial technical support. REFERENCES 1. Kumar RS, Sivakuma T, Sunderem RS, Gupta M, Murugesh K, Rajeshwa Y, Kumar MS, Kumar KA. Antioxidant and antimicrobial activities of Bauhinia recemosa L. stem bark. Braz. J. Med. Biol. Res., 2005; 38: 1015-1024. 2. Edeoga HO, Okwu DE, Mbaebie BO. Phyochemical constituent of some Nigerian medicinal plants. Afr. J. Biotechnol, 2005; 4(7): 685-688. 3. Khurshid Jahan, Azima Sultana Julie, Farhina Rahman Laboni, Md. Meraz Ahmed, Phytochemical screening and evaluation of thrombolytic, membrane stabilizing and cytotoxic activities of laportea interrupta linn, Pharmacologyonlione. Silae. it, 2017; 2: 75-80 4. Salas, G. Selected herbal plant extracts as angiogenesis inhibitors using chick chorioallontoic membrane (CAM) assay. Unpublished Masteral Thesis. Pampanga Agricultural College. Magalang, Pampanga, 2014. 5. San Andres, R. Phytochemical screening, clastogenic and anticlastogenic potentials of locally cultivated tea cultivars. Unpublished Masteral Thesis. Pampanga Agricultural College. Magalang, Pampanga, 2014. 6. Vanijajiva, O. The genus Gynura (Asteraceae: Senecioneae) in Thailand. Thai Journal of Botany, 2009; 1(1): 25–36. Available online at http://qsbg.or.th/bot/pdf/article/article-y2552-v38n38-23-12-2010-9-25-897.pdf 7. Vanijajiva, O. & Kadereit, J. A revision of Gynura (Asteraceae: Senecioneae). Journal of Systematics and Evolution, 2011; 49(4): 285-314. Available online at http://onlinelibrary.wiley.com/doi/10.1111/j.17596831.2011.00139.x/abstract 8. Kala, C. Ethnomedicinal botany of the Apatani in the Eastern Himalayan region of India. Journal of Ethnobiology and Ethnomedicine, 2005; 1(11). 9. Afroz, S., Uddin, M. & Hassan, A. Gynura nepalensis DC. (Asteraceae) - A New Angiosperm Record for Bangladesh. Bangladesh Journal of Plant Taxonomy, 2014; 21(1): 101-104. 10. Ursulum, F. & Rialubin, A. Beneficial Effects of Ashitaba (Gynura nepalensis): Users' Testimonies. IAMURE Multidisciplinary Research, 2013; 6(1): 88-92. Available online at http://dx.doi.org/10.7718/iamure.ije.v6i1.496 11. Trease E, Evans WC. Phenols and Phenolic glycosides. In "Textbook of Pharmacology" 15th Edition. Elsevier Science Ltd, 2002; 214-252. 12. Prasad S, Kashyap R.S, Deopujari J Y, et al. Effect of Fagonia arabica (Dhamasa) on in vitro thrombolysis. Complement. Alternat. Med., 2007; 7: 7- 36. 13. Omale J and Okafor P.N. Comparative antioxidant capacity, membrane stabilization, polyphenol composition and cytotoxicity of the leaf and stem of Cissus multistriata. Afr. J. Biotech, 2008; 7: 3129-3133.
North County Quilters' Association Member SCCQG PO Box 301215 Escondido, CA 92030-1215 www.ncountyquilters.com Executive Board President VP of Meetings VP of Programs Treasurer Parliamentarian Secretary Susan Peters Maureen McClellan Alice Johnsonf Carrie Harrison Suzan Fornof Paula Huntington Committee Chairs Letter from the President: Susan Peters It's March, keep on with your quilting and sewing projects so you'll be ready when the weather warms up and you can play in the garden. Sewing weather? I imagine there may be sewing weather but so far I've not discovered it. Sewing time? Ditto. I like to sew in the morning, the afternoon and the evening but do miss daylight when sewing after dark. However I've learned to limit sewing time late at night. After my second mistake I turn off the sewing machine, put down my project and leave my sewing room. It's amazing what a good night's sleep will do for a sewing project. And who cares if we lose an hour of sewing time on March 11th when daylight savings time returns? We'll make up for it sooner or later. J Sewing inspiration? Well on March 3-10 th San Diego's Crusin' Quilter Shop Hop will show us "Fun of the Farm". I hope you have/had a chance to stop by some or all of the shops to show your support and maybe pick up a few things along the way. Some fat quarters are truly irresistible, right? And I'm always surprised when I find something new that I just 'have to have' and then when I get home I put it away in a 'safe place' only to find I already own one! Oh well, now it will become one of my class supplies and travel with me. I'm looking forward to the new guild officers that will be nominated and new committee chairs that have volunteered. We all make the guild a better place by volunteering. See you at Quilt in a Day in San Marcos at 6:30 pm on the 19 th ! Our March Board Meeting will be on Thursday, March 8 th , 6:30 pm., at Madrid Manor Mobile Home Park, off El Norte Pkwy & Country Club Lane. We meet in the small clubhouse in the rear of the park. Members are always welcome and Committee Chairs are encouraged to attend. Next Guild Meeting: Monday, March 19, 2018 Quilt In A Day, 1955 Diamond Street San Marcos CA 92078 Meeting starts at 6:30 pm LOOKING THROUGH THE EYE OF THE NEEDLE Carol Macaluso, Editor PROGRAMS Alice Johnson We are excited to be able to hold our March 19th meeting at Quilt in a Day in San Marcos. Eleanor Burns has been making waves in the quilting world for decades now and we are delighted that she will be able to share her journey with us! There are only two Quilt in a Day facilities, here in San Marcos and in Paducah, Kentucky. Please join us at 6:30 for Eleanor's presentation, followed by refreshments. (Don't forget- O to R folks) Don't forget to firm up your car pooling arrangements too. BLOCK OF THE MONTH Rita McFayden Bring your Block of the Month to the April meeting. See you at Quilt in a Day. GOOD CHEER QUILTS Clair Junderson, Linda Steiner, Sandy Hunter and Sue Ragan Thanks to all who have contributed, will resume in April. SAVE THE DATE Colorado River Quilters in Bullhead City, AZ is hosting Quilts on the River Quilt Show on Friday and Saturday, March 16 and 17, 2018 from 9 a.m. to 5 p.m. at Desert Valley Elementary School, 1066 Marina Blvd., Bullhead City. Cost is $5 per day. The show includes vendors, boutique, door prizes and amazing quilts on display. Lodging, gaming and entertainment are available nearby in Laughlin, NV. For information, call Melinda Sobraske at 928-7585585. Desert Quilters of Nevada annual Quilt Show is March 29, 30 and 31 Thursday 5:30-8 pm Friday & Saturday 9-5 pm at the Henderson Convention Center, 200 South Water St., Henderson, Nevada www.dqnv.org Over 200 Judged Quilts, demonstations, merchant mall, appraisals, raffle baskets and food trucks. March 11 th, let's celebrate longer days! Yeah! Another thing to celebrate is we have an executive Board for next year. Thanks to all those who stepped up and signed up! There are still a few Committee openings to fill as well to keep all the current programs running. Happy Spring!!! RARE BEARS ARMY Tonita Waters ATTENTION RARE BEAR ARMY MARCH 17, SATURDAY FROM 10:00 to 2:00. SUNDANCE MOBILE HOME PARK 2250 N. Broadway, Esc. Come make a Rare Bear for a Rare Child. Bring your machine, and your sewing tools. We will have the rest, all kinds of snacks, drinks and a fabulous lunch. If you have a sewing friend they are most welcome. Looking to see you Beary much. Tonita Waters 760 815-9244 SUNDANCE KIDS Paula Huntington The Sundance neighborhood group provides a small group in which to share quilting and get to know other quilters better. We meet the first Wednesday of each month in the clubhouse at the Sundance Mobile Home Park at 2250 N. Braodway, Escondido at 6:30pm. If you would like to join us, or have any questions, please call Paula at 760 294.6011. ESCONDIDO SOUTH NEIGHBORHOOD GROUP Joanne Eichler If anyone is interested in joining our group, you can talk to Joanne or Mary Watkins. We meet every two weeks at the Citrus Gardens Clubhouse on Thursdays 9:00 am to 12:00 noon. HOSPITALITY Gail McDaniels Thank you to the generous Guild members who provided the delicious refreshments we enjoyed at the February meeting! For the March meeting at Quilt In A Day all Guild members will need to bring their own beverage -water, coffee, etc.-- because the usual drinks will not be available. However we will have snacks as usual, and members whose last name begins with the letter P or R (listed below) are scheduled to bring a treat to share which can be eaten as finger food. Homemade or store bought, we enjoy and appreciate it all! Hospitality will provide plates and napkins. Ann Parker Pat Pariviani Margaret Patterson Susan Peters Donna Poster Mary Power Sue Ragan Suzanne Ream Merlo Rhinehart Michiko Rice Mary Lou Rushing Thank you all, and see you at Quilt In A Day! PARLIAMENTARIAN Suzan Fornof At the April guild meeting the nominating committee will be offering candidates for next years board and committees. We have someone who has stepped up to be president for the next two years! We also have someone who is considering treasurer. If this person accepts then we have a full roster for the board so the guild can continue. For committee chairs we still need the following: Quilt Show Chair 2019- this is crucial for the guild as all money raised stays in the guild . Membership Newsletter Mini Quilts An additional person to help with hospitality. Please consider helping us have a better guild and volunteer a small portion of your time to one of these open positions. If you have any questions about what these positions entail please refer to your handbook or call Rita McFayden, Maureen McClellan or Suzan Fornof. Thank you for your support! OPPORTUNITY QUILT Joanne Eichler Thank you to the ticket sellers at Del Mar! Bobbi Saad, Christie Newman,, Sharon Bitting, Toni King, Anne Neiger, Carrie Harrison, Karolyn Hart,Louise Anselmo, Margarita Kent, Rita McFayden, Jan Newlin, Joy Smith, Alice Johnson, Ann Parker and Mary Watkins! You made great sales happen. TONITA WATERS HAS INITIATED AN EASY FUND RAISER FOR OUR GUILD!!!! I finally received the cards. Again, all you have to do to get a 10% credit from your bill to North County Quilters Assc. account is to show your card to the waitress or write our name at the top of your bill. As you know we are not going to have a quilt show this year. Some of the profit from the show helps NCQA with our expenses. I hope you will help support this program. The restaurant is open 7 days a week from 7:00a.m.2:30p.m. The address is 316 W. Mission, behind McDonalds. It is the same shopping center as Harbor Freight. I hope everyone supports this program. The more we go the more money we earn. If you have any questions let me know. I will have the cards with me at Quilt in a Day. Have a Beary good day. SECURITY BLANKETS Maureen McClellan A huge thank you to everyone who donated blankets and unfinished fleece at our February meeting. If anyone wishes to bring blankets to Quilt in a Day (our March meeting), please feel free to do so, though it may be a little inconvenient if you are carpooling. WHEELCHAIR QUILTS Alice Johnson None will be brought to March meeting. I will be at Quilt in a Day if you wish to turn one in. WHITE ELEPHANT TABLE Louise Anslemo Karolyn Hart Save your pennies, we'll resume sales at our April meeting. MEMBERSHIP Katie Fallon Field Trip time! What a GREAT opportunity to bring a guest to our meeting this month. We will be at Quilt in a Day in San Marcos this meeting. This is a naughty wonderland of all sorts of goodies as well as a perfect chance to share our fun energy as Guild Members. Be sure to dig out that Guest Pass you get at the start of each season and encourage a dear friend of yours to come join us. FAT QUARTERS Janis Newlin Fat quarter drawing will resume at the April meeting. March Birthdays REMEMBER Birthday folks --- if you haven't already, stop by our "white-elephant" table to choose your free-gifts of fabric or doo-dads before the April meeting there will be no White Elephant Table at our March field trip meeting. NCQA Treasurer's Report Checking Account Year- 2018 Month- January Notes \| Beginning Balance \| $7,144.35 \| \|---\|---\| \| Total Monthly Deposits \| $614.00 \| \| Total Monthly Withdrawals \| <$2878.41 > \| \| Ending Balance \| $4,879.94 \| Savings Account \| Beginnig Balance \| $6,305.76 \| \|---\|---\| \| Transfer from Checking \| $100.00 \| \| Interest \| $0.16 \| \| Ending Balance \| $6,405.92 \| Income \| Block of ther Month \| $30.00 \| \| \|---\|---\|---\| \| Bus Trip \| $360.00 \| \| \| Membership \| $40.00 \| \| \| Mini Quilts \| $8.00 \| \| \| White Elephant \| $176.00 \| \| \| Total Income \| $614.00 \| Balanced to Bank \| Expenses \| Auto.Monthly Bank Transfer \| $100.00 \| \|---\|---\| \| Meeting Venue Expense \| $100.00 \| \| Administration/Supplies \| $20.00 \| \| Bus Trip \| $1,777.98 \| \| Opportunity Quilt 2018 \| $383.91 \| \| Quilt Show \| $66.00 \| \| Speaker \| $430.52 \| \| Total Expenses \| <$2878.41 > \| Summary Grand Total $11,285.86 Balanced to Bank THIS SPACE AVAILABLE! We're your one stop shop for Pfaff, Viking, and Babylock Machines, Accessories, Embellishments, Fabric and Notions. 12639 Poway Road Poway, CA 92064
Orphan Care Centers General Supplies Wish List - Winter 2017/2018 Thank you for your willingness to consider joining us in providing for the needs of the 300+ infants and children who are cared for in our six Care Centers in China. Each child who comes into our care faces a wide range of very significant challenges due to their status as an orphan living with acute medical and/or special needs. With the loving day-to-day nurture and dedicated medical care provided to each child, there is great hope of not only survival, but of one day entering the love of a family through adoption. To donate supplies or to help transport supplies to China when traveling please contact: From USA: Rebecca D orris , firstname.lastname@example.org, Phone: +1-615-403-1242 From UK: Jen n ifer H erboldsheimer From Australia: Topsy D or Susan Mukundan (Sydney), email@example.com, Phone: (02) 9488 8101 , firstname.lastname@example.org 'Cruz (Melbourne), email@example.com, Phone: (03) 9850 4339 ey) or Retha Briers (Perth), firstname.lastname@example.org, Phone: (04) 1533 9291 Please note: * Please contact Rebecca Dorris before gathering or sending clothing. * Powders are preferred over liquids due to shipping logistics. * Generic and name brand items are both welcome (unless otherwise noted). * None of these prescription medicines are controlled substances. Items that are NOT needed at this time include: 1. 2. Winged infusion sets and IV needles with butterfly Alcohol swabs Band-aids 3. Blankets 4. Children's acetaminophen like Tylenol 5. Children's ibuprofen like Motrin 6. Cotton balls 7. Gauze size 2x2 8. Stuffed animals 9. 10. Self-stick elastic bandage New Hope Foundation - China www.newhope.foundation (Updated January 2018) Orphan Care C General Supplies Wish List - Winter 2017/2018 8. Gen eral Supplies Wish List (in order of greatest need): 1. Specialty formula powders including formulas for food intolerance, allergies, or prematurity especially Neocate Infant formula 2. Calorie supplements (like Duocal® powders ) 3. Preemie and infant pacifiers 4. Hand covers for newborns 5. Johnson's® baby products like shampoo, baby wash, baby lotion, and baby powder (traditional is preferred over new fragrances) 6. Teething toys 7. Plastic Preemie feeding bottles (preferred 120mL size or smaller) Plastic Infant feeding bottles that have slow flow nipples and do not have liners 9. Pigeon weaning bottle with spoon for cleft lip/palate 10. Mid-calf length socks in Preemie to 3T size 11. Enfamil cleft lip/palate nurser bottles made by Mead-Johnson 12. Preemie diapers that are one size smaller than the Newborn size 13. One piece sleepers or footed pajamas in Preemie to 3T size Double strollers (new or gently used) of good quality 14. Double strollers (new or gently used) of good quality Desitin 9. Over the counter medications (in order of greatest need): 1. Petroleum jelly (like Vaseline® ) 2. Diaper rash creams, ointments, and pastes such as 3. Exlax® chocolate stimulant laxative chewable 4. Fletcher's® liquid laxative for kids 5. Polyethylene glycol powders (like MiraLAX® laxative ) 6. Allergy medication diphenhydramine ( Benadryl brand preferred) for infants and children 7. Medium-chain triglyceride (MCT) oil 8. Loperamide (Imodium) Powder oral replacement salts (like Pedialyte® powders ) Docusate sodium stool softener 11. Liquid multivitamins for infants 12. Paraffin creams (like E-45 moisturizing cream ) 13. Antibiotic, antifungal, and steroid creams/ointments 10. 16. 14. Gas drops and colic drops for infants Magnesium citrate laxative liquid 15. Teething gels New Hope Foundation - China www.newhope.foundation (Updated January 2018) enters Show Hope - U.S.A. www.showhope.org 3. Orphan Care Centers General Supplies Wish List - Winter 2017/2018 5. Prescription medications (in order of greatest need): 1. Prednisolone suspension 2. Ondansetron oral disintegrating tablets Fludrocortisone tablets Hydrocortisone tablets 7. 6. Epinephrine injection 8. Oxybutynin suspension or tablets (suspension is preferred) 4. 9. Nystatin oral suspension Local anesthetics (most needed are lidocaine 1% with epi, and bupivacaine 0.25%) Levetiracetam (Keppra) 12. Inhaled steroid HFA (or for nebulizer) 10. Spironolactone 15. Baclofen 13. Inhaled albuterol HFA (or for nebulizer) 11. Digoxin suspension 16. Furosemide suspension 14. Omeprazole tablets 19. Ranitidine suspension 20. Antibiotic eye ointment 17. Permethrin cream 18. Antifungal and antiviral oral medications 21. Antibiotic and antifungal ear drops 22. Antibiotic, antifungal, and steroid ointments or creams (most needed are mupirocin, nystatin, and medium to high potency steroid creams and ointments) 23. Other antibiotic oral suspension or powder for reconstitution (most needed is cephalexin) New Hope Foundation - China www.newhope.foundation Medical supply items (in order of greatest need): 1. Rolled gauze sizes 3 inch and 4 inch and 6 inch 2. Straight catheters for clean intermittent urinary catheterization sizes French 6 and 8 3. Stockinette sizes 2 and 3 and 4 inch 4. Cast/dressing padding 5. Gauze including sizes 3x3 and 4x4 6. Dressings including hydrogel dressings , thick gauze abdominal pads , and non-adherent dressings 7. Nasogastric feeding tubes sizes French 3.5 , 5 , 6 , 6.5 , and 8 8. Petrolatum gauze dressing 9. Nellcor ™ handheld pulse oximetry monitors with D-YS sensor and D-YSPD clip 10. Dipstick urinalysis canisters with strips that are not expired Show Hope - U.S.A. www.showhope.org Orphan Care Centers General Supplies Wish List - Winter 2017/2018 Medical supply items (continued): 11. Heparin flush 12. Foley catheters sizes French 10, 12, 14, 16, 18, 22, and 24 with or without guidewires (non-silicone preferred) 13. Infant size non-rebreather Oxygen masks 14. Duct tape for securing outside layer of dressings 15. Pediatric colostomy bags that are one-piece, drainable, and have a cut-to-fit stoma opening (like ConvaTec brand SKU 022 7 7 1 ) 16. Ostomy care supplies including sprays , barriers , powders , Adapt powder , paste , and Adapt paste 17. Small foley catheters sizes French 6 and 8 (non-silicone preferred) IV cath sizes 18, 20, 22, 24, and 26 gauge (size 24 gauge preferred) 21. 22. 18. 19. Steri-Strips of all sizes and lengths 20. Suction catheters size French 6 23. Pediatric elbow immobilizers arm splints of all sizes (except large) and various kinds 1x4 inch and 2x6 inch ™ or other transparent dressing including sizes small, medium, and large Pediatric spacers for HFA puffer medicine inhalation Adhesive tape remover pads 24. Pediatric IV immobilization boards including sizes 25. Tegaderm 26. IV start kits 27. Medical sterile gloves including sizes 6.5, 7, and 7.5 both latex and nonlatex 28. Chlorhexadine prep (without alcohol) 29. Chux disposable underpads 30. Bair Hugger pedi warming blankets 31. Hand sanitizer in pump bottles that are 1 liter (32oz) or smaller 32. Oxygen masks including preemie, infant, and child sizes and including simple face masks and other sized non-rebreather masks 33. Sterile cotton-tipped applicators 34. Sterile tongue depressors 35. Sterile dressing packs, suture packs , and suture removal packs 36. Mastisol® liquid skin adhesive 37. Dermabond® or similar wound adhesive 38. Medical tape of all sizes and types including ™ tape Micropore New Hope Foundation - China www.newhope.foundation Show Hope - U.S.A. www.showhope.org Page 4 of 5 40. 45. Orphan Care Centers General Supplies Wish List - Winter 2017/2018 42. connectors stopcocks 41. 44. Medical supply items (continued): 39. Digital thermometers Medical non-sterile gloves including all sizes Hot/cold compress packs IV tubing and including , and rate regulators 43. Catheter insertion kits (only those with included catheter please) sizes French 6, 8, and 10 Betadine solutions , Betadine 3 in 1 swabsticks , and alcohol antiseptic solutions Electric cast cutter 46. Otoscopes and otoscope plastic disposable tips 47. Ophthalmoscopes 48. Specialized wheelchairs (like the ZipZac II® chair ) Good quality pediatric stethoscopes 49. Items that are NOT needed at this time include: Alcohol swabs 4. Band-aids Blankets 3. 2. 1. 6. 5. Children's acetaminophen like Tylenol 7. Children's ibuprofen like Motrin 8. Cotton balls 9. Gauze size 2x2 Winged infusion sets and IV needles with butterfly Thank you for being willing to help! Stuffed animals 10. Self-stick elastic bandage Sincerely, Suitcases of Love New Hope Foundation Show Hope New Hope Foundation - China www.newhope.foundation Show Hope - U.S.A. www.showhope.org Page 5 of 5
Southern Cross University ePublications@SCU 23rd Australasian Conference on the Mechanics of Structures and Materials 2014 Creep testing and analysis of high strength concrete panels under eccentric loading - buckling effects Yue Huang University of New South Wales Ehab Hamed University of New South Wales Stephen J. Foster University of New South Wales Publication details Huang, Y, Hamed, E & Foster, SJ 2014, 'Creep testing and analysis of high strength concrete panels under eccentric loading - buckling effects', 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. 345-350 . ISBN: 9780994152008. ePublications@SCU is an electronic repository administered by Southern Cross University Library. Its goal is to capture and preserve the intellectual output of Southern Cross University authors and researchers, and to increase visibility and impact through open access to researchers around the world. For further information please contact email@example.com. CREEP TESTING AND ANALYSIS OF HIGH STRENGTH CONCRETE PANELS UNDER ECCENTRIC LOADING – BUCKLING EFFECTS Yue Huang* Centre for Infrastructure Engineering and Safety, School of Civil and Environmental Engineering The University of New South Wales, Sydney, NSW 2052, Australia. firstname.lastname@example.org (Corresponding Author) Ehab Hamed Centre for Infrastructure Engineering and Safety, School of Civil and Environmental Engineering The University of New South Wales, Sydney, NSW 2052, Australia. email@example.com Stephen J. Foster Centre for Infrastructure Engineering and Safety, School of Civil and Environmental Engineering The University of New South Wales, Sydney, NSW 2052, Australia. firstname.lastname@example.org ABSTRACT This paper experimentally investigates the time-dependent behaviour of slender HSC panels with emphasize on their buckling behaviour. The results of five full-scale panels that were tested under eccentric sustained loads are presented, and the influences of aging, magnitude and eccentricity of the applied load are examined. The experimental results are compared to predictions generated by a theoretical model developed by the authors, which is based on the rheological generalized Maxwell model to account for creep and shrinkage, and on large deformations kinematics in the structural level. Cracking, tension-stiffening and aging of the concrete are taken into account. KEYWORDS Creep, buckling, High-strength concrete, wall, panel, test, analysis. INTRODUCTION Wall panels made of reinforced high-strength concrete (HSC) have found wide applications in engineering structures such as in walls, lift cores of high-rise buildings, box bridge girders, and hulls of offshore structures. HSC panels are normally slender compared to normal-strength concrete (NSC) panels due to their superior strength and stiffness, which highlight the need for investigating their buckling capacity and its deterioration with time due to creep, shrinkage and cracking of the concrete. Vertical high-strength concrete wall panels are subjected to compression forces in general, which increase their susceptibility to buckling failures. However, in most cases, a considerable portion of the total load can be classified as sustained compression load. When this load is combined with the normal construction inaccuracies and load eccentricities, the wall undergoes increasing out-of-plane deflection with time due to creep. This may consequently lead to loss of stability, a phenomenon referred to as creep buckling (Hoff 1958; Bockhold and Petryna 2008; Hamed et al. 2010). Alternatively, the creep deformations may not necessarily lead to buckling failure but they may increase the stresses, and may decrease the residual strength of the wall when additional loads are to be applied. The dependence of the creep strains on the level of stresses that vary with time, their interaction with shrinkage and thermal strains, and the nonlinear geometrical and material response, make accurate prediction of the creep behaviour of HSC panels a challenging and difficult task. Many efforts were devoted to study the short-term buckling behaviour of concrete panels. However, very little research appears to have been reported on their creep buckling response, especially those made from HSC (Tatsa 1989; Gupta and Rangan 1998). This paper aims to experimentally investigate the time-dependent behavior of HSC panels by conducting long-term tests on five slender panels subjected to eccentric uniaxial in-plane loads. The influences of the loading age, eccentricity, and level of the load are studied. The experimental results are compared to theoretical results based on the model in Huang and Hamed (2013). The details of the model are not presented here for brevity. EXPERIMENTAL PROGRAM The five tested panels were simply supported along their two short edges and loaded horizontally (see Figure 1). All panels possess the same dimensions (2700 x 460 x 100 mm for Length x Width x Thickness) and have the same longitudinal reinforcement ratio (0.22%). The reinforcements are equally placed on the top and bottom layers. The concrete cover is 20 mm. The specimens were prepared, cast and cured in the laboratory conditions and stripped off at 14 days. The details of the loading conditions are reported in Table 1. In the analyses, the actual eccentricities at the left and right ends of each panel are used, which are calculated from the concrete strains measured on the top and bottom surfaces near the two ends, as follows: where etest is the actual eccentricity (see Table 1); Ntest, Ieff, εcT and εcB are the experimental axial load, effective moment of inertia, concrete strains on the top and bottom faces of the panel, respectively. The geometric nonlinearity is neglected in Eq. (1) as the out-of-plane deflections near the ends are very small. The load level is determined as the ratio of the measured sustained load divided by the corresponding short-term failure load predicted by the theoretical model presented in Huang et al. (2014), using the measured material properties and eccentricities. The effects of loading age, eccentricity and load level are investigated by comparing the results of Panels LT3 and LT5, Panels LT2 and LT3, Panels LT1 and LT5, respectively. Panel LT4 was loaded to 75% of its short-term failure load and then the load was dropped to 62% of the failure load and held constant with time. The HSC panels were tested in a universal testing frame with hydraulic jack at one end and two load cells at the other end to measure the load level. The load was applied and monitored to remain constant through the hydraulic jack. The test setup is shown in Figure 1(a) and (b) along with the buckling failure mode of the panel specimen depicted in Figure 1(c). The out-of-plane displacements were measured by three laser displacement sensors of which one was located at the mid-span and the other two were placed at 100 mm away from each end. The panel was loaded up to the desired load level first, and then the load was held constant during the creep test. Two specimens failed by creep buckling under the sustained load. The other three panels were loaded to failure at some time after initial loading by increasing the imposed load level without releasing the existing sustained load. Concrete cylinders of 100 x 200 mm as well as concrete prisms of 100 x 100 x 500 mm were prepared along with the panels for the determination of the compressive and flexural tensile strengths of concrete. These material properties were measured at the commencement and completion of the panel test. The development of the material properties with time was determined using an interpolation method. The compressive strengths, tensile strengths and elastic moduli are 80.9 MPa, 5.9 MPa and 36.9 GPa for LT1, LT4 and LT5, and 91.7 MPa, 6.9 MPa, and 39.3 GPa for LT2 and LT3 at the age of loading. The shrinkage strain was measured using two standard concrete prisms of 75 x 75 x 280 mm immediately after the test specimens were demoulded at 14 days and the measurement stopped once the panel failed. The final shrinkage strains are 593 µε for LT1, LT4 and LT5, and 463 µε for LT2 and LT3. The creep strain was measured in a standard creep rig for each pair of panels at the same time of the test. The results are reported in Figure 2. Table 1. Details of loading conditions 1–Eccentricity measured at left edge; 2–Eccentricity measured at right edge; 3 edesign–Designed eccentricity; h–Panel thickness (a) Test setup: side view (b) Details of connections (c) Buckling failure Figure 1. Long-term test set-up and representative buckling failure mode EXPERIMENTAL RESULTS AND DISCUSSIONS The experimental results as well as the predictions by the long-term theoretical model presented in Huang and Hamed (2013) are summarized in Table 2. As mentioned earlier, the predicted failure loads are based on the model in Huang et al. (2014). The measured material properties are incorporated into the long-term theoretical model. The mean value of the creep coefficients for LT1 and LT4 and LT5 are used since they were loaded in the same age. Using the least squares method to fit the experimental relaxation modulus, the spring moduli in the generalized Maxwell model (Bažant and Wu 1974) are determined. The number of Maxwell units used is taken as 5 with = 5 -1 (days), where corresponds to the relaxation time of the -th unit. The spring constants for Panels LT1, LT4 and LT5 are 9313 MPa, 4573 MPa, 3982 MPa, 3097 MPa, 2889 MPa and 15200 MPa and the springs constants for LT2 and LT3 are 3494 MPa, 3661 MPa, 2650 MPa, 4849 MPa, 5493 MPa and 20058 MPa. Cracking occurred to all specimens during or right after the instantaneous loading as predicted by the theoretical model. It started in the middle span and then propagated to the two edges with loading and with time. All panel specimens collapsed in buckling failure modes either with time (creep buckling) or after continuous loading to failure. The cracking regions generally concentrated within the middle one-third span of the specimens. A typical buckling failure mode is shown in Figure 1(c). Table 2. Comparison of test results to predicted results by the theoretical model The variation of the central deflections versus time is plotted in Figures 3 and 4 for all panels except LT4. It can be seen that in general the model results show close correlations with the test results, which demonstrates the capability of the theoretical model in predicting the time-dependent behavior of HSC panels. Figure 3(a) investigates the effect of loading age on the long-term behavior of the oneway HSC panel. LT3 is loaded at 99 days whereas LT5 is loaded at 22 days. The test load levels and eccentricities of these two specimens appeared not to be completely identical as it was very difficult to control the sustained load level and eccentricity in such long-term buckling test. Nevertheless, the load levels and eccentricities of both panels were close enough for comparison with each other. It can be observed that both specimens experienced increased out-of-plane deflections with time due to the combined effects of creep, shrinkage and geometric nonlinearity. In addition, the early-loaded Specimen LT5 showed a softer behavior with a larger deflection compared to Specimen LT3 that was tested at an old age. This is within the expectation since aged concrete creeps less. The predicted curves agree fairly well with the measured ones until the failure of the specimens. Specimen LT5 is characterized by a sudden buckling failure under the sustained load at 69 days after initial loading. On the contrary, Specimen LT3 was predicted to be long-term stable and the change of tested deflection with time clearly validated the prediction. Hence, the panel was crushed at t = 42 days by increasing the existing in-plane load to failure. The panel failed by buckling as well with the ultimate failure load equal to 794 kN that is fairly close to the predicted short-term load-carrying capacity. The experimental and theoretical deflections of Specimens LT2 and LT3 are plotted against time in Figure 3(b) for the examination of the influence of the eccentricity of the in-plane load on the timedependent response of HSC panels. Panel LT2 was tested under an eccentricity that equals to h/3 while Panel LT3 was loaded with a load eccentricity of h/6. There was a time lag in the loading age of the two specimens. However, since the two panels were cast using the same batch of concrete and they were loaded at an old age at which there is no siginifciant variation of material properties with time, the material properties of these two specimens including the creep, elastic modulus and strength are considered to be the same in the numerical model. It can be seen that as long as no creep buckling failure happens with time, changes in the eccentricity have a minor influnce on the creep response. Due to different load levels in the two panels, but with almost the same sustained load to failure load ratio, the instantaneous defleciton of Panel LT3 is larger, and the creep responses are very simlar as predicted by the model. Simliar to LT3, Specimen LT2 was going to reach a stable state eventurally as predicted by the long-term theoretical model (see Table 2). So it was loaded to failure at 57 days with an ultimate failure load of 373 kN. This failure load is about 14% smaller than the instantaneous failure load which is predicted by the short-term theoretical model, implying that creep and shrinkage effects appearred to reduce the residual strength of slender HSC panels. Figure 4 investigates the influence of the in-plane load level on the time-dependent performance of HSC panels. Specimen LT1 and LT5 were tested under 93% and 72% of the corresponding short-term failure loads, respectively, and they both failed by creep buckling at different times. It can be seen that the theoretical result of LT1 correlates with the test result reasonably well and apparently, the central deflection of Specimen LT1 which was subjected to the higher axial loads increased more rapidly than that of Specimen LT5. Consequently, Specimen LT1 failed more rapidly as well, characterized by a brittle creep buckling failure that occurred at 13 days in contrast to 69 days for Panel LT5. Good correlation also appears for LT5. It was shown previously in Huang and Hamed (2013) that the critical time to cause creep buckling is very sensitive to the load level. This theoretical observation is also validated here and explains to some extent the difference between the predicted critical time and the observed one for LT5. The load ratio used in the model was 72%, but Figure 4 shows that increasing the load level slightly by 3% or 5% can dramatically influence the time-dependent behavior and the predicted critical time, which equals to 96 days and 70 days, respectively, for load levels that correspond to 75% and 77% of the short-term load-carrying capacity of LT5. The difference between the applied loads examined in the model can be within the typical tolerances of any testing of RC structures, but the results of the long-term test investigated here are very sensitive to this parameter. The load versus deflection for LT4 is shown in Figure 5 for the entire loading history of loading, unloading, creep under sustained load, and reloading to failure. The instantaneous load deflection curved as predicted by the theoretical model is also shown for comparison. The panel exhibited a stable behaviour under the sustained load and therefore, it was loaded to failure after 104 days since first loading. The measured ultimate strength of the panel was 466 kN, compared to 593 kN for the predicted short-term load capacity. Thus, it can be seen that under this loading scenario, creep may have a more significant impact on the residual strength of the panel, which dropped by around 21% from the short-term strength. CONCLUSIONS This paper presents an experimental study of the long-term behaviour of five slender HSC panels under sustained in-plane loads. Two tested panels failed by creep buckling, and the other three panels exhibited long-term stable behaviour, and hence were loaded to failure. A good correlation is achieved between the test and theoretical results. ACKNOWLEDGMENTS The work reported in this paper was supported by the Australian Research Council (ARC) through a Discovery Project (DP 120102762). REFERENCES Bažant, Z. P., and Wu, S. T. (1974). "Rate-type creep law of aging concrete based on maxwell chain." Materials and Structures, Vol. 7, No. 1, pp. 45-60. Bockhold, J., and Petryna, Y. S. (2008). "Creep influence on buckling resistance of reinforced concrete shells." Computers and Structures, Vol. 86, No. 7-8, pp. 702-713. Gupta, A., and Rangan, B. V. (1998). "High-strength concrete (hsc) structural walls." ACI Structural Journal, Vol. 95 No. 2, pp. 194-205. Hamed, E., Bradford, M. A., and Gilbert, R. I. (2010). "Nonlinear long-term behaviour of spherical shallow thin-walled concrete shells of revolution." International Journal of Solids and Structures, Vol. 47, No. 2, pp. 204-215. Hoff, N. J. "A survey of the theories of creep buckling." Proc., 3rd US National Congress of Applied Mechanics, American Society of Mechanical Engineers, New York, United States, 29-49. Huang, Y., and Hamed, E. (2013). "Buckling of one-way high-strength concrete panels: Creep and shrinkage effects." Journal of Engineering Mechanics, Vol. 139, No. 12, pp. 1856-1867. Huang, Y., Hamed, E., Chang, Z.-T., and Foster, S. J. (In press, to be published in 2014). "Theoretical and experimental investigation of the failure behaviour of one-way high-strength concrete panels." Journal of Structural Engineering, Vol., No., pp. Tatsa, E. Z. (1989). "Load carrying of eccentrically loaded reinforced concrete panels under sustained load." ACI Structural Journal, Vol. 86, No. 2, pp. 150-155.
LAKE MINNETONKA CONSERVATION DISTRICT BOARD OF DIRECTORS 7:00 P.M., Wednesday, February 13, 2013 Wayzata City Hall 1. CALL TO ORDER Babcock called the meeting to order at 7:05 p.m. 2. ROLL CALL Members present: Doug Babcock, Tonka Bay; Andrew McDermott, Orono; Gary Hughes, Spring Park; Jay Green, Mound; Ann Hoelscher, Victoria; Anne Hunt, Minnetrista; Keith Kask, Deephaven; Dennis Klohs, Minnetonka Beach; Jeff Morris, Excelsior; Rob Roy, Greenwood; and Sue Shuff, Minnetonka. Also present: Charlie LeFevere, LMCD Counsel; Greg Nybeck, Executive Director; Judd Harper, Administrative Technician; and Emily Herman, Administrative Assistant. Members absent: Dan Baasen, Wayzata; James Doak, Woodland; Mark Sylvester, Shorewood. 3. APPROVAL OF AGENDA MOTION: McDermott moved, Shuff seconded to approve the agenda as submitted. VOTE: Motion carried unanimously. 4. CHAIR ANNOUNCEMENTS, Chair Babcock Babcock made the following two Chair announcements: First, he reminded all of the 46 th Anniversary "Save the Lake" Recognition Banquet that will be held on Thursday, February 21st (to be held at the Lafayette Club, with social hour starting at 6:00 p.m.). Second, he stated that the City of Victoria has appointed Ann Hoelscher to the LMCD Board of Directors. He asked LeFevere to administer the oath of office, in which he did. Hoelscher was seated as representative for the City of Victoria. 5. APPROVAL OF MINUTES – 01/23/13 LMCD Regular Board Meeting MOTION: McDermott moved, Hughes seconded to approve the minutes from the 01/23/13 Regular Board Meeting as submitted. VOTE: Ayes 10, Abstained (1, Shuff); motion carried. 6. APPROVAL OF CONSENT AGENDA Hunt moved, Shuff seconded to approve the Audit of vouchers (1/29/13 – 2/15/13) as submitted. Motion carried unanimously. 7. PUBLIC COMMENTS- Persons in attendance, subjects not on the agenda (limited to 5 minutes) There were no public comments. 8. PUBLIC HEARINGS There were no public hearings. 9. OTHER BUSINESS A. Gabriel Jabbour, discussion of mandatory state boat operator's permit concept for public safety and AIS. Babcock welcomed Jabbour and invited him to address the Board. Jabbour stated that there is a group effort, in which he is a part of, in developing a mandatory State of Minnesota (state) boat operator's permit concept to address public safety and aquatic invasive species (AIS). He provided an overview of that concept by offering the following comments: He acknowledged the demand for this concept, via discussions held at the various AIS Task Forces that he served on, as well as a review of historical boat operation enforcement fines and confiscated property that have taken place on the water. He acknowledged that: 1) the fines have little effect due to the economic demographics of this area and 2) the state does not have a law preventing those that have been issued multiple citations for boating while intoxicated (BWI) from continuing to operate a watercraft the next day (providing an overview of situations he has witnessed himself). For this reason, he stated a mechanism must be established for extreme boat operators that violate the law. In regards to AIS, he questioned what mechanism should be used to get the word out, although he is not a proponent of adding laws. With that said, he provided the Board with a summary of the state's watercraft operator rules (laws); reviewing laws in place for age 17 and under (but still providing them the ability to operate a watercraft). Proponents of this concept are talking to other agencies (Minnesota Department of Natural Resources (MN DNR), Minnehaha Creek Watershed District (MCWD), Three Rivers Park District (TRPD), etc.) as it is their goal to provide for this concept state-wide, not just for Lake Minnetonka. Additionally, Board member Green is talking to the fishing lobbyists; acknowledging it is rare to have two important programs come together at the same time (watercraft safety and AIS). He stated that he is going to talk to the Sheriff's Department about this, but most importantly, he wanted this to be a positive concept for all (including the fishing lobby). This concept would provide for grandfathering those that currently do not require (by law) a license. He reviewed the agencies (noted above) responses (or pending meetings) relative to this concept. Additionally, he provided a second handout outlining a resolution from the Minnesota Association of Watershed Districts supporting legislation that will require all noncommercial watercraft operators be AIS trained, tested, and certified. The LMCD has always been a progressive agency and one that is looked to as a leader in establishing various ordinances. Therefore, he solicited the LMCD's interest in considering this concept and adopting a resolution of support. He stated the U.S. Power Squadron is in support of this concept, in which he will address that group after his meetings with the above noted agencies. He entertained questions and comments from the Board. Babcock stated that many states have already adopted similar laws requiring watercraft operator permits. He asked if there were any states that stood out as a role model in considering this concept for the state. Green stated that Texas recently enacted a law for such (grandfathering those that currently do not need to have a license). The program is on-line and provides for the education of all key points discussed at this meeting, as well as sport recreation (waterskiing, etc.). He believed that this was the time to consider this concept (acknowledging some push back and the difficulty in selling this concept to people that do not deal with these matters). In reviewing the program, he believed many of their topics pertained to Minnesota, including the education of wake effects. He acknowledged he personally did not take the test; however, one can go to MN DNR's website and take a similar test on a voluntary basis (i.e., insurance discounts, personal satisfaction, etc.) that touch base on many matters addressed within the Texas test (minus homeland security). He stated the basic fee for the Texas test is $20 and that it was a lifetime license that could produce revenue for many things. Kask stated that in taking the voluntary Minnesota test (noted above), one does not have to pay until they successfully complete the test. He acknowledged one of the past concerns in implementing the mandatory permit process was the lack of classroom environment to accommodate all. However, with the convenience of taking the test on line (providing for not having to accommodate staffing or a classroom environment), operator certification is far more realistic at this time. He encouraged the LMCD's support in this matter. Morris stated that he obtained his watercraft and snowmobile operator permits when he was 12 or 13 years-old; providing for carrying that knowledge with him to date. He believed that if everyone took those classes, the tragedies documented this year would be far less. He acknowledged he has trouble supporting laws that are more restrictive; however, he is a proponent of safety and concurred with the program. McDermott recommended tying this concept to all that purchase a boat. Jabbour stated that it is imperative to know public safety so that all can have a great time on the water with minimal problems. He believed there is an obligation to all watercraft sellers to take the time to orientate the new owner (including the use of all equipment on board). Hughes asked if the boat clubs had mandatory watercraft operator training in place (acknowledging liability). Jabbour confirmed that the one club he is familiar with on the Lake does have mandatory training. Babcock thanked Jabbour for bringing this matter back to the forefront. He concurred with Morris that he carries the knowledge of his former training with him to date (implementing the requirement within his household). Jabbour thanked the Board and acknowledged that the Lake Minnetonka area has three people serving on the state AIS Task Force (himself, Green, and John Barten from the TRPD). He will be attending the next meeting scheduled for February 28 th and requested the Board's permission to present the LMCD as being favorable to this concept. Babcock solicited the Board's reaction to Jabbour's comment, in which there was none. With that said, the consensus of the Board supported the concept of a state mandatory operators permit for public safety and AIS. B. Lt. Art Saunders, update on ice safety on Lake Minnetonka. Babcock welcomed Saunders and invited him to address the Board. Saunders stated that 20 vehicles have gone through the ice in Hennepin County this winter (18 of which on Lake Minnetonka). Two of the 18 resulted in three fatalities driving through channel areas. The common weak areas are pressure ridges and channels. He acknowledged that many of the operators know that these areas are not safe; however, they still travel through these areas, stating "I thought I could get through." He stated that the Sheriff has begun an "Ice Awareness Detail," providing for orange fencing and the continued use of "Thin Ice" signs in front of all channels to let motorized vehicles know of the danger ahead. This was completed by February 7 th , adding that it is not their intent to block the channel as their air boats need to get through, as well. He reported that this detail has not stopped some operators from driving through. However, he stated a vehicle has not broken through the ice since February 5 th ; providing for some positive results. Fencing continues to be damaged via natural (weather) and human (snowmobiles) events, in which they are immediately rectified. He confirmed ice houses are required to be off the Lake by March 5 th and that the fencing and signs will be down by ice out. He entertained questions and comments from the Board. The Board asked a few questions, in which Saunders responded as follows: He provided an overview of the current pressure ridge locations (Cedar Ridge, Echo Bay- near West Point, and Wayzata Bay- near Spirit Island). Discussion was held on previous winter recreation fatalities (dating back to 1997 and early 2000). In considering the "Ice Awareness Detail" for next year, he stated he is devising an operational plan for the Sheriff's consideration (should conditions warrant it). He confirmed that they took into consideration the placement of the fence to accommodate the time needed for a snowmobile operator to react and safely come to a halt before reaching the area. Confirmation that "Thin Ice" signs alone were not enough to prevent accidents. He believed that there were more inexperienced cars on the ice this year than usual. Nybeck stated that a Public Safety Committee meeting was held February 4th, in which the use of alternative materials (construction barrels) was raised for consideration in the channel areas. Additionally, MN DNR Conservation Officer Aaron Kahre had commented that the minimal snowfall has not provided for plowed roads on the ice; providing the public the inability to drive a vehicle on regularly traveled routes. C. Staff update on 2012-2013 de-icing inspections. Babcock asked Harper for background on this agenda item. Harper made the following comments: 34 de-icing licenses were issued for the 2012-2013 season. Inspections were conducted to verify compliance with LMCD Code Section 2.09 on January 10 th and 11 th ; providing an overview of what is documented and the process involved in staying in compliance. Of the 34 initially inspected sites; 29 past first inspection, two failed (Browns Bay LLC and the Larae residence), and three were not de-icing (Tonka Bay Sales- Site 2, the Prueter residence, and the Zebeck residence). Inspection reports were sent to all licensees (explaining results and corrective action, if needed). Re-inspections were conducted for the two that failed (noted above); one of which remained out of compliance (Browns Bay LLC). Multiple inspections were completed at this site between January 10th and 22nd, in which he provided a detailed overview of his findings and recommended corrective action. He stated that he maintained regular communication in working with the Sheriff's office on this matter. To this end, the LMCD has filed a Complaint relative to non-compliance with LMCD Code Section 2.09. In response to the multiple cars breaking through the ice, staff conducted additional inspections on February 4th to ensure compliance with the Code. Of the 34 de-icing sites, 28 were in compliance, four had some issues (which have been corrected), and two were not de-icing. He stated the LMCD Code allows for de-icing without a permit after March 15th (providing for the use of "Thin Ice" signs along the affected shoreline). He entertained questions and comments from the Board. The Board asked a few questions, in which Harper provided the following responses: Since there is a violation of the Code at Browns Bay, LLC, the Board will have the opportunity to take this into consideration when processing their 2013-2014 renewal application. The use of solar lights as a means to light the de-icing area (required by LMCD Code) would not be an effective tool due to the inability to fully charge the lights during the winter months. A recommendation that the Board contact staff with any concerns they may observe. Nybeck stated that he intends to have staff conduct an inspection of the permitted sites at night, to ensure compliance with lighting regulations. He compared these inspections to those that staff completed in the summer for the solar lights; acknowledging the need for staff to better understand and document any needs that can arise at night. D. Personnel Committee, 2013 compensation adjustments for LMCD employees Babcock stated that Nybeck had completed the staff's 2012 performance evaluations, the Board had met to obtain feedback on Nybeck's 2012 performance evaluation, and that he had received some follow-up requests from the Executive Committee (in which he will review at this meeting). Nybeck has recommended a 2% salary and hourly rate adjustments for all permanent staff members. In providing an overview of what the Executive Committee had requested, the following questions were presented: 1) what were the 14 member cities offering in pay adjustments this year, 2) how are the salary and hourly rate adjustments compared to what has been budgeted for 2013, and 3) how do the salary and hourly adjustments compare to the member cities' levy limits. He provided a detailed overview of graphs to address the above noted questions, in which the following comments were offered: The average 2013 salary and hourly rate increase for the 14 member cities is 1.6% (this does not include adjustments planned by the Minnehaha Creek Watershed District (MCWD) in 2013). A comparison of the Administrative budget to the total salaries plus benefits. In looking at it from a budgetary and management standpoint, he documented a slight trend upwards since 2008 and believed that salaries are being held at a relatively close range. A comparison of the total levy received (both Administrative and AIS) to salaries and benefits; providing for a slight trend upwards. He asked the Board to consider a motion to provide a salary increase for the LMCD staff at the rate of 1.6% or 2% (as presented above); providing for either one to be retroactive to January 1st. He entertained questions and comments from the Board. A summary of the Board discussion was as follows: Roy asked if the above percentage included pension. Babcock confirmed that the recommended percentage was for total salaries only. He stated the LMCD has a fully compensated budget; acknowledging that the ratio to benefits and salaries is not apples to apples but very close. He verified that the pension offered to employees is through the Public Employee Retirement Association (PERA). Klohs requested clarification that (based on a trend chart offered) over the last five years, the LMCD staff's salaries and benefits, as a percentage of the total levy, increased from 58% to 70% since 2007. Babcock confirmed Kloh's comment; providing an overview of both the Administrative and AIS budgets since the 1980's. He also confirmed that the dark line provided in the chart was a fiveyear trend. Nybeck stated that 2008 was the first year the Board budgeted salaries for the Proactive Code Enforcement Program. He acknowledged the program started in 2006 and had originally been funded out of a temporary service line item. McDermott recommended the Board put this in perspective and asked for the total fund amount for a 2% salary increase. Kask reminded the Board that the information being offered needs to take into consideration the Board's decision in recent years to hire a part-time clerk so that bookkeeping could be completed in-house vs. contracted out. This action provided for a reduction for that budgeted expense but an increase in salaries, which provided for a positive savings to the LMCD. Babcock acknowledged the numbers he presented at this meeting are not perfect, as his goal was to establish a trend for long-term budgetary and management use. Nybeck stated, in response to McDermott's question above, the total budgeted salary increase of 2%, which includes PERA, FICA, and long-term liability would be less than $5,000 and within budgeted funds. Babcock stated the increased amount is based on variable comparisons. He acknowledged that the 2012 numbers are pre-audited and 2013's are budgeted and not actual. He reiterated the goal is not about the numbers but how the LMCD compares to the member cities and the five-year trending. He confirmed the data provided at this meeting did not take into account the increase in employee staff and the addition of projects. Additionally, a total allocated budget could be considered in looking at this trend; providing for all revenue and expenses associated with salaries and benefits. The Board had a brief discussion of a salary and hourly rate survey documented via the PowerPoint. This discussion included current salary adjustments approved within the individual member cities for 2013 (including Hunt's comment that the City of Minnetrista is offering a 1% compensation adjustment; acknowledging this was not a reflection on the qualification of both the city and LMCD staff). MOTION: McDermott moved, Shuff seconded to approve a 2013 compensation adjustment of 2% for all four LMCD staff members; retroactive January 1, 2013. VOTE: Aye (6), Nayes (5, Green, Hunt, Kask, Klohs, Morris); motion carried. Morris thanked Babcock for not placing this agenda item under the consent agenda. Kask stated that he personally could support a 1.6% or 2% increase; acknowledging 2% was offered by the City of Deephaven. However, he was sympathetic to his fellow city council members around this table who are being asked to consider a compensation adjustment that is more than what was approved via their respective city council. Nybeck stated that the member cities and MCWD had requested a copy of the salary and hourly rate survey prepared. This survey will be sent out to these public agencies and will be used as part of the 2014 LMCD Budget process. E. MCWD, consideration of draft grant application for 2013 Lake Minnetonka Watercraft Inspection Program. Babcock asked Nybeck for background on this agenda item. Nybeck directed the Board to his staff memo, dated 2/6/13, in which made the following comments: A Minnesota Department of Natural Resources (MN DNR) grant application was recently submitted. As noted at the January 23rd Board Meeting, staff originally submitted the grant for Level 1 watercraft inspectors. However, it was amended to provide for a combination of both Level 1 and 2 inspectors (in consultation with the Chair and former Board Member Olson). Discussion at this meeting will provide for details on: 1) the proposed 2013 Watercraft Inspection Program and 2) a pending Minnehaha Creek Watershed District (MCWD) grant application for such. He provided an overview of two proposed 2013 Watercraft Inspection Programs. Key details of the programs that remained the same included: 1) duration of the inspections; 2) targeted days and coverage times; 3) public accesses to be covered by Volt Workforce Solutions (Volt), MN DNR, and Three Rivers Park District (TRPD); and 4) public accesses not covered and the reasons why. The total number of watercraft inspection hours for both programs was 2,192, excluding the MN DNR and TRPD. The first program he provided an overview of was for Level 1 watercraft inspectors. He provided a detailed overview on the type of inspections Level 1 inspectors can perform; acknowledging they are not trained nor authorized to perform watercraft decontamination (offered by Level 2 inspectors only as outlined below). Estimated costs for this program are $38,115, with proposed financial contributors of $11,307.50 from the LMCD, $7,750 from the MN DNR, and $19,057.50 from the MCWD. He stated there is a $30,000 line item in the adopted 2013 LMCD Budget for unspecified AIS management and prevention projects. In January, the Board suggested the $30,000 should be earmarked for watercraft inspections. However, based on the figures noted above, there is a potential to have an estimated $19,000 of unspent funds for other projects. Babcock stated that there is a consensus amongst the members of the MCWD AIS Task Force (him included) that believe a watercraft cannot be decontaminated on sight. Therefore, the Task Force recommended moving away from the term "decontamination" and utilize the word "clean" (providing for the effort to reduce the risk of AIS but not decontaminate due to the inability to reach all areas of the watercraft). Some believe that the hot water utilized is not 100% effective and that this matter needs to be addressed at the MN DNR level. Nybeck provided a detailed overview of a program that consists of a combination of Level 1 and 2 watercraft inspectors. In 2012, Level 2 watercraft inspections were done only by the MN DNR on Lake Minnetonka. He confirmed that these inspectors are trained and authorized to perform watercraft decontamination. Other key features in this program include: 1) three of the four accesses would be covered by Level 1 inspectors; with two Level 2 inspectors covering the fourth access, 2) it was undetermined whether Volt could provide for Level 2 inspectors (due to training and risk management of the decontamination equipment), 3) decontamination can be performed for both entering and leaving the Lake, 4) the MN DNR compensates the Level 2 inspectors at a slightly higher rate, 5) a proposal that the purchase of the decontamination equipment (estimated at $12,000 to $18,000; excluding safety equipment) be made by the MCWD (through the state contract), and 6) in consultation with the MCWD, staff recommends no funds be directed towards the purchase of that equipment. Otherwise, staff would recommend Level 1 inspectors. Babcock questioned if a Joint Powers Agreement would be needed for the use of the equipment, as well as confirmation as to who would be transporting such. Nybeck confirmed details would need to be worked out within the Agreement should this option be chosen. However, he understood the equipment would be solely available for the LMCD's use; providing for the ability to utilize the LMCD truck on Fridays, Saturdays, and Sundays (nonharvesting days) for the transportation of the equipment. Additionally, he confirmed: 1) spray downs could also be performed at the Regional Park (offered via in-kind services by the TRPD) and 2) cost estimates for such (outlined below) would include a more effective sprayer than what the LMCD currently has. Estimated costs for this program, excluding the purchase of decontamination equipment, is $49,374, with proposed financial contributors of $24,687 from the LMCD (including MN DNR grant funds) and $24,687 from the MCWD. He acknowledged the MN DNR would cover the vast majority of the LMCD's contribution and that the MCWD would purchase the decontamination unit (est. $15,000 to $20,000; with safety equipment). The unique aspect to this program is that the Level 1 and 2 inspectors would be reimbursed at $7.75 and $11 per hour, respectively (providing for a greater coverage by other public agencies; freeing funds up for the LMCD to do other things). Babcock pointed out there is a $5,600 difference for the LMCD to utilize a combination of Level 1 and 2 watercraft inspectors rather than just Level 1. Nybeck explained that if the Board decides a implement a Level 2 watercraft inspection program in 2013, the maximum grant funds available from the MN DNR is $25,000 vs. $7,750. The grant application submitted to the MN DNR is for both grant fund amounts (totaling $32,750). Should all funding avenues be approved, the cost to the LMCD for this program would be very minimal because the MN DNR would re-imburse 1,600 hours at $7.75 per hour for Level 1 inspectors and 11,000 hours at $11 per hour for Level 2 inspectors. Hoelscher stated that she believed expending a lower level of funds to get more is positive. However, she also heard that the decontamination equipment is not 100% effective but yet someone will be paying for it. She questioned what the cost benefit of the equipment would provide. Babcock believed it was difficult to quantify the benefit of utilizing the decontamination equipment; however, believed there was a benefit for the inbound inspections of AIS that are currently not infesting the Lake. Additionally, he acknowledged the $5,600 difference between the two programs is a low number to obtain a higher level of inspection. Green asked if the LMCD were to utilize Level 2 inspectors, would the LMCD have the ability to customize the procedures given to the inspectors by the MN DNR (i.e., additional reasons why a decontamination would be done), in which Nybeck believed there could be some leverage but he was unsure as to what level (providing an overview of options to consider at the individual accesses). He solicited the Board's direction as to whether a MCWD grant application should be submitted and for which level of inspections. Additionally, he believed the LMCD should receive feedback on the submitted 2013 MN DNR grant application by early March. MOTION: Babcock moved, McDermott seconded to: 1) direct staff to submit a MCWD grant application for the Level 2 watercraft inspection program for the maximum funding amount possible, 2) that funding from the AIS budget be utilized for any local expenses, 3) support the MCWD in the purchase of the decontamination/cleaning equipment, and 4) participate in this program subject to all grants being awarded. Morris questioned if the LMCD needed an operating plan as an attachment to the MCWD grant application. Additionally, he expressed concern for moving forward this year at the higher level; providing for setting a bar that cannot be matched in 2014 by a decrease in awarded grant funds. Babcock concurs that some logistics need to be worked out; however, he believed 80% of the plan will be consistent to last years. VOTE: Motion carried unanimously. 10. Update from standing LMCD Committees: Babcock asked for an update from the Chair, or designated representative, of each committee (Save the Lake, AIS Task Force, Finance, Personnel, Public Safety, and Ordinance Review). Morris stated that the AIS Task Force met on February 8th in the LMCD office. Members have expressed an interest in seeing the Board provide for an action item on the draft Comprehensive Eurasian Watermilfoil and Curly-Leaf Pondweed Plan that the Board has held a public hearing on. Babcock asked if the Task Force had any comments on his proposed revisions to the draft Plan that he provided to the Board at their January 23rd meeting. Morris stated the Task Force did not have specific comments; however, that they were happy with the originally drafted Plan provided for public hearing (taking into consideration a few minor revisions from Nybeck). However, he acknowledged it is the Board's decision on what version of the draft Plan to consider. Babcock stated that John Barten from the TRPD has provided some comments since he was one of the authors of the draft Plan. However, these comments have not been included in an amended draft Plan. Nybeck stated that McDermott has provided comments as well. He provided an overview of the status of the draft Plan as follows: Two draft Plans were presented to the Board at their January 23rd meeting; one with minor changes reflecting comments made at the public hearing and one with more detailed revisions (including the minor changes noted by Nybeck) from the Chair. At that time, the Chair asked for comments on his changes for future consideration. He concurred with the Task Force that the draft Plan needs to come back to the Board for consideration. Morris stated that he had received some informal comments that the detailed changes, noted above, were not the Task Force's opinions. Babcock stated that he believed his proposed revisions reflect polarization and what is right for the Lake; acknowledging they were not consistent with the Task Force's comments. No report was provided for the Save the Lake Committee. Babcock stated that the Ordinance Review Committee is working on possible low water ordinance amendments for consideration, in which he has received but not reviewed. Hughes stated the Public Safety Committee met on February 4th, in which one of the primary topics discussed included a presentation on a warning flag system, proposed for inclement weather state-wide from Mr. Eric Waage of the Hennepin County Emergency Management. Mound Fire Chief Greg Pederson and Gabriel Jabbour were present for this presentation and the general consensus of the committee believed the program would have provided for complex logistics. However, members also considered less complex systems, such as the smart phone. Waage was utilizing the committee as a sounding board to expend grant funds and would be meeting with other groups, as well. Additionally, he stated that he worked with staff and a revised bow-fishing memo (per the direction of the Board) was sent to the member cities. Nybeck stated that city councils are starting to meet and comments are being submitted to the LMCD. This topic will be re-considered at the Board's March 13th meeting. Babcock stated the Finance Committee met this date to consider the re-distribution of a matured Certificate of Deposit. Additionally, he solicited the Board's interest in organizing a watercraft operator's license committee based on Jabbour's presentation under Item 9A, in which a recommendation was made to provide for that matter under the Public Safety Committee (if deemed necessary). 11. EXECUTIVE DIRECTOR REPORT There was no Executive Director Report. 12. ADJOURNMENT There being no further business, the meeting was adjourned at 8:51 p.m. ___________________________________ ___________________________________ Doug Babcock, Chair Andrew McDermott, Secretary
Foldable dome climate measurements and thermal properties Guus Sliepen a,b , Aswin P.L. J¨agers a,b , Robert H. Hammerschlag a , and Felix C.M. Bettonvil a,b a Astronomical Institute, Utrecht University, Princetonplein 5, 3584 CC Utrecht, the Netherlands b Technology Foundation STW, Utrecht, the Netherlands ABSTRACT As part of a larger project for measuring various aspects of foldable domes in the context of EST and with support of the Dutch Technology Foundation STW, we have collected over a year of continuous temperature and humidity measurements, both inside and outside the domes of the Dutch Open Telescope (DOT) on La Palma 5 and the GREGOR telescope on Tenerife. 6 In addition, we have measured the wind ﬁeld around each dome. Although the structure of both domes is similar, the DOT dome has a single layer of cloth, and is situated on top of an open tower. In contrast, the GREGOR dome has a double layer of cloth, and is situated on top of a tower-shaped building. These differences result in large differences in temperature and humidity insulation when the dome is closed. We will present the changes in temperature and humidity one can expect for each dome within one day, and the statistics for the variations throughout a year. In addition, we will show that the main advantage of a foldable dome is the near instantaneous equilibration of the air inside the volume originally enclosed by the dome and that of the environment outside the dome. This property allows one to operate a telescope without needing expensive air conditioning and dome skin temperature control in order to limit dome and shell seeing effects. The measurements give also information about the weather ﬂuctuations at the sites of the domes. It was observed that on small time scales the temperature ﬂuctuations are signiﬁcantly greater during the day than during the night. Keywords: Foldable tent domes, dome climate, thermal properties, weather ﬂuctuations 1. INTRODUCTION The Dutch Open Telescope on La Palma and the GREGOR telescope on Tenerife, both solar telescopes, have similar, completely foldable domes. 1,2 There are several differences between the two domes: the DOT dome is 7 m in diameter, Send correspondence to G. Sliepen <email@example.com>, phone: +31 (0)30 253 1617, web: http://dot.astro.uu.nl/ while the GREGOR is 9 m in diameter. The DOT is standing on an open tower, and the platform on top of the tower has many small holes, while the GREGOR on the other hand has a solid concrete ﬂoor, and a building beneath it (see ﬁgure 1). Finally, the DOT dome consists of only one layer of cloth, whereas the GREGOR dome has two layers. As part of an STW project to study these completely foldable domes, several different sensors have been placed inside, outside and on the domes, see ﬁgure 2. Sensors include wind sensors (both cup and vane sensors and one 3D ultrasonic anemometer), pressure sensors, temperature and humidity sensors and shadow band rangers (SHABARs). In this paper, we focus on the data from the temperature and humidity sensors. Sensor data is being captured 24 hours a day since August 2008. Unless stated otherwise, we have used a dataset that includes a virtually continous recording of temperature and humidity data from both the DOT and GREGOR from August, 2008 through July, 2009, to investigate the climate at both sites and the effects of the different domes on the internal climate. The sensors are sampled at 1 kHz, but only the average of 64 samples are stored. This reduces the readout noise to levels below the resolution of the temperature sensors (0.065 ◦ C) and humidity sensors (0.028 %). Although we store approximately 15 samples per second for each sensor, we have further reduced this to a managable 1 sample per 2 minutes by simple averaging before calculating the statistics presented in this paper. We have also created daily statistics for each sensor, including minimum, maximum and average values, which are used in some of the plots. 2. CLOSED DOME CLIMATE The characteristics of the closed telescope domes are evaluated by comparing the humidity and temperature inside the dome to those values outside the dome. Before we compare the two domes to each other, we ﬁrst compare the climate outside the domes at the two sites to each other. Figure 3 shows the minimum, maximum and average temperatures and humidities of all days the dome was closed, of the site of the GREGOR telescope versus the DOT. Since the two telescopes are relatively close to each other geographically, they experience roughly the same weather on the same day. However, temperatures vary more from season to season at the GREGOR than at the DOT; in the winter on average 2.3 ◦ C colder than the DOT, in the summer on average 1.7 ◦ C warmer. The DOT experiences slightly more days of high humidity than the GREGOR. At the DOT site, 11.5% of the days have an average humidity of 90% or higher, whereas at the GREGOR site it is only 8.1% of the days. The differences in weather between the two sites are small enough that we assume that there is no bias introduced by this in the comparison of the climate inside the domes. Figure 4 shows the average temperatures and humidities of all days the dome was closed, of the climate inside the dome versus the climate outside. The temperature inside the DOT dome is on average 1 ◦ C warmer than outside, except when the temperature drops below 3 ◦ C and the heaters turn on because of high humidity. There are two electric radiator heaters of 1.5 kW each on the DOT platform, which are automatically switched on when the humidity is higher than 60 %. However, the open nature of the DOT platform allows cold air to enter the dome, and the temperature can drop below zero if the humidity is low and the heaters will stay switched off. The inside of the GREGOR dome is on average 5 ◦ C warmer than outside, and when the temperature drops below 5 ◦ C, the heat coming up from the lower ﬂoors of the building through the telescope platform will keep the inside air from dropping below zero, even when outside temperatures reach −10 ◦ C. Both domes insulate enough to prevent condensation inside; the humidity inside the DOT rarely reaches over 95%, while the humidity inside the GREGOR dome stays under 80%. The open platform of the DOT keeps the humidity inside the dome close to the humidity outside, however the humidity in the GREGOR is trapped, resulting in much more constant levels, around 35% on average and almost never below 20%. 3. OPEN DOME EQUILIBRATION A primary advantage of a completely open-foldable dome over traditional domes is that, when the dome is opened, air can ﬂow freely through the telescope, thereby minimising temperature differences with the surrounding air. This effect is indeed clearly visible from the sensor data. In ﬁgure 5, the temperature inside and outside the DOT of a day the dome was opened has been plotted with a higher time resolution (0.1 Hz). The dome takes ﬁve and a half minutes to open, but the temperature inside the dome drops to the outside temperature in only six minutes. When the dome is closed later around noon, the temperature inside the dome is decoupled from the temperature outside, and quickly rises due to solar irradiation of the dome. Figure 6 shows the difference in temperature and humidity inside and outside the dome. While the dome is open, temperature inside differs less than 1 ◦ C from the outside, the RMS difference is 0.4 ◦ C. The humdity inside stays within 1 % of the outside. Both the equilibration time and the small difference between inside and outside areas are virtually the same every time the dome is opened, for both the DOT and GREGOR telescopes. 4. TEMPERATURE AND HUMIDITY FLUCTUATIONS THROUGHOUT THE DAY It is clear from ﬁgure 5 that temperature and humidity ﬂuctions increase in amplitude during the day. This is caused by solar irradiation heating the ground, resulting in an increase in temperature variations and turbulence in the air. During the night, there is no irradiation, and consequently variations are much smaller in amplitude. The temperature variations during the day can be quite strong, even when there are observations. This can be seen clearly in ﬁgure 7, where a drop of 3 ◦ C in only 15 minutes is observed. If a closed dome with a slit was used for a solar telescope, and the air inside had to be actively cooled to keep it in equilibrium with the outside air, then we can use the following formula to determine the power required just to cool the volume of air inside the dome: Where P is the required power in watt, 1297 is the volumetric heat capacity of dry air at sea level in J/(m 3 · K), p the pressure in bar, r the radius of the dome, and dT /dt the rate of change in temperature. For the DOT, with r = 7 m and p = 0.75 bar, this results in a power requirement of P = 2.3 kW. However, for a larger dome, such as the proposed 28 m dome 3 for the European Solar Telescope (EST), the power requirement would be almost 150 kW. To show the statistics of temperature variations throughout the day, we have plotted a histogram of the absolute value of the derivate of temperature versus time, for both telescopes, both inside and outside the domes, in ﬁgure 8. We have used the complete dataset as mentioned in section 1. It is clear that from 20:00 UT in the evening to 8:00 UT in the morning, the rate of change of temperature outside the domes is small and constant, only 0.04 ◦ C/min. However, from 8:00 UT to 20:00 UT, the rate of change varies considerably, up to 0.09 ◦ C/min at the DOT and 0.12 ◦ C/min at the GREGOR. The values plotted are only averages, we have recorded changes of up to 0.5 ◦ C/min around 14:00 UT, although this is very rare. The temperature variations inside the closed domes are much smaller of course, the double layer of cloth of the GREGOR dome having the most insulating effect. In ﬁgure 9 the same has been plotted for humidity. The difference in insulation between the DOT and GREGOR dome is even more pronounced here. Figures 8 and 9 used a dataset with one sample every 2 minutes, and the ﬂuctuations in those ﬁgures are therefore only valid within 2 minute intervals. If we go to larger time intervals, we will see see smaller rates of temperature change within those intervals on average, since temperature will go both up and down within that interval, and ﬂuctuations cancel each other out. However, the absolute change over the whole interval will be larger. This has been illustrated in 10. For the DOT site, temperature will change, on average, almost 0.2 ◦ C every 2 minutes around 14:00 UT, but in 20 minutes it will change, on average, only 0.5 ◦ C. 5. CONCLUSIONS Although there are more differences between the DOT and GREGOR telescopes than the number of cloth layers, we can conclude that the double layer and closed ﬂoor of the GREGOR result in a much better insulation of the dome. Once a dome is opened, the climate inside reaches equilibrium with the outside in only 5 minutes, which is excellent for solar telescopes that are built to operate in the open air. The temperature and humidity ﬂuctuations are much higher during the day than during the night, which means that solar telescopes need to have better thermal control, but with a completely open dome they do not need to control the temperature of the dome skin and the air inside the dome. The heat ﬂux due to solar irradiation around a telescope has to be removed anyhow. In the case of a closed dome with only an opening for the time (hours UT) Figure 9. The average absolute derivative of humidity versus the time of the day for the inside and outside of the GREGOR dome. The humidity ﬂuctuations outside during the day are up to two and a half times as large as during the night. The GREGOR dome removes the humidity ﬂuctuations very effectively when closed. incoming optical beam, the heat is accumulated in the outer surface of the dome. In the case of a completely open foldable dome, the heat is accumulated in the ﬂoor. Since the skin of a closed dome is near the incoming optical beam, small temperature variations of the skin with respect to the surrounding air will already affect the incoming beam. The ﬂoor of an open dome is farther from and beneath the incoming beam, which allows larger temperature variations, especially cooler with respect to the surrounding air, before the incoming beam is equally affected. Consequently, removal of the solar heat without disturbing the incoming beam is easier with the completely open foldable dome. 4 6. ACKNOWLEDGEMENTS The Technology Foundation STW in the Netherlands supports this work ﬁnancially under grant 06640. Technical support comes from the GREGOR and DOT groups. The GREGOR is operated by the German consortium of the Kiepenheuer Institut f¨ur Sonnenphysik, the Astrophysikalisches Institut Potsdam, the Institut f¨ur Astrophysik G¨ottingen and other national and international partners at the Observatorio del Teide (OT) on Tenerife. The DOT is operated by Utrecht University at the Observatorio del Roque de los Muchachos (ORM) on La Palma. Both observatories are operated by the Instituto de Astrofsica de Canarias in Spain. The DOT has been built by instrumentation groups of Utrecht University, the Central Workshop of Delft University (now DEMO-TU-Delft) and several ﬁrms with specialized tasks with funding from the Technology Foundation STW. The DOT team enjoys hospitality at the solar telescope building at ORM of the Royal Swedish Academy of Sciences. REFERENCES [1] F.C.M. Bettonvil, R.H. Hammerschlag, A.P.L. J¨agers and G. Sliepen, "Large fully retractable telescope enclosures still closable in strong wind", Astronomical Instrumentation, Proc. SPIE 7018-60, 2008. [2] A.P.L. J¨agers, G. Sliepen, F.C.M. Bettonvil and R.H. Hammerschlag, "Fast foldable tent domes", Astronomical Instrumentation, Proc. SPIE 7018-64, 2008. [3] J.N.M. Kommers, R.H. Hammerschlag, S.J. van Leverink, F.C.M. Bettonvil, S. Visser, A.P.L. J¨agers and G. Sliepen, "Mechanical design of a completely open-foldable dome for EST in the range of 20 to 30m diameter with optional an effective semi transparent windscreen for telescope protection", Astronomical Instrumentation, Proc. SPIE 7733-15, 2010. [4] F.C.M. Bettonvil, R. Codina, R.H. Hammerschlag, A.P.L. J¨agers, H. Kommers, S.J. Leverink, G. Sliepen and S. Visser, "The enclosure for the European Solar Telescope (EST)", Astronomical Instrumentation, Proc. SPIE 7733109, 2010. [5] Dutch Open Telescope, http://dot.astro.uu.nl/. [6] GREGOR telescope, http://gregor.kis.uni-freiburg.de/ .
Selected material from the Tests of Dyslexia (TOD ) manual. Copyright © 2024 by Western Psychological Services (WPS ). Provided by WPS for the sole purpose of introductory reference by qualified professionals. Not to be reprinted, excerpted, or distributed in whole or in part without the prior written authorization of WPS (email@example.com). Full materials available for purchase at wpspublish.com. TM ® 4 The word dyslexia comes from the Greek words dys, meaning impaired, and lexis, meaning word. Although variations in definitions exist, the authors of the TOD took into account the following definition that was adopted by the International Dyslexia Association (IDA) Board, November 2002 (Lyon et al., 2003): Development and Standardization This chapter describes the development of the TOD, beginning with the theoretical and empirical underpinnings of the assessment. The chapter then details the research samples collected to standardize and validate the TOD tests, as well as the methods employed to derive the TOD scores. Theoretical and Empirical Underpinnings of the TOD This section defines dyslexia, as well as its etiologi cal underpinnings (e.g., neurological and hereditary influences), typical comorbid conditions and cogni tive/linguistic correlates, traditional and current assessment options, and how the characteristics of dyslexia relate to the TOD tests, indexes, and composites. Definition and Neurobiology of Dyslexia in the phonological component of language that is often unexpected in relation to other cognitive abilities and the provision of effective classroom instruction. Secondary consequences may include problems in reading comprehension and reduced reading experience that can impede growth of vocabulary and background knowledge (p. 2). SAMPLE Dyslexia is a specific learning disability that is neurological in origin. It is characterized by dif ficulties with accurate and/or fluent word recogni tion and by poor spelling and decoding abilities. These difficulties typically result from a deficit Within their dyslexia screening legislation, most states acknowledge this definition (Gearin et al., 2021). Although the emphasis is on the phonologi cal component of language in the IDA definition, other linguistic abilities, such as verbal memory and rapid naming, are included in other definitions (e.g., British Dyslexia Association, Dyslexia Associa tion of Ireland). Additionally, as with any learning disorder, dyslexia exists along a continuum, where the level of impact can range from mild to severe (Hasbrouck, 2020). The impact of dyslexia is also influenced by the environment and any effects due to appropriate early intervention and treatment. TOD • W-700M Both environmental and genetic factors influence reading development (Little & Hart, 2022). Heritability and Comorbidity The neurobiological basis of dyslexia has been sup ported by research that shows brain functioning in individuals with dyslexia differs from that of typical readers in a few important ways (Shaywitz & Shaywitz, 2020). For example, studies using functional mag netic resonance imaging (fMRI) of individuals with and without dyslexia indicate a "different distri bution of metabolic activation" in the two groups (Hudson et al., 2007, p. 510). Seminal studies (e.g., Cohen et al., 2004; Dehaene et al., 2005; Shaywitz et al., 2002) revealed that individuals with dyslexia experience a disruption/decrease in metabolic activ ity in the posterior part of the left hemisphere (the left visual word form area), which is associated with skilled and fluent reading, and an overactivation of the left and right anterior systems and the right visual word form area. These neural differences create inefficiencies in producing skilled reading. Researchers have hypothesized that these less effi cient areas are activated in order to compensate for the disruption in the "reading areas" of the brain. In addition to research establishing how the brain works during various types of reading tasks, grow ing evidence indicates that systematic reading instruction can result in changes in the patterns of metabolic activity in the brain. For example, Aylward et al. (2003) found that children identified as having dyslexia who were exposed to 20 hours of reading intervention showed significant differences in activation (observed pre- and post-intervention via fMRI) in areas of the brain important for read ing and language while doing a phonological task. In other words, the brain activity of readers with dyslexia post-intervention was similar to that of typical readers. Similar results have been found using tasks involving phonemic awareness, phonics, word recognition, and morphology (Shaywitz et al., 2004; Shaywitz & Shaywitz, 2020; Weiss et al., 2010). Because the use of fMRI is expensive and does not yield specific diagnostic information, it is not practi cal for use in schools as a diagnostic tool; however, the results from fMRI and related approaches con tinue to enhance our understanding of the reading process and dyslexia. Another line of related research has focused on comorbidity, i.e., the extent to which individuals with a particular disorder, in this case dyslexia, will also demonstrate characteristics consistent with the diagnosis of another disorder. Approximately 40% to 60% of children with dyslexia will also meet the diagnostic criteria for another disorder, includ ing attention-deficit/hyperactivity disorder, speech sound disorder, dyscalculia (a learning disability in math), dysgraphia (a learning disability in writing), or developmental language disorder (Moll et al., 2020; Pennington et al., 2019). Unexpected Underachievement and Dyslexia Identification Under IDEA Historically, the concept of "unexpected underachieve ment" has been a central defining characteristic of dyslexia, as has the assumption of specificity (i.e., the underlying deficit is specific to reading and related skills and does not extend significantly into other domains; Hinshelwood, 1902; Tunmer & Greaney, 2010). The disorder is considered "unexpected" in that other abilities are often intact and educational opportunities are assumed to have been sufficient. This concept of unexpected underachievement has perhaps been the most consistent and enduring component of the definition of dyslexia (Shaywitz & Shaywitz, 2020). SAMPLE TOD • W-700M Strong evidence supports the familial transmis sion of dyslexia (Hulme & Snowling, 2009; Lasnick et al., 2022; Moll, 2022; Pennington & Lefty, 2001). Approximately 45% of children who have one parent with dyslexia will develop this reading disability (Gaab et al., 2020; Snowling & Melby-Lervåg, 2016). If both parents have dyslexia, the chance increases to 75% for developing this reading disorder (Gaab et al., 2020). Thus, family history is one of the strongest risk factors for developing dyslexia. When consider ing familial transmission of dyslexia, it is important to note that parents may have "reading and spelling problems" but not know they have a disability. Because dyslexia is a type of learning disability, one of the three procedures described in IDEA 2004 must be followed to identify dyslexia in schools: 1. Ability–achievement discrepancy (though this must not be required); 2. Alternative researchbased methods, often operationalized as a pattern of strengths and weaknesses (PSW) approach; 3. A student's response to scientific, research-based inter vention, often referred to as response to intervention (RTI). Chapter 3 describes interpretation within these frameworks and provides an explanation for the rationale behind the methods. The following para graphs explain how the TOD fits into them. careers" (p. 238). Furthermore, in examining results from their Connecticut Longitudinal Study, Shaywitz and Shaywitz (2020) explained that in typical read ers a strong correlation exists between intelligence test scores and reading performance, whereas in readers with dyslexia, there is little to no relationship between intelligence test scores and reading, which validates the unexpected nature of dyslexia (p. 102). Ability–Achievement Discrepancy Similar to the logic underlying the consideration of intellectual ability in an ability–achievement dis crepancy model, a disparity between oral language abilities and reading can be considered another indicator of dyslexia. Torgesen (2000) explained that "children should be able to comprehend, or construct, the meaning of what is being read at a level consistent with their general verbal ability" (p. 55). Thus, students with dyslexia may have an ability–achievement discrepancy when their intel ligence test or oral language scores are higher than their reading scores. To provide an estimate of oral language abilities, the TOD-S contains the Picture Vocabulary (1S) test, and the TOD-C contains the Listening Vocabulary (22C) test. As noted, although dyslexia and developmental language disorders are two distinct disorders, they often co-occur (Moll et al., 2020; Spencer et al., 2014). Because of relatively high comorbidity between these disabilities, the TOD-C also contains two measures of reasoning ability, the Picture Analogies (10C) and Geometric Analogies (23C) tests. Chapters 2 and 3 describe procedures for comparing the reasoning test scores with other TOD test scores. Pattern of Strengths and Weaknesses Approach Some states and districts have adopted what has been referred to as a pattern of strengths and weaknesses (PSW) model. This approach explores strengths and weaknesses within both cognitive and achievement areas. One premise underlying the PSW model is that children with specific learning disabilities will have specific cognitive deficits that lead to poorer academic performance than would be expected given their specific cognitive assets. This model differentiates children with specific learning disabilities from those with lower global intelligence (Hale et al., 2006). Prior to the 2004 reauthorization of IDEA, an ability–achievement discrepancy identification procedure was incorporated into the federal law as a criterion for specific learning disability (SLD) iden tification. This procedure was used as an attempt to capture the difference between one's expected perfor mance (based on criteria such as general intelligence or oral language) and reading. This approach was made optional in IDEA 2004, and although some school districts still use it as part of an evaluation for specific learning disabilities, it has been criticized as being invalid and "archaic and inappropriate" (Siegel & Hurford, 2019, p. 23), as a "wait to fail" strategy that is inefficient (Stanovich, 1991), and as being no longer accepted practice (Snowling, 2014). Other experts, however, have noted that the exis tence of an ability–achievement discrepancy can provide useful information for a learning disability (LD) diagnosis because it is consistent with the very essence of its definition, i.e., an unexpected weak ness within a profile of salient strengths (e.g., Bell et al., 2015; Hays et al., 2017; Johnson & Myklebust, 1967; McCallum et al., 2013). This type of discrep ancy is particularly pertinent to the identification of twice-exceptional students with dyslexia (Shaywitz & Shaywitz, 2020). SAMPLE The National Joint Committee on Learning Disabili ties (2011) explained that "individuals identified as intellectually gifted may also have LD. Although twice-exceptional individuals may appear to be functioning adequately in the classroom, their performance may be far below what they are capable of, given their intellectual ability. … Educators often overlook these students until late in their academic TOD • W-700M This identification approach requires that an examiner establish links between specific cognitive strengths and weaknesses and empirically linked strengths and weaknesses in academic areas. A PSW approach is often referred to as a consistency model, as the cognitive or linguistic skill deficits are linked to and predict poor reading and spelling perfor mance, resulting in expected underachievement (Flanagan et al., 2018). As with ability–achievement discrepancy, the TOD was designed to be compat ible with a PSW approach. The TOD includes tests of several linguistic processing skills that have been identified as predictors of reading and spelling dif ficulties (phonological awareness, rapid automatized naming [RAN], working memory, and orthographic processing). As examples, a student with poor pho nological processing often has difficulty acquiring phonics, whereas a student with slow rapid automa tized naming often has a slow reading rate. Response to Intervention Since the passage of IDEA 2004, many U.S. school districts have adopted a response to intervention (RTI) model, also referred to as multi-tiered system of support (MTSS), which identifies students within a school with the lowest reading scores, often obtained from brief curriculum-based measures of oral read ing fluency. Within this framework, the unexpected nature of the reading problem is determined by the persistence of difficulty despite appropriate instruction. Although RTI identifies poor readers and may provide students with timely interventions, it has some limitations because there are many possible reasons why a student would not respond to an intervention, including learning English as a second language, attentional difficulties, behavior prob lems, limited prerequisite skills, low language and reasoning abilities, limited or ineffective instruction, or an intellectual disability. Thus, RTI can provide interventions and demonstrate that a student is not making adequate progress, but additional informa tion is needed to understand why that is the case and which intervention(s) might be most effective (Mather & Kaufman, 2006). An RTI model can, however, provide useful information regarding the effectiveness of applied interventions that are deliv ered within schools. Another potential limitation is that students who do not meet criteria for "at-risk" status based on some cut score (e.g., lowest performing 25%) may be missed even though they have dyslexia, particu larly those who are twice exceptional (gifted, with dyslexia). Despite their advanced cognitive abili ties, these students may go undetected because they employ compensatory strategies that mask their reading weaknesses so that their reading skills fall within the average range (Reynolds & Shaywitz, 2009). Reading scores within the average range should not be used to negate a diagnosis of dyslexia, according to Shaywitz and Shaywitz (2020): "There is no one single test score that ensures a diagnosis of dyslexia. It is the overall picture that matters. An extremely bright child who has a reading score in the average range but who struggles and cannot learn to read fluently … has dyslexia" (p. 166). To aid the diagnostic process, the TOD provides global scores that operationalize dyslexia risk status and a dyslexia diagnosis, as described below. Data from any of these three approaches can inform the diagnostic process described in the Diagnostic and Statistical Manual, Fifth Edition, Text Revision (DSM-5-TR; American Psychiatric Association, 2022). The DSM-5-TR, used by psychologists and related professionals, addresses the criteria required for a specific learning disability diagnosis, of which dys lexia is one type. Dyslexia Identification Under IDEA Summary All three of the approaches described above have advantages and disadvantages for a dyslexia evalua tion. As Kovaleski et al. (2015) note, "knowledgeable practitioners also use clinical judgment to determine which approach is applicable for a given child or in a given school setting. While regulations and poli cies require school districts to implement a single approach, best practice may reside somewhere in the margins with a hybrid model" (p. 6). SAMPLE TOD • W-700M Development of the TOD Tests The TOD was designed to assess the reading and spelling, linguistic processing, and vocabulary and reasoning domains that are most relevant to a diagnosis of dyslexia. In addition, the dyslexia iden tification models used in schools and clinics were considered in the design of the TOD tests, as were individual differences and environmental factors that influence the trajectory of dyslexia. Primary Areas of Difficulty As noted, the primary areas of difficulty for indi viduals with dyslexia are accuracy of word reading, reading rate, and spelling (Fletcher et al., 2019; Wagner et al., 2022); therefore, the TOD includes several measures of each of these abilities. Phonics Skills and Word Reading A core problem for individuals with dyslexia is accu rate and fluent word reading (Lowell et al., 2014). To assess an individual's ability to read words, an evaluation for dyslexia needs to include measures of context-free word identification skills (Tunmer & Greaney, 2010). Thus, a critical component of a dys lexia evaluation is assessing word-reading accuracy and efficiency with both pseudowords and real words in both a timed and untimed format (Lindstrom, 2019; Siegel & Hurford, 2019). Pseudoword reading Pseudowords (sometimes called nonsense words or nonwords) are combinations of letters that conform to English spelling patterns and rules (e.g., toam, flib). According to many experts (e.g., Rack et al., 1992; Shaywitz & Shaywitz, 2020), difficulty in reading pseudowords is one of the most important indicators of dyslexia. Pseudowords are hard to pronounce for individuals with dyslexia, who often have difficulty learning the mappings between the speech sounds and the printed letters or acquiring phonics skills. Because pseudowords are not real words, they can be pronounced only through the application of English phonic rules. Children with severe problems in phonological pro cessing have the most difficulty reading and spelling pseudowords (Hulme & Snowling, 2009), in what has been referred to as phonological recoding. Herrmann et al. (2006) explain phonological recoding as follows: "Phonological recoding involves 'sounding out' printed words using knowledge of letter–sound rela tionships. Pseudoword reading accuracy provides an index of the success with which unfamiliar words can be read aloud using phonological recoding strategies" (p. 196). The extant literature indicated that the TOD should include measures of regular and irregular word reading (both untimed and timed), reading rate, reading comprehension efficiency (timed), and spell ing, the primary areas of difficulty for individuals with dyslexia. In addition, the TOD should incorpo rate measures of the main linguistic risk factors for dyslexia, i.e., the underlying abilities that can impede the development of reading and spelling skills, such as phonological awareness, rapid automatized nam ing, and working memory. Finally, the TOD should provide ways to determine the "unexpected" nature of dyslexia by assessing oral vocabulary and reason ing, particularly when dyslexia is not accompanied by other comorbid conditions, such as a develop mental language disorder. These skills are described in detail below. In addition, the TOD should include parent, teacher, and self-rating scales for gathering additional qualita tive indicators of dyslexia. The TOD authors adopted as a fundamental guiding principle Wagner's (2018) perspective that the use of multiple indicators improves the reliability, validity, and utility of a diagnosis. SAMPLE Finally, the authors determined that three sepa rate test batteries were needed. The first would be a screener (TOD-Screener) that could be group administered and identify risk for reading failure. The second (TOD-Early) would be designed to target the essential predictors and skills for early reading (K–Grade 1). The TOD-E is appropriate for children who are prereaders or emerging readers. The third battery (TOD-Comprehensive) would encompass all major elements included in a dyslexia evalua tion and would be appropriate for examinees of all ages, beginning with first grade and extending into adulthood. TOD • W-700M The TOD-E contains two tests for assessing pseudo word reading ability and related emerging skills. The Sounds and Pseudowords (4E) test assesses letter–sound knowledge and pseudoword (nonsense word) reading. The Letter and Sound Knowledge (9E) test requires identifying the first, last, or middle sound in a word. The TOD-C also contains two tests for assessing pseudoword reading, the Pseudoword Reading (7C) and Rapid Pseudoword Reading (19C) tests. Test 7C assesses the accuracy of pseudoword reading, whereas Test 19C assesses the efficiency and rate of pseudoword reading, or the examinee's abil ity to quickly recognize phonic patterns, sometimes referred to as automaticity. These types of measures can help provide insight into an individual's mastery and automaticity with both beginning and more advanced phonics skills. the letters (graphemes). However, good phonemic awareness skills are insufficient for spelling both irregular words and homophones (e.g., there and their; Lowell et al., 2014). Irregular word reading Typically, beginning readers develop increased skill in recognizing the orthographic patterns in words based upon the predictable patterns of letter order (Hasbrouck, 2020). Individuals with dyslexia, however, often have difficulty mastering and recalling the orthographic spelling patterns of their language. They have diffi culty forming stable word or lexical representations, which then affects the development of both irregu lar word reading and spelling. To measure these abilities, the TOD-E has the Letter and Sight Word Recognition (7E) test, which includes naming let ters and reading both high-frequency and irregular words. The TOD-C has the Irregular Word Reading (11C) and Rapid Irregular Word Reading (20C) tests. Test 11C measures the accuracy of irregular word reading, whereas Test 20C assesses the efficiency and rate of irregular word reading. Spelling Difficulty spelling words is an indicator of dyslexia across the life span and, in some cases, can be the only remaining characteristic of dyslexia in adults (Romani et al., 2007). As with word reading, a dys lexia evaluation should include measures of both regular word spelling (words that conform to typical English spelling patterns and rules) and irregular word spelling (words that have one or more parts that do not conform to typical spelling patterns or rules). When learning to spell regular words, stu dents typically first learn to segment the speech sounds and then attach these sounds (phonemes) to In addition to the ability to segment sounds, spell ing requires orthographic processing, often defined as the ability to recall the specific letter and spelling patterns that make up words (Mather & Jaffe, 2021). Some individuals with dyslexia can spell regular words with accuracy but have difficulty spelling irregular words. Most likely, these individuals have good knowledge of sound–symbol correspondences but poor lexical representations that do not develop completely; the errors that they make typically involve regularizing the irregular element of a word, such as spelling the word said as sed (Romani et al., 2007; Willows & Terepocki, 1993). The TOD-E includes the Sounds and Pseudowords (4E) test, which measures early spelling skills (identifying beginning sounds, providing sounds for letters, recognizing phonically regular pseudowords). The TOD-C includes the Irregular Word Spelling (5C) and Regular Word Spelling (15C) tests, which can help an examiner differentiate between individuals who have poor lexical representations, and those who have difficulty sequencing sounds with their cor responding letters. Additional measures designed to assess basic orthographic processing ability are described in the Orthographic Processing section later in this chapter. Reading Rate/Reading Comprehension Efficiency SAMPLE An evaluation for dyslexia should also include timed measures of word recognition to capture the development of reading fluency and automaticity (Tunmer & Greaney, 2010). Individuals with dys lexia are slow reading orally because their automatic decoding skills are weak, so timed measures of word reading, pseudoword reading, and paragraph-level reading should be part of a comprehensive dyslexia evaluation (Pennington et al., 2019). In addition to the TOD-C tests that assess reading decoding efficiency/rate (i.e., the Rapid Pseudoword Reading [19C] and Rapid Irregular Word Reading [20C] tests), the TOD-S includes the timed Word Reading Fluency (3Sa) test for Grades K–1 (marking the word that goes with a picture) and the timed Question Reading Fluency (3Sb) test for Grade 2–Adult (reading a question and marking the correct answer). TOD • W-700M The TOD-C also includes the Oral Reading Efficiency (12C) test (oral reading of a passage for 1 minute) and Silent Reading Efficiency (16C) test (reading paragraphs and answering questions within a time limit). Results from these timed tests can have direct implications for making decisions about the need for the accommodation of extended time, the most com mon accommodation requested by students with dyslexia as well as the most critical accommodation (Shaywitz & Shaywitz, 2020). than those with a weakness in only one area (Norton & Wolf, 2012; Pennington et al., 2019). Phonological Awareness Linguistic Processing Phonological awareness is the ability to distinguish, understand, replicate, and manipulate sounds comprised within a language (Norton & Wolf, 2012). It is a stronger predictor of basic reading skills than of reading fluency and comprehension (Bell et al., 2003; Gray & McCutchen, 2006; Kibby et al., 2014). Children with dyslexia show lower performance on phonological processing and phonemic awareness tasks (manipulating individual phonemes) when compared to peers and children who are matched on reading levels (Kilpatrick, 2015; Melby-Lervåg et al., 2012; Snowling, 2014). For young readers, the tasks of rhyming words, blending (pushing together speech sounds), and segmenting (breaking apart speech sounds) are important phonemic awareness tasks. Blending is an essential step for acquiring phonics, and segmenting is an essential step for spelling. To assess these abili ties, the TOD-E includes two tests: Rhyming (5E) and Early Segmenting (8E). The TOD-C also includes two tests that measure blending and segmenting: Blend ing (13C) and Segmenting (14C). For older students, phonemic manipulation tasks, such as substituting sounds in words and deleting sounds from words, are more indicative of continued difficulties with speech sounds; these more difficult phonemic skills contribute to more detailed analysis of the internal structure of words and the acquisition of more fully specified orthographic representa tions (Ehri, 2007, 2014; Kilpatrick, 2015). The TOD-C includes a test that assesses these skills: Phonological Manipulation (4C). Although the results from many of the TOD tests have direct instructional implica tions for individuals with dyslexia, the results from Test 4C are particularly important because of the continued relationships of these skills to the most fundamental understanding of speech sounds. To accurately diagnose an individual with dyslexia, an examiner should assess the various linguistic processes that impact reading and spelling develop ment. Research has suggested that a multiple-deficit model for identifying dyslexia is superior to a singledeficit model. Specifically, a multiple-deficit model is consistent with empirical research results showing multifactorial cognitive and linguistic influences on reading and spelling (Bell et al., 2003; Compton, 2020; Pennington et al., 2019; Perry et al., 2019; Peterson & Pennington, 2015). Reliance on only one factor would exclude a large number of individuals who have dyslexia (Brady, 2019; Pennington et al., 2019). Four main linguistic processing deficits—phonologi cal processing, working memory, rapid automatized naming (RAN; Callinan et al., 2013; Fletcher et al., 2019; Rose, 2009), and orthographic processing (Georgiou et al., 2021)—have been described as risk factors and marker variables for dyslexia diagno sis. Although other possible correlates have been discussed in the literature (e.g., morphological awareness, processing speed, memory span, visual attention), currently, the most consistent findings support the measurement of these four correlates. In addition, several well-documented preschool measures have been identified as strong predictors of later reading skill (i.e., phoneme awareness, letter name and sound knowledge, and RAN; Peterson & Pennington, 2015). SAMPLE Recent research also suggests that individuals with dyslexia have difficulty with paired-associate learn ing tasks that require pairing and recalling speech sounds with symbols. The important point to keep in mind is that multiple differing cognitive profiles have been associated with dyslexia (Bell et al., 2003; Brady, 2019), and that individuals with multiple cognitive deficits are at much higher risk for dyslexia TOD • W-700M Rapid Automatized Naming Rapid automatized naming (RAN) has also been identified as a correlate of reading problems (Hulme & Snowling, 2009; Wolf & Bowers, 1999). The rela tionship of RAN to reading has been explored in a variety of alphabetic languages. For example, in a wpspublish.com longitudinal study of four languages (English, Span ish, Slovak, and Czech), Caravolas et al. (2012) found that at the start of literacy instruction, phoneme awareness, letter–sound knowledge, and RAN were the most reliable predictors of students' later read ing and spelling skills. This study suggests that these abilities are important for reading in all alphabetic orthographies. RAN has been described as a measure that is a strong predictor of performance on timed reading measures (Norton & Wolf, 2012). In contrast to phonological awareness, RAN is a better predictor of reading flu ency than of basic reading skills (Abu-Hamour, 2010; Kibby et al., 2014; Wolf & Bowers, 1999). When slow RAN performance is combined with other deficits, such as poor phonological awareness and working memory, learning to read can be quite difficult (Lowell et al., 2014; Norton & Wolf, 2012). The TOD includes several measures of RAN. The TOD-E contains the Early Rapid Number and Letter Naming (6E) test. The letters and numbers selected for this test— A, B, C; 1, 2, 3 —were chosen for young children because they are often the first letters and numbers that children learn. The TOD-C contains the Rapid Letter Naming (6C) test. The lowercase let ter pairs used in this test have been identified as the most common confusable ones, such as b and d and p and q , which are often more difficult for individu als with dyslexia to master. The TOD-C also contains the Rapid Number and Letter Naming (17C) test. Similarly, some of the uppercase letters and num bers used in this test were selected because of their visual similarity (e.g., 6 and 9 ). Continued confusion of these symbols is a symptom of reading difficulties and can occur in older students who have serious delays in reading development (Tunmer & Greaney, 2010). In fact, Al Dahhan et al. (2020) found that, when compared to typical readers on naming speed tasks, adult readers with dyslexia had longer fixation durations, more regressions, and increased neural activity when the letter stimuli were both phonologi cally and visually similar, such as with the letters b, p, and d . Orthographic Processing SAMPLE Auditory Working Memory Reading requires working memory and, conse quently, an assessment of students who may have dyslexia should include tests of working memory (Dehn, 2008). Although the exact nature of the role TOD • W-700M of working memory in dyslexia has not been con firmed, numerous studies have indicated that poor memory is a correlate of dyslexia and that auditory working memory predicts many aspects of read ing (Kibby et al., 2014; McCallum et al., 2006). For example, McCallum et al. reported significant rela tionships between a visual (working memory) and an auditory (rote memory) task and several aspects of reading. In addition, results indicated that auditory memory contributed significantly to the prediction of reading decoding and reading fluency (p < .05) beyond the power of phonology, orthography, and RAN. Similarly, Dehn (2008) found verbal working memory to be significantly related to word-reading skills, as well as reading comprehension. For most individuals, both reading and working memory capacity improve with age. However, results from a 3-year longitudinal study indicate that skilled read ers have stronger growth in working memory than children with dyslexia, and that working memory is most related to growth in reading fluency and read ing comprehension (Swanson & Jerman, 2007). The TOD-C contains two measures of working memory: Word Memory (9C) and Letter Memory (18C), which require listening to a string of words or letters and then repeating them in reverse order. Orthographic processing is the ability to recall the specific letter and spelling patterns that words comprise. To succeed in orthographic processing tasks, individuals must have stored visual images of the correct spellings of words; the tasks cannot be accomplished using only spelling–sound correspon dences. These types of tasks involve sensitivity to the order of letters in words (e.g., knowing that English words cannot begin with a ck or an ff), as well as the ability to recognize and recall specific letters and letter patterns that represent words in print. Knowl edge and memory of these lexical representations are often measured with word choice or homophone choice tasks, such as choosing the correct spelling of the word soap (e.g., sope or soap; Olson et al., 1985) or choosing which of two homophones is a flower (e.g., rows or rose; Stanovich & West, 1989). Mastery of these types of tasks requires specific orthographic knowledge, which is often a weakness in individuals with dyslexia. Findings from a meta-analysis indi cated that individuals with dyslexia have a deficit in orthographic knowledge that is as large as their wpspublish.com deficits in phonological awareness and RAN (Georgiou et al., 2021). To measure orthographic processing, the TOD-S includes the Letter and Word Choice (2S) test (included in the TOD-C and TOD-E). This test requires listening to a word presented orally by the examiner and then marking the correctly spelled word from four choices (e.g., prak, park, karp, rakp). This type of task is designed to capture the process ing efficiency of the orthographic lexicon (Perry et al., 2019), or, in other words, to determine how accurately an individual can recognize the correct spelling of a word from orthographically similar alternatives. Similar to a task developed by Treiman (1993), the TOD-C Word Pattern Choice (8C) test requires choosing the nonword that best conforms to the spelling patterns of English or looks the most like a real English word (e.g., mpab, pmab, bamp, mpba). Tests 2S and 8C will be particularly difficult for individuals with dyslexia who have poorly specified lexical representations. paired-associate learning (PAL). PAL involves learn ing and remembering two stimuli that are artificially associated (e.g., an abstract symbol with a speech sound; Mourgues et al., 2016). Visual–Verbal Paired-Associate Learning A critical early stage in learning to read is the process of mapping phonemes to graphemes. This process of mapping phonemes onto the orthographic pat terns of words leads eventually to automaticity and immediate recognition of a word (Ehri, 2007, 2014, 2020; Kilpatrick, 2015). An individual with dyslexia has difficulty mapping phonemes to graphemes; consequently, automaticity does not develop with ease (Fletcher et al., 2019). This process of pair ing letters with sounds involves what is known as A pilot study was conducted to evaluate the func tionality and psychometric characteristics of the TOD test items, for both the direct tests and the rating scales. In exploring the specificity and nature of PAL, Litt and Nation (2014) found that children with dyslexia exhibited deficits in visual–verbal and verbal–verbal PAL only (not in visual–visual PAL). They attributed these difficulties to an underlying deficit in "phono logical form learning." Hulme et al. (2007) found in a large sample of typically developing children that both phoneme awareness and PAL were independent predictors of variations in reading skill. Similarly, Warmington and Hulme (2012) found that PAL and RAN were unique predictors of word recognition, whereas PAL, RAN, and phoneme awareness were the best predictors of pseudoword reading. They explain that "the learning of mappings between orthography and phonology is critical for learn ing to read and likely operates at numerous levels, including the process of learning letter–sound cor respondences and the learning of mappings at the level of single letters, letter groups, and whole words when acquiring a word recognition system" (p. 47). The TOD-C Symbol to Sound Learning (21C) test was designed to mimic the initial stages of learning the mappings between speech sounds and symbols, a difficult task for many individuals with dyslexia (Aravena et al., 2013). This test can help an examiner determine whether an individual has trouble recall ing sounds with their symbols and then blending these sounds to form words. As with the Aravena study, novel symbols are used in 21C in order to rule out differences in previous exposure. TOD Pilot Study SAMPLE TOD-C Pilot The TOD-C was piloted with a sample of 220 indi viduals in second grade through college. The sample was 20% Hispanic, 2% Asian, 11% Black, 62% White, TOD • W-700M and 6% Other, with 44% male and 56% female exam inees. Thirteen percent of the sample had a clinical diagnosis and/or were in special education, and 12% came from families who did not attend any college. The fact that the sample was more heavily from college-educated families was taken into consider ation when evaluating the pilot data. Statistical bias analysis revealed no systematic differences based on parents' educational attainment (a common proxy for socioeconomic status [SES]). A total of 24 tests were piloted for the TOD-C. Eleven tests were completed in a response booklet that included four different versions based on grade level (2–5, 6–8, 9–12, college/adult) and could be admin istered to a group of students all taking the same form. Thirteen tests were individually administered using a stimulus book. Group-administered tests included the following: * Question Reading Fluency * Letter and Word Choice * Letter–Word Search * Listening Vocabulary * Irregular Word Spelling * Geometric Analogies * Letter Pattern Choice * Regular Word Spelling * Silent Reading Efficiency * Picture Vocabulary * Picture Analogies Individually administered tests included the following: * Letter Memory * Rapid Letter Naming * Blending * Pseudoword Reading * Segmentation * Rapid Pseudoword Reading * Rapid Irregular Word Reading * Irregular Word Reading * Symbol to Sound Learning * Word Memory * Rapid Number and Letter Naming SAMPLE * Substitution Pilot data were analyzed using passing rates by age and examiner feedback. In addition, items from untimed tests were analyzed using the Rasch oneparameter model (Bond & Fox, 2001; Wright & * Deletion TOD • W-700M Stone, 1979). Analyses were conducted using the software program jMetrik (Meyer, 2014). The Rasch model provides a measurement of item difficulty and person ability on a unitary scale. Each item and person in the study receives a Rasch-based numeri cal value, which can be used to determine a person's probability of success on any given item. The Rasch model specifies that the most precise measurement occurs when a person is tested with items whose dif ficulties are closely matched to that person's ability, as expressed on the Rasch numerical scale. There fore, a well-constructed scale must include items with sufficient floors, ceilings, and item gradients, i.e., that span the entire range of abilities in the target population and that spread uniformly enough to provide reasonably precise measurement for all ability levels. The Rasch model also provides information about the goodness-of-fit of each item to the scale, as well as differential item functioning between groups of interest (e.g., gender, race/ethnicity). Items that dis played any evidence of bias or problems with model fit, as determined by the Rasch analysis, were deleted. Final item order was determined using the Rasch estimate of item difficulty and selected for stan dardization and validation in a nationwide study. Based on review of passing rates, examiner feedback, and item-response theory statistics, the following changes were made prior to the standardization study: * Items were changed, added, deleted, and rearranged to ensure better measurement, and some easier items were added to provide a better floor for the TOD-C for first graders. * Some artwork was redone or replaced to improve functionality. * The Letter–Word Search test was eliminated because it did not discriminate well across the age range of the test. * Three tests were identified to function as a groupadministered screener (TOD-S) and also as part of the TOD-C: * Oral Reading Efficiency (a 1-minute timed test) was added to the TOD-C to fill a gap in measur ing oral reading ability. * Picture Vocabulary * Question Reading Fluency * Word Choice (renamed Letter and Word Choice) * Word Reading Fluency, an alternate version of Question Reading Fluency, was created for examinees in first grade with beginning reading ability. * Start and stop rules were developed for individu ally administered tests. * Early Segmenting * Some artwork was redone or replaced to improve functionality. Following these changes, the standardization version of the TOD-C consisted of 23 tests, the first three of which were designated as TOD-S tests. * Beginning Sounds * Word Knowledge Based on review of passing rates, examiner feedback, and item-response theory statistics, the following changes were made prior to the standardization study: * Some easy items were eliminated, and more diffi cult ones were added to better cover the intended skill range. * Sounds and Pseudowords was added as a replacement for Nonsense Word Repetition. * Three tests—Beginning Sounds, Nonsense Word Repetition, and Word Knowledge—were elimi nated because they did not discriminate well. * Prekindergarten (age 4) was dropped because many of the tests did not function well at that age, and the decision was made to standardize the TOD-E tests through second grade to expand the age range of the tests. * The three TOD-C tests designated for use as a screener were added to the TOD-E: * Oral Reading Efficiency (a 1-minute timed test) was added to fill a gap in measuring oral reading ability. * Word Choice (renamed Letter and Word Choice) * Word Reading Fluency, an alternate version of Question Reading Fluency, was created for examinees in kindergarten and first grade with beginning reading ability. TOD-E Pilot The TOD-E was piloted with a sample of 66 indi viduals in prekindergarten through first grade. Thirty-eight percent of the sample were in prekin dergarten, 29% in kindergarten, and 33% in first grade. The sample was 15% Hispanic, 11% Asian, 11% Black, 54% White, and 9% Other, with 50% male and 50% female examinees. Four percent of the sample had a clinical diagnosis and/or were in special education, and 8% came from families who did not attend any college. The fact that the sample was more heavily from college-educated families was taken into consideration when evaluating the pilot data. Statistical bias analysis revealed no systematic differences between lower and higher SES families. A total of eight tests were piloted for the TOD-E. They were all individually administered using a stimulus book. · Letter and Sound Knowledge · Letter and Sight Word Recognition · Rhyming · Picture Vocabulary · Question Reading Fluency SAMPLE * Nonsense Word Repetition * Early Rapid Letter and Number Naming TOD • W-700M Following these changes, the standardization version of the TOD-E consisted of 10 tests, the first three of which were designated as TOD-S tests. Standardization and Validation Studies In addition to the standardization data collection, data from several clinical samples were collected to support the validity of the TOD (each is described separately later in this chapter). For example, individuals with a clinical or learning disability diagnosis were also included in the standardization data collection. To ensure adequate representation of the U.S. school-based population, those with highincidence disabilities (for whom the TOD is likely to be used) were included within the standardization sample, based on age and primary diagnosis, so that the proportions of these individuals in the standard ization sample would approximate their prevalence in the typical school-based population. Individuals with low-incidence disabilities (e.g., moderate ID, autism spectrum disorder) were excluded from the standardization sample and used for validation purposes only. A total of 2,518 examinees ranging in age from 5 to 89 years were included in the TOD standardization and validation samples. Several data sets were collected to support the publi cation of the TOD (each is described separately later in this chapter). One hundred and six data collectors from 39 states administered the TOD to examin ees accessed through schools, neighborhoods, or community organizations. The goal was to collect normative reference samples that were representa tive of the U.S. population in terms of gender, race/ ethnicity, and parental educational level (a wellestablished index of socioeconomic status). Due to oversampling that occurred during data collection, some participants were deleted to better represent the population parameters. The cases that were desampled were not meaningfully different on other demographics than the cases that were retained. Data to support publication of the TOD were collected from 2019 through 2021. The occurrence of the Covid-19 pandemic during this time impacted the latter portion of the data collection. Although in most cases the tests were administered in person under pre-pandemic conditions (i.e., face-to-face), some alternate administration procedures were used dur ing the pandemic. Some cases were administered in person using personal protective equipment (most frequently this included masks worn by both the examiner and examinee). When compared, the differ ent administrations produced no evidence to indicate different clinical interpretations (this equivalency study is described later in the chapter), and thus data collected during the pandemic were included in the standardization sample. Additionally, a small number of cases were administered remotely using digital easels presented through the Presence ® Platform (www.presence.com). This sample included 19 individuals within a restricted age range (6–33 years) and thus was too small for a true equivalency study. Review of raw score mean differences between these individuals and the rest of the sample by age year showed no meaningful differences and therefore these individuals were also included in the standardization sample. Thus, the TOD scores are rep resentative of administration formats found in remote and masked mid-pandemic administration, as well as traditional administration procedures. The stan dardization data set is considered to be robust and appropriate for deriving standard scores and related metrics (e.g., percentiles). Standardization Samples TOD-S Standardization Samples SAMPLE All examinees who were administered the TOD-C or TOD-E were also administered the TOD-S. The TOD-S standardization sample consisted of 2,070 examinees and was broken down into child and adult subsam ples for the development of scores. The TOD-S child sample consisted of all individuals from kindergar ten through 12th grade who took either the TOD-C or the TOD-E. Of the 1,723 individuals in the TOD-S child sample, 337 had a high-incidence clinical diagnosis and/or a reading learning disability. (Most of these individuals had a reading disability; the per centage is consistent with the population.) Table 4.1 details the demographic characteristics of the TOD-S child standardization sample with regard to gender, race/ethnicity, parental education level, and region, along with corresponding percentages from the U.S. Census for comparison (Bernan Press & ProQuest, 2020). Most demographic categories closely match the proportions of the U.S. Census figures, exceeding the guideline that they be within 5% of the popula tion at the time the normative data are collected (Andersson, 2005). Geographic region showed some variance; the South was slightly overrepresented while the Northeast was slightly underrepresented. TOD • W-700M TOD • W-700M Table 4.1. Demographic Characteristics of the Standardization Sample: TOD-S Child Note. N = 1,723. Due to rounding, total percentages may not equal 100.0%. a Bernan Press & ProQuest (2020). Gender, race/ethnicity, and region are based on ages 5–18 years; parents' educational level is based on ages 25–64 years (those most likely to have children ages 5–18 years). b Individuals of Hispanic origin are included in the race/ethnicity category under Hispanic Origin; remaining categories include only individuals of non-Hispanic origin . SAMPLE Tables 4.2 and 4.3 delineate the stratification of the child sample by age year and grade. The sample is most heavily concentrated at the younger ages/ grades, which reflects the need for narrower nor mative age groups when development of skills measured by the TOD is most rapid, as well as the overlap of TOD-C and TOD-E in Grades 1 and 2. The TOD-S adult sample consisted of 347 individu als, 64 of whom had a clinical diagnosis and/or reading disability. This same sample provided the basis for the TOD-C adult scores. Table 4.4 details Table 4.2. Age Breakdown of the Standardization Sample: TOD-S Child Note. N= 1,723. the demographic characteristics of the TOD-S adult standardization sample with regard to gender, race/ ethnicity, education level, and region, along with corresponding percentages from the U.S. Census for comparison (Bernan Press & ProQuest, 2020). This sample reflected a slight overrepresentation of the Midwest and underrepresentation of the Northeast; those lacking a high school diploma were slightly underrepresented. Table 4.5 presents the age groups within the sample, demonstrating good coverage across the age range of the test. Table 4.3. Grade Breakdown of the Standardization Sample: TOD-S Child Note. N = 1,723. SAMPLE TOD • W-700M TOD • W-700M Table 4.4. Demographic Characteristics of the Standardization Sample: TOD-S/TOD-C Adult Note. N = 347. Due to rounding, total percentages may not equal 100.0%. a Bernan Press & ProQuest (2020). Demographic characteristics are based on the general adult population. b Individuals of Hispanic origin are included in the race/ethnicity category under Hispanic Origin; remaining categories include only individuals of non-Hispanic origin. Table 4.5. Age Breakdown of the Standardization Sample: TOD-S/TOD-C Adult SAMPLE Note. N= 347. TOD-C Standardization Samples Participants within the TOD-C sample were divided into two subsamples to support the school age versus adult use of the test. The resulting TOD-C samples consisted of 1,401 individuals in Grades 1 through 12 (referred to as the child sample, 272 of whom had a high-incidence clinical diagnosis and/or reading disability) and 347 individuals of post-high-school age, some of whom were in college (referred to as the adult sample and described in the previous section and Tables 4.4 and 4.5). Table 4.6 presents the demographic characteristics of the TOD-C child sample, along with corresponding percentages from the U.S. Census (Bernan Press & ProQuest, 2020). These closely match the U.S. Census figures, with a few exceptions. For example, within this sample the South was slightly overrepresented and the North east underrepresented. Table 4.6. Demographic Characteristics of the Standardization Sample: TOD-C Child Note. N = 1,401. Due to rounding, total percentages may not equal 100.0%. aBernan Press & ProQuest (2020). Gender, race/ethnicity, and region are based on ages 6–18 years; parents' educational level is based on ages 25–64 years (those most likely to have children ages 6–18 years). bIndividuals of Hispanic origin are included in the race/ethnicity category under Hispanic Origin; remaining categories include only individuals of non-Hispanic origin. TOD • W-700M Tables 4.7 and 4.8 delineate the stratification of the child normative sample by age year and grade in school. The sample is most heavily concentrated in the elementary and middle school years, when skills measured by the TOD develop more rapidly and students are most likely to be identified. Subsamples of both the TOD-C child sample and the TOD-C adult sample completed one or more of the three TOD-C Rating Scales: Self-Rating, Teacher Table 4.7. Age Breakdown of the Standardization Sample: TOD-C Child Note. N= 1,401. Rating, and Parent/Caregiver Rating. Tables 4.9 and 4.10 illustrate the demographic characteristics of the subsamples upon which the Rating Scale T-scores are based. The proportions of gender, race/ethnic ity, parent education, and region resemble those found in the larger TOD-C samples. Two hundred and eighty-one participants were rated by individu als across all three scales: Self, Parent/Caregiver, and Teacher. Table 4.8. Grade Breakdown of the Standardization Sample: TOD-C Child Note. N Age (years) n 6 48 7 81 8 168 9 164 10 132 11 139 12 146 13 121 14 98 15 106 16 82 17 78 18 38 N = 1,401. Grade n 1 81 2 120 3 171 4 146 5 140 6 147 7 131 8 106 9 104 10 91 11 89 12 75 Note. N = 1,401. TOD • W-700M Table 4.9. Demographic Characteristics of the Standardization Sample: TOD-C Child Rating Scale Continued in next column Note. N = 1,215. Parent/Caregiver Rating Scale n = 997; Teacher Rating Scale n = 448; Self-Rating Scale n = 1,066. Due to rounding, total percentages may not equal 100.0%. aIndividuals of Hispanic origin are included in the race/ethnicity category under Hispanic Origin; remaining categories include only individuals of non-Hispanic origin. TOD • W-700M TOD • W-700M Table 4.10. Demographic Characteristics of the Standardization Sample: TOD-C Adult Rating Scale Note. N = 267. Due to rounding, total percentages may not equal 100.0%. SAMPLE aIndividuals of Hispanic origin are included in the race/ethnicity category under Hispanic Origin; remaining categories include only individuals of non-Hispanic origin. TOD-E Standardization Sample The TOD-E sample consisted of 342 individuals in kindergarten through second grade, 70 of whom had a clinical diagnosis (e.g., reading disability). Table 4.11 illustrates the demographic characteristics of this sample, along with corresponding percentages from the U.S. Census (Bernan Press & Pro Quest, 2020). The TOD-E sample closely matched the U.S. Census with the exception of race/ethnicity; Whites were slightly underrepresented. Tables 4.12 and 4.13 delineate the stratification of the normative sample by age year and grade in school and illustrate good representation across the age range of the test. A TOD-E subsample completed one or two of the TOD-E Rating Scales, the Teacher Rating and Par ent/Caregiver Rating. Although a Self-Rating Scale was administered for the TOD-E sample, the results were unreliable, so the scale was dropped. Table 4.14 illustrates the demographic characteristics of the subsample upon which the Rating Scale T-scores are based. The proportions of gender, race/ethnicity, parent education, and region resemble those found in the larger TOD-E sample. Eighty-five participants were rated by both parent and teacher. TOD-E Note. N = 342. Due to rounding, total percentages may not equal 100.0%. aBernan Press & ProQuest (2020). Gender, race/ethnicity, and region are based on ages 5 years–9 years, 3 months; parents' educational level is based on ages 25–64 years (those most likely to have children ages 5 years–9 years, 3 months). bIndividuals of Hispanic origin are included in the race/ethnicity category under Hispanic Origin; remaining categories include only individuals of non-Hispanic origin. TOD • W-700M TOD • W-700M Table 4.12. Age Breakdown of the Standardization Sample: TOD-E Note. N = 342. a8-year normative group extends through age 9 years, 3 months. Table 4.13. Grade Breakdown of the Standardization Sample: TOD-E Note. N = 342. SAMPLE Table 4.14. Demographic Characteristics of the Standardization Sample: TOD-E Rating Scale Note. N = 211. Parent/Caregiver Rating Scale n = 154; Teacher Rating Scale n = 142. Due to rounding, total percentages may not equal 100.0%. aIndividuals of Hispanic origin are included in the race/ethnicity category under Hispanic Origin; remaining categories include only individuals of non-Hispanic origin. b8-year normative group extends through age 9 years, 3 months. Clinical Samples As described earlier in this chapter, clinical cases were collected as part of the standardization data collection, and individuals with high-incidence diagnoses were included in the normative sample. These individuals are also part of the clinical sample, along with individuals who showed other clinical symptoms. To be included in the clinical sample, the examinee required a diagnosis of reading disability or other clinical diagnosis (e.g., autism, ADHD). Participation in special education was not a requirement, although most of the individuals in the clinical samples did receive some form of intervention services. Individuals who were visually impaired or deaf/hard of hearing all had interventions (e.g., special glasses, hearing aids) that allowed them to complete the TOD tests with the standardized administration procedures. the same information for the TOD-S/TOD-C adult clinical sample, illustrating a high level of diversity. Table 4.15. Demographic Characteristics of the Clinical Sample: TOD-S Child Individuals with multiple diagnoses were catego rized by primary diagnosis; however, individuals with both a reading disability and another clinical diagnosis were included in the reading disability group as well as the group with their primary clini cal diagnosis. Within the TOD-C clinical sample, a comparison was made of the Dyslexia Diagnostic Index (DDI) mean of two groups: individuals with only a reading disability diagnosis and those with a comorbid diagnosis. To compare these groups, the effect size was calculated as the difference between the mean standard scores of the two groups, divided by the pooled standard deviation. By this method, an effect size of 0.2 is considered small, 0.5 is con sidered medium, and 0.8 is considered large (Cohen, 1992). The effect size of the difference between the means was small. Thus, the individuals with reading disability have equivalent severity of impairment in variables of interest, regardless of the presence of additional conditions. Validity analyses based on the clinical samples are detailed in Chapter 5. Black/African American 109 White 298 American Indian/Alaska Native 10 Native Hawaiian/Pacific Islander 3 Other/Multiracial 19 Hispanic Origin 144 U.S. geographic region Northeast 99 Midwest 127 South 277 West 128 Age (years) 5 33 6 54 7 62 8 93 9 60 10 69 11 66 12 51 SAMPLE TOD-S Clinical Samples Tables 4.15 and 4.16 show the demographic charac teristics and diagnostic composition of the TOD-S child clinical sample. Because of the inclusion cri teria for these samples, the demographics were not expected to replicate the U.S. Census demographic distribution. However, the samples offer a high level of diversity. Males outnumbered females, as is often the case in clinical samples. Tables 4.17 and 4.18 show TOD • W-700M Note. N = 631. Due to rounding, total percentages may not equal 100.0%. aIndividuals of Hispanic origin are included in the race/ethnicity category under Hispanic Origin; remaining categories include only individuals of non-Hispanic origin. Table 4.15 continued on next page wpspublish.com Table 4.15. Demographic Characteristics of the Clinical Sample: TOD-S Child (continued) Note. N = 631. Due to rounding, total percentages may not equal 100.0%. aIndividuals of Hispanic origin are included in the race/ethnicity category under Hispanic Origin; remaining categories include only individuals of non-Hispanic origin. Table 4.16. Diagnostic Composition of the Clinical Sample: TOD-S Child Note. N = 631. Due to rounding, total percentages may not equal 100.0%. One hundred twenty-seven of the individuals with a reading disability also reported another diagnosis. SAMPLE TOD • W-700M Table 4.17. Demographic Characteristics of the Clinical Sample: TOD-S/TOD-C Adult Note. N = 71. Due to rounding, total percentages may not equal 100.0%. Table 4.18. Diagnostic Composition of the Clinical Sample: TOD-S/TOD-C Adult wpspublish.com Note. N = 71. Due to rounding, total percentages may not equal 100.0%. Six of the individuals with a reading disability also reported another diagnosis. SAMPLE aIndividuals of Hispanic origin are included in the race/ethnicity category under Hispanic Origin; remaining categories include only individuals of non-Hispanic origin. TOD • W-700M TOD-C Clinical Samples Tables 4.19 and 4.20 show the demographic character istics and diagnostic composition of the TOD-C child clinical sample. The demographics show considerable Table 4.19. Demographic Characteristics of the Clinical Sample: TOD-C Child diversity and a higher number of males than females. The TOD-C adult clinical sample is described in the previous section (Tables 4.17 and 4.18), as the TOD-S and TOD-C adult samples are identical. Table 4.19. Demographic Characteristics of the Clinical Sample: TOD-C Child (continued) Note. N = 511. Due to rounding, total percentages may not equal 100.0%. aIndividuals of Hispanic origin are included in the race/ethnicity category under Hispanic Origin; remaining categories include only individuals of non-Hispanic origin. Table 4.20. Diagnostic Composition of the Clinical Sample: TOD-C Child Note. N = 511. Due to rounding, total percentages may not equal 100.0%. One hundred sixteen of the individuals with a reading disability also reported another diagnosis. wpspublish.com SAMPLE Continued in next column Note. N = 511. Due to rounding, total percentages may not equal 100.0%. aIndividuals of Hispanic origin are included in the race/ethnicity category under Hispanic Origin; remaining categories include only individuals of non-Hispanic origin. TOD • W-700M TOD-E Clinical Sample Tables 4.21 and 4.22 show the demographic charac teristics and diagnostic composition of the TOD-E clinical sample. Similar to the TOD-C sample Table 4.21. Demographic Characteristics of the Clinical Sample: TOD-E demographics, the TOD-E demographics show considerable diversity and a higher number of males than females. Table 4.22. Diagnostic Composition of the Clinical Sample: TOD-E wpspublish.com Note. N = 138. Due to rounding, total percentages may not equal 100.0%. Eighteen of the individuals with a reading disability also reported another diagnosis. SAMPLE Note. N = 138. Due to rounding, total percentages may not equal 100.0%. aIndividuals of Hispanic origin are included in the race/ethnicity category under Hispanic Origin; remaining categories include only individuals of non-Hispanic origin. b8-year clinical group extends through age 9 years, 3 months. TOD • W-700M Final Item Selection The Rating Scale scores correlated with the direct test scores at moderate-to-high levels, indicating a strong relationship between behavior ratings and direct assessment of skills. The exception to this pattern was the TOD-E Self-Rating form. The cor relations between this Rating Scale score and the TOD-E results were low, indicating that children's perceptions of their skills differed from their actual performance. Thus, the TOD-E Self-Rating form was dropped from the TOD. Table 3.9 in Chapter 3, how ever, provides examples of questions that examiners can ask young children. In developing the final basal and stop rules for the TOD tests, the goal was to ensure a reliable, accurate, and efficient administration for each test and to have consistent rules across tests, if possible. Lengthier rules (five consecutive correct and five consecutive incorrect responses) were used for most tests during the standardization study to optimize data collection for item analysis by obtaining many item responses from each participant. However, such rules are impractical in a clinical setting, where the aim is to minimize the burden on the examiner and exam inee by collecting only the amount of data required for accurate assessment. The aim was to find a single rule that could be applied across as many TOD tests as possible. Final rules were determined by examining whether implementing a rule of four would make any appre ciable difference in raw scores and standard score transformations. Analyses indicated that decreasing the basal and stop rules from five incorrect items to four had virtually no impact on scores; thus, the rule of four was applied to most TOD tests. Some tests of word reading and phonological awareness retained their standardization basal rules of only one or two items because the earlier items on those tests were of prerequisite skills (e.g., reading letters), rather than simply easier items of the same type. For each untimed TOD test, the standardization study responses were analyzed using the Rasch one-parameter model, as detailed in the TOD Pilot Study section earlier in this chapter. Analyses were conducted using the software program jMetrik (Meyer, 2014). Based on the Rasch analysis, as well as conventional analyses (e.g., review of passing rates), examiner feedback, and raw score ranges for each test, a few items were deleted from many of the tests. This was done to eliminate items that did not fit well with the measurement model or that demonstrated bias, or whose elimination would not compromise precision of measurement. Final item order was determined using the Rasch estimate of item difficulty, such that items progressed from easiest to most difficult without any large measure ment gaps between items. Rasch item difficulty and person ability analysis was used to ensure that each test contained items fully covering the intended age/ grade range with a relatively consistent item gradi ent based on the increase in difficulty from one item to the next. Most timed tests retained all items, with a few exceptions based on examiner feedback. All items selected for final publication demonstrated no systematic bias by gender, race/ethnicity, or socioeco nomic status (SES), based on item analyses and on an in-depth analysis of items by bias experts. Review of standardization data also indicated the need to com bine the TOD-C Substitution and Deletion tests into a single test of Phonological Manipulation; when combined, the tests provided stronger measure ment precision and better floor and ceiling data. In addition, Oral Reading Efficiency was removed from the TOD-E because it was too difficult for many of the examinees in kindergarten and for some in first grade. Final test order was determined by which tests loaded onto index scores and to ensure task type var ied from one test to the next. A later section describes the determination of item sets for the Picture Vocab ulary (1S) and Letter and Word Choice (2S) tests. Establishing Basal and Stop Rules SAMPLE TOD • W-700M Creation of Item Sets and Derivation of Ability Scores for Picture Vocabulary and Letter and Word Choice Two tests, Picture Vocabulary (1S) and Letter and Word Choice (2S), needed to be treated differently than other TOD tests because the method of admin istration did not require the examiner to apply start and stop rules. For this reason, item sets were created for each of the three TOD-S forms (Grades K–1, 2–5, 6–Adult) with the goal that each examinee be presented with some items that were too easy, some that were near their level, and some that were too dif ficult. The determination of item sets was informed by person ability and Rasch item difficulty such that individuals would encounter both easy and difficult items within their grade-appropriate item set. Derivation of Standard Scores TOD-S, TOD-C, and TOD-E Test Scores Age- and grade-stratified norms for the directly administered TOD tests were created using cNORM (Lenhard et al., 2018), a package for the R statistical platform. cNORM has two primary features: 1. It is a continuous, regression-based modeling process, which uses the variance of the entire normative sample to correct for age-specific dis tributional anomalies and sampling error. When a test uses item sets, the raw scores have meaning only within the context of the particular set of items from which they were obtained. Because examinees take different sets of items, their raw scores cannot be converted directly to standard scores. However, Rasch ability is scaled identically across all TOD-S item sets, and thus raw scores can be transformed into Rasch ability scores, which can in turn be converted into standard scores. Rasch ability scores were derived iteratively from the Rasch difficulties of the items using the Newton-Raphson procedure (Wright & Stone, 1979). Appendix Tables A.1 and A.2 provide an ability score for the total raw scores representing failure on all items (raw score of 0) or success on all items in the item set. By definition, a score of 0 and a maximum score contain no variance; consequently, correspond ing person abilities cannot be calculated directly using the Rasch model. The tabled values for these scores are thus extrapolated estimates. The differ ences between the ability scores for the nearest pair of adjacent total raw scores were used to extrapolate tabled values for the total raw scores of 0 and the maximum for each item set. For example, the Picture Vocabulary ability score of 30 on the Grade 6–Adult form is the sum of the ability score for 29 and the difference between the scores for the ability scores of 28 and 29. The ability score for 0 was derived in an analogous manner. 2. It is a distribution-free method, meaning that the modeling process does not directly model age-group distribution parameters (e.g., mean, variance) and makes no assumptions about these parameters. As a result, cNORM can generate useful normative models, even when processing non-normally distributed input samples. cNORM operates by modeling the raw score ( r ) as a function of person location ( l , expressed as a percentile rank or other normative score) and the explanatory variable of age ( a , expressed as a continuous age variable, or a discrete variable such as age-group membership or grade level). Age is "explanatory" in the sense that the latent ability for which r is an indicator increases with age, and that increase is presumably caused by the developmental changes that accompany the passage of time and increasing age. The functional relationship among these variables can be expressed as: E ( r ) = ƒ( l , a SAMPLE TOD • W-700M ) To create the raw-to-standard-score mapping required for clinical applications of the TOD tests, this functional relationship must be operationalized as a multiple regression equation. To determine the optimal regression equation, cNORM employs the mathematical methods of the Taylor series. Strictly speaking, the Taylor series is an infinite polynomial expansion, but for practical purposes, much of the variance in the functional relationship can be estimated with a finite expansion by reducing the polynomial to the degree k, which is 4 by default. The Taylor series is thus simplified to a Taylor polynomial and consequently reduced to a model selection question for the following regression function: The predictors in the regression function include all powers of age and location and their linear com binations up to power k. cNORM selects the most relevant predictors and estimates all constants c to approximate r with the desired precision and as few predictors as possible. Usually, regression functions with five terms or less suffice to explain a large pro portion of the variance in the normative sample (i.e., R 2 ≥ .95). were used in the modeling process). Because the modeled relationship between age, location, and raw score is a continuous function over chronologi cal age, the raw-to-standard-score mapping can be generated at any point along the age continuum, theoretically with any level of precision, even down to a single day. This permits the test developer to impose a stratification scheme on the published rawto-standard-score lookup tables (e.g., at three-month intervals within each age year) that best suits the intended clinical application of the test and reflects the progression of scores in the raw data. The analysis proceeds in steps: 1. The normative sample is partitioned into roughly equal-sized age groups (or, alternatively, is grouped by grade levels). 2. Within these groups, each person is assigned a percentile rank as their value for l. 3. Powers of a and l are computed, up to the value of k (e.g., a 2 , a 3 , … , a k ). Products of these powers are computed (e.g., a 2 l 2 , a 2 l 3 , … , a k l k ). 4. The powers and products are entered as predic tors in a best-subset regression analysis, with r as the outcome variable. 5. The expansion of the Taylor function is deter mined by estimating regression coefficients of the most relevant predictors from the regression analysis. The most parsimonious regression func tion, meeting predefined fit criteria, is selected. 6. The regression equation resulting from the previ ous step is used to determine the normative score (e.g., IQ-type standard score) associated with each possible raw score on the test, either by directly computing the raw scores associated with a nor mative score at a specific age, or by determining the zero-crossings of the inverse function of the regression model to retrieve the normative score corresponding to a specific raw score. Rating Scale Scores Whereas standard scores with a mean of 100 are typically used for direct performance tests, T -scores with a mean of 50 typically are used for rating scales. These two types of scores are mathematically equivalent as they are both based on the normal distribution. The initial step of creating rating scale T -scores involved evaluating mean differences by age and grade. When no significant differences were found, it was determined that a single raw-toT -score lookup table could be used for each rating scale sample. This process involved transforming the raw score distribution to approximate a normal distribu tion. The normalized raw scores were transformed into z -scores, which were then converted to T -scores, which have a mean of 50 and a standard deviation of 10. The use of normalized T -scores means that a given T -score value corresponds to the same percen tile rank for all scales. Derivation of Risk and Diagnostic Indexes SAMPLE cNORM has the additional advantage of allowing the specification of a post hoc age-stratification scheme (i.e., one that is independent of the age groups that TOD • W-700M The TOD direct assessment batteries (TOD-S, TOD-C, and TOD-E) contain operationalizations of key mea sures of reading and spelling, as well as the linguistic processing abilities that underlie and predict them (i.e., phonological awareness, rapid automatized naming, orthographic processing, and auditory working memory), according to the literature (e.g., Bell et al., 2003; Kilpatrick, 2015; Mather & Jaffe, 2021; Mather & Wendling, in press; McCallum et al., 2006; Shaywitz & Shaywitz, 2020). This literature informed creation and development of all the TOD tests, described earlier in this chapter, as well as wpspublish.com the various composites in the reading and spelling, linguistic processing, and vocabulary and reasoning domains. Three separate global index scores defin ing risk and/or diagnostic probability were created, one for each of the three TOD direct assessment bat teries: the Dyslexia Risk Index (DRI) for the TOD-S; the Dyslexia Diagnostic Index (DDI) for the TOD-C; and the Early Dyslexia Diagnostic Index (EDDI) for the TOD-E. The DRI is a robust predictor of risk, and the DDI and EDDI are the best scores to predict a diagnosis of dyslexia. In the process of creating the DDI and EDDI, two additional indexes were derived for each assessment: the Reading and Spelling Index (RSI) and Linguistic Processing Index (LPI) for the TOD-C; and the Early Reading and Spelling Index (ERSI) and Early Linguistic Processing Index (ELPI) for the TOD-E, as described below. Research to Determine Composition of Risk and Diagnostic Indexes TOD-S The TOD-S Dyslexia Risk Index (DRI) was created by averaging the tests assessing letter/word iden tification/spelling (Letter and Word Choice [2S]) and fluency (either Word Reading Fluency [3Sa] or Question Reading Fluency [3Sb], depending on the grade level of the examinee). The skills measured by these two TOD-S tests are considered appropriate as screening tests because they assess key literacy skills. TOD-C and TOD-E Development of the diagnostic indexes for both the TOD-C and TOD-E (DDI and EDDI, respectively) required using a stepwise process employing mul tiple and logistic regression analyses. The ultimate goal of the process was to create global scores that could predict significantly the probability of dys lexia. To accomplish this goal, specific reading, spelling, and linguistic processing tests in each battery were chosen and entered into multiple regression analyses, as indicated below. efficiency for examiners by limiting the number of criterion tests to four, two of which come from the TOD-S and are highly reliable, and to select tests based on theory and research, representing various reading and spelling skills (e.g., phonics, orthog raphy, fluency, timed and untimed, decoding and encoding). Ultimately, the four reading and spelling tests operationalizing the criterion variable that yielded the most powerful equation were Letter and Word Choice (2S); Word Reading Fluency (3Sa) or Question Reading Fluency (3Sb), depending on the age of the examinee; Irregular Word Spelling (5C); and Pseu doword Reading (7C). The four linguistic processing tests identified as the best predictors were Phono logical Manipulation (4C), Rapid Letter Naming (6C), Word Pattern Choice (8C), and Word Memory (9C). The research completed to create the TOD-C Dys lexia Diagnostic Index (DDI) and the TOD-E Early Dyslexia Diagnostic Index (EDDI) led to the develop ment of two additional indexes for each battery. A similar process was followed in the development of the TOD-E EDDI. The TOD-E contains a total of five reading and spelling tests and three linguistic pro cessing tests. Multiple regression analyses conducted by using 1) all three TOD-E early linguistic process ing tests as predictors and 2) the average of the five TOD-E early reading/spelling skills as the criterion produced a strong predictive equation. The three TOD-E linguistic processing tests are Rhyming (5E), Early Rapid Number and Letter Naming (6E), and Early Segmenting (8E). The five reading and spelling tests selected are Letter and Word Choice (2S); Word Reading Fluency (3Sa) or Question Reading Fluency (3Sb), depending on the age of the examinee; Sounds and Pseudowords (4E); Letter and Sight Word Recog nition (7E); and Letter and Sound Knowledge (9E). Reading and Spelling Indexes and Linguistic Processing Indexes SAMPLE The operationalization of the TOD-C DDI began by selecting the reading and spelling tests affected most by dyslexia (e.g., those with the lowest means within the TOD reading disability clinical sample). Then, the average of various combinations of these tests became the criterion variables for a series of mul tiple regression analyses. A subgoal was to maximize TOD • W-700M The tests of reading and spelling that produced the strongest prediction equation as described above were combined into the Reading and Spelling Index (RSI) for the TOD-C and the Early Reading and Spell ing Index (ERSI) for the TOD-E. The tests of linguistic processing shown to produce the strongest prediction of reading and spelling ability were combined into the Linguistic Processing wpspublish.com Index (LPI) for the TOD-C and the Early Linguistic Processing Index (ELPI) for the TOD-E. Creation of Risk, Diagnostic, Reading and Spelling, and Linguistic Processing Index Scores The final step in creating the indexes for the TOD-C and TOD-E required combining the test scores from the research steps described previously. Standard scores for the indexes were calculated by summing the standard scores from the eight tests that make up the most powerful DDI and EDDI regression equations. Then the index scores were created by calculating z-scores, which were transformed into standard scores with a mean of 100 and standard deviation of 15. Chapter 3 provides guidance for interpretation of the indexes. Because age- and grade-related differences were accounted for in the individual test scores, only one lookup table was required to convert the sum of standard scores into the index scores for each reference sample. Once the set of tests used for risk and diagnostic scores was finalized, logistic regression analyses were used to confirm that the indexes successfully pre dicted membership into either a group of examinees previously identified as having a learning disability in basic reading, or a second group from a demo graphically matched sample of examinees from the standardization sample. Derivation of Composite Scores In addition to the dyslexia risk and diagnostic indexes, composite scores were derived for many of the skills measured by the TOD. The compos ites contribute to the broad application of the TOD and its flexibility to answer different referral ques tions. Each composite score was created by adding the standard scores for the tests they comprised, calculating z-scores, and then transforming the z-scores into standard scores with a mean of 100 and standard deviation of 15. As with the index scores, age- and grade-related differences are already accounted for by the test standard scores and, therefore, a single lookup table was created for each reference sample for the conversion of sums of stan dard scores into composite scores. Derivation of Growth Scores SAMPLE In almost all cases, age-based test scores are com bined for age-based composites and grade-based test scores are combined for grade-based composites. However, for the Reading Fluency composite in the TOD-C child sample, the score is obtained by com bining the age-based Word Reading Fluency (WRF; 3Sa) or Question Reading Fluency (QRF; 3Sb) score with the grade-based Oral Reading Efficiency (ORE; 12C) score. Since the ORE provides only grade-based scores for the child age group, its combination with age-based WRF or QRF was evaluated. Comparing the age- and grade-based versions of the test scores revealed that differences were almost all less than the SEM for the tests. This suggests that any error that results from combining these age- and grade-based scores to create the Reading Fluency composite could be considered test error and is not likely to affect clinical interpretation. This approach is fur ther supported by analysis of age- and grade-based composite score differences, which demonstrated only small effect sizes. The TOD tests were divided into two groups for deriving growth scores: timed tests and untimed tests. Because untimed tests are measuring one construct (the skill in question) while timed tests are measuring two constructs (the skill in question plus speed), it was necessary to treat these types of tests differently when analyzing the data. For both types of tests, Winsteps (version 220.127.116.11) was used to generate estimates of item difficulty values and person ability values consistent with Rasch item modeling (Linacre, 2023). For untimed tests, dichotomous data could be input directly into Winsteps; for timed tests, however, items were put into item sets, generally of five consecutive items each. Each item set then received a score that was the sum of the indi vidual item scores, and Winsteps was run for these polytomized data. After this point, all procedures applied identically to timed and untimed tests. An initial Winsteps run was conducted to gener ate item difficulty parameter estimates and person abilities. These person abilities were then used to determine a "centering constant" for future runs, whose purpose was to provide comparability between tests. Based on these results, the growth scores are defined as follows: TOD • W-700M Growth score = 500 + C T + 9.1024 where 500 is added to each score to eliminate negative values, and C T is a centering constant C unique to test T. In the TOD, C T is chosen so that, for a group of examinees centered around age 90 months, their median growth score is 475, and 9.1024 is the scaling constant. Additional Winsteps runs applied the centering constant and generated item difficulty estimates from the standardization sample, and then gener ated a set of person ability estimates for all cases, both standardization and clinical. A final Winsteps run used the established item dif ficulty values along with dummy response data to generate scoring tables. Dummy data were used to ensure that the full possible range of raw scores was represented in the table. Additionally, the dummy data file allowed for different combinations of items to generate scoring tables based on different grade starting points (e.g., for Picture Vocabulary [1S]). Growth scores were derived for all TOD tests except for Oral Reading Efficiency (12C). In the case of Pho nological Manipulation (4C), separate growth score tables were derived for each subtest, Substitution and Deletion. Derivation of Age and Grade Equivalent Scores An age equivalent represents the age, in years and months, at which a particular raw score is the aver age score. A grade equivalent represents the grade placement, in grade and term, at which a particu lar raw score is the average score. The age-based norms for each test were used to develop the age equivalents, and the grade-based norms were used to develop the grade equivalents. These scores were developed by determining the raw score that cor responded to a standard score of 100 for each of the age and grade groups, then linking it to the midpoint for that age or grade group and interpolating miss ing scores when needed. the child and adult samples were analyzed together. All equivalency studies were conducted by comparing the group of interest with another group of individu als from the standardization sample matched based on age, clinical status, gender, parent education, and race/ethnicity. English Language Status The TOD requires proficiency in English, and thus it was important to determine the extent to which the scores of monolingual English speakers and nonnative, bilingual, or multilingual English speakers might differ on TOD tests. As previously mentioned, the Covid-19 pandemic occurred while TOD data collection was in progress, and thus some cases were collected with the use of personal protective equipment (PPE), primarily masks. Because wearing masks has the potential to impact both expressive and receptive language, and because the situation of the pandemic could impact testing behavior, it was important to compare the group of individuals assessed during the pandemic with a group matched on demographic variables who were tested pre-pandemic. Across all samples (TOD-S n = 149; TOD-C n = 120; TOD-E n = 29), mean difference effect sizes ranged from 0.03 to 0.57, with a median of 0.24. Almost all wpspublish.com Across all three samples (TOD-S n = 211; TOD-C n = 184; TOD-E n = 31), when non-native English speakers, bilingual, or multilingual individuals were compared with a matched group, effect sizes ranged from 0.01 to 0.37, with a median of 0.18. As noted previously, effect sizes of 0.2 are considered small, 0.5 are considered medium, and 0.8 are considered large (Cohen, 1992). Across all 34 tests, mean differ ences were nonsystematic. That is, on some tests the monolingual English group scored higher, and on other tests, the non-native/bilingual/multilingual group scored higher. These results indicate that the scores of non-native, bilingual, or multilingual English speakers are sufficiently equivalent to those of matched controls. Thus, it is valid to use the TOD with non-native, bilingual, or multilingual English speakers, as well as to include them in the standard ization sample. Personal Protective Equipment During Covid-19 Pandemic SAMPLE Equivalency Studies Several equivalency studies were conducted to ensure that the TOD is appropriate for use under different circumstances and by different groups of individuals. To maximize the power of the analyses, TOD • W-700M effect sizes were small; however, in the few cases where moderate effect sizes were observed, there were no systematic differences between groups in terms of which group had a higher mean, nor was there any type of test most likely to evidence higher differences. This suggests that differences were likely due to other idiosyncratic reasons, and therefore it was valid to administer the TOD using masks during the pandemic. Thus, the data collected with masks during the pandemic are considered valid. TOD-S Digital Administration The TOD-S was standardized using a print (paper and pencil) administration; however, a sample of 368 individuals took the TOD-S digitally on a computer as well. This sample ranged in age from 5 to 77 years TOD • W-700M and was 43% male and 57% female. Twenty-five percent of the individuals came from families who did not attend any college. The sample was 16% Hispanic, 6% Asian, 22% Black, 47% White, and 9% Other. The study was counterbalanced so that half of the participants were administered the TOD-S on paper first and half on a computer first. The two versions were administered one immediately after the other. Effect size results from mean-difference comparisons for the four TOD-S tests ranged from 0.00 to 0.06, all small. These results support the use of norms from the print-based administration for the digitally administered TOD-S and confirm that the TOD-S can be validly administered digitally as well.
research-article 562001 research-article2014 JABXXX10.1177/0021886314562001The Journal of Applied Behavioral ScienceBushe and Paranjpey The Journal of Applied Behavioral Science Comparing the Generativity of Problem Solving and Appreciative Inquiry: A Field Experiment 1–27 © The Author(s) 2014 Reprints and permissions: sagepub.com/journalsPermissions.nav DOI: 10.1177/0021886314562001 jabs.sagepub.com Gervase R. Bushe 1 and Neelima Paranjpey 2 Abstract Appreciative inquiry (AI) theorists claim AI is a more generative form of inquiry than problem solving; this study uses a classical field experiment to test that claim. We test three different processes for producing generative ideas defined as new ideas that motivate new actions. Why AI may be better at producing such ideas is explored and a method for amplifying those qualities (synergenesis) is described. Hypotheses are tested by assessing ideas produced from groups of employees at an urban transit organization. Synergenesis-based groups scored significantly higher than either of the other groups on ratings of generative ideas. Examination of participant's pre- and post semantic maps show predictable differences in the effects of problem solving and appreciative approaches on engagement of employees in the ideation phase of a change process, consistent with AI claims. Implications for practitioners and suggestions for future research are discussed. Keywords appreciative inquiry, generativity, brainstorming, field experiment Appreciative inquiry (AI) was initially conceptualized and offered as a method for producing what Gergen (1978) called "generative theory" (Cooperrider, 2013). The seminal article on AI (Cooperrider & Srivastva, 1987) contended that there was a need 1Simon Fraser University, Vancouver, British Columbia, Canada 2Benedictine University, Lisle, IL, USA Corresponding Author: Gervase Bushe, Beedie School of Business, Simon Fraser University, 500 Granville St., Vancouver, British Columbia, Canada V6C 1W6. Email: firstname.lastname@example.org to view action science in light of the theory by which it is supported. They critiqued the positivist assumptions and stance underlying much organization development and organization research and proposed, instead, that action research be focused on its "generative capacity." This recommendation rested on Gergen's (1978) proposal to shift social research away from a scientific search for prediction and control and, instead, focus it toward "the capacity to challenge the guiding assumptions, to raise fundamental questions, to foster reconsideration of that which is taken for granted, and thereby to generate fresh alternatives for social action" (p. 1344). In this study, we extrapolate from Gergen to define generative ideas as new ideas which are compelling and thereby increase the options for change and the probability that change will occur. A generative process, therefore, is one that results in generative ideas. While the impact of AI in the past 25 years has been immense, very little empirical research exists explicating how one increases the generativity of any organizational change effort, nor has there been much research to study any of the claims made about it. This study is an initial effort to address both those questions. In this study, we use a naturally occurring field experiment to test the claim that AI is a more generative process than problem solving, and we explore the processes that make AI generative. In this article, we begin by describing how the idea of generativity has emerged in the organization development literature. We review the rather sparse literature on stimulating generativity in organizations and describe a method, synergenesis, first proposed by Bushe (1995) for increasing the generativity of the Discovery phase of AI. We then describe an experiment conducted in a metropolitan transit authority that engaged employees in designing an employee recognition system and the methodology we used to test the generativity of three different approaches to engaging employees in the ideation stage of organizational change. Generativity in Organization Development After Cooperrider & Srivastva's (1987) initial article on AI, the notion of generativity receded behind the attention given to the focus on "the positive" in AI (e.g., Barge & Oliver, 2003; Cooperrider & Sekerka, 2006; Fineman, 2006; Fitzgerald, Oliver, & Hoxsey, 2010). Recently however, the importance of generativity to the transformational change potential of AI has regained attention (Bright, Powley, Fry, & Barrett, 2013; Bushe, 2010; Bushe & Kassam, 2005; van den Nieuwenhof, 2013; Zandee, 2013), exemplified in the most recent World Conference on Appreciative Inquiry in 2012 being titled "Scaling up the Generative Power of AI." Generativity is ascending as an important meme in organization studies. A simple scan of journal articles where the words "generative" or "generativity" appeared using Business Source Complete found only 38 articles in 2003 but 519 articles in 2013. Recently, Bushe and Marshak (2014, 2015) have argued that generativity is one of three transformational processes underlying any successful Dialogic OD effort. Yet in organization development the words generative and generativity often get used without much definition. Generative is an adjective and, according to the Merriam-Webster Dictionary means having the power or function of generating, originating, producing, or reproducing. Sometimes it is used to describe a process of interaction that produces something more than the process itself. For example, Isaacs (1999) writes about generative dialogue, and Marshak (2004) of generative conversations. In these instances, generative is used to indicate that the interaction produces a salutary outcome of some kind. Other times, the term is used to describe the property of something that, in turn, produces an effect on social interactions. For example, in Schön's (1979) work on "generative metaphor," he proposed that all decision-making processes are powerfully influenced by the underlying metaphors decision makers relied on to think about complex issues. He argued that all social policy discourses rested on metaphors that focused perceptions and influenced narratives in specific ways. Thus, they were generative, though not necessarily salutary, and he advised policy makers to become aware of the metaphors at work in the narratives guiding their decisions. Gergen's (1978, 1982) "generative theory" was of a similar nature, used to depict a kind of theory that, in turn, affects the social construction of reality. Application of the idea of generativity to organization development was first presented in a series of publications by Frank Barrett, David Cooperrider, and Suresh Srivastva. Cooperrider and Srivastva's (1987) first article on AI built from Gergen (1978) to support their argument that the main barrier limiting organization development had been its romance with action at the expense of theory. This separation of theory and action, they argued, was supported by an underlying generative metaphor of "organizations as problems to be solved" and the consequent view of OD as primarily a process of problem solving. To them, too many in the discipline had underestimated the power of new ideas for changing social systems. Theories "may be among the most powerful resources human beings have for contributing to change and development in the groups and organizations in which they live . . ." (Cooperrider & Srivastva, 1987, p. 132). To the extent that action is based on ideas, beliefs, meanings, and intentions, organizations can be transformed by changing idea systems or preferred ways of talking. How do we inquire in a way that is more likely to create new, generative images, ideas and theories? AI was initially conceptualized and offered as a method for producing generative theories. Almost no empirical research exists examining this claim. A key premise they offered was that theories are generative when they expand the realm of the possible and point toward an appealing future. In so arguing, they moved beyond Schön's and Gergen's use of the notion, and proposed that generativity has to do with our shared and desired futures and our ways of making these futures possible. In its simplest terms, these are new ideas that are compelling to people—they offer a new way of thinking and acting, and people want to act on them (Bushe, 2013b). After reviewing a number of theorists and research studies they made the point that a method of inquiry that would generate such ideas would have to proceed from an affirmative stance. This "focus on the positive" captivated practitioners and academics alike, and AI has mainly come to be associated with it in both supportive and critical descriptions. The idea of generative capacity is hardly mentioned at all. In this dominant narrative, the transformational effects of AI are attributed to its focus on the positive attributes of social systems (Cooperrider, 1990; George & McLean, 2002; Ludema, Whitney, Mohr, & Griffin, 2003) its ability to engender "positive emotions" (Cooperrider & Sekerka, 2006; Fry & Barrett, 2002) and its refocusing of managerial attention away from problems to strengths and capabilities (Watkins, Mohr, & Kelly, 2011; Whitney & Trosten-Bloom, 2010). One exception to this has been empirical research by Bushe and his colleagues. An early article described how AI in teams could lead to the emergence of a generative image that helped the group get unstuck from whatever was causing it problems (Bushe, 1998). A meta-analysis of 20 published cases of AI found that in all seven cases that showed transformational changes, new ideas and a generative metaphor had emerged while in the 13 incremental change cases none seemed to produce new ideas and only one described the emergence of a generative metaphor (Bushe & Kassam, 2005). A later study of eight appreciative inquiries in a metropolitan school district (Bushe, 2010) comparing four sites that experienced transformational change with four that did not found that new ideas which captured people's energy and enthusiasm and led to changes emerged in the transformational sites while none did in the other four. That study also found that all the transformational sites used AI to address problems that were widely seen as important problems, while that was not true in the nontransformational sites. This led Bushe (2013b) to argue that people would not put in the effort required for transformational change unless they addressed real, pressing problems, but that AI addressed problems through generative ideas, not problem solving. Survey measures in that (2010) study showed participants at all sites had high levels of positive feelings and positive anticipations about the future after their AI summits, suggesting that positivity may not be the core of AI's transformational potential (Bushe, 2103b) and that more attention needs to be placed on understanding the nature and sources of generativity. While all this support's Bushe and Marshak's (2014, 2015) argument that the capacity of any Dialogic OD process to produce new ideas that people find compelling and want to act on, is of central importance to the success of that change effort, it does very little to explain where new ideas come from nor does it test whether AI is a better way of enhancing creativity and producing ideas than more conventional problem-solving approaches to change. A key conceptual scaffolding for AI has been research showing the beneficial effects of positive images and positive affect on creativity and performance. Cooperrider (1990) proposed the "heliotropic hypothesis" to explain the power of positive images to influence performance in individuals and groups. Recently, Bright and Cameron (2009) have argued that research on positive organizational climates, positive energy networks and high-quality relationships substantiate the proposition that heliotropism exists in social organizations. They also point out that since "bad is stronger than good" (Baumeister, Bratslavsky, Finkenauer, & Vohs, 2001) an emphasis on the positive must be sufficiently pervasive and strong enough to overcome the natural tendency of people and organizations to be more effected by negative events, situations and interactions than positive ones, which is consistent with studies showing effects from ratios of more positive than negative statements on creativity in groups (Fredrickson & Losada, 2005). More attention in the AI literature, however, has been placed on the role of positive emotions, than positive images or ideas, for increasing creativity in groups (Cooperrider & Sekerka, 2006; Cooperrider & Whitney, 2001). Studies that show positive feelings lead people to be more flexible, creative, integrative, open to information and efficient in their thinking (e.g., Amabile, Barsade, Mueller, & Staw, 2005; Isen, Daubman, & Nowicki, 1987; Isen, Johnson, Mertz, & Robinson, 1985) are often cited, along with Fredrickson's (2001, 2006) research showing that people experiencing positive affect are more resilient and able to cope with occasional adversity, have an increased preference for variety, and accept a broader array of behavioral options. Closely aligned is Ludema's articulation of the nature and importance of hope for encouraging creative engagement in organizations (Ludema, Wilmot, & Srivastva, 1997) and the way in which AI can provide hope (Ludema, 2000). As George (2007) points out, however, recent research is providing a much more nuanced understanding of how internal states interact with context to produce new ideas. Under positive affect people are less likely to see a need for novelty and creativity while negative affective states lead people to be more likely to identify situations requiring creative solutions and to focus more carefully on the facts on hand than rely on preexisting ways of thinking about things (Kaufmann, 2003; Martin & Stoner, 1996; Schwarz, 2002). Negative mood states have been shown to lead to more creativity when people expect to get recognition and rewards for creativity and clarity of feelings are high (George & Zhou, 2001). It may well be that, positive and negative emotions, and probably any internal state, can contribute to producing new ideas depending on context and how people make meaning of the situation they are in. Problem Solving Versus Appreciative Inquiry as Generative Processes Since Osborn (1953) laid down the rules of brainstorming, the technique has become an ubiquitous feature of the ideation or divergent phase of group problem solving. Hundreds of studies have examined the claims made by Osborn for the superiority of free-wheeling groups, where criticism is suppressed, and quantity of ideas is sought, for producing new ideas. A lot of this research is not that relevant to issues of generativity because until a few years ago brainstorming research focused almost exclusively on idea quantity. Recent studies, however have begun to study the impact of brainstorming on idea quality (Stroebe, Nijstad, & Rietzschel, 2010). As Girotra, Terwiesch, and Ulrich (2010) point out, in organizations the success of idea generation usually depends on the quality of the best idea generated and that in most situations, 99 bad ideas and 1 outstanding idea is preferable to 100 merely good ideas. Certainly this is true in the case of generative organizational change processes since it is the capacity of an idea to generate new meaning and action that makes it generative. Most brainstorming research, however, has operated on the assumption that the more ideas generated, the more likely a creative idea will emerge. A key, consistent finding, is that when you aggregate the output of individuals working alone (nominal groups), they produce more ideas than a group working together (cf. Diehl & Stroebe, 1987, 1991). Yet, despite dozens of critical studies, group brainstorming remains a popular idea generation technique (Coskun, 2005; Girotra et al., 2010; Rietzschel, Nijstad, & Stroebe, 2007) and some studies suggest that contextual and motivational influences may result in teams being more creative than individuals in organizational settings (Singh & Fleming, 2010; Sutton & Hargadon, 1996; Taylor & Greve, 2006). Many of the explanations for the poorer results of groups over individuals in experimental studies involve impairments to cognitive processes like production blocking (Diehl & Stroebe,1987, 1991—the problems that arise from turn taking and having to manage social interaction at the same time as one is thinking), problems with group interaction getting in the way of information retrieval (Hinsz, Tindale, & Vollrath, 1997), and problems from fixating on what previous people have said (Kohn & Smith, 2010; Smith, 2003). While research on the impact of emotion on group brainstorming is virtually nonexistent, the most robust explanation for poorer results in groups than individuals working alone is evaluation apprehension (Camacho & Paulus, 1995; Diehl & Stroebe, 1987), the concern that one's ideas will be negatively judged by others. One of the few studies of brainstorming in organizations (Rickards, 1975), found that organization members refrained from freely speculating in brainstorming sessions, presumably due to evaluation apprehension. There is no reason to suspect that brainstorming, of itself, creates evaluation apprehension. Indeed, the ground rule of no criticism is intended to ensure that does not happen. But it seems our brains are so wired for social comparison and status threats (Boksem, Kostermans, & De Cremer, 2011; Zink et al., 2008) that any kind of unstructured group interaction can create it. We argue that evaluation apprehension is likely to produce negative emotional states and that AI may be a more generative process that produces more generative ideas (ideas that are new and compelling) by both reducing evaluation apprehension and increasing positive affect, which, as noted earlier, has been associated with increased cognitive flexibility and creativity. Amelioration of evaluation apprehension is one of three reasons to suspect that the initial "Discovery phase" of AI creates contexts that make it more likely to result in more generative ideas than problem solving. Recall that in the Discovery phase of AI, participants listen to each other's stories of peak experiences related to the focus of the inquiry and then discuss what they have learned from listening to the stories. Numerous writings provide anecdotal evidence that this process increases positive affect and personal bonds, increasing trust and a sense of community (e.g., Khalsa, 2002; Ludema, Cooperrider, & Barrett, 2001; Whitney & Trosten-Bloom, 2010). Bushe's (2010) study of eight appreciative inquiries found that positive affect was so high in all cases the lack of variance failed to explain why some sites had transformational changes while others did not. Thus, AI appears to create social conditions more conducive to group creativity. The possibility-centric focus of AI is a second reason to suspect it is more likely to create more relaxed, cognitive conditions conducive to creativity. Cooperrider and Barrett (2002) describe a training program in which some managers were instructed to analyze the organization and report on the issues it needed to address, while others were instructed to do an AI and report on the successes it was achieving. Apparently the impact on the managers in each group was so stark, with those in the former group appearing depressed, deflated and demoralized, while the latter group appeared excited, energized and inspired, it convinced senior managers to try an AI throughout their organization. We propose that focusing on desired futures, rather than analyzing current problems, sets the stage for more generative ideas to emerge. During the Discovery phase of AI, participants trade concrete stories that they then explore to uncover ideas related to the focal concern. For example, if an inquiry is about increasing customer satisfaction, stories of exemplary customer service might be examined to identify the sources of customer satisfaction. We contend that situating inquiry first in concrete experience makes it more likely that people will have new ideas. This is a third reason to suspect that AI will lead to more compelling new ideas, than problem solving. As long as discussions are based on the current mental models of individuals, it's unlikely that they will have a new idea. Focusing on lived experience, and being questioned about it by others, increases the possibility for things not currently in one's mental model to be revealed. Hypothesis 1: The Discovery phase of AI will be more generative, producing more ideas that are new and compelling, than brainstorming in a problem-solving process. Increasing Generativity With Synergenesis If it is true that transformational change hinges on the generativity of a change process, and one advantage of AI over problem solving is that it is more generative in producing new ideas that people want to act on, then it is useful to ask what might support or increase the generativity of AI itself. Synergenesis, a technique developed by Bushe (1995, 2007), claims to increase the generativity of the Discovery phase of AI. It requires participants to not only describe and listen to each other's peak experience stories but also to write up another person's story, written in the first person. These written stories are then used to prime a group brainstorming session about the focal topic as follows. A small group meets and is presented with a specific question to answer based on the focal concern driving the change process. All members read one story together and discuss ideas the story evoked in them for answering the question. They are encouraged to not simply analyze the story but to vocalize any idea that comes to mind during the conversation. All ideas are boarded and once the energy runs out, the group reads another story and continues on until further stories produce no new ideas. There are a number of reasons to suspect that such a procedure will produce even more novel and compelling ideas than the traditional AI. First, the AI Discovery process can be run more as an attempt to identify preexisting strengths and the "positive change core" of the system, than to surface new and compelling ideas. Ideation may be held off for the later phases of Dream or Design. Bushe's (2010) study found, however, that the genesis of many of the generative ideas in the transformational sites could be traced back to the Discovery phase. It may be that procedures that encourage participants to be alert to new and compelling ideas during Discovery will produce more generative appreciative inquiries. Second, it is likely that the synergenesis procedure ensures participants hear/read more of the stories generated during the Discovery phase. In classical AI, participants are often paired to do interviews and then meet in small groups to share the stories that emerged. The only stories they are sure to hear are those from the members of those small groups, and there is no control over the extent to which any of those stories are actually attended to. In synergenesis, however, participants consider a large number of stories, each in turn, continuing to read and discuss stories until doing so no longer produces any new ideas. In addition, these stories have been preselected from all those produced during the Discovery phase because of their novel or provocative potential. As a result, more new and compelling ideas are likely to be produced. Third, requiring people to write up another person's story forces them to pay closer attention to the story and to think about the important lessons in the story for addressing the focal concern. This step ensures that people are taken out of their own stories and are considering the focal issue from new angles, which may increase subsequent creativity. There is also evidence from the brainstorming research to support the assertion that a procedure like synergenesis will be more generative. While interacting in groups can reduce idea quantity due to production blocking, there is evidence that sharing ideas can be stimulating to the creative quality of ideas produced (Dugosh, Paulus, Roland, & Yang, 2000; Nijstad, Stroebe, & Lodewijkx, 2002; Stroebe et al., 2010). Furthermore, the impact of shared ideas is enhanced when individuals are motivated to attend to those ideas (Kohn, Paulus, & Choi, 2011; Paulus & Yang, 2000), which we argue will occur as a result of having to write up another person's story, and reading those stories together, in a group. Hypothesis 2: Synergenesis will be more generative, producing more new and compelling ideas, than conventional AI or problem solving. Methodology Seventy-six employees of a Midwest urban transit organization of 10,000 employees who volunteered to participate were assigned to one of six meetings where they were tasked with producing ideas for an employee recognition program. In each meeting one of the three ideation processes being studied was used. This activity was part of an effort from the human resources department to improve employee recognition among a largely unionized, long-tenured workforce. An Employee Recognition Advisory committee guided the inquiry. They spread the word about the initiative and encouraged employees to participate by joining in a group discussion. An email was sent to the employees who were willing to participate. Managers were notified about their employees' involvement and were provided information about the intent of the process and the duration of participation. Participants were categorized into operations, nonoperations, exempt employees, and nonexempt employees, as these were considered important demographic differences in this organization, and members from each category were assigned in roughly equal numbers to each of the six meetings, each tasked with coming up with ideas to improve employee recognition. In each case the session was led by the second author. All meetings took place within a 2-month period. There were two meetings for each experimental condition, that is, two sessions used problem solving, two did a conventional AI Discovery process, and the other two did synergenesis. To ensure experimental effects could not be simply attributed to cognitive stimulation from conducting interviews prior to group ideation, each condition began with people interviewing each other in pairs (sometimes, because of numbers, a trio was formed) even though that is probably unusual in problem-solving situations. In each condition, participants were given interview scripts they were asked to follow. Each session lasted between 2 and 3 hours. We describe each in turn, and the procedures for each are summarized in Table 1. Problem Solving Participants were asked to form pairs and interview each other on their thoughts about employee recognition programs. The first question in this script was, "Why do employee recognition programs fail?" with the follow-up probes "What are some problems that we need to overcome at (organization) to recognize employees?" and "What solutions can you think of for having a long-term recognition program?" Further questions asked how they would like to be recognized, how to improve communication in the organization and how they thought absenteeism could be reduced. After the interviews participants formed into groups of 5 to 7 to brainstorm answers to the questions, "What are the next steps in order to start a recognition program at the organization? How can the recognition program be useful for all employees, from management, nonmanagement, union, nonunion, all locations?" The ideas generated were collected for later analysis. Classical AI There are many ways one can shape the Discovery phase of an AI. We suggest that managers and facilitators often look for ways to condense the 4 D process into only 1 or 2 days. A Discovery process that lasts from 2 to 3 hours is probably very common, and we adopt it here with the label "Three Hour Discovery" to acknowledge that Discovery can be designed to last for a much longer time and include more generative activities than our Design. Again, participants were asked to pair up and interview each other, this time using an AI style interview guide. The first question was, "Will you please think back on your career/work history and tell me about a time when you received recognition, appreciation or acknowledgement for your work; the time where because of that recognition, you felt a great sense of satisfaction?" Further questions asked for their best experiences of communication in the organization, what most inspired Table 1.Summary of the Three Experimental Conditions. them to come to work every day, and to imagine a future in which they felt recognized and appreciated by the organization and what that would look like. Participants were encouraged to be genuinely curious about their partner's experiences and not provide opinions about their stories. If necessary, they could probe for more details regarding the story. Once the interviews were over each pair met with two other pairs to form a group of 5 to 7 and given the following instructions: As a group, talk about what the stories tell you about an organization of Employee Recognition at its best. Find the patterns and themes lying within those stories, and in particular what were the circumstances (situations, people, processes, etc.) that enabled those experiences. Look for the root causes of success that made them possible. It may take some time before the themes and patterns become clear to you as a group so do not feel pressured to come up with instant answers. Now as a group, brainstorm all of the "root causes of success" you found in the stories and write them on a flip chart. Once again ideas were collected for later analysis. Synergenesis Once again participants were asked to pair and up for interviews, and they were given the same interview guide as the AI condition. After the interviews were over, participants were asked to identify the story that most inspired them and to write it up. They were asked to write it as a story (not a chronological recounting of what was said in the interview, but as a story written in the first person with a beginning, middle, and end). Once the story was written, it was given back to the interviewee to amend as needed and they were given a break. During the break the author and two members of the Employee Recognition Advisory committee selected the best stories for the synergenesis sessions. Best stories were those that included stimulating and inspiring insights and experiences. Once again, pairs were asked to meet with other pairs, forming groups of 5 to 7. They were asked to follow the synergenesis process of reading a story, brainstorming ideas, and then reading another story until no more new ideas were being produced. The question to focus the synergenesis was, "What types of recognition make people feel valued and appreciated, inspiring them to come to work every day and do their best?" Ideas were collected for later analysis. Generativity Measures The generativity of each process was assessed in two ways. One was to assess how generative each idea was. Using a 5-point Likert-type scale, expert raters (described below) rated every idea produced by every group on three questions designed to assess how new and compelling each idea was. One question simply asked (1) Novel: "Is this idea novel/ new which has not been done before in this organization?" The other two questions were designed to assess how compelling the idea was by asking about the extent to which it evoked their interest and they thought it could be implemented: (2) Interesting: Does this idea evoke interest and compel you to implement it? (3) Practical: Can this idea be implemented practically in this organization? All ideas generated were assembled into a random order and rated by an expert panel who were blind to the experiment. Raters were chosen from varied departments: law, finance, human resources, operations, and technology to obtain a good representation from all areas of the organization. All had more than 5 years of experience with the organization (some considerably more), they had the requisite organizational knowledge required for rating the comments, and they had some background/experience with past employee recognition initiatives. The five raters independently rated all the ideas. Ratings were combined into one score for each idea on each of the three criteria. Analysis of variance was used to test hypothesized differences between the three conditions in the generativity of ideas produced. A second measure of the generativity of the process examined the effect each condition had on the mental models of participants before and after their participation in the group discussions. Though this was not directly related to testing our hypotheses, we hoped it would provide greater insight into the effects of each condition. A more generative process should lead to more change in participant mental models, evoking new ideas for action and more interest in taking action. To study this, all participants were asked to anonymously write down their answers to the same two open-ended questions immediately before and immediately after their participation in the ideation sessions: "What are your thoughts on having an Employee Recognition Program in the organization? What should it include?" The responses were analyzed to understand whether there were changes in mental maps, whether there were patterns in these changes, and whether individuals from any particular group were more favorable toward having an Employee Recognition Program after the group discussions. To understand the sentiment and the meaning of words, open coding was conducted. In the open coding phase, the text was examined for salient categories of information using Wolcott's (1994) coding approach, with every sentence coded. The Wordnet dictionary was used to define codes for hope, positive comments, and negative comments, with similar ideas grouped together as one comment. A comment that alluded to specific suggestions or an action was categorized as action step. For example, "The employee recognition program should include announcements of milestones and achievements on a monthly basis" Other thoughts and ideas that did not fall into any of these four categories were classified as "other." In a very few cases, the same ideas were coded under more than one category. For example, the comment "I am excited and hopeful the company will follow through" was coded as both a positive sentiment and a hopeful one. All comments were analyzed by using Automap and ORA to produce semantic maps of participants in the three conditions, pre– and post–group discussion. Results Sample Data on demographic variables that might affect participants' ideas about employee recognition were collected from the sample and examined to insure the three conditions were composed of equivalent types of employees. Table 2 shows the number of Table 2.Sample Characteristics. Note. SYN = synergenesis; AI = appreciative inquiry; PS = problem solving. participants in each condition, their years of service, management or nonmanagement, exempt or nonexempt, and whether located in the field or at the general office. An ANOVA across each variable in the sample found no significant differences in the three conditions. Generative Ideas The interrater reliability among the raters, overall, was computed using the intraclass correlation coefficient, which is a measure of agreement among two or more raters. The intraclass correlation of 0.80 obtained in this sample is considered to be a high to almost perfect agreement (Altman, 1991). The average ratings of ideas on each of the three criteria were used for further analysis. The ratings of all ideas generated in each condition were combined and averaged, producing one score for each measure of generativity for each of the three approaches to generating ideas. Table 3 shows the means and standard deviations of average ratings on innovative, interesting, and practical for each condition. The number of ideas generated in each condition were almost similar, n = 51, n = 56, n = 50 for Synergenesis, Classical AI, and Problem Solving, respectively. One-way ANOVA was used to test for significant differences in the scores across experimental conditions. AI was expected to score higher than problem solving, and synergenesis higher than AI. All means in all cells were in the expected direction. No significant differences, however, were found for ratings of novelty, F(2, 154) = 1.72, p = .182. Table 3.ANOVA of Mean Rater Scores on Three Subscales of Generative Ideas. Note. SYN = synergenesis; AI = appreciative inquiry; PS = problem solving. Means that share the same subscript are significantly different from each other. p < .05. *p < .01. The results were significant for the two measures of compelling: interesting: F(2, 154) = 7.592, p = .01; and practical: F(2, 154) = 10.074, p = .00. As shown in Table 3, ideas from groups using synergenesis were rated as significantly more interesting and practical than both the other conditions. No other statistically significant differences were found. Impact on Mental Maps The semantic maps created by coding the written responses to the open ended questions "What are your thoughts on having an Employee Recognition Program in the organization? What should it include?" are shown in Figures 1 to 6. They show that the number of positive, hopeful, negative, and action step ideas were almost similar in all three conditions in the pretest. Table 4.Number of Ideas in Each Category, in Each Condition, Pre– and Post–Group Discussion. Note. SYN = synergenesis; AI = appreciative inquiry; PS = problem solving. The posttest show a narrowing, or convergence, with less ideas in every category in almost all cases. Most striking, however, is the steep drop in ideas after the problemsolving discussions. Table 4 shows the number of ideas in each of the categories by condition, pre and post. While those in the synergenesis and AI conditions provided 25% and 37% less ideas post–group discussion, those in the problem-solving condition provided 65% less. Members of problem solving groups only provided two ideas that fell into the action steps category and less than half the positive comments of people in the other two conditions. Accounting for the differences in number of people providing written responses, the average number of ideas in the minds of participants in the problem-solving condition dropped from 2.42 to 1.14 per participant. The drops in the other two conditions were far less (from 2 to 1.69 in synergenesis, and from 2.47 to 1.65 in AI), and the average number of ideas for these two conditions, postdiscussion, were roughly similar. Discussion The data provide limited support for Hypothesis 1. While all the averages in Table 3 are in the expected directions, the average rating of ideas from the AI group are not statistically different from those coming from the problem-solving group. This may be a result of the small sample size. Support for hypothesis one does come from the semantic map results, which show the problem-solving condition having a dramatic negative impact, postdiscussion, on the number of ideas compared with the AI group, particularly the number of positive and action ideas. The ratings of ideas do provide support for Hypothesis 2, however, with two of the three measures of idea generativity in Table 3 being significantly higher than either of the two other conditions. The semantic map data, however, does not show much difference between the synergenesis condition and the AI condition while the postsemantic maps show quite a bit of difference between those who participated in problem-solving and those in the other two "appreciative" conditions. The second author, who facilitated all the sessions, found the most noticeable difference was that people in the problem-solving session expressed more frustration with the company and talking about problems appeared to make them even more frustrated. They appeared to want to finish the session quickly, many saying that they could not stay to complete the postmeeting surveys. In general, these participants spent little time writing answers to the open-ended questions. After the AI and synergenesis meetings, however, people were more interested and took more time to complete the surveys. Many hung around even after completing the surveys to chat in groups and get to know each other and talk about the session. Consistent with claims made by AI advocates, the AI and Synergenesis sessions appeared to stimulate more engagement and dialogue among participants. These observations are also consistent with research that shows people become more analytical and focused when they are in a negative state of mind (Fredrickson & Branigan, 2005; Forgas, Laham, & Vargas, 2005). Participants in the problemsolving condition were willing to fill out close-ended surveys (not described in this study) after their meetings, but when they were asked to write answers for the open-ended questions used for the semantic map analysis, they expressed a little dissatisfaction and more than half did not want to do it. What this suggests is that engaging people in group problem solving, which is often done in organization development to increase people's commitment to change and reduce resistance to change, may increase the salience of their frustration with the organization. If the change strategy involves heightening people's dissatisfaction with the current state, that may be all to the good. If the change strategy, however, is to increase people's sense of engagement and commitment to the organization, this approach may well backfire. The lack of differences in the novelty of ideas among the three conditions bears discussion. As shown in Table 3, novelty scored lowest among the three generativity ratings in all conditions. There have been numerous recognition programs in this organization in the past. Novelty was rated according to "is this idea novel/ new, which has not been done before in this organization?" It is possible that many, if not all of these ideas had already been broached at some point in the organization's history. Discussing these results with the raters, it surfaced that while they did not think ideas were innovative, they found some compelling and wanted to implement them. In their view, past recognition efforts failed not because of the ideas, but because they were not implemented well. To add richness to this discussion, Tables 5 to 7 show the ideas rated as most innovative, compelling, and practical for each of the three conditions. These tables were created by showing the two or more ideas that got the highest total combined rating from all five judges. If only one idea got the highest rating, all the ideas receiving the next highest score were included. Interestingly, while there was some overlap in ideas Table 5.The Most Novel Ideas. Note. The numbers to the left are the rating the idea received, out of 25. between the three conditions, there were also many different ideas. One of the most striking differences is the nature of the ideas from the problem-solving groups versus the more appreciative ones. For the most part, the ideas from the synergenesis and AI groups appear quite relevant to the issue of employee recognition. Many of the ideas from the problem-solving groups, on the other hand, appear to focus on general concerns (e.g., When full-time jobs become available interns should have top priority; Table 6.The Most Interesting Ideas. Note. The numbers to the left are the rating the idea received, out of 25. jobs should be posted internally before going out). These data suggest that not only do appreciative approaches to ideation in employee engagement strategies lead to more generative ideas but they also create a greater focus on the specific area of managerial interest, while a problem-solving strategy may lead employees to use the opportunity to surface other issues that are "problems" for them. It is worth noting interesting similarities with a study published after this research was done. Carlsen, Rudningen, and Mortensen (2014) used appreciative interviews into distinct qualities of ideal work practices when at their best to produce "cards," each one consisting of a work practice that had emerged during the interviews. They then used these cards to stimulate small group conversations, slightly different in design but similar in intent to synergenesis sessions, as a generative ideation process. One finding in their study was the importance of participants holding and dealing the cards. They note that taking cards in hand signals a dialogic shift in genre where participants are invited to influence both categories and content. They point to the tactile nature of holding the cards and to insights into grounded cognition (Barsalou, 2008; Robbins & Aydede, 2009), to argue that tactile engagement with the card has an opening-up and seeding function in the interaction, "being vehicles for stories and Table 7.The Most Practical Ideas. Note. The numbers to the left are the rating the idea received, out of 25. opinions to be communicated verbally as participants move from individual to collective sensemaking" (Carlsen et al., 2014, p. 305). This raises interesting areas for future research into synergenesis. What is the impact of having a deck of stories in hand, rather than simply relying on memory of stories just heard (as in classical AI)? Are there ways in which having a concrete, shared repository of stories affects the dynamics that take place in a synergenesis group? What are the effects of authoring written stories before a synergenesis session? Does this in some way create a seeding effect prior to the ideation process that is different from classical AI Discovery? What about the ownership of the deck of stories? Does it matter if these stories were written by the participants or would any deck of good stories have the same effects? There are limitations to the study worth noting, not the least of which is the low N for a statistical study. However, the difficulty of finding sites for naturally occurring field experiments makes reporting of these findings worth considering, as does the consistency in the various data in showing distinct differences in the generativity of problem solving versus appreciative approaches to engaging employees in the ideation process during a change effort. A second limitation worth noting is the use of paired interviews before the problemsolving groups' brainstorming. We did this to strengthen our ability to attribute any differences in results to the factors we used to explain why AI might be more generative and not simply a result of increased cognitive stimulation from having participated in interviews prior to ideation in small groups. While we believe that is strength of the study, it also means we have compared an idiosyncratic form of problemsolving against AI. Cognitive stimulation from the interviews might have increased the generativity of the problem-solving process and caused the nonsignificant differences found for hypothesis one. Facilitating problem-solving groups as they would normally be run, without interviews prior to brainstorming, might have led to more significant differences. Another limitation of the study concerns the issue of whether generativity in organizational change requires only one really good idea. We designed this study on the assumption that a process that produces more ideas rated to have generative potential is a more generative process, using the average generative quality of all ideas produced as the dependent measure. As a change mechanism, however, generativity may rely on only one truly generative idea to be successful. This raises another limitation of the study—the use of an "expert panel" to rate the generativity of the ideas. A better study would follow, longitudinally, what actually happened to these ideas and one could argue that studying the generativity of any idea can only be done in retrospect, since what makes an idea generative depends on the context in which it is used. Unfortunately, we did not have the ability to do that. We do not know what inherent limitations there might be in the ability of a panel of senior managers to predict how likely an idea would motivate new actions, though we are heartened by the fact that many told us, informally, that they did find some of the ideas compelling. That suggests a higher likelihood that they subsequently did lead to action. It should also be noted that this study only compares the generativity of problem solving and synergenesis against the Discovery phase of AI. A full AI process, of course, will also include Dream and Design phases, and it may be that more generative ideas will be produced during these later phases. The results of the semantic map data, coupled with our experience of how participants reacted to being asked to provide it (described above), offer some evidence to suggest that the Discovery process of classical AI may be more of a priming process by creating higher levels of engagement and interest in the focal topic. AI's superiority as a generative process over problem solving may be more evident when the later stages of Dream and Design are taken into account. Though Bushe (2010) found many of the generative ideas that produced transformational change emerged during the Discovery phase, all the appreciative inquiries in that study used synergenesis. Future longitudinal studies of AI with an interest in generativity could look more closely at what actually contributes to the emergence of generative ideas, and where they emerge. The difference in ratings of ideas produced from classical AI and synergenesis suggest that practitioners may want to consider this and other ways to increase the output of generative ideas during Dialogic OD efforts. Practitioners often appear to focus most of their effort on building better relationships and increasing the quality of dialogue, but is that enough? Can we assume that better ideas already exist, and just need a forum to be heard, or will priming produce more generative processes? Lukensmeyer's (2013) successful civic engagement process includes a step of increasing the knowledge and complexity of thinking of participants before ideation and it might be that synergenesis, by exposing participants to more stories than they would normally be exposed to in classical AI, and by focusing conversation around each story, increases the complexity of participant thinking. Practitioners may want to include ways of priming people to increase the complexity of their thinking about the focal issue before the ideation stage of any change process. There is also the intriguing line of inquiry opened up by Carlsen et al.'s (2014) observations about the priming nature of tactile stimulation for producing generative ideas. Practitioners may want to experiment with ways of priming participants somatically, with perhaps visual metaphors and ways of "holding ideas" in their hands. This is a small, simple study, but we hope it increases OD researchers' interest in the nature and effects of generativity in organizational change processes. If Bushe (2013a, 2013b; Bushe & Marshak, 2014) is correct and generative images are one of the core change processes underlying the success of Dialogic OD efforts, than we need to pay more attention to them—what they are, where they come from, how and when to introduce them into a change process—in our studies of organization development and change. Declaration of Conflicting Interests The author(s) declared no potential conflicts of interest with respect to the research, authorship, and/or publication of this article. Funding The author(s) received no financial support for the research, authorship, and/or publication of this article. References Altman, D. G. (1991). 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Copenhagen interpretation The Copenhagen interpretation is an expression of the meaning of quantum mechanics that was largely devised in the years 1925 to 1927 by Niels Bohr and Werner Heisenberg. It remains one of the most commonly taught interpretations of quantum mechanics. [1] physical world. Classical physics also relies on causality. The standing of causality for quantum mechanics is disputed. According to the Copenhagen interpretation, physical systems generally do not have deﬁnite properties prior to being measured, and quantum mechanics can only predict the probabilities that measurements will produce certain results. The act of measurement aﬀects the system, causing the set of probabilities to reduce to only one of the possible values immediately after the measurement. This feature is known as wavefunction collapse. There have been many objections to the Copenhagen Interpretation over the years. Some have objected to the discontinuous jumps when there is an observation, the probabilistic element introduced upon observation, the subjectiveness of requiring an observer, the diﬃculty of deﬁning a measuring device or to the necessity of invoking classical physics to describe the "laboratory" in which the results are measured. Alternatives to the Copenhagen Interpretation include the many-worlds interpretation, the De Broglie-Bohm (pilotwave) interpretation, and quantum decoherence theories. 1 Background In the early work of Max Planck, Albert Einstein, and Niels Bohr, the occurrence of energy in discrete quantities was postulated in order to explain phenomena such as the spectrum of black-body radiation, the photoelectric eﬀect, and the stability and spectrum of atoms. These phenomena had eluded explanation by classical physics and even appeared to be in contradiction with it. While elementary particles show predictable properties in many experiments, they become thoroughly unpredictable in others, such as attempts to identify individual particle trajectories through a simple physical apparatus. Classical physics draws a distinction between particles and waves. It also relies on continuity, and on determinism, in natural phenomena. In the early twentieth century, newly discovered atomic and subatomic phenomena seemed to defy those conceptions. In 1925–1926, quantum mechanics was invented as a mathematical formalism that accurately describes the experiments, yet appears to reject those classical conceptions. Instead, it posits that probability, and discontinuity, are fundamental in the Quantum mechanics cannot easily be reconciled with everyday language and observation. Its interpretation has often seemed counter-intuitive to physicists, including its inventors. The Copenhagen interpretation intends to indicate the proper ways of thinking and speaking about the physical meaning of the mathematical formulations of quantum mechanics and the corresponding experimental results. It oﬀers due respect to discontinuity, probability, and a conception of wave–particle dualism. In some respects, it denies standing to causality. 2 Origin of the term Werner Heisenberg had been an assistant to Niels Bohr at his institute in Copenhagen during part of the 1920s, when they helped originate quantum mechanical theory. In 1929, Heisenberg gave a series of invited lectures at the University of Chicago explaining the new ﬁeld of quantum mechanics. The lectures then served as the basis for his textbook, The Physical Principles of the Quantum Theory, published in 1930. [2] In the book's preface, Heisenberg wrote: On the whole the book contains nothing that is not to be found in previous publications, particularly in the investigations of Bohr. The purpose of the book seems to me to be fulﬁlled if it contributes somewhat to the diﬀusion of that 'Kopenhagener Geist der Quantentheorie' [i.e., Copenhagen spirit of quantum theory] if I may so express myself, which has directed the entire development of modern atomic physics. The term 'Copenhagen interpretation' suggests something more than just a spirit, such as some deﬁnite set of rules for interpreting the mathematical formalism of quantum mechanics, presumably dating back to the 1920s. However, no such text exists, apart from some informal popular lectures by Bohr and Heisenberg, which contradict each other on several important issues. It appears that the particular term, with its more deﬁnite sense, was coined by Heisenberg in the 1950s, [3] while criticizing alternate "interpretations" (e.g., David Bohm's [4] ) that had been developed. [5] Lectures with the titles 'The Copenhagen Interpretation of Quantum Theory' and 'Criticisms and Counterproposals to the Copenhagen Interpretation', that Heisenberg delivered in 1955, are reprinted in the collection Physics and Philosophy. [6] Before the book was released for sale, Heisenberg privately expressed regret for having used the term, due to its suggestion of the existence of other interpretations, that he considered to be "nonsense". [7] 3 Current status of the term According to an opponent of the Copenhagen interpretation, John G. Cramer, "Despite an extensive literature which refers to, discusses, and criticizes the Copenhagen interpretation of quantum mechanics, nowhere does there seem to be any concise statement which deﬁnes the full Copenhagen interpretation." [8] 4 Principles Because it consists of the views developed by a number of scientists and philosophers during the second quarter of the 20th Century, there is no uniquely deﬁnitive statement of the Copenhagen interpretation. [9] Moreover, by different commentators and researchers, various ideas have been associated with it; Asher Peres remarked that very diﬀerent, sometimes opposite, views are presented as "the Copenhagen interpretation" by diﬀerent authors. [10] Nonetheless, there are several basic principles that are generally accepted as being part of the interpretation: 1. A wave function Ψ represents the state of the system. It encapsulates everything that can be known about that system before an observation; there are no additional "hidden parameters". [11] The wavefunction evolves smoothly in time while isolated from other systems. 2. The properties of the system are subject to a principle of incompatibility. Certain properties cannot be jointly deﬁned for the same system at the same time. The incompatibility is expressed quantitatively by Heisenberg's uncertainty principle. For example, if a particle at a particular instant has a deﬁnite location, it is meaningless to speak of its momentum at that instant. 3. During an observation, the system must interact with a laboratory device. When that device makes a measurement, the wave function of the systems is said to collapse, or irreversibly reduce to an eigenstate of the observable that is registered. [12] 4. The results provided by measuring devices are essentially classical, and should be described in ordinary language. This was particularly emphasized by Bohr, and was accepted by Heisenberg. [13] 5. The description given by the wave function is probabilistic. This principle is called the Born rule, after Max Born. 6. The wave function expresses a necessary and fundamental wave–particle duality. This should be reﬂected in ordinary language accounts of experiments. An experiment can show particle-like properties, or wave-like properties, according to the complementarity principle of Niels Bohr. [14] 7. The inner workings of atomic and subatomic processes are necessarily and essentially inaccessible to direct observation, because the act of observing them would greatly aﬀect them. 8. When quantum numbers are large, they refer to properties which closely match those of the classical description. This is the correspondence principle of Bohr and Heisenberg. 5 Metaphysics of the wave function The Copenhagen Interpretation denies that the wave function provides a directly apprehensible image of an ordinary material body or a discernible component of some such, [15][16] or anything more than a theoretical concept. In metaphysical terms, the Copenhagen interpretation views quantum mechanics as providing knowledge of phenomena, but not as pointing to 'really existing objects', which it regarded as otiose residues of ordinary intuition. This makes it an epistemic theory. This may be contrasted with Einstein's view, that physics should look for 'really existing objects', making itself an ontic theory. [17] The metaphysical question is sometimes asked: "Could quantum mechanics be extended by adding so-called "hidden variables" to the mathematical formalism, to convert it from an epistemic to an ontic theory?" The Copenhagen interpretation answers this with a strong 'No'. [18] It is sometimes alleged, for example by J.S. Bell, that Einstein opposed the Copenhagen interpretation because he believed that the answer to that question of "hidden variables" was 'Yes'. That allegation has achieved mythical potency, but is mistaken. Countering that myth, Max Jammer writes "Einstein never proposed a hidden variable theory." [19] Einstein explored the possibility of a hidden variable theory, and wrote a paper describing his exploration, but withdrew it from publication because he felt it was faulty. [20][21] Because it asserts that a wave function becomes 'real' only when the system is observed, the term "subjective" is sometimes proposed for the Copenhagen interpretation. This term is rejected by many Copenhagenists because the process of observation is mechanical and does not depend on the individuality of the observer. Some authors have proposed that Bohr was inﬂuenced by positivism (or even pragmatism). On the other hand, Bohr and Heisenberg were not in complete agreement, and they held diﬀerent views at diﬀerent times. Heisenberg in particular was prompted to move towards realism. [22] Even if the wave function is not regarded as real, there is still a divide between those who treat it as deﬁnitely and entirely subjective, and those who are noncommittal or agnostic about the subject. An example of the agnostic view is given by Carl Friedrich von Weizsäcker, who, while participating in a colloquium at Cambridge, denied that the Copenhagen interpretation asserted "What cannot be observed does not exist." He suggested instead that the Copenhagen interpretation follows the principle "What is observed certainly exists; about what is not observed we are still free to make suitable assumptions. We use that freedom to avoid paradoxes." [8] 6 Born rule Max Born speaks of his probability interpretation as a "statistical interpretation" of the wave function, [23][24] and the Born rule is essential to the Copenhagen interpretation. [25] But writers do not all follow the same terminology. The phrase 'statistical interpretation', referring to the 'ensemble interpretation', often indicates an interpretation of the Born rule somewhat diﬀerent from the Copenhagen interpretation. [26][27] For the Copenhagen interpretation, it is axiomatic that the wave function exhausts all that can ever be known in advance about a particular occurrence of the system. The 'statistical' or 'ensemble' interpretation, on the other hand, is explicitly agnostic about whether the information in the wave function is exhaustive of what might be known in advance. It sees itself as more 'minimal' than the Copenhagen interpretation in its claims. It only goes as far as saying that on every occasion of observation, some actual value of some property is found, and that such values are found probabilistically, as detected by many occasions of observation of the same system. The many occurrences of the system are said to constitute an 'ensemble', and they jointly reveal the probability through these occasions of observation. Though they all have the same wave function, the elements of the ensemble might not be identical to one another in all respects, according to the 'agnostic' interpretations. They may, for all we know, beyond current knowledge and beyond the wave function, have individual distinguishing properties. For present-day science, the experimental signiﬁcance of these various forms of Born's rule is the same, since they make the same predictions about the probability distribution of outcomes of observations, and the unobserved or unactualized potential properties are not accessible to experiment. 7 Nature of collapse Main articles: wave function collapse and quantum decoherence Those who hold to the Copenhagen interpretation are willing to say that a wave function involves the various probabilities that a given event will proceed to certain different outcomes. But when the apparatus registers one of those outcomes, no probabilities or superposition of the others linger. [28] According to Howard, wave function collapse is not mentioned in the writings of Bohr. [3] Some argue that the concept of the collapse of a "real" wave function was introduced by Heisenberg and later developed by John von Neumann in 1932. [29] However, Heisenberg spoke of the wavefunction as representing available knowledge of a system, and did not use the term "collapse" per se, but instead termed it "reduction" of the wavefunction to a new state representing the change in available knowledge which occurs once a particular phenomenon is registered by the apparatus (often called "measurement"). [30] In 1952 David Bohm developed decoherence, an explanatory mechanism for the appearance of wave function collapse. Bohm applied decoherence to Louis DeBroglie's pilot wave theory, producing Bohmian mechanics, [31][32] the ﬁrst successful hidden variables interpretation of quantum mechanics. Decoherence was then used by Hugh Everett in 1957 to form the core of his many-worlds interpretation. [33] However decoherence was largely [34] ignored until the 1980s. [35][36] 8 Non-separability of the wave function The domain of the wave function is conﬁguration space, an abstract object quite diﬀerent from ordinary physical space–time. At a single "point" of conﬁguration space, the wave function collects probabilistic information about several distinct particles, that respectively have physically space-like separation. So the wave function is said to supply a non-separable representation. This reﬂects a feature of the quantum world that was recognized by Einstein as early as 1905. In 1927, Bohr drew attention to a consequence of nonseparability. The evolution of the system, as determined by the Schrödinger equation, does not display particle trajectories through space–time. It is possible to extract trajectory information from such evolution, but not simultaneously to extract energy–momentum information. This incompatibility is expressed in the Heisenberg uncertainty principle. The two kinds of information have to be extracted on diﬀerent occasions, because of the non-separability of the wave function representation. In Bohr's thinking, space–time visualizability meant trajectory information. Again, in Bohr's thinking, 'causality' referred to energy–momentum transfer; in his view, lack of energy–momentum knowledge meant lack of 'causality' knowledge. Therefore Bohr thought that knowledge respectively of 'causality' and of space–time visualizability were incompatible but complementary. [3] 9 Wave–particle dilemma Further information: Wave-particle duality The term 'Copenhagen interpretation' was, it seems, invented by Heisenberg in 1955. It is often assumed that the 'Copenhagen interpretation' was agreed between Bohr and Heisenberg, with perhaps Born included. The term Copenhagen interpretation, however, is not well deﬁned when one asks about the wave–particle dilemma, because Bohr and Heisenberg had diﬀerent or perhaps disagreeing views on it. According to Camilleri, Bohr thought that the distinction between a wave view and a particle view was deﬁned by a distinction between experimental setups, while, diﬀering, Heisenberg thought that it was deﬁned by the possibility of viewing the mathematical formulas as referring to waves or particles. Bohr thought that a particular experimental setup would display either a wave picture or a particle picture, but not both. Heisenberg thought that every mathematical formulation was capable of both wave and particle interpretations. [37][38] Looking at it slightly diﬀerently, Heisenberg's view was about quantum ﬁeld theory. Thus one is left in a dilemma to know whether the 'Copenhagen interpretation' is the one of Bohr (one or the other) or the one of Heisenberg (always both). Alfred Landé was for a long time considered orthodox. He did, however, take the Heisenberg viewpoint, in so far as he thought that the wave function was always mathematically open to both interpretations. Eventually this led to his being considered unorthodox, partly because he did not accept Bohr's one-or-the-other view, preferring Heisenberg's always-both view. Another part of the reason for branding Landé unorthodox was that he recited, as did Heisenberg, the 1923 work [39] of old-quantumtheorist William Duane, which anticipated a quantum mechanical theorem that had not been recognized by Born. That theorem seems to make the always-both view, like the one adopted by Heisenberg, rather cogent. One might say "It's there in the mathematics", but that is not a physical statement that would have convinced Bohr. Perhaps the main reason for attacking Landé is that his work demystiﬁed the phenomenon of diﬀraction of particles of matter, such as buckyballs. [40] 11 10 Acceptance among physicists Throughout much of the twentieth century the Copenhagen interpretation had overwhelming acceptance among physicists. Although astrophysicist and science writer John Gribbin described it as having fallen from primacy after the 1980s, [41] according to a poll conducted at a quantum mechanics conference in 1997, [42] the Copenhagen interpretation remained the most widely accepted speciﬁc interpretation of quantum mechanics among physicists. In more recent polls conducted at various quantum mechanics conferences, varying results have been found. [43][44][45] Often, as is the case with the 4 referenced sources, the acceptance of the Copenhagen interpretation as the preferred view of the underlying nature was below 50% amongst the surveyed. 11 Consequences The nature of the Copenhagen Interpretation is exposed by considering a number of experiments and paradoxes. 1. Schrödinger's cat This thought experiment highlights the implications that accepting uncertainty at the microscopic level has on macroscopic objects. A cat is put in a sealed box, with its life or death made dependent on the state of a subatomic particle. Thus a description of the cat during the course of the experiment—having been entangled with the state of a subatomic particle— becomes a "blur" of "living and dead cat." But this can't be accurate because it implies the cat is actually both dead and alive until the box is opened to check on it. But the cat, if it survives, will only remember being alive. Schrödinger resists "so naively accepting as valid a 'blurred model' for representing reality." [46] How can the cat be both alive and dead? The Copenhagen Interpretation: The wave function reﬂects our knowledge of the system. The wave function (\|dead⟩ + \|alive⟩)/ 2 means that, once the cat is observed, there is a 50% chance it will be dead, and 50% chance it will be alive. 2. Wigner's Friend Wigner puts his friend in with the cat. The external observer believes the system is in the state (\|dead⟩ + \|alive⟩)/ 2 . His friend, however, is convinced that the cat is alive, i.e. for him, the cat is in the state \|alive⟩ . How can Wigner and his friend see diﬀerent wave functions? The Copenhagen Interpretation: The answer depends on the positioning of Heisenberg cut, which can be placed arbitrarily. If Wigner's friend is positioned on the same side of the cut as the external observer, his measurements collapse the wave function for both observers. If he is positioned on the cat's side, his interaction with the cat is not considered a measurement. 3. Double-slit diﬀraction Light passes through double slits and onto a screen resulting in a diﬀraction pattern. Is light a particle or a wave? The Copenhagen Interpretation: Light is neither. A particular experiment can demonstrate particle (photon) or wave properties, but not both at the same time (Bohr's Complementarity Principle). The same experiment can in theory be performed with any physical system: electrons, protons, atoms, molecules, viruses, bacteria, cats, humans, elephants, planets, etc. In practice it has been performed for light, electrons, buckminsterfullerene, [47][48] and some atoms. Due to the smallness of Planck's constant it is practically impossible to realize experiments that directly reveal the wave nature of any system bigger than a few atoms but, in general, quantum mechanics considers all matter as possessing both particle and wave behaviors. The greater systems (like viruses, bacteria, cats, etc.) are considered as "classical" ones but only as an approximation, not exact. 4. EPR (Einstein–Podolsky–Rosen) paradox Entangled "particles" are emitted in a single event. Conservation laws ensure that the measured spin of one particle must be the opposite of the measured spin of the other, so that if the spin of one particle is measured, the spin of the other particle is now instantaneously known. The most discomforting aspect of this paradox is that the eﬀect is instantaneous so that something that happens in one galaxy could cause an instantaneous change in another galaxy. But, according to Einstein's theory of special relativity, no information-bearing signal or entity can travel at or faster than the speed of light, which is ﬁnite. Thus, it seems as if the Copenhagen interpretation is inconsistent with special relativity. The Copenhagen Interpretation: Assuming wave functions are not real, wave-function collapse is interpreted subjectively. The moment one observer measures the spin of one particle, he knows the spin of the other. However, another observer cannot beneﬁt until the results of that measurement have been relayed to him, at less than or equal to the speed of light. Copenhagenists claim that interpretations of quantum mechanics where the wave function is regarded as real have problems with EPRtype eﬀects, since they imply that the laws of physics allow for inﬂuences to propagate at speeds greater than the speed of light. However, proponents of many worlds [49] and the transactional interpretation [50][51] (TI) maintain that Copenhagen interpretation is fatally non-local. The claim that EPR eﬀects violate the principle that information cannot travel faster than the speed of light have been countered by noting that they cannot be used for signaling because neither observer can control, or predetermine, what he observes, and therefore cannot manipulate what the other observer measures. However, this is a somewhat spurious argument, in that the speed of light limitation applies to all information, not to what can or cannot be subsequently done with the information. On the other hand, the special theory of relativity contains no notion of information at all. The fact that no classical body can exceed the speed of light (no matter how much acceleration is applied) is a consequence of classical relativistic mechanics. As the correlation between the two particles in an EPR experiment is most probably not established by classical bodies or light signals, the displayed nonlocality is not at odds with special relativity. A further argument against Copenhagen interpretation is that relativistic diﬃculties about establishing which measurement occurred ﬁrst or last, or whether they occurred quite at the same time, also undermine the idea that in "diﬀerent" instants and measurements diﬀerent outcomes can occur. The spin would be kept as a "constant" for a continuous interval of time, i.e. as a real variable, and thus it would seem to violate the general rule (of the classic Copenhagen interpretation) that every measurement gives nothing else than a random outcome subject to certain probabilities. 12 Criticism The completeness of quantum mechanics (thesis 1) was attacked by the Einstein–Podolsky–Rosen thought experiment which was intended to show that quantum mechanics could not be a complete theory. Experimental tests of Bell's inequality using particles have supported the quantum mechanical prediction of entanglement. The Copenhagen Interpretation gives special status to measurement processes without clearly deﬁning them or explaining their peculiar eﬀects. In his article entitled "Criticism and Counterproposals to the Copenhagen Interpretation of Quantum Theory," countering the view of Alexandrov that (in Heisenberg's paraphrase) "the wave function in conﬁguration space characterizes the objective state of the electron." Heisenberg says, Of course the introduction of the observer must not be misunderstood to imply that some kind of subjective features are to be brought into the description of nature. The observer has, rather, only the function of registering decisions, i.e., processes in space and time, and it does not matter whether the observer is an apparatus or a human being; but the registration, i.e., the transition from the "possible" to the "actual," is absolutely necessary here and cannot be omitted from the interpretation of quantum theory. [52] Many physicists and philosophers have objected to the Copenhagen interpretation, both on the grounds that it is non-deterministic and that it includes an undeﬁned measurement process that converts probability functions into non-probabilistic measurements. Einstein's comments "I, at any rate, am convinced that He (God) does not throw dice." [53] and "Do you really think the moon isn't there if you aren't looking at it?" [54] exemplify this. Bohr, in response, said, "Einstein, don't tell God what to do." [55] Steven Weinberg in "Einstein's Mistakes", Physics Today, November 2005, page 31, said: All this familiar story is true, but it leaves out an irony. Bohr's version of quantum mechanics was deeply ﬂawed, but not for the reason Einstein thought. The Copenhagen interpretation describes what happens when an observer makes a measurement, but the observer and the act of measurement are themselves treated classically. This is surely wrong: Physicists and their apparatus must be governed by the same quantum mechanical rules that govern everything else in the universe. But these rules are expressed in terms of a wave function (or, more precisely, a state vector) that evolves in a perfectly deterministic way. So where do the probabilistic rules of the Copenhagen interpretation come from? Considerable progress has been made in recent years toward the resolution of the prob- lem, which I cannot go into here. It is enough to say that neither Bohr nor Einstein had focused on the real problem with quantum mechanics. The Copenhagen rules clearly work, so they have to be accepted. But this leaves the task of explaining them by applying the deterministic equation for the evolution of the wave function, the Schrödinger equation, to observers and their apparatus. The problem of thinking in terms of classical measurements of a quantum system becomes particularly acute in the ﬁeld of quantum cosmology, where the quantum system is the universe. [56] E. T. Jaynes, [57] from a Bayesian point of view, argued that probability is a measure of a state of information about the physical world. Quantum mechanics under the Copenhagen Interpretation interpreted probability as a physical phenomenon, which is what Jaynes called a Mind Projection Fallacy. Common criticisms of the Copenhagen interpretation often lead to the problem of continuum of random occurrences: whether in time (as subsequent measurements, which under certain interpretations of the measurement problem may happen continuously) or even in space. A recent experiment showed that a particle may leave a trace about the path which it used when travelling as a wave – and that this trace exhibits equality of both paths. [58] If such result is raised to the rank of a wave-only nontransactional worldview and proved better – i.e. that a particle is in fact a continuum of points capable of acting independently but under a common wavefunction – it would rather support theories such as Bohm's one (with its guiding towards the centre of orbital and spreading of physical properties over it) than interpretations which presuppose full randomness, because with the latter it will be problematic to demonstrate universally and in all practical cases how can a particle remain coherent in time, in spite of non-zero probabilities of its individual points going into regions distant from the centre of mass (through a continuum of diﬀerent random determinations). [59] An alternative possibility would be to assume that there is a ﬁnite number of instants/points within a given time or area, but theories which try to quantize the space or time itself seem to be fatally incompatible with the special relativity. The view that particle diﬀraction logically guarantees the need for a wave interpretation has been questioned. A recent experiment has carried out the two-slit protocol with helium atoms. [60] The basic physics of quantal momentum transfer considered here was originally pointed out in 1923, by William Duane, before quantum mechanics was invented. [39] It was later recognized by Heisenberg [61] and by Pauling. [62] It was championed against orthodox ridicule by Alfred Landé. [63] It has also recently been considered by Van Vliet. [64][65] If the diﬀracting slits are considered as classical objects, theoretically ideally seamless, then a wave interpretation seems necessary, but if the diﬀracting slits are considered physically, as quantal objects exhibiting collective quantal motions, then the particle-only and wave-only interpretations seem perhaps equally valid. 13 Alternatives Further information: Interpretations of quantum mechanics The Ensemble interpretation is similar; it oﬀers an interpretation of the wave function, but not for single particles. The consistent histories interpretation advertises itself as "Copenhagen done right". Although the Copenhagen interpretation is often confused with the idea that consciousness causes collapse, it deﬁnes an "observer" merely as that which collapses the wave function. [52] Quantum information theories are more recent, and have attracted growing support. [66][67] Under realism and indeterminism, if the wave function is regarded as ontologically real, and collapse is entirely rejected, a many worlds theory results. If wave function collapse is regarded as ontologically real as well, an objective collapse theory is obtained. Under realism and determinism (as well as non-localism), a hidden variable theory exists, e.g., the de Broglie–Bohm interpretation, which treats the wavefunction as real, position and momentum as deﬁnite and resulting from the expected values, and physical properties as spread in space. For an atemporal indeterministic interpretation that "makes no attempt to give a 'local' account on the level of determinate particles", [68] the conjugate wavefunction, ("advanced" or time-reversed) of the relativistic version of the wavefunction, and the so-called "retarded" or timeforward version [69] are both regarded as real and the transactional interpretation results. [68] Many physicists have subscribed to the instrumentalist interpretation of quantum mechanics, a position often equated with eschewing all interpretation. It is summarized by the sentence "Shut up and calculate!". While this slogan is sometimes attributed to Paul Dirac [70] or Richard Feynman, it seems to be due to David Mermin. [71] 14 See also * Bohr–Einstein debates * Fifth Solvay Conference * Interpretations of quantum mechanics * Philosophical interpretation of classical physics * Physical ontology * Popper's experiment * De Broglie–Bohm theory 15 Notes and references [1] Hermann Wimmel (1992). Quantum physics & observed reality: a critical interpretation of quantum mechanics. World Scientiﬁc. p. 2. ISBN 978-981-02-1010-6. Retrieved 9 May 2011. [2] J. Mehra and H. Rechenberg, The historical development of quantum theory, Springer-Verlag, 2001, p. 271. [3] Howard, Don (2004). "Who invented the Copenhagen Interpretation? A study in mythology". Philosophy of Science 71 (5): 669–682. doi:10.1086/425941. JSTOR 10.1086/425941. [4] Bohm, David (1952). "A Suggested Interpretation of the Quantum Theory in Terms of "Hidden" Variables. I & II". Physical Review 85 (2): 166–193. Bibcode:1952PhRv...85..166B. doi:10.1103/PhysRev.85.166. [5] H. Kragh, Quantum generations: A History of Physics in the Twentieth Century, Princeton University Press, 1999, p. 210. ("the term 'Copenhagen interpretation' was not used in the 1930s but ﬁrst entered the physicist's vocabulary in 1955 when Heisenberg used it in criticizing certain unorthodox interpretations of quantum mechanics.") [6] Werner Heisenberg, Physics and Philosophy, Harper, 1958 [7] Olival Freire Jr., "Science and exile: David Bohm, the hot times of the Cold War, and his struggle for a new interpretation of quantum mechanics", Historical Studies on the Physical and Biological Sciences, Volume 36, Number 1, 2005, pp. 31–35. ("I avow that the term 'Copenhagen interpretation' is not happy since it could suggest that there are other interpretations, like Bohm assumes. We agree, of course, that the other interpretations are nonsense, and I believe that this is clear in my book, and in previous papers. Anyway, I cannot now, unfortunately, change the book since the printing began enough time ago.") [8] Cramer, John G. (July 1986). "The Transactional Interpretation of Quantum Mechanics". Reviews of Modern Physics 58 (3): 649. Bibcode:1986RvMP...58..647C. doi:10.1103/revmodphys.58.647. [9] In fact Bohr and Heisenberg never totally agreed on how to understand the mathematical formalism of quantum mechanics. Bohr once distanced himself from what he considered to be Heisenberg's more subjective interpretation Stanford Encyclopedia of Philosophy [10] "There seems to be at least as many diﬀerent Copenhagen interpretations as people who use that term, probably there are more. For example, in two classic articles on the foundations of quantum mechanics, Ballentine (1970) and Stapp (1972) give diametrically opposite deﬁnitions of 'Copenhagen.'", Asher Peres (2002). "Popper's experiment and the Copenhagen interpretation". Stud. History Philos. Modern Physics 33 (23): 10078. arXiv:quantph/9910078. Bibcode:1999quant.ph.10078P. [11] "... for the ″hidden parameters″ of Bohm's interpretation are of such a kind that they can never occur in the description of real processes, if the quantum theory remains unchanged." Heisenberg, W. (1955). The development of the quantum theory, pp. 12–29 in Niels Bohr and the Development of Physics, ed. W. Pauli with the assistance of L. Rosenfeld and V. Weisskopf, Pergamon, London, at p. 18. [12] "It is well known that the 'reduction of the wave packets' always appears in the Copenhagen interpretation when the transition is completed from the possible to the actual. The probability function, which covered a wide range of possibilities, is suddenly reduced to a much narrower range by the fact that the experiment has led to a deﬁnite result, that actually a certain event has happened. In the formalism this reduction requires that the so-called interference of probabilities, which is the most characteristic phenomena [sic] of quantum theory, is destroyed by the partly undeﬁnable and irreversible interactions of the system with the measuring apparatus and the rest of the world." Heisenberg, W. (1959/1971). Criticism and counterproposals to the Copenhagen interpretation of quantum theory, Chapter 8, pp. 114–128, in Physics and Philosophy: the Revolution in Modern Science, third impression 1971, George Allen & Unwin, London, at p. 125. [13] "Every description of phenomena, of experiments and their results, rests upon language as the only means of communication. The words of this language represent the concepts of ordinary life, which in the scientiﬁc language of physics may be reﬁned to the concepts of classical physics. These concepts are the only tools for an unambiguous communication about events, about the setting up of experiments and about their results." Heisenberg, W. (1959/1971). Criticism and counterproposals to the Copenhagen interpretation of quantum theory, Chapter 8, pp. 114–128, in Physics and Philosophy: the Revolution in Modern Science, third impression 1971, George Allen & Unwin, London, at p. 127. [14] "... there is no reason to consider these matter waves as less real than particles." Heisenberg, W. (1959/1971). Criticism and counterproposals to the Copenhagen interpretation of quantum theory, Chapter 8, pp. 114–128, in Physics and Philosophy: the Revolution in Modern Science, third impression 1971, George Allen & Unwin, London, at p. 118. [15] Bohr, N. (1928). 'The quantum postulate and the recent development of atomic theory', Nature, 121: 580–590, doi :10.1038/121580a0, p. 586: "there can be no question of an immediate connexion with our ordinary conceptions". [16] Heisenberg, W. (1959/1971). 'Language and reality in modern physics', Chapter 10, pp. 145–160, in Physics and Philosophy: the Revolution in Modern Science, George Allen & Unwin, London, ISBN 0-04-530016 X, p. 153: "our common concepts cannot be applied to the structure of the atoms." [17] Jammer, M. (1982). 'Einstein and quantum physics', pp. 59–76 in Albert Einstein: Historical and Cultural Perspectives; the Centennial Symposium in Jerusalem, edited by G. Holton, Y. Elkana, Princeton University Press, Princeton NJ, ISBN 0-691-08299-5. On pp. 73–74, Jammer quotes a 1952 letter from Einstein to Besso: "The present quantum theory is unable to provide the description of a real state of physical facts, but only of an (incomplete) knowledge of such. Moreover, the very concept of a real factual state is debarred by the orthodox theoreticians. The situation arrived at corresponds almost exactly to that of the good old Bishop Berkeley." [18] Heisenberg, W. (1927). Über den anschaulichen Inhalt der quantentheoretischen Kinematik und Mechanik, Z. Phys. 43: 172–198. Translation as 'The actual content of quantum theoretical kinematics and mechanics' here: "Since the statistical nature of quantum theory is so closely [linked] to the uncertainty in all observations or perceptions, one could be tempted to conclude that behind the observed, statistical world a "real" world is hidden, in which the law of causality is applicable. We want to state explicitly that we believe such speculations to be both fruitless and pointless. The only task of physics is to describe the relation between observations." [19] Jammer, M. (1982). 'Einstein and quantum physics', pp. 59–76 in Albert Einstein: Historical and Cultural Perspectives; the Centennial Symposium in Jerusalem, edited by G. Holton, Y. Elkana, Princeton University Press, Princeton NJ, ISBN 0-691-08299-5, p. 72. [20] Belousek D.W. (1996). 'Einstein's 1927 unpublished hidden-variable theory: its background, context and signiﬁcance', Stud. Hist. Phil. Mod. Phys., 21(4): 431–461. [21] Holland, P. (2005). 'What's wrong with Einstein's 1927 hidden-variable interpretation of quantum mechanics?', Foundations of Physics, 35(2): 177–196. [22] "Historically, Heisenberg wanted to base quantum theory solely on observable quantities such as the intensity of spectral lines, getting rid of all intuitive (anschauliche) concepts such as particle trajectories in space–time. This attitude changed drastically with his paper in which he introduced the uncertainty relations – there he put forward the point of view that it is the theory which decides what can be observed. His move from positivism to operationalism can be clearly understood as a reaction on the advent of Schrödinger's wave mechanics which, in particular due to its intuitiveness, became soon very popular among physicists. In fact, the word anschaulich (intuitive) is contained in the title of Heisenberg's paper.", from Claus Kiefer (2002). "On the interpretation of quantum theory – from Copenhagen to the present day". arXiv:quantph/0210152. [23] Born, M. (1955). "Statistical interpretation of quantum mechanics". Science 122 (3172): 675–679. Bibcode:1955Sci...122..675B. doi:10.1126/science.122.3172.675. PMID 17798674. [24] "... the statistical interpretation, which I have ﬁrst suggested and which has been formulated in the most general way by von Neumann, ..." Born, M. (1953). The interpretation of quantum mechanics, Brit. J. Phil. Sci., 4(14): 95–106. [25] Bohr, N. (1928). 'The quantum postulate and the recent development of atomic theory', Nature, 121: 580– 590, doi :10.1038/121580a0, p. 586: "In this connexion [Born] succeeded in obtaining a statistical interpretation of the wave functions, allowing a calculation of the probability of the individual transition processes required by the quantum postulate.". [26] Ballentine, L.E. (1970). "The statistical interpretation of quantum mechanics". Rev. Mod. Phys. 42 (4): 358–381. Bibcode:1970RvMP...42..358B. doi:10.1103/revmodphys.42.358. [27] Born, M. (1949). Einstein's statistical theories, in Albert Einstein: Philosopher Scientist, ed. P.A. Schilpp, Open Court, La Salle IL, volume 1, pp. 161–177. [28] "Of course the introduction of the observer must not be misunderstood to imply that some kind of subjective features are to be brought into the description of nature." Heisenberg, W. (1959/1971). Criticism and counterproposals to the Copenhagen interpretation of quantum theory, Chapter 8, pp. 114–128, in Physics and Philosophy: the Revolution in Modern Science, third impression 1971, George Allen & Unwin, London, at p. 121. [29] "the "collapse" or "reduction" of the wave function. This was introduced by Heisenberg in his uncertainty paper [3] and later postulated by von Neumann as a dynamical process independent of the Schrodinger equation", Claus Kiefer (2002). "On the interpretation of quantum theory – from Copenhagen to the present day". arXiv:quantph/0210152. [30] W. Heisenberg "Über den anschaulichen Inhalt der quantentheoretischen Kinematik und Mechanik," Zeitschrift für Physik, Volume 43, 172–198 (1927), as translated by John Wheeler and Wojciech Zurek, in Quantum Theory and Measurement (1983), p. 74. ("[The] determination of the position selects a deﬁnite "q" from the totality of possibilities and limits the options for all subsequent measurements. ... [T]he results of later measurements can only be calculated when one again ascribes to the electron a "smaller" wavepacket of extension λ (wavelength of the light used in the observation). Thus, every position determination reduces the wavepacket back to its original extension λ.") [31] David Bohm, A Suggested Interpretation of the Quantum Theory in Terms of "Hidden Variables", I, Physical Review, (1952), 85, pp 166–179 [32] David Bohm, A Suggested Interpretation of the Quantum Theory in Terms of "Hidden Variables", II, Physical Review, (1952), 85, pp 180–193 [33] Hugh Everett, Relative State Formulation of Quantum Mechanics, Reviews of Modern Physics vol 29, (1957) pp 454–462. [34] H. Dieter Zeh, On the Interpretation of Measurement in Quantum Theory, Foundation of Physics, vol. 1, pp. 69– 76, (1970). [35] Wojciech H. Zurek, Pointer Basis of Quantum Apparatus: Into what Mixture does the Wave Packet Collapse?, Physical Review D, 24, pp. 1516–1525 (1981) [36] Wojciech H. 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"A Snapshot of Foundational Attitudes Toward Quantum Mechanics". Studies in History and Philosophy of Science Part B: Studies in History and Philosophy of Modern Physics 44 (3): 222–230. arXiv:1301.1069. doi:10.1016/j.shpsb.2013.04.004. [44] C. Sommer, "Another Survey of Foundational Attitudes Towards Quantum Mechanics", arXiv:1303.2719. http: //arxiv.org/pdf/1303.2719v1 [45] T. Norsen, S. Nelson, "Yet Another Snapshot of Foundational Attitudes Toward Quantum Mechanics", arXiv: 1306.4646. http://arxiv.org/pdf/1306.4646v2.pdf [46] Erwin Schrödinger, in an article in the Proceedings of the American Philosophical Society, 124, 323–38. [47] Nairz, Olaf; Brezger, Björn; Arndt, Markus; Zeilinger, Anton (2001). "Diﬀraction of Complex Molecules by Structures Made of Light". Physical Review Letters 87 (16): 160401. arXiv:quantph/0110012. Bibcode:2001PhRvL..87p0401N. doi:10.1103/PhysRevLett.87.160401. PMID 11690188. [48] Brezger, Björn; Hackermüller, Lucia; Uttenthaler, Stefan; Petschinka, Julia; Arndt, Markus; Zeilinger, Anton (2002). "Matter-Wave Interferometer for Large Molecules". Physical Review Letters 88 (10): 100404. arXiv:quantph/0202158. Bibcode:2002PhRvL..88j0404B. doi:10.1103/PhysRevLett.88.100404. PMID 11909334. [49] Michael price on nonlocality in Many Worlds 10 [50] Relativity and Causality in the Transactional Interpretation [51] Collapse and Nonlocality in the Transactional Interpretation [52] Werner Heisenberg, Physics and Philosophy, Harper, 1958, p. 137. [53] "God does not throw dice" quote [54] A. Pais, Einstein and the quantum theory, Reviews of Modern Physics 51, 863–914 (1979), p. 907. [55] Bohr recollected his reply to Einstein at the 1927 Solvay Congress in his essay "Discussion with Einstein on Epistemological Problems in Atomic Physics", in Albert Einstein, Philosopher–Scientist, ed. Paul Arthur Shilpp, Harper, 1949, p. 211: "...in spite of all divergencies of approach and opinion, a most humorous spirit animated the discussions. On his side, Einstein mockingly asked us whether we could really believe that the providential authorities took recourse to dice-playing ("ob der liebe Gott würfelt"), to which I replied by pointing at the great caution, already called for by ancient thinkers, in ascribing attributes to Providence in everyday language." Werner Heisenberg, who also attended the congress, recalled the exchange in Encounters with Einstein, Princeton University Press, 1983, p. 117,: "But he [Einstein] still stood by his watchword, which he clothed in the words: 'God does not play at dice.' To which Bohr could only answer: 'But still, it cannot be for us to tell God, how he is to run the world.'" [56] 'Since the Universe naturally contains all of its observers, the problem arises to come up with an interpretation of quantum theory that contains no classical realms on the fundamental level.', Claus Kiefer (2002). "On the interpretation of quantum theory – from Copenhagen to the present day". arXiv:quant-ph/0210152. [57] Jaynes, E. T. (1989). "Clearing up Mysteries – The Original Goal" (PDF). Maximum Entropy and Bayesian Methods: 7. [58] Momentum Transfer to a Free Floating Double Slit: Realization of a Thought Experiment from the Einstein-Bohr Debates, L. Ph. H. Schmidt et al. Physical Review Letters Week ending 2013 [59] More correctly, when the law of large numbers is applied to solve this problem (so that the opposite change must also occur), a deterministic ensemble interpretation follows from the same law. [60] Schmidt, L.P.H., Lower, J., Jahnke, T., Schößler, S., Schöﬄer, M.S., Menssen, A., Lévêque, C., Sisourat, N., Taïeb, R., Schmidt-Böcking, H., Dörner, R. (2013). Momentum transfer to a free ﬂoating double slit: realization of a thought experiment from the Einstein–Bohr debates, Physical Review Letters 111: 103201, 1–5. See also the article on Bohr–Einstein debates. Likely there are even more such apparent interactions in various areas of the photon, for example when reﬂecting from the whole shutter. [61] Heisenberg, W. (1930). The Physical Principles of the Quantum Theory, translated by C. Eckart and F.C. Hoyt, University of Chicago Press, Chicago, pp. 77–78. [62] Pauling, L.C., Wilson, E.B. (1935). Introduction to Quantum Mechanics: with Applications to Chemistry, McGrawHill, New York, pp. 34–36. [63] Landé, A. (1951). Quantum Mechanics, Sir Isaac Pitman and Sons, London, pp. 19–22. [64] Van Vliet, K. (1967). "Linear momentum quantization in periodic structures". Physica 35: 97– 106. Bibcode:1967Phy....35...97V. doi:10.1016/00318914(67)90138-3. [65] Van Vliet, K. (2010). "Linear momentum quantization in periodic structures ii". Physica A 389 (8): 1585–1593. Bibcode:2010PhyA..389.1585V. doi:10.1016/j.physa.2009.12.026. [66] Kate Becker (2013-01-25). "Quantum physics has been rankling scientists for decades". Boulder Daily Camera. Retrieved 2013-01-25. [67] "A Snapshot of Foundational Attitudes Toward Quantum Mechanics". 2013-01-06. arXiv:1301.1069. Retrieved 2013-01-25. [68] The Quantum Liar Experiment, RE Kastner, Studies in History and Philosophy of Modern Physics, Vol41, Iss.2,May2010 [69] The non-relativistic Schrödinger equation does not admit advanced solutions. [70] http://home.fnal.gov/~{}skands/slides/ A-Quantum-Journey.ppt [71] N. David Mermin (2004). "Could Feynman Have Said This?". Physics Today 57 (5): 10–11. Bibcode:2004PhT....57e..10M. doi:10.1063/1.1768652. 16 Further reading * G. Weihs et al., Phys. Rev. Lett. 81 (1998) 5039 * M. Rowe et al., Nature 409 (2001) 791. * J.A. Wheeler & W.H. Zurek (eds), Quantum Theory and Measurement, Princeton University Press 1983 * A. Petersen, Quantum Physics and the Philosophical Tradition, MIT Press 1968 * H. Margeneau, The Nature of Physical Reality, McGraw-Hill 1950 * M. Chown, Forever Quantum, New Scientist No. 2595 (2007) 37. * T. Schürmann, A Single Particle Uncertainty Relation, Acta Physica Polonica B39 (2008) 587. 17 External links * Copenhagen Interpretation (Stanford Encyclopedia of Philosophy) * Physics FAQ section about Bell's inequality * The Copenhagen Interpretation of Quantum Mechanics * Preprint of Afshar Experiment 18 Text and image sources, contributors, and licenses 18.1 Text * Copenhagen interpretation Source: https://en.wikipedia.org/wiki/Copenhagen_interpretation?oldid=712855185 Contributors: AxelBoldt, Carey Evans, LC~enwiki, CYD, Mav, Bryan Derksen, Timo Honkasalo, The Anome, William Avery, Roadrunner, Ark~enwiki, Heron, Edward, Nealmcb, Chas zzz brown, Michael Hardy, Gretyl, Kwertii, Oliver Pereira, Looxix~enwiki, William M. 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The first in a series of Wharton Private Equity Reviews Spring 2008 Wharton Private Equity Review H arnessing the W inds of C hange http://knowledge.wharton.upenn.edu Executive Editors Teoman Ozsan (WG'09) Manoneet Singh (WG'09) Sumit Sinha (WG'08) Marketing Team Karina Danilyuk (WG'09) Dimple Khurana (WG'08) Advisory Board Michael Kopelman (WG'05) Principal, Edison Venture Dean Miller (WG'99) Managing Director, Novitas Capital Vinay Nair Senior Fellow, Wharton Financial Institutions Center Stephen Sammut (WG'84) Senior Fellow, Wharton Health Care Systems and Lecturer, Wharton Entrepreneurial Programs and Venture Partner, Burrill & Company Jason Wright (WG'00) Partner, Apax Partners Wharton Private Equity Review Harnessing the Winds of Change Contents Following the Era of Large Buyouts, Private Equity Funds Find New Ways to Compete Page 2 Now that credit has dried up, the future of large private equity buyouts has become uncertain. Today, buyout firms are looking to compete in middle-market and foreign deals and, in many cases, are teaming up with strategic buyers and corporations in new types of transactions. According to PE firm partners and other industry experts, the economic downturn has also paved the way for a resurgence in distressed investing, as lenders and investors alike begin to adjust to new pricing realities. Private Equity Abroad: Despite the Credit Crunch, Opportunities in Developed Markets Are Waiting Page 6 With the collapse of credit markets, private equity funds are increasingly willing to tread into unknown territory to find new deals abroad. While international buyers continue to increase their presence in the U.S., opportunities for investment in Europe and Asia are equally abundant, according to private equity experts. Although individual markets have their inherent challenges, adopting a global strategy may be one approach to weathering the current economic slowdown. Will Changes in Taxation Affect the Competitiveness of U.S. Private Equity? Page 9 At the 2008 Wharton Private Equity Conference, the topic of taxes sparked a lively debate. According to a panel of private equity and legal experts, U.S. congressional proposals to raise taxes on the PE industry could hurt it significantly, and perhaps even force it to move offshore. Given the forthcoming U.S. elections, the debate on carried interest may be moot for the time being, but the panelists agreed that it's a hot-button issue. Setting up Shop: What Does It Take to Establish a Private Equity Firm in Today's Market? Page 12 Establishing a private equity fund as a founding partner is the objective of thousands of practitioners across the industry. With the market continuing to mature, what are the hurdles, and what will it take to successfully start a private equity shop going forward? A leading private equity fundraising advisor and two leading investors with extensive experience advising and backing new private equity firms discussed these issues with members of the Wharton Private Equity Club (WPEC). Carlyle Group's David Rubenstein: 'The Greatest Period for Private Equity Is Probably Ahead of Us' Page 18 David Rubenstein is co-founder and managing director of The Carlyle Group, the Washington, D.C.-based private equity firm with more than $70 billion in assets under management. In March, members of the Wharton Private Equity Club (WPEC) interviewed Rubenstein about the ongoing credit crisis, the industry outlook, the rise of sovereign wealth funds and why private equity is "one of the greatest exports of the United States." Following the Era of Large Buyouts, Private Equity Funds Find New Ways to Compete Nothing symbolized the most recent private equity boom better than huge buyouts, deals so big that private equity sponsors teamed up to pull off the transactions in so-called consortium — or "club" — deals that spurred talk of $100 billion transactions. the loans they did write. "The next $10 billion deal feels years away," Daly said. Now that credit has dried up, the future of large private equity buyouts has become uncertain. Limited by the lack of available debt financing, buyout firms are looking to compete in middlemarket and foreign deals and, in many cases, are teaming up with strategic buyers and corporations in new types of transactions. Not surprisingly, the economic downturn has also paved the way for a resurgence in distressed investing, as lenders and investors alike begin to adjust to new pricing realities. One major difference in the most recent cycle was the amount of capital raised. According to Jack Daly, a managing director at Goldman Sachs focusing on large-cap leveraged buyouts in the U.S. industrial sector, 2007 was a "tale of two markets." In the first half of the year, private equity sponsors enjoyed easy access to debt which led to previously unthinkable discussions about deals valued at up to $100 billion. By the end of the year, credit markets had contracted and the industry faced a $350 billion overhang. Lenders were unable to provide large financings and included extensive covenants on Knowledge@Wharton Wharton Private Equity Review The only constant was sellers' high expectations about the value of their businesses, noted Daly, who participated in a panel discussion about large buyouts at the 2008 Wharton Private Equity Conference. In the face of the current economic turmoil, however, those expectations have begun to drop. The buyout business is cyclical, he added, noting other industry boom-and-bust periods — in the late 1980s, the late 1990s and again from 2002 through the end of 2007. The public markets experience the same ups and downs, he said. The latest boom came to an end in the usual way. "What happened was that people got out of hand with some of the valuations," he said. Add to that the subprime meltdown and it signaled the end of the industry's ability to digest deals like Blackstone Group's record $36 billion acquisition in 2006 of Equity Office, the Chicago-based commercial real estate investment trust. One major difference in the most recent cycle was the amount of capital raised, Daly noted. The industry has raised about $750 billion since January 2006 — an amount which, when levered, would be enough to finance deals worth a significant portion (15%-25%) of the Standard & Poor's 500. Buyout firms have remained relatively flush. "There's still a staggering amount of money sitting there," said Daly, who added that companies will find new ways to make deals work even if there is less debt financing available from lenders. "There is a tremendous amount of opportunity. There are still going to be a lot of ways to make that capital work." A Return to Fundamentals According to Perry Golkin, a partner at Kohlberg Kravis Roberts and a member of the firm's financial services industry team, the markets are clearly not deep enough to support huge private equity deals. Instead, sponsors should focus on smaller transactions, he said. PricewaterhouseCoopers research shows that the volume of large buyouts fell off sharply in the second half of 2007, but that middle-market deals, valued at up to $1 billion, totaled $355 billion, or 23% of U.S. transaction volume. Lenders are demanding changes in covenants, Golkin said, which represents a return to more normal conditions after the boom period marked by easy loan terms. The revised covenants do not represent "radical change" but do restrict private equity firms' flexibility, he added. "We had some luxury for a little time, but the reality is we will not have the flexibility we were able to negotiate for the last couple of years." According to Golkin, rising capital costs will reduce asset prices, and the diminished role of securitized debt funds will also affect private equity sponsors. "All of these things are going to make it a little more difficult for a buyer, or sponsor, to structure a deal in a way that's comfortable. You become more nervous." The industry will return to fundamentals that prevailed three or four years ago, he added. "We're not moving to the Stone Age." The largest limiting factor now is that sellers' expectations have not caught up with the new pricing realities. Golkin noted that as deals collapse in the changing financial environment, the industry is wrestling with the question of what represents a material change in a business that might trigger a breakup fee. For example, is a 10% drop in earnings a material development? The Delaware court system is examining some of these issues, he said. Other questions surround the value of a reverse breakup fee, which takes effect when a buyer walks away from an agreement before it is completed. Private equity sponsors will need to look at the structure of transactions to decide whether the breakup fee will cover the costs of terminating a deal. "I don't think when [breakup fees] were created, people would have predicted that financial markets would disappear," he said. Greg Mondre, managing director of Silver Lake, the technology-focused buyout firm, pointed out that the downturn will make 2008 a more difficult year to exit from investments. Managers of recently acquired companies will need to pay close attention to operating fundamentals because those companies are carrying more leverage than in the past. One advantage for private equity sponsors in this cycle, he added, is that most large-cap buyout firms have built up substantial operating groups with in-house expertise to help companies move through the downturn. "Our ability to actually work with our costs, restructure operations and drive value is a huge added benefit going into a time of economic weakness." The largest limiting factor now is that sellers' expectations have not caught up with the new pricing realities. Private equity sponsors also own better companies than they did in past downturns, Mondre noted. During the most recent period of private equity expansion, sponsors were able to acquire an increased number of large, stable companies with leading market positions than in the past. Those are the types of companies that are best able to weather a soft economy. "In any downturn, it is the leaders that come out with the highest market share and better margins," he said. "The weaker competitors fall by the wayside." New Models and Markets On the investing side of the business, a weak economy creates buying opportunities, Mondre said. "Historically, the best buyout investments have been made coming out of a recessionary period." In the last five years, capital had become a commodity; now, because much of that capital has dried up, private equity funds may play a new role, he noted. Previously, private equity sponsors used war chests raised from limited partners to buy out firms. In the future, that money may be a source of financing for companies that are struggling with balance-sheet problems but do not want to go along with a buyout. "We can structure minority investments, arnessing do acquisition finance and other types of structured transactions that are not the traditional 'going private' that we have seen in the last few years," Mondre said. He added that the consortium, or club, structure may still be valuable in smaller transactions because private equity sponsors can prosper from one another's strengths. "We benefit from some level of humility. We don't think our firm knows everything there is to know," he said. "Having one or two other firms as part of a deal going in from a diligence standpoint, and after the deal's closed for shared governance and shared knowledge, is a very valuable thing for bigger transactions. We actually are happy and okay with taking a little smaller investment to bring in those added skills." "You will see more situations where there is a need for capital, and that's something private equity can provide." Richard Schifter, a partner at Texas Pacific Group (TPG) with expertise in bankruptcy law and corporate restructuring, noted that during the recent private equity boom corporate executives turned to private equity because it could supply capital at lower cost than public financing and allowed management to escape the "limelight" in the post-Enron era of public scrutiny and regulatory reform. Now, he said, those trends no longer shape the market, but private equity can still play a role in corporate financing. "You will see more situations where there is a need for capital, and that's something private equity can provide." Transactions could involve private equity partnerships with strategic buyers, or deals in which companies seek out leverage to avoid giving up equity. "It may be very opportunistic in light of what's going on both in the economy and the financial markets," he said. In fact, some novel transactions have already emerged: In mid-April, Citigroup confirmed a sale of $12 billion in leveraged loans to TPG, the Blackstone Group and Apollo Management — an attempt by the bank to insulate itself from Knowledge@Wharton Wharton Private Equity Review further writedowns on debt, including loans it made previously to fund transactions at all three private equity firms. Recently, sovereign wealth funds, or stateowned investment funds, have begun stepping in to provide capital for struggling companies like Citigroup: In November, the Abu Dhabi Investment Authority, flush with cash thanks to high oil prices, bought a nearly 5% stake in Citigroup to help cover losses from subprime loans and related securities. But while sovereign funds are clearly on the rise, Jordan Hitch, managing director at Bain Capital, said he does not view them as significant competitors for private equity. "They do have capital and certain people who look for investment opportunities," he said, "but not the same capabilities as private equity funds in expertise and global reach." In addition to new transaction structures, buyout firms are looking toward new geographies to cope with the credit crunch. "All the major firms are spending time and energy building investment teams in Asia," said Hitch, who noted that many firms had begun to focus on Europe several years ago. Firms would also likely turn to emerging markets like India, South Africa and Turkey, he added. A Boom for Distressed Investors While the current down cycle has demanded outof-the-box approaches from buyout firms, it has also created ample opportunity for distressed investors seeking to buy up the securities of troubled companies. "There's not enough money out there to deal with all the problems," said Marc Lasry, chairman and chief executive of Avenue Capital Group in New York, who joined a panel discussion on distressed investing at the Wharton conference. "[People] are panicking, and things are getting worse — and the more people who believe that, the better it is for us." In fact, the situation is "unprecedented," according to Maria Boyazny, a New York-based managing director with Siguler Guff. "Over the next year, $500 billion in subprime mortgages are maturing. The cash-debt market gets a lot of press, but even scarier is the $1 trillion in [corporate] leveraged loans that are maturing." Lenders and investors alike are only beginning to grasp the new pricing realities that have resulted from the downturn. Recent chaos in the market has been complicating analysis, Boyanzny said, but some firms may be ignoring the market's signals because they don't like what they're hearing. "Banks are complaining that there are no bids for securities that they have to mark to market," she said. (Under generally accepted accounting principles, publicly traded companies must estimate the market value of their tradable securities each quarter and record that value on their books.) "I'm being told that you can get bids, but you might not like where the bid is. Banks are marking things at 60 [cents on the dollar], where the active bids are 20. People are bidding 50 cents on the dollar for Triple A debt." Many investors are facing rude awakenings when they try to refinance debts or unload downgraded bonds. Lasry recalled one investor who got angry upon being told that the discount he was offering Lasry to buy his bonds wasn't steep enough. "I had to remind him that the market price is what someone will pay you, not what you want to sell for." Partly, investors are working through the necessary but painful process of squeezing out the excesses of the recent real estate and credit bubble, when lenders offered a variety of new types of loans without fully appreciating the risks. Subprime mortgages, the majority of which went to riskier-than-usual borrowers, were among them. So were so-called "covenant-light" loans, which placed few restrictions on corporate borrowers. "The market discounts that lack of covenants," Lasry said. "Those bonds are now trading at huge discounts. Without covenants, I'll pay you 40 or 60 [cents on the dollar] instead of 80." Banks in Europe and Asia were just as loose with their lending standards and equally willing to try unproven products, Boyazny added. As a result, their reckoning could come soon, too. Asian banks might be protected, at least partly, by Asia's economic boom, she noted. A surging economy and rising corporate cash flows can make a banker's rashness look like prudent risk-taking. For buyout firms, though, the rapid downturn in credit markets remains unsettling. "There is a desire by private equity investors to capitalize on the major dislocation," Hitch from Bain Capital said, "but also a fear of not really knowing where the bottom is." F arnessing Private Equity Abroad: Despite the Credit Crunch, Opportunities in Developed Markets Are Waiting With the collapse of credit markets, firms are increasingly willing to tread into unknown territory to find new opportunities abroad. A PricewaterhouseCoopers report on private equity investment (citing Thomson Financial data) noted that international buyers accounted for 23% of all U.S. mergers and acquisitions in the first 11 months of 2007. These cross-border deals totaled $354 billion, up 73% from the 2006 full-year total. an analysis by Montagu found the total of all private equity deals in Europe in 2006 to be $150 billion, compared with the $12 trillion to $13 trillion total value of European stock exchanges. "We're actually a small portion of the European economic environment. In Western Europe, we do have a very attractive, strong private equity industry and I think there's plenty of business to do, particularly in the UK, Germany, France and the Nordic countries." "The U.S. is particularly attractive because the U.S. dollar is at an all-time low," Greg Peterson, a partner in PricewaterhouseCoopers Transaction Services, stated in a press release about the report. "There's plenty of business to do, particularly in the UK, Germany, France and the Nordic countries." Opportunities for investment in Europe and Asia are equally abundant, say private equity experts. Although individual markets have their inherent challenges, adopting a global strategy may be one approach to weathering the current economic slowdown. "There's massive potential for private equity [in Europe]," said Vince O'Brien, director of London-based Montagu Private Equity and immediate past chairman of the British Venture Capital Association. O'Brien, who participated in a panel discussion with other industry experts from Europe and Japan at the 2008 Wharton Private Equity Conference, noted that Knowledge@Wharton Wharton Private Equity Review The London private equity firm 3i, with $16 billion under management, expanded in Europe 10 years ago and now has 60% of its assets outside the United Kingdom. In Asia, it is focused on India, China and Southeast Asia. Patrick Dunne, group communications director, said 3i views Asia as a "triple play." First, Asia represents a chance to make high-growth investments, he noted. Second, 3i has learned through its European portfolio companies that firms in developed countries need access to emerging economies in Asia. Third, he said, Asia is a hot market for exits. Companies that expected to exit private equity ownership in 7 to 10 years are exiting after only a few years amid a "flood" of exits expected to continue in China and Southeast Asia in the next two years. "We have underestimated dramatically how quickly exits would come in Asia," Dunne said. UK investors often question whether taking a minority stake in a Chinese company is "sheer madness," Dunne added, because of corruption and state intervention in markets. On the contrary, his firm has had more problems with flat-out accounting fraud in Germany and Italy than with any problem in China or other Asian nations. "We've made mistakes along the way — some of them hugely entertaining, some less so — but in terms of potential, our continental European business is 40%, and I think Asia has the potential to exceed that quite soon," Dunne said. Hiroshi Nonomiya, representative director and managing director of RHJ International Japan in Tokyo, specializes in industries including automotive parts and financial services, as well as cross-border roll-ups. He said private equity opportunities in the Japanese market are growing as a result of spin-offs from conglomerates that have grown too large to effectively manage their subsidiaries. The biggest challenge in developing private equity deals in Japan, he noted, is persuading CEOs to sell a business unit. CEOs and company presidents are typically capping off careers of 35 years or more and are not interested in upsetting the status quo with a private equity transaction. Compared with their counterparts in the United States and other countries, Japanese executives hold less equity in companies and have less to gain from a leveraged buyout. "In many cases, they want to spend those last two or three years peacefully," Nonomiya said. A Pan-European Approach Colm O'Sullivan, principal with PAI Partners, a pan-European private equity fund spun out of French Banc Paribus in 1999, said his firm has investments spread across nine countries. More than half of the companies PAI looks at operate in more than one country and most are panEuropean or global. "They often have assets in more than one market, but if they are in only one market, I can almost guarantee that over time they will become a pan-European company," he said. Since the introduction of the euro, consolidation in Europe has accelerated, O'Sullivan noted. Still, vendors, management teams and regulators can be very country-specific. A pan-European approach can give private equity firms the ability to both envision an opportunity and put it into motion. To do that, O'Sullivan's firm maintains a matrix organization. "We look at assets right across Europe and across sectors," he said, "and then we have local offices in Madrid, London, Munich and Milan where we try to have the local content, someone who speaks the languages who's an insider in the market locally." This allows the firm to be aware of the regulations and intricacies of doing business in the country, he said. "But also we can see deal opportunities across Europe and opportunities to combine companies, or ways in which we can compete and learn lessons from elsewhere." That approach has provided PAI Partners with insights into France, for example, that not all competitors may have. "The external pessimism about restructuring and redundancies in France is a great barrier to entry to other people coming into our market because we can be more confident about what it will cost and how quickly we can do it in terms of restructuring, closing factories, etc. And so it gives you a certain higher expected value, because you're more certain of the probability of success and what the costs are." A pan-European approach can give private equity firms the ability to both envision an opportunity and put it into motion. The Challenge of France Thierry Timsit, managing partner and cofounder of Astorg Partners, which specializes in midmarket buyouts in France, said France is often depicted as one of the most difficult European markets to address for foreigners. "We don't speak English. We hate capitalism and globalization. We love smelly cheeses and our president [is married to] a top Italian model. This is not easy to address for Anglo-Saxon investors." According to Timsit, France has a large number of family businesses spawned by post-World War II entrepreneurs who are having trouble with succession plans and would like to find a way to liquidate at least some of their equity. Half of Astorg's business is with family-owned firms, with owners reinvesting 25% to 49% of the firm's value, he said. arnessing 8 8 Another strong market is spin-offs from large corporations that were created by the government from the 1950s through the 1990s and that are now being turned over to private investment. "That has created bread and butter for private equity players stripping out these large corporates," Timsit said. He noted that it is more difficult to take public companies private in France than in the United States because of tax rules and other regulations. For example, to deduct interest on loans, private equity sponsors must control 95% of the target firm. In addition, conditional offers are not permitted. Timsit acknowledged that French companies are required to offer rich benefits and protections to labor, but at least those costs are clear to acquirers, he said. "When you know that in advance, it's not going to get any worse. The only way it will move is to get better." Proprietary Deals When it comes to deal sourcing in Europe and other developed markets, proprietary deals seem to be a thing of the past — or at least fraught with hidden complexity. "First of all," Timsit said, "no deal is proprietary. I mean the only proprietary deal is the vendor. Anyone can claim they own the deal, but the real owner is the owner of the company." Where proprietary deals do exist, Timsit said, often complications exist, too. Timsit's firm concentrates on "complex situations where we have conflicting shareholders or regulatory hurdles which are very French-specific, or virtually no free cash flow or very poor bankability of the deal. In these situations, you sometimes find a proprietary deal or deals where the owner is ready to talk to you without an investment bank." Even so, he said, the owner is going to talk to someone else to see whether he's getting a fair price. "In that case, he normally continues with you if you've been fair," Timsit said. Montagu's O'Brien said another sourcing strategy was to groom prospects. "All of our origination effort is actually targeted at the CEO of a large Knowledge@Wharton Wharton Private Equity Review subsidiary who perhaps is running a good one day." The strategy has paid off a few times. company and perhaps we think may be non-core "We've found CEOs, we've gone to vendors —usually private groups — and we've caught them at just the right time. They've said, 'Well, if you can do it in eight weeks, you can have it.' But it's rare." More straightforward situations usually mean competition. "If you're chasing plain-vanilla deals," Timsit said, "it gets very much intermediated, and [there are] no proprietary deals." Effects of the Credit Crisis The credit crisis is being felt differently around the world. In Japan, the impact has not been so harsh, because the economy did not participate as much as other nations in the recent boom, Nonomiya said. "Fortunately or unfortunately, Japanese banks were not so invested in subprime products." Japanese banks are still aggressive in debt financing, but "if we look for much bigger deals with international banks, then we have limitations." He noted that many Japanese companies are highly leveraged. Timsit said European loan default rates are at historic lows of less than 2%, although the cost of debt is rising. His firm has financed two deals since the credit crisis erupted and the banks involved in those transactions have demanded more due diligence than they had beforehand. "It's going to be a more lengthy process to get debt. The cost of debt is rising, but we're coming from a point in Europe that was much lower than in the U.S," he said. According to Dunne, the contraction in credit markets has had a chilling effect on large transactions in Europe, but mid-market deals are still being financed. He said broader economic weakness that may result from the credit squeeze is a bigger concern. "The big influence that no one is actually near estimating is the macro impact of this. The price of debt is one thing, but actually two-thirds of the business is in earnings growth," he said. "We're more interested in the price of earnings than the price of debt." F Will Changes in Taxation Affect the Competitiveness of U.S. Private Equity? Supreme Court Justice John Marshall famously declared that the power to tax is the power to destroy. At the 2008 Wharton Private Equity Conference, industry experts invoked Marshall in spirit, if not in name. The typically tedious topic of taxes sparked a lively — and occasionally acid — debate among members of a conference panel titled, "The Impact of the U.S. Tax and Legal Environment on Private Capital Competitiveness." According to some industry experts, U.S. congressional proposals to raise taxes on their industry could hurt it significantly, and perhaps even force it to move offshore. Given the forthcoming U.S. elections and the likelihood of a broader tax discussion next year, the debate on carried interest may be moot for the moment, but the panelists agreed that it's a hot-button issue. "Carried interest" refers to the portion of a private equity fund's profits that the fund manager receives. In the common "2 and 20" arrangement, for example, the manager typically gets payouts of 2% of the capital committed to the fund as a management fee, as well as 20% of the fund's capital gains as carried interest. Since Congress lowered the tax rate on capital gains to 15% in the 1990s, carried interest has been taxed at that rate, instead of the higher tax rate for ordinary income. Critics say that's inappropriate because private equity managers don't have to risk their own money to receive their share of the profits. Thus, the argument goes, they're being compensated for their services and should be taxed at the ordinary income tax rate. (Private equity managers can invest in the investment pools that they manage. When they do, the return on this money is taxed, without controversy, at the capital gains rate.) Last year, Congress proposed taxing carried interest at the ordinary income tax rate, typically 35% for high earners. Not surprisingly, that set off a firestorm of protest in the private equity industry. Mark Heesen, president of the National Venture Capital Association, summarized the industry's point of view. "Historically, the Treasury Department and the IRS have said that carried interest is considered capital gains," he said. "I've worked with the Treasury on many issues, and never was there any talk about this being a faulty premise. Then you fast forward to today, and you hear these arguments that all we do is provide a service, and our pay should be exactly like a janitor's pay. But we're more akin to founders and owners of companies than employees." Last year, Congress proposed taxing carried interest at the ordinary income tax rate, typically 35% for high earners. Owners or Employees? Charles Kingson, a lecturer at the University of Pennsylvania's law school, said that legal logic contradicted the industry's position. "Carried interest treatment implies you have an interest arnessing in the property," he said. "The fact that your compensation is measured by the size of an asset doesn't mean that you own that asset. A jockey who gets 10% of a purse doesn't own the horse." Instead of being paid for the use of their capital, as owners are, private equity managers get compensated for their "skill and knowledge," Kingson said. They typically manage other people's money, not their own, so they're more akin to employees than entrepreneurs. "It's like comparing a newspaper reporter to J.K. Rowling," author of the Harry Potter books, he said. "When J.K. Rowling writes a book, she carries all of the risk. When a newspaper reporter writes a story, his paper carries the risk, and he's paid for his services — just like a private equity fund manager should be." Legal considerations aside, changing the taxation of private equity could hurt one of the most vital sectors of the economy, one panelist said. Private equity managers also fail another legal test, he argued. When they sell a company in their portfolio, they're not selling goodwill — that is, intangible assets like reputation and customer relationships — that they have created in their business. "Look at the guy who owns a hardware store," he said. "If he sells out, he'll get capitalgains treatment because he created the goodwill. He's selling his intangible assets in a one-shot deal and packing up for Florida. Fund managers aren't selling their goodwill. They're continuing to use their goodwill." Tom Bell, a New York-based partner with the law firm Simpson, Thacher & Bartlett, argued that the role of private equity managers wasn't as clear-cut as Kingson portrayed it. They don't simply sell their skills the way a lawyer or doctor does, he said. Instead, they're entrepreneurs who contribute sweat equity to the betterment and, ultimately, profitability of the companies in their portfolios. "If you and I set up a company and I contribute sweat equity, I'll get capital gains when the asset is sold," he pointed out. Knowledge@Wharton Wharton Private Equity Review Legal considerations aside, changing the taxation of private equity could hurt one of the most vital sectors of the economy, he said. "In most of the rest of the world, the taxation is lower for carried interest. It's lower in the UK and Germany. In a globalized economy, where will the profits go [if these proposals are enacted]?" Firms and their professionals would migrate rather than pay steeply higher levies in the United States, he suggested. Bell also questioned lawmakers' motivation in trying to raise taxes on private equity firms. "Members of Congress who are making these proposals aren't trying to do neutral tax policy," he said. "They're trying to nail one group." An Industry under Scrutiny The private equity industry has come under scrutiny lately because of the wealth of some of its best-known practitioners and because of political concerns over growing income inequality. Stephen Schwarzman, billionaire chairman of The Blackstone Group, for example, became a lightning rod after throwing himself a lavish birthday party in New York last year. The red-carpet bash, reported to have cost more than $3 million, included a private concert by Rod Stewart. Schwarzman's firm went public last year in a deal that netted him more than $600 million in cash and valued his stake at more than $5 billion at the time of the transaction. (Blackstone shares have since fallen.) Some politicians, perhaps trying to stir populist passions, have complained of a new Gilded Age in which financiers like Schwarzman potentially pocket hundreds of millions for making private equity deals while working people worry about stagnating paychecks. Kingson, for one, was sympathetic to the populist perspective. "The idea that the buyout people think that they should be favored by the tax law is incredible," he said. "They make a lot of money by savaging the tax law." He also took issue with the notion that higher taxes would push private equity firms abroad. "In 1963, the top tax rate was 91% and people still wanted to become lawyers. Tax is a factor in economic decisions, but it's not determinative." Jeff Peck, chairman of Johnson, Madigan, Peck, Boland & Stewart, a Washington lobbying firm, pointed out that, for now, the debate over carried interest is probably moot. After threatening higher taxes last year, Congress chose not to act, giving the industry a reprieve. Legislators probably won't move forward with a carriedinterest measure this year because of the election, he said. The earliest that they would revisit the issue would be 2009. By then, "you're going to see a new president and probably larger Democratic majorities in both houses of Congress," he predicted. Chances are, the Democrats will then want to pursue broad-based taxation changes modeled after, say, the Tax Reform Act of 1986 in which Congress lowered tax rates in all income brackets by removing a raft of loopholes. "We're past the point of carried interest being a solo tax issue," he said. "It will be caught up in the larger tax reform debate." Heesen, of the Venture Capital Association, agreed that the industry had been spared for now. "Congress is looking at a stimulus package [for the economy] right now, so they're not going to destimulate venture capital and buyouts. It's very difficult to see them taking up a carriedinterest provision in 2008 because of the election and the stimulus package." F "We're past the point of carried interest being a solo tax issue. It will be caught up in the larger tax reform debate." arnessing Setting up Shop: What Does It Take to Establish a Private Equity Firm in Today's Market? Establishing a private equity fund as a founding partner is the objective of thousands of practitioners across the industry. For the fortunate few, success has involved talent, good timing and perseverance combined with industry growth that has supported the entry of new firms. With the market continuing to mature, what are the hurdles, and what will it take to successfully start a private equity shop going forward? A leading private equity fundraising advisor and two leading investors with extensive experience advising and backing new private equity firms discussed these issues with members of the Wharton Private Equity Club (WPEC). Most spin-outs today are the result of younger partners developing into full partners with the desire to have more of the carry and more influence within their respective firms. Greg Myers is managing director of the Private Fund Advisory Group at Lazard & Co. He has 12 years of experience advising private equity firms across Europe, the United States and Asia on fundraising transactions. Currently based in London, Myers is responsible for Lazard's European and Asian fundraising origination and execution activities. Mike Pilson is director of Private Equities at DuPont Capital Management. He has 12 years' Knowledge@Wharton Wharton Private Equity Review experience in private equity fund investment and investment banking. Pilson currently oversees a $3 billion portfolio comprising over 100 private equity fund interests. Rick Slocum (WG'85) is director of Private Investments at the Robert Wood Johnson Foundation. Slocum has 27 years of experience across private equity fund investment, direct investment and investment banking and was most recently senior director of investments at the University of Pennsylvania. He currently oversees a $2.5 billion portfolio in commitments with investments in private equity, venture capital, growth equity, distressed investing, opportunistic credit and real assets. WPEC: In your experience, what are the different profiles of new private equity firms, and what motivates new general partner teams to set up shop? MP: New private equity firms typically come in one of a few forms today. First, a spin-out of a sub-group of partners from an existing firm — for example, West Hill, a recent spin-out from the established U.S. buyout firm J.W. Childs. Second, a spin-out of a group of partners from different firms that have teamed up, such as Vitruvian Partners, a European private equity firm that was established last year by ex-Apax, BC Partners and Bridgepoint investment professionals. Third, a new firm formed by individuals that have been practicing private equity-like investing in a nonfund format, such as Intervale Capital, which was started recently by Charles Cherington and Curtis Huff. In each scenario, the motivations are different but the goals the same: to have your own shop — one where you have designed the investment process, strategy, and team economic structure to achieve the best team-based decision making, cohesiveness, transparency and, ultimately, the best returns. Most spin-outs today are the result of younger partners developing into full partners with the desire to have more of the carry and more influence within their respective firms. GM: Another major profile of a new firm that can attract institutional investor funding is a spinoff from a bank. Merchant banking spinouts are often driven by strategic change in the mother organization; for example, issues with conflicts of interest or balance sheet risk considerations. Metalmark Capital, for example was spun out of Morgan Stanley in 2004. The firm went on to be acquired by Citigroup in 2007 as the bank made a strategic decision to rebuild its exposure to the private equity business. The second motivating factor is similar to the private equity firm dynamics Mike describes. Either the whole investment team, or a subset, seeks independence from the mother organization for reasons including economics and ability to form and execute an investment strategy independently. RS: I think that Mike and Greg have provided a good summary of many of the motivations one sees in forming new private equity firms. Another format I've seen includes an ex-CEO or CEOs getting together to form a new fund, sometimes with sponsorship from an established group. Operational expertise, particularly when combined with investment experience, can be an attractive format. Also, new areas for investment — for example, private equity real estate investing in India — will attract investors who may have skills in other markets that they believe can be applied in new locations. WPEC: Private equity has emerged as an asset class of its own over the last 25 years. Historically, what has driven the demand for investing in funds advised by new firms? In your opinion, are the same demand factors driving the market for new opportunities today? RS: If you go back to the 1980s, buyout funds could be established to exploit the inefficiencies in both the financing markets and the corporate sale process. Auctions were less frequent for awhile, while the idea of buying companies with significant leverage was pretty novel. As a result, professionals with strong financial skills and good access to Wall Street could raise funds to exploit financing inefficiencies. Strong returns could be generated by successfully cutting costs and reducing leverage of strong cash-flowing entities. Today's market is much different, and, at least in the U.S. and now Europe, is looking for strong operational and businessbuilding skills. In addition, popular investing themes — where skill sets might be somewhat different — include investing in the emerging markets and in real assets. The new wave of firms will be driven by the next generation of private equity firm partners — newly energized and highly aligned, and with innovative ideas for embracing new market opportunities. MP: Private equity has emerged from a cottage industry into a fully fledged asset class over the past 25 years. The driving reason is the consistent alpha generation to institutional investors as a result of market inefficiencies left by other investment and ownership models that private equity addresses. Historically new firm creation was driven by the "new new thing". The new investment idea — for example, industry-specific, buy-and-build, or operationally focused funds — or the ability to back a new star investor, for example, J.C. Flowers in 2002 after he left Goldman Sachs, or new geographies — for example, the emergence of Europe, Latin America, and Asia. As the market matured, the number of ideas has grown exponentially. I believe the same forces continue to drive the growth of private equity today. Investors will continue to look for the new new thing. GM: After years of rapid growth, I believe that we are now at an inflection point in the industry. Many established shops are maturing with potential team succession issues looming. Simultaneously, institutional investor allocation to new managers has decreased as relationships arnessing with established managers have matured. The new wave of firms will be driven by the next generation of private equity firm partners — newly energized and highly aligned, and with innovative ideas for embracing new market opportunities. Silver Lake is a good example: Formed in 1999 by partners from private equity and technology backgrounds, the firm identified the opportunity in the technology sector early. Success in this strategy attracted significant institutional investor interest, helping the firm become among the largest new players in the industry. WPEC: The last few years have been strong for overall fundraising in the developed markets of the U.S. and Western Europe. What are the primary challenges for new firms fundraising in these developed markets? How have these challenges been overcome? Over the next couple of years, raising capital will be tougher, particularly for new funds. GM: In the developed markets, much of the dramatic headline-grabbing increases in fund sizes have been driven by market tenure and institutionalization of incumbent firms. Many have built 20-year-plus track records, proving the capabilities of their teams and rigor of their investment processes. This has assisted with establishing brands and reputations with both fund investors and markets for sourcing and financing investments, which is pivotal for raising and deploying capital. Team sizes have grown as roles have specialized to capitalize on the breadth of and competition for a range of investment opportunities across sectors and regions. At the same time, established firms have been able to stem team turnover by vesting members with carry. In short, many of the early investment strategy and organization risks posed to fund investors have been mitigated while returns have remained, allowing these firms to attract larger portions of available funding. Overall, given the opportunity set of proven and established managers, the bar for new firms is high. Knowledge@Wharton Wharton Private Equity Review RS: The last few years have broken records in terms of fundraising. Over the next couple of years, raising capital will be tougher, particularly for new funds. The new funds that will be successful will have many of the following attributes: strong principals who have invested successfully someplace else before; high integrity; a demonstrated ability to work together as a team; a strong alignment of interests between the principals of the GP and the LPs, which should include a strong personal financial commitment to the fund and back-ended carry (where the GP receives a profit share only once the fund as a whole begins to make a profit, rather than as soon as the first investment makes a profit); some sort of edge the team has to differentiate itself; a good combination of operating and financing skills; and probably a theme, such as distressed investing, consistent with the world as we know it today. MP: The current fundraising environment in the U.S. and Europe is particularly difficult for new firms. LP capital is directed increasingly to re-investments in subsequent funds of GPs with whom the LPs already invest. Thus, there is simply less capital for new relationships and new firms. Compounding this will be overall lack of risk appetite among LPs in an uncertain economy and investment environment. The goal for a new manager should be to gain the attention of LPs in an otherwise crowded fundraising market. This may be accomplished by being very attentive to terms, structure and possibly offering a co-investment in a portfolio company or a secondary fund interest as a means of jumpstarting the relationship. WPEC: Everyone is talking about emerging private equity markets such as China and India. Are these any more favorable for new fund managers looking to establish private equity funds? In your opinion, in which other countries is there a particularly interesting opportunity for new groups? MP: China and India have dominated the private equity discussion for the past three years. Significant amounts of capital have been raised in those markets by all types of fund managers. Most of these managers have at least one thing in common: they did not exist five years ago. Institutional LPs have been very accepting of new managers from this region, many of which have demonstrated strong networks and or businessbuilding skills. These characteristics represent the bare minimum skill-set expected in mature markets. However, LPs are looking for a means to gain exposure to these developing markets that have double the underlying growth and a relatively less-competitive private equity environment. RS: These markets are much more favorable for new fund managers looking to establish themselves. China and India will be developing for quite some time, and managers with relevant skills can certainly still form funds. We also believe that the skill set required to be successful in these markets will evolve over time, but that they are often quite different from skills required in the U.S. or Europe. As for other countries, Brazil and Russia are the two largest scalable countries, but we see opportunities in Eastern Europe as well. Growth capital funds have been forming in the Middle East, too, though we worry that this region may actually have too much capital already. GM: Fewer established competitors and an imbalance of the supply of capital and availability of compelling investment opportunities make early entry to some of the emerging markets favorable. Typically, the profiles of new shops are either experienced investors returning home from developed markets, or well-connected local individuals from banking or industry backgrounds. Both profiles of new shops will face the challenge of limited or no track record in the target region and in some cases may also face the challenge of very limited market activity to point to, purely due to the stage of market development. Selling the market and investment thesis then becomes a major challenge when approaching institutional fund investors. We find that, as a result, these opportunities are funded by investors who are able to analyze the risks and take a long-term view — typically endowments, fund-of-funds, hedge funds and other thought-leading institutions. WPEC: What are the most important factors that you evaluate when underwriting "first fund" opportunities? Do these factors differ, if at all, from your analysis of established players? MP: The single most important factor while assessing a first-time fund is a differentiated strategy. While the strategy is not the only factor to be considered, it is a nonstarter if the strategy is a "plain vanilla" LBO or a similar, "me-too" approach. As there is more firm or partnership risk with a first-time fund, the question with these strategies is: Why take on the perceived extra risk for a non-differentiated strategy? In addition to strategy, the analysis for first-time funds is often centered on deal attribution, who did what at the previous firm, strength of team and how they worked together in the past, terms and alignment of interest. Established players, on the other hand, may be evaluated more on team, track record, investment strategy and organizational dynamics. Fewer established competitors and an imbalance of the supply of capital and availability of compelling investment opportunities make early entry to some of the emerging markets favorable. GM: There are a number of due diligence items that we emphasize when we evaluate a client on a potential first-time-fund assignment. The first is investment team chemistry. In addition to demonstrating that they can work together — perhaps through overlapping prior backgrounds — do they have the conviction and passion to weather a fund raise and establish an independent enterprise? Deal flow visibility is also very important. In the new setting, we want to be sure that the manager will be able to source attractive investments that are consistent with their thesis and the expertise demonstrated by the prior track record. Then, as a placement agent, investor demand is also key — we want to have foresight on market demand before taking on an assignment. WPEC: At the time of going to press, the LBO markets were challenging due to the credit crunch. Comment on the current market environment for fundraising/investing in private equity funds. Has this, or is this expected to impact the fundraising market for first-time funds? arnessing GM: The market events of August 2007 ended a robust 2003-2007 fundraising cycle. Currently, sentiment is one of caution. Thematically, investors are seeking counter-cyclical and risk-mediating investment strategies, such as distressed/turnaround and mezzanine. At the same time, investors recognize that their 2001-2003 fund investments outperformed due to the market conditions. Now may be a time to replicate those strong vintages, particularly by backing managers that have a history of investing successfully through the cycle. On balance, firsttime fundraising difficulty does increase, but is by no means impossible. Expectations should be to achieve a reasonable fund size adequate to execute the stated strategy. The emphasis on having a strong institutional investor base increases because these are the partners you can rely on to remain supportive if you exhaust available capital in a short time period. The key word in the limited partnership agreement…is "partnership." RS: In the current market, individuals with, for example, good distressed investing skills will have an easier time of fundraising than traditional buyout investors. There may be room for firsttime energy sector investors in this market, and certain areas in venture capital, such as clean tech investing, should have some success. First-time funds that require leverage will have problems, as there is a distinct possibility that the current buyout industry could suffer a shakeout. In all cases, however, individuals will need to have developed real expertise someplace else first — don't try to raise a first-time fund unless you've invested before and have a verifiable track record. MP: Without question, the current environment has limited both the fundraising and investing activities for many private equity strategies. However, there are opportunities in every market. Specialized strategies that take advantage of the current environment should be of interest. For example, mortgages, financial services or distress and restructuring. Likewise, investors that target smaller companies where some leverage may still be available could have success raising Knowledge@Wharton Wharton Private Equity Review capital. However, I agree with Rick: New GPs should think long and hard about entering this market without a well-differentiated strategy. WPEC: What are the current economic and governance terms for new general partners raising private equity funds, and where are the hot-buttons that help them gain traction? MP: The key word in the limited partnership agreement — the contract between fund investors and the private equity firm — is "partnership." With first-time fund managers, we always look for a fair but reasonable agreement. Governance is an important element when we assess a partnership agreement. We like to see, at minimum, a strong key-man and a no-fault divorce (LP consensus termination) clause. We like to see the first-time manager address the firm risk elements — such as the potential for team misalignment or even departures — proactively in the agreement as a sign of good faith and a demonstration of the appreciation of the LPs' perspective when underwriting a first-time fund. Additionally, strong governance clauses give LPs some comfort with first-time funds, as the conventional wisdom is that a 10-year fund life can be more volatile than the same 10 years at an established firm. GM: Economic alignment of interests is central to structuring private equity funds, and due to the uncertainties of backing a new organization, the emphasis on this increases for new shops. New fund managers will generally be beholden to the market on many terms — 2% management fee and 20% carried interest, for example. Team monetary commitment to the fund acts as a very important signal to investors. This is currently at least 2% of the fund, and often more to match an absolute quantum that is perceived as "meaningful." The other consideration, which is often a temptation for first-time-funds, is favorable economic or governance incentives to certain "cornerstone" investors. These arrangements should be approached with caution as they often represent considerable hurdles for other investors due to potential conflicts of interest. RS: Alignment of interests is imperative. We would look to make sure that the management fees generated from the fund are enough to meet a reasonable operating budget for the fund, but would then require a "back-ended" carry structure. As for the size of the GP's commitment, we would take into account the liquid net worth of the principals, which may allow for a lower threshold than Greg's figures. As for governance, sponsorship by a bank or other financial institution can be a "mixed bag." For example, a motive of a fund established by an investment bank could be to facilitate banking fees — maybe, maybe not. First-time funds often need to accept commitments from wherever they can get them. Some LPs will look at the composition of the LP base to figure out if their interests are aligned with other investors. Insurance companies may put capital into a fund really to facilitate debt transactions. Who controls the investment decision — are certain LPs on the investment committee? — is an important thing to consider with a first-time fund. WPEC: What is your parting advice for budding general partners aspiring to set up their own shops eventually? RS: Having worked on both the buy side and the sell side, I would recommend that you look in the mirror and try to figure out what is really important to you before deciding you want to do this. It can be done, but raising a first-time fund will likely be a very long and gruelling process. To be successful, work someplace else first — another PE firm ideally, or perhaps as part of a bank or merchant bank — develop a meaningful track record, try to develop strong relationships with LPs and/or angel investors — anyone who you think may support you (and provide good references). Understand that many of the LP's who invest regularly already have mature investment portfolios and are not in need of many first-time funds in their portfolio. GM: Timing vis-a-vis the development of your track record is extremely important. You should be able to show that you have led a few investments through sourcing, structuring and creating value to profitable exit realization. These investments should also demonstrate consistency with the investment strategy and differentiation of the new organization. Ideally, the details of your track record should be portable to the new firm setting. You should also have a range of supportive references on hand — for example, portfolio company management teams, professional services providers who have worked with you and colleagues from your prior organization. Finally, bear in mind that institutional investors typically look for multifund relationships. A clear vision for the new shop over the short-, medium- and long-term is therefore key. MP: My additional advice would be to network with established LPs prior to setting out on your own. The more input one can get on strategy, team composition, terms and other organizational elements, the better one can position the new firm. However, you must be open to feedback. This is also a good way to build relationships and get real feedback from the institutional investor base. F arnessing Carlyle Group's David Rubenstein: 'The Greatest Period for Private Equity Is Probably Ahead of Us' David Rubenstein is co-founder and managing director of The Carlyle Group, the Washington, D.C.-based private equity firm with more than $70 billion in assets under management. In March, members of the Wharton Private Equity Club (WPEC) interviewed Rubenstein about the ongoing credit crisis, the industry outlook, the rise of sovereign wealth funds, and why private equity is "one of the greatest exports of the United States." An edited version of the conversation appears below. the private equity firms in places such as China or India where leverage in many private equity transactions is not quite as important. It's clear that some of the greatest growth opportunities for private equity moving forward are in China and India and other so-called emerging markets. And as a result, more and more firms will begin to invest overseas. WPEC: How would you describe the near-term outlook and long-term projections for the private equity industry? Some of the greatest growth opportunities for private equity moving forward are in China and India and other so-called emerging markets. Rubenstein: From 2002 to mid 2007, you saw the Golden Age of private equity. Now we're in a period that is the post-Golden Age. During this period of time, probably for the next year or so, you'll see much smaller deals done. The large deals won't get done because there's nobody to syndicate those deals. Secondly, you'll see non-levered deals where people take minority stakes but they don't use leverage as much. And you'll see much more overseas activity from Knowledge@Wharton Wharton Private Equity Review But once this period is over, once the debt on the books of the banks is sold and new lending starts, I think you'll see the private equity industry coming back in what I call the Platinum Age — better than it's ever been before. What you'll find is that private equity will continue to attract enormous amounts of equity since the rates of return have been consistent and better than anything else you can legally do with your money. And as a result, I think the private equity world will grow even stronger. You'll see more people getting in — individual investors as well as institutional investors from all over the world. I also think that private equity firms will grow to be much larger organizations than they are today. And most will probably become public institutions. Of course, not all PE firms will be public institutions. There will be enormous opportunities for new firms to get started. But I do think that the private equity industry has a great future and that the greatest period for private equity is probably ahead of us. WPEC: Is the current credit crunch a secular or cyclic trend? Will leverage for buyouts return in time for LPs and professionals to stay with the industry? Rubenstein: The last downturn we had in the U.S. was in 2000-2001. It took roughly three years for leveraged loan volumes to match their previous highs after 2000. And those three years were challenging for private equity investors. In 2001 and 2002, U.S. leveraged loan issuance fell to approximately a third of its 1998 total. But when the recovery came, it exceeded all expectations. Leveraged loan issuance more than doubled between 2002 and 2004 and again between 2004 and 2006. Issuance jumped 20 times between 2001 and 2007. So if you look at these trends you can see a clear cyclic element. WPEC: You have said the PE industry is in its "purgatory phase." How do you suggest the industry atone for its sins? Rubenstein: Many people in our business, including me, have not done a good job of explaining what the business is all about. Historically, when I would go raise money from people, I would say here's my rate of return. And if they liked the rate of return, they would invest more money with us. But nobody ever asked me when I was raising money all around the world, "How many jobs have you created? How many factories have you built? What's the quality of care that you're giving to workers in your companies? How many charitable contributions are you making? And what kind of taxes are you paying?" We didn't really have that information. Our whole industry didn't really have it. And now we recognize that if we're going to be able to function the way we want, we have to be much more aware of the labor unions, the consumer groups, Congress, the media. We have to do a much better job of explaining what private equity does and why it makes companies more efficient. And so during this period of time, I think the private equity industry will spend much more time doing that, and much more time explaining to people how we create value, why we deserve to get compensated the way we get compensated, and why it is a good thing for our economy. We need to do a better job overseas as well, explaining to countries why allowing an American investor to buy something in their country is actually good and will propel their economy forward and ultimately make their companies more efficient. WPEC: In a 2006 Forbes magazine article titled, "Private Inequity," the authors wrote that buyout executives "don't make their fortunes by discovering new drugs, writing software, or creating retail chains; they make their money by trading existing assets." How should the PE industry respond to such criticisms? Rubenstein: When I was in the White House, it was generally thought that Japan would overtake the United States as a dominant economy in the world. This was in the late 1970s and early 1980s. And that didn't happen. Why didn't it happen? Well, the Japanese system wasn't as efficient as people thought at the time, but in the United States, we had become a little flabby in our economy. And we began to retool ourselves. Now, private equity doesn't deserve all the credit for it, but the techniques that private equity developed have helped to make companies more efficient. They do make workers more motivated and they do produce the kind of returns that I think enable the system to move forward and be a very efficient engineer of capitalism. This is what the data shows. If you give a manager a large piece of a business, if you have people who are investing in the business…and if you can operate in a private setting to a large extent, you can create value. And by the way, private equity is one of the greatest exports of the United States. We have very few businesses in the United States right now where we're the dominant force in the world. We are the dominant leader in the world in private equity. If you take the 10 best known and largest private equity firms in the world, I think eight or nine of them are United States-based. That probably won't continue forever. But I do think the private equity industry will thrive and will prosper in part because the returns are so good and because the value creation techniques actually work. It turns out that if you give a manager a large piece of a business, if you have people who are investing in the business, putting arnessing their own money at risk, and if you can operate in a private setting to a large extent, you can create value. And we need to do a better job of explaining that to a wider audience. WPEC: Should people invest in private equity now? Rubenstein: The truth is that when you are in economic turmoil or when it's harder to find financing, those are historically the periods when the best private equity deals have been done. If you go back and look over the last 20 years and check when the best deals were done and when the best returns were generated, it was actually in periods like this. So it's a very good time to invest. I think one of the problems right now is that we still have a denial phase [among sellers]. As values have come down a bit, a lot of the sellers are saying, "I think my company was worth X. Now it's only worth 80% of X. So I'll wait for awhile." And sellers are probably going to take six to nine months before they realize it's not coming back to X anytime soon and so they probably will sell. But once we're through that, I think we'll see some extraordinary deals and extraordinary returns generated for investors. When you are in economic turmoil or when it's harder to find financing, those are historically the periods when the best private equity deals have been done. WPEC: Do you see sovereign wealth funds replacing PE firms as preferred sources of capital for corporations looking for new capital? Rubenstein: Sovereign wealth funds have purchased substantial equity stakes in several alternative asset managers over the last few years. China Investment Corp. invested $3 billion in Blackstone, and Abu Dhabi's Mubadala [Development Company] invested $1.4 billion in Carlyle. Dubai International Capital invested $1.3 billion in Och-Ziff. They are among the private Knowledge@Wharton Wharton Private Equity Review equity industry's largest individual investors and they manage enormous amounts of money. In the future, sovereign wealth funds and private equity firms are likely to pursue large investment opportunities through joint ventures. Sovereign wealth funds will benefit from PE firms' deep pools of investment talent and deal expertise. I think the relationship will be collaborative rather than competitive to a large extent. WPEC: What are some of the factors that you think have been responsible for Carlyle's success over the last 20 years since you founded the firm? Rubenstein: When we started Carlyle, it used to be the case that you were in the buyout business or the venture business or the real estate business or something that was very specific. We came up with the idea that you could be in multiple businesses and have multiple funds. We now have about 60 of them. And we also, as part of this, came up with the idea of doing this around the world and so we've made it a global business. It's now at the point where we have about a thousand people and about 550 investment professionals. We've had a 26% net internal rate of return on realized corporate investments over 20 years, which is a good track record. WPEC: Is private equity still a good industry for young professionals launching their careers? Rubenstein: The phrase "private equity" hadn't been invented in 1987 when I helped start Carlyle. Today, I think it is a great industry for young professionals because you learn the business of being responsible for something. You learn the business and the idea of actually having accountability. You are not just an agent for somebody else. You're really making something happen. And the beauty of the business is that once you learn how to make investments, once you learn how to oversee companies, once you learn how to work with management, you can do it from anywhere. With investment banking, although it's a great business, you generally have to be in the large cities. But with private equity, you can do it almost from anywhere and you can start your own business. So if you specialize, develop knowledge in one industry, you can make a great success of yourself and ultimately find it emotionally and physically and financially rewarding. I hope all of you will, as you build your careers, always think about the society in which you live and the communities in which you live and always try to give something back to your community as well as something to your own family. F arnessing Wharton Private Equity Review Harnessing the Winds of Change http://knowledge.wharton.upenn.edu http://knowledge.wharton.upenn.edu
HotMatch Results for OEAI 2012 Thanh Tung Dang, Alexander Gabriel, Sven Hertling, Philipp Roskosch, Marcel Wlotzka, Jan Ruben Zilke, Frederik Janssen, and Heiko Paulheim Technische Universit¨at Darmstadt {janssen,email@example.com Abstract. HotMatch is a multi-strategy matcher developed by a group of students at Technische Universit¨at Darmstadt in the course of a hands-on training. It implements various matching strategies. The tool version submitted to OAEI 2012 combines different basic matching strategies, both element-based and structure-based, and a set of ﬁlters for removing faulty mappings. 1 Presentation of the system 1.1 State, purpose, general statement HotMatch 1 has been developed by a group of students in the course of a semantic web hands-on training conducted at TU Darmstadt. The students were asked to develop and implement different matching algorithms. For OAEI 2012, we have combined a large number of those matching algorithms into one tool. To give an overview of our approaches, all matchers are depicted in ﬁgure 1. In contrast to matchers, ﬁlters are used to remove mapping elements found by previous matchers. 1.2 Speciﬁc techniques used HotMatch provides a library of different matching algorithms and ﬁlters. Matching Algorithms ElementStringMatcher is a simple string-based, element-level matcher on the element level. All labels, URI fragments and comments are extracted and tokenized. As a second step some stopwords are removed. To get a similary measure of two concepts, a cross product of labels, fragments and comments is calculated with the Damerau–Levenshtein distance. GraphbasedUseClassMatcher is a graph based matcher. It operates on the structural level and needs some input alignment to have an initial mapping between classes. Figure 2 gives an example of the mapping candidates. The properties X and Y are matched if the domain and range are equals respectively are aligned with a previous matcher. The conﬁdence of the new mapping between the two Properties is the mean value between the conﬁdence of mapping A to C and B to D. 1 For Hands-on training matcher . GraphbasedUsePropertyMatcher is a modiﬁcation of GraphbasedUseClassMatcher It uses properties from previous alignments instead of classes. If a property is matched from previous approaches, then the domain and range are also matched in a new alignment, inheriting the conﬁdence mapping between the properties. SimilarityFlooding implements the structural similarity ﬂooding matching algorithm described in [3]. FlowerMatcher is a matching algorithm which combines a structural and an elementbased approach. For each ontology class, its neighborhood (super and subclasses, properties that this class is a domain or range of) are regarded. From the names and labels of all the concepts in the neighborhood, a joint set of trigrams is computed. These sets are compared for determining the class similarity. ModelbasedMatcher checks currently only if the union of the two ontologies plus the input mappings is valid. The implementation uses the pellet reasoner. In the future, this matcher is supposed to add extra mappings derived by reasoning, as well discard mappings that generate a contradiction. DistributionSynonymMatcher and WikipediaCorpusMatcher are matchers using external resources, i.e., the online API lanes 2 . The distribution synonym matcher tries to identify synonyms based on distributional similarity, i.e., the similarity of the context in which two words occur [1]. The Wikipedia corpus matcher computes the percentage of Wikipedia pages on which two terms co-occur (similar to the approach discussed in [2]). SynonymMatcher uses the online thesaurus Big Huge Thesaurus 3 to ﬁnd mappings between concepts. Filters OriginalHostsFilter extracts the major host component of the input ontologies' URIs. If an alignment has other URI hosts than the major one, this alignment is removed. The remaining mappings are not changed. This ﬁlter is necessary, because an alignment like is deﬁnitely true, but not contained in the reference alignments. In OAEI tracks, it will thus generate a false positive and reduce the mathcher's precision. CardinalityFilter is a ﬁlter to enforce a 1 : 1 alignment. If a resource from ontology one are matched to multiple resources from ontology two, then only the alignment with the highest conﬁdence is selected. All other mappings are discarded. The same procedure is also applied for ontology two. The result of this ﬁlter is an alignment that relates each element from one ontology to at most one element from another ontology. ConﬁdenceFilter is a simple ﬁlter that removes all alignments that have a smaller conﬁdence than a given threshold. 2 Language Analysis Essentials, http://research.wilsonwong.me/lanes.html 3 http://words.bighugelabs.com/ DomainRangeFilter discards all alignments with non-matched domain and range. This is particularly useful for discarding inverses (e.g., isReviewerOf vs. hasReviewer), which receive high similarity scores with simple element-based techniques. DatatypeRangeFilter checks only datatype properties. Matched properties hat have a different datatype (e.g., string vs. date) are discarded. SynonymFilter has been implemented as a variant of the SynonymMatcher (see above). Since the latter has shown to produce a too large number of false positives (but with reasonable recall), it can also be used as a ﬁlter, e.g., on structural approaches for improving precision. 1.3 Adaptations made for the evaluation The ﬁnal matcher composition of the version submitted to OAEI 2012 is shown in ﬁgure 3. The threshold for conﬁdence ﬁlter is set to t = 0.7. Note that not all matchers and ﬁlters discussed above are included in the ﬁnal composition. We discarded all components that did not improve the system's accuracy and favored faster components over slower ones in case of ties. All matchers are composed sequentially. The upper lane shows all matchers which generate new alignments. The lower one depicts all ﬁlters used to remove alignments that are not in the reference alignment to improve the precision value. Although the ﬁlters only remove elements from the mapping generated by the matchers, they cannot be arbitrarily permuted. For example, the cardinality ﬁlter enforcing a 1:1 mapping will select the candidate with the highest threshold. If a mapping element with a higher threshold is ﬁltered, e.g., by the OriginalHostsFilter, the selection will be different. Consider the following constellation for a mapping between ontology A and B, where B imports the FOAF ontology 4 : 4 http://xmlns.com/foaf/spec/ Using the CardinalityFilter ﬁrst would discard the ﬁrst element, and the second one would be discarded by the OriginalHostsFilter. On the other hand, using the OriginalHostsFilter ﬁrst would discard the second element, with the ﬁrst one passing the CardinalityFilter. 1.4 Link to the system and parameters ﬁle The tool version submitted to OAEI 2012 can be downloaded from http://www. ke.tu-darmstadt.de/resources/ontology-matching/hotmatch. 2 Results 2.1 Benchmark HotMatch relies on string similarity to a large extent; although some structural measures are used later in the pipeline. Thus, it only performs well on those benchmark cases where names and labels are preserved. In particular, they show that the ﬁlters work quite effectively, since the precision only rarely drops below 0.95. 2.2 Anatomy On the anatomy track, the performance of HotMatch is more or less the same as the string equivalence baseline 5 . In other words, the structure-based approaches do not improve the results much. This is not surprising as the structure-based approaches in HotMatch largely rely on domain and range deﬁnitions, which are not present in the Anatomy track. The reported runtime of 672 seconds shows an average behavior. 2.3 Conference This track gives some insights into the strengths and weaknesses of HotMatch. In contrast to the anatomy track, the structure-based measures in HotMatch are capable of exploiting the domain and range deﬁnitions in the conference ontologies. For example, the structure-based algorithms provide some useful mappings, such as hasAuthor = isWrittenBy or hasBeenAssigned = isReviewing, but are also prone to produce false positives such as Reviewer = MemberPC, since both share a common super class. In terms of F-Measure, the results are comparable to Baseline2 6 (i.e., string matching with some pre-processing), but with a tendency to prefer recall over precision in comparison to that baseline, as the examples above show. 5 http://oaei.ontologymatching.org/2011.5/results/anatomy/index. html 6 http://oaei.ontologymatching.org/2011.5/results/conference/ index.html 2.4 Multifarm This matcher is not designed to work with multilingual ontologies. The results are accordingly low. Only some labels are equals in their translation like person in German as well as in English. Such resources are matched through string equality. Despite those occasional mappings, there is no correlation of the result quality and involved the languages' similarity – strangely enough, the best results are achieved for GermanChinese, two languages that are not known to be particularly similar. 2.5 Library The mapping quality achieved by HotMatch on the library track is not as positive as on the other tracks. Possible reasons may be the absence of domain and range deﬁnitions (in fact, of properties in general), as for anatomy, and the presence of multi-lingual labels. As HotMatch does not respect languages, this may lead to false positives. 2.6 Large Biomedical Ontologies HotMatch has been reported to have some problems of ﬁnishing the larger datasets in this track on time. As the matching process itself is rather light-weight, this may hint at efﬁciency issues of the implementation of HotMatch. 3 General comments 3.1 Comments on the results The results show that with a multi-strategy approach using different simple matching strategies, reasonable results can be produced. There is a gap to more sophisticated systems – which is expected – but the results on the conference track also show that some of the more complex systems can be beaten. 3.2 Discussions on the way to improve the proposed system One key feature of HotMatch is the ability to combine multiple matchers and ﬁlters. The ﬁnal conﬁguration submitted to OAEI has been found using extensive manual testing, however, it is a compromise which is supposed to produce reasonable results on most of the tracks. Being able to individually assembling a conﬁguration for each pair of ontologies would be an interesting option, thus, the system would clearly beneﬁt from leveraging work in these ﬁelds [4, 5]. 3.3 Comments on the OAEI 2012 Measures In the current OAEI test cases, mapping elements that are correct but refer to concepts of other ontologies (like the example in Sect. 1.2) cause false positives, since they are not part of the reference alignment. In the HotMatch version for OAEI, we ﬁlter them manually, however, a real-world ontology matching system that returns those elements as well could equally make sense. To circumvent this problem, the organizers might consider ﬁltering mapping elements refering to concepts from other ontologies before computing precision. 4 Conclusion In this paper, we have discussed the results for the HotMatch system, a multi-strategy matching system developed by students at Technische Universit¨at Darmstadt in the course of a hands-on training. We have shown that the system provides reasonable results on most of the OAEI tracks and can compete with many state-of-the-art matching tools. References 1. Harris, Z.S.: MathematicalStructuresOfLanguage. Wiley (1968) 2. Hertling, S., Paulheim, H.: Wikimatch - using wikipedia for ontology matching. In: Seventh International Workshop on Ontology Matching (OM 2012). (2012) 3. Melnik, S., Garcia-Molina, H., Rahm, E.: Similarity ﬂooding: A versatile graph matching algorithm and its application to schema matching. In: 18th International Conference on Data Engineering, IEEE (2002) 117–128 4. Mochol, M., Jentzsch, A., Euzenat, J.: Applying an analytic method for matching approach selection. In: Proceedings of the 1st International Workshop on Ontology Matching (OM2006). (2006) 5. Ritze, D., Paulheim, H.: Towards an automatic parameterization of ontology matching tools based on example mappings. In: Sixth International Workshop on Ontology Matching. (2011)
International Research Journal of Human Resources and Social Sciences ISSN(O): (2349-4085) ISSN(P): (2394-4218) Impact Factor- 5.414, Volume 4, Issue 8, August 2017 Website-www.aarf.asia,Email: email@example.com , firstname.lastname@example.org UNDERSTANDING TOILET USAGE, CLEANLINESS, AND HYGIENE IN RURAL INDIA Dr Amit Rahul, Deputy Team Leader, CMS Social, Centre for Media Studies, New Delhi Alok Srivastava, Director, CMS Social, Centre for Media Studies, New Delhi A Monthly Double-Blind Peer Reviewed Refereed Open Access International e-Journal - Included in the International Serial Directories. ABSTRACT The paper gives an interesting historical account of the notions of cleanliness and hygiene in Indian society and the role of religio-cultural norms and values in shaping the outlook of the people towards sanitary habits in general and toilet use, in particular. The author using the government data on state wise coverage in terms of households with toilets, discusses the progress in better performing as well as slow progressing states, as far as achieving Open Defecation free rural India by 2019 is concerned. Looking in to the various sanitation efforts made in the post-independent India including the ongoing Swachh Bharat Mission (SBM), the paper examines the variations across culture, gender, ethnicity and geographic locations in the notions of dirt and how our concept of cleanliness has changed over time. The paper emphasizes the need to learn from examples of other development including public health programmes and schemes for bringing behavioural change along with providing support, technological and financial, for creating all-weather toilets. This in turn is expected to ensure a sustainable practice of toilets usage by all members in each household of rural India. Introduction The hygienic practices prevalent in any society are closely linked with the values placed by the members of that society on cleanliness. The prevalent value systems to a large extent influence the degree in which people keep themselves and their surroundings clean. Majority of the writings on sanitation and hygiene practices in Indian society does not fail to mention the poor sanitary habits of its people and how the practice of open-defecation is a well-established traditional practice ingrained from the very childhood and across generations (Unicef India, 2017). There is a general lack of cleanliness and hygiene everywhere, be it in hotels, hospitals, households, work places, trains, airplanes or the temples (Raghavan 2012). But a reading of historical and religious texts also suggest that Indians have accorded extreme importance to sanitary habits and several references of toilets and hand washing practices can be found in those texts. The archaeological evidence of the Indus Valley Civilization shows that the quality of life was urban and the people living at Lothal, which is near to Ahmadabad, used water-based toilets and every house had a private toilet linked to the covered drains outside (Alok 2010, pg. 18). Excavations show that Indus Valley Civilization and Harappan sites had ingenious underground systems to drain wastewater, suggesting developed sanitary engineering even 5000 years ago (Alok, pg. 18). The existence of good sanitary systems has been found later on also after the decline of the Indus Valley Civilization. The Smritis and Manu Samhita of the Vedic period also mentions the importance accorded to sanitation and hygiene during that time (Alok pg. 19). Excavations at Hampi, the famous city of Vijayanagaram Empire in South India revealed the existence of developed sanitary systems in the city (Alok pg. 18). Though not supported by any historical evidence, a correlation could be established between the practice of open defecation and pastoral economy with rural way of life. As farming and animal husbandry became the prime modes of occupation and sources of livelihood for the people, rising before dawn and tending to fields and animals became a necessity. Hence, everyday ablution activities began to be generally performed away from dwellings and the practice of open defecation became a way of life of the people. Despite open defecation gradually becoming a part of the daily life of the people, the visions and efforts on improved sanitary practices continued across various prominent dynasties – like the Mauryas, Guptas or the southern kingdom of Vijayanagara – that ruled the subcontinent (Indian Eagle. Historical Journey of Toilets...). The record of use of toilets called Gushalkhana by the Mughal Kings has also been found in the texts and literature of the Mughal period. In 1556, Emperor Jehangir had commissioned the construction of a public toilet for 100 families, at a distance of 125 km from Delhi, however, due to poor maintenance these people continued to defecate in the open (Indian Eagle). Realizing the importance of toilets for urban sanitation, the British took initiative to build toilets and tasked the municipalities to build toilets in the slums of Calcutta. They also brought the first sanitation law into effect in India in 1878. Various social reformers in India during this period propagated the importance of sanitation and even the leaders of the freedom movement gave importance to sanitation (Indian Eagle). The Father of the Nation, Mahatma Gandhi gave utmost importance to sanitation and gave it a very high priority in his dream of a model village (Alok 2010). Despite these historical evidences suggesting the focus of the ruling establishment on cleanliness and toilet construction, there are also innumerable instances and every day experience that suggest that the Indians understanding of cleanliness is clearly divided between public space and private space. Bindeshwar Pathak, the founder of Sulabh International, an NGO promoting sanitation across the country says, "India lacks a culture of sanitation." He adds, "The royal rajas might have had slaves to evacuate their thunder boxes, but much of India has had a late start to toilet training and even the rural rich did not have toilet facilities in their mansions". Studies show that the rules of purity and pollution among the „caste & religion conscious‟ Hindus have widely influenced their behaviour and social interactions and they see latrines as polluting in a ritual sense, no matter how physically clean they are kept (Coffey Diane, Aashish Gupta, Payal Hathi, et al. 2015). Noticeably, the percentage of households with toilets among the Muslims and other prominent religious groups is comparatively better as compared to Hindus. According to NSS data, the figure for households without toilets is 47 percent for Hindu households as against 31 percent for Muslims and 16 percent for Christians and Sikhs (Rukmini S. 2014). The reasons for continued and persistent open defecation and non-use of toilets by a considerable segment of the population need to be sociologically understood, analyzed, and explained. Need for Toilets Some 8 lakh people in low and middle income countries die every year due to inadequate water, sanitation and hygiene, roughly constituting two-third of total diarrhoeal deaths and poor sanitation is believed to be the main cause in 38 percent of these deaths (WHO 2016). Open defecation perpetuates a vicious cycle of disease and poverty and the countries with high levels of open defection have the highest number of under 5 deaths as well as the highest levels of malnutrition and poverty (WHO). Further, anecdotal evidence, media analysis & reporting show that adolescent girls and young women going for open defecation have to bear extreme hardships and vulnerabilities. They are subjected to eve teasing and other forms of sexual exploitation besides having to cope with the vagaries of weather and other hazards on a daily basis. Difficulties are also faced by elderly and disabled and shrinking open spaces further ads to their woes. For decades, scientists, world over, have focused on the impact of poor sanitation practices on health and well-being. Studies show that open defecation contributes in the spread of bacterial, viral, and parasitic infections, including diarrhoea, polio, cholera, and hookworm and could lead to child stunting (Spears 2013; Chambers and Von Medeazza 2013). A new Stanford study shows that „baby and toddler growth improves after communities reduce open defecation‟ (Willoughby Leslie 2015). Dean Spears, a Delhi-based economist, says that the costs of all this, in incomes and taxes, are far greater than the price of fixing it. i Against this background, it is not surprising that the current government under the stewardship of the Prime Minister is making an all-out effort to eliminate the bane of open defecation from the Indian society. Sanitation Drives in Post-Independence India Understanding the importance of toilets for sanitation, hygiene and wellbeing, the government began to give special attention to rural sanitation in the World Water Decade of 1980s and as a result the Central Rural Sanitation Programme (CRSP) was started in 1986 to provide sanitation facilities in rural areas. ii CRSP was a supply driven, high subsidy and infrastructure oriented programme but it failed to achieve its desired objectives and open defecation continued to be practiced by vast majority of the country‟s population. Based on experience of CRSP, need was felt to restructure the programme to improve the situation of sanitation in rural areas and the Total Sanitation Campaign (TSC) was started in 1999 with the strategy to make the Programme 'community led' and 'people centered‟. iii The subsidy being given for individual household latrine (IHHL) units under CRSP was replaced by incentive to the poorest of the poor households and attention was paid to build toilets in schools as improved school sanitation was thought to have a positive impact on the rural people thus bringing about a generational shift in toilet use. Further to add vigour to the Total Sanitation Campaign, the Central Government launched an award based Incentive Scheme for fully sanitized and open defecation free Gram Panchayats, Blocks, Districts and States called "Nirmal Gram Puraskar" (NGP) in October 2003 and gave away the first awards in 2005. iv In 2010, the UN General Assembly recognized access to safe and clean drinking water and sanitation as a human right, and called for international efforts to help countries to provide safe, clean, accessible, and affordable drinking water and sanitation (WHO 2016). A renewed focus was given to sanitation and the TSC programme was renamed as Nirmal Bharat Abhiyan (NBA) in 2012. The concept of sanitation was expanded to include personal hygiene, home sanitation, safe water, garbage disposal, excreta disposal, and wastewater disposal. However, the scheme failed to meet the desired success and by the end of financial year, 2013 only 42 percent rural households across the country had IHHL. In fact, a study done by CMS in 2014, before launch of SBM, among migrant families in six high in-migrant states, revealed that only 25 percent of these families were aware about TSC/NBA scheme. More importantly, even in their current destination (cities/peri-urban locations), nearly half are going for open-defecation. v To hasten the goal of making the country open defecation (OD) free, the government decided to give a new thrust to the programme and the scheme was re-launched as Swachh Bharat Mission (SBM). Since, not only the rural areas but also the urban areas face the menace of open defecation and filthy surroundings, the government decided to have a similar Programme for urban areas as well. On October2, 2014, SBM (Gramin) and SBM (Urban) was launched to fight the practice of OD in a mission mode. Having seen the failure of supply and subsidy driven interventions in ensuring proper toilet construction and use, the focus of the programme shifted to „community‟ and awareness generation, information sharing and behaviour change efforts gained primacy. Emphasis is also given on ensuring water supply within the toilet as nonavailability of water in the toilet (or proximity) is considered to one of the factors for non-usage of toilets. Pre SBM (Grameen) phase Based on SBM rural data of Government of India, the State ranking of Individual Household Latrine (IHHL) coverage in the country vi show that while Kerala ranked on top among Indian states with 95 percent coverage in 2013-14, the bottom placed state was Odisha with a very poor coverage of only 12 percent households followed by Bihar. The country average in terms of households with toilets in 2013-14, i.e. the period prior to the launch of SBM (G), was only 42 percent. This suggests that only a little more than one-third of the households could have toilets in last six decades since independence. It is pertinent to mention that this does not reflect usage. Having a physical infrastructure alone does not induce behaviour change and toilet use. Several big and small sample studies on sanitation and open defecation showed that in rural areas, all or some members of the households were not using IHHL despite owning one and their preferred mode of relieving themselves remained the village fields, roadsides, forests, behind bushes & shrubs, open bodies of water or other open spaces and not the household toilet. Launch of SBM (G) and Progress Made With strong push from the central government, several states chalked out innovative strategies keeping in mind regional and socio-cultural factors to address the menace of Open Defecation in their respective states. Around 136 districts in the country out of 677 districts have already declared themselves ODF (SBM-G website last visited on May 12, 2017). A healthy completion is expected among panchayats, blocks, districts, and states to end the practice of open defecation at the earliest much before the deadline of 2 October 2019. While many states have shown significant progress in the last three years there are some, which remains at the bottom of the success ladder as far as building toilets, are concerned. States like Bihar and Jammu Kashmir have even gone down from their 2013-14 ranking. \| Table: Better Performing and Not so better Performing States in terms of HHs Having \| \| \| \| \|---\|---\|---\|---\| \| Top 5 States in 2016-17 vis-à-vis 2013-14 \| \| \| \| \| States \| 2016-17 \| 2013-14 \| Change from 2013-14 \| \| Sikkim \| 100.0 \| 87.8 \| 12.2 \| \| Himachal Pradesh \| 100.0 \| 86.7 \| 13.3 \| \| Kerala \| 100.0 \| 95.4 \| 4.6 \| \| Uttarakhand \| 100.0 \| 73.0 \| 27.0 \| \| Gujarat \| 95.2 \| 56.9 \| 40.3 \| \| Bottom 5 States in 2016-17 vis-à-vis 2013-14 \| \| \| \| \| Bihar \| 29.1 \| 22.2 \| 6.9 \| \| Jammu & Kashmir \| 38.2 \| 28.8 \| 9.4 \| \| Odisha \| 46.2 \| 11.9 \| 34.3 \| \| Uttar Pradesh \| 47.7 \| 38.0 \| 9.7 \| \| Telangana \| 49.8 \| 29.9 \| 19.9 \| The all India coverage in 2016-17 shows that 64 percent households now have IHHL, a significant jump of 22 percent in the last three years alone. Four states have already become completely ODF as compared to none in 2013-14 and another four have coverage of more than 90 percent, and are fast moving towards achieving the ODF status. The state of Odisha, which was at the bottom of the table in 2013-14 with only 12 percent coverage, has moved two places up with 46 percent. Though a two-place jump does not appear to be a notable improvement in ranking, an addition of 34 percent new households in the last three years is no mean a feat. Reasons for Change Since the launch of SBM (G) on 2 October 2014, some states have made considerable progress in the construction of toilets. Taking 2013-14, as the base year (prior to SBM), and comparing with 2016-17 data, it has been found that Rajasthan has shown considerable progress and moved from 30 percent coverage to 79 percent, an addition of 49 percent coverage. As a result, while the state was at 25thposition in 2013-14, it climbed to the 17th spot in 2016-17. Of the other states showing significant progress in last three years are Arunachal Pradesh, Chhattisgarh, Gujarat, and Odisha. The progress of these states in the last three years is indeed significant. \| Table: Five States/UTs showing Significant Progress in last three years \| \| \| \| \|---\|---\|---\|---\| \| Top 5 States \| \| \| \| \| States \| 2013-14 \| 2016-17 \| Change (%) \| \| Rajasthan \| 30.4 \| 78.6 \| 48.2 \| \| Arunachal Pradesh \| 50.1 \| 93.1 \| 43.0 \| \| Chhattisgarh \| 41.1 \| 83.2 \| 42.1 \| \| Gujarat \| 54.9 \| 95.2 \| 40.3 \| \| Odisha \| 11.9 \| 46.2 \| 34.3 \| Source: Ranking derived from data available on SBM (G) website; UTs except A&N not included as they are urban The Central Government plans to spend Rs. 1.32 lakh crore towards the construction of toilets in the country in 5 years, starting 2014-15. In comparison, the previous five-year budget as planned from 2012-17 was 37,000 crore suggesting the major focus being given to the campaign to eliminate open defecation. On the other hand, some states showed very slow progress. It is important to explore and analyze the reasons for the failure of states/UTs such as, A&N, Puducherry, Bihar, as well as Punjab and Kerala to achieve 100 percent coverage or at least a significant increase as far as toilet construction is concerned and thereby improves their sanitation situation. It is indeed interesting to find that Kerala being bracketed with states showing slow progress although it achieved 100 percent IHHL coverage in 2016-17 but why it took around 3 years to cover less than 5 percent of the households that were without a toilet facility? \| Table: States/UTs showing Slow Progress in last three years (bottom 5 states) \| \| \| \| \|---\|---\|---\|---\| \| States/UTs \| 2013-14 \| 2016-17 \| Change (%) \| \| A&N \| 53.8 \| 51.3 \| 1.3 \| \| Puducherry \| 53.8 \| 55.8 \| 2.0 \| \| Bihar \| 22.2 \| 25.7 \| 3.5 \| \| Punjab \| 75.4 \| 79.8 \| 4.4 \| \| Kerala* \| 95.4 \| 100.0 \| 4.6 \| Among possible reasons for Kerala taking a significant time to achieve 100 percent coverage and other states showing slow progress include unwillingness of the households to construct a toilet either due to lack of space/own land, financial inability or lack of political will. Moreover, the difficulty in sensitizing and convincing „the hard nut to crack‟ households about the benefits of having toilets at home slows down the progress and it takes considerable time to bring such households under coverage. Like in this case, it took nearly three years for Kerala to cover less than five percent households. Some States Lagging Behind The two prominent states of the Gangetic plains namely Bihar (progress since 2013- 7%) and Uttar Pradesh (progress since 2013- 10%) have not been able to match states like Rajasthan, Gujarat, Chhattisgarh, and continue to be placed at the bottom of the ladder and contribute significantly in bringing down the national average. Almost two-fifth of Indian households still does not have toilets and the poor performing states have not been able to catch up with the rest leading to poor all-India average. What is it that states such as Bihar, Odisha, J&K and Jharkhand have not managed to improve their ranking and are lying at the bottom of the list as far as households with toilets is concerned. Questions Arise Why is it so that the community across caste and religious groups does not view the practice of open defecation as unacceptable? To own and use a toilet is not linked to pride, status or social prestige. Why households do not consider having a toilet within a household as important as having a kitchen? Why having a toilet at home is not perceived as aspirational and still it is regarded by even the well off as the work of the government. Thus, the major challenge before those involved in the implementation of SBM in these states is to find out effective ways and methods to motivate people to build toilet and link the usage with an increase in their social standing and well-being. Surprisingly, in these states despite the people being aware of the health risks related to poor sanitation unhealthy practice of open defecation continues unabated. vii A recent study conducted in Bihar, Haryana, Madhya Pradesh, Rajasthan and Uttar Pradesh found that out of 3,235 rural homes, 43 percent had a working toilet. Of those, over 40 percent had at least one member of the household who nevertheless opted to defecate in the open. When asked why, almost 75 percent said they did so because it was pleasurable, comfortable, and convenient (Coffey Diane).The findings of an unpublished survey viii in north India (and Nepal) very well explains the poor or non-use of toilets in the studied regions. The respondents saw open defecation as wholesome, healthy, and social and latrines were seen as potentially impure, especially if near the home. For male interviewees toilets are for use only by women, the infirm, and the elderly. This indicates that making the community realize the benefits of toilet is more important than merely building infrastructure and for this inter-personal communication, focused plays and campaigns in vernaculars explaining the health and economic benefits of using toilets and of better hygiene is required. Challenges to Overcome in Future Despite efforts made in past, the task of making villages ODF remains daunting. However, households with toilet has significantly improved in rural India in the last two years since the launch of SBM in 2014 (in 2014-15, all India coverage was 45%; in 2016-17 it is 64%; http://sbm.gov.in/sbm/). Majority of the states have performed better, albeit there are a few exception states such as Bihar (29%), Odisha (46%), UP (48%) and J&K (38%) among others, which continue to show poor progress mainly due to the age old strong belief either steeped in cultural and religious values or the understanding that open defecation is better due to one reason or the other. "Many people regard open defecation as part of a wholesome, healthy, virtuous life," a recent study conducted in Bihar, Haryana, Madhya Pradesh, Rajasthan and Uttar Pradesh found. Researchers at the New Delhi-based Research Institute for Compassionate Economics added that the practice is "not widely recognized among rural north Indians as a threat to health (Patel Atish 2014)." Regarding, toilet use among households, the Ministry of Statistics and Programme Implementation (MOSPI), Government of India‟s Swachhata Status Report 2016, shows that among the households having toilet in rural India (approx. 48%), the usage of toilets is nearly 96 percent. Besides creating infrastructure, making toilet use sustainable and checking slip back is another challenge for the government. Experiences from states like Rajasthan and Chhattisgarh show ix that how community led initiatives for eliciting emotional drivers such as shame, disgust, pride and dignity have contributed in changing defecation behaviour of the targeted population. Evidences show that dependence on traditional water sources and temporary sources that usually dry up in summer, impacts the ability to use toilets. The seasonal variations in toilet use however could be checked if water supply is ensured for each and every household. Studies on toilet use have also found that several rural households are reluctant to use toilet despite having one. Either the structure is used for some other household purpose like stacking firewood, or is used by few members of the family such as daughter in law, elderly, etc., and not all. Non-availability of water source in toilet is an important reason for non-usage but also there could be several other reasons, which needs to be sociologically understood and examined. Many people due to lack of awareness or influenced by religious values consider using and cleaning a pit latrine ritually impure and polluting. Emptying pits manually is considered degrading. A misconception that regular use of toilet will soon fill the pit and finding a person to get the pit emptied will be both challenging and a costly affair, they feel that open defecation is the best way. Villagers „fear‟ related to pit-emptying should be addressed and they should be motivated to make toilet use sustainable. Convincing people across social strata, caste, gender and age-groups to use toilet will be a challenge to overcome, particularly in the poor performing states. As has been observed in past in India, the behavioural change with regard to various prevailing practices and habits are difficult to change in spite of continuous campaigns and advocacy. For instance, the family planning in last 47 years has not been able to convince a large section of our population to follow two-child norm or birth spacing between two children. Similarly, awareness campaigns for restricting child marriages have not convinced many neither the request as part of road safety to wear helmet or do lane driving has seen an acceptance. Littering in public places too is common in spite of awareness campaigns in place. Is illiteracy the only reason or we tend to leave everything on government agencies to ensure its adherence? In short, do we focus more on our rights as a citizen and make less effort to understand our responsibilities as a citizen of the country? To have a healthy environment around us should be our rights but NO to open defecation should be our responsibility. Conclusion Hence along with infrastructure (toilets with water facility), there is a need to address behaviour, cultural attitudes and social norms and specific studies should be conducted in states showing poor progress under SBM. It needs to be examined whether the caste and community based settlement pattern in villages hinders the growth of community sentiments beyond a particular social group or social clusters. This might be a contributing factor preventing the villagers from coming together and building any sustained community pressure to eradicate open defecation. Moreover, political and social polarization of villagers usually limits the reach and impact of any initiative aimed at awareness generation and toilet construction. However, no substantive conclusions can be drawn without proper research on these aspects. Also, such village set-up may have its own advantages as a „feeling of healthy competition‟ could be cultivated among various social settlements so that they strive to make their cluster ODF before others do it in the village. Unless sanitation drive becomes a mass movement and the issues of sanitation, cleanliness and hygiene becomes concern of the community not just continues to be seen and targeted at individual level as has been done in some of the successful states as discussed in the report, open defecation and filthy surrounding will continue to pose challenge to the implementing agencies. Mobilization, involvement, and participation of community should be realized through the application of diverse interventions and approaches, which are ingenious and innovative. Even the campaigns planned through mass media should see a change of the message and messengers from time to time to prevent setting of monotony and disinterest among the people. Seeing the same people deliver a message repetitively well beyond its sell-by date fails to create any further impact and such messages do not have any far reaching consequences. While designing implementation strategies, there should always be scope for revisions and alterations based on outcomes. If an activity or approach is found not working, it should be replaced by another activity for maximum impact. Notes i See, Open defecation and disease, Indian' bane and a thorn in the road to progress (2014). http://www.comboupdates.com/2014/11/open-defecation-and-disease-indian-bane.html iii Ibid, pp. 1-2. ii Please refer to the website for more information on CRSP. http://rural.nic.in/sites/downloads/our-schemesglance/SalientFeaturesTSC.pdf. iv Refer to the website of the Ministry of Drinking Water and Sanitation. http://nirmalgrampuraskar.nic.in v NCPCR Study by CMS,"Status Report on School Participation and Availing of Health & Nutrition Services for Children of Migrant labourers", http://ncpcr.gov.in/index1.php?lang=1&level=1&&sublinkid=294&lid=732 vi Please refer to the IHHL data available on the website of the Ministry of Drinking Water and Sanitation, GoI vii CMS is an empanelled National Level Monitors of Ministry of Rural Development, GoI. For NLMreports, visit, http://www.ruralmonitor.in/reports ix See, SethuramanSoyma. (2011). Here is the Secret Behind Rajasthan's Sanitation Revolution. Retrieved from https://thewire.in/2011/heres-the-secret-behind-rajasthans-sanitation-revolution/. And Department of Panchayat and Rural Development. Retrieved from http://www.sbmgcg.in/success-story.php viii Refer to the website for further information on the study. http://www.economist.com/news/asia/21607837fixing-dreadful-sanitation-india-requires-not-just-building-lavatories-also-changing. _________________________ References - Alok K. (2010). Squatting with Dignity: Lessons from India, Sage Publications India Pvt. Ltd. New Delhi. - Bhaumik Sukanaya, Avinash Y Kumar (2014). India‟s Sanitation Story. - Retrieved from.http://pragati.nationalinterest.in/2014/08/indias-sanitation-story/ - Chambers, R. and G.Von Medeazza (2013): Sanitation and Stunting in India: Undernutrition‟s Blind Spot, Economic & Political Weekly, 48 (25), 15. - Coffey Diane, Aashish Gupta, PayalHathi, et al. (2015). Understanding Open Defecation in Rural India, http://riceinstitute.org - Erasov B. and Singh Y. (1991). The Sociology of Culture. Moscow. Progress Publishers. - Gupta Dipankar. (2000). Mistaken Modernity: India Between Worlds. Delhi. HarperCollins Publishers. - Indian Eagle. Historic Journey of Toilets from Indus Valley Civilization to 21st Century. http://www.indianeagle.com/travelbeats/history-of-toilets/ A Monthly Double-Blind Peer Reviewed Refereed Open Access International e-Journal - Included in the International Serial Directories. - Pandey Alka. (1993). Toilets in India: The Statistics Stink, in Firstpost, 11 May, 2017 - Patel Atish. (2014). Why Many Indian‟s Can‟t Stand to Use the Toilet.https://blogs.wsj.com/indiarealtime/2014/10/08/why-many-indians-cant-stand-touse-the-toilet/ - Raghavan B.S. (2012). Are Indians by Nature Unhygienic. Business Line, The Hindu, November 15. - Rahul Amit. (2011). Migration & Changing Social Identities: A Study of Kusumpur Pahari Slum in Delhi. PhD Thesis submitted to JNU for the award of PhD degree. The thesis is available in DSA Library and JNU Library. - Rukmini S. (2014). More men among toilet-sceptics in India.The Hindu, September 22. http://www.thehindu.com/news/national/more-men-among-toiletsceptics-inindia/article6432867.ece - Spears, D (2013). Policy Lessons from Implementing India‟s Total Sanitation Campaign, India Policy Forum–2012–13, http://testnew.ncaer.org/image/userfi les/fi le/IPFVolumes/Volume%209/2_Dean%20Spears.pdf. - Tilak G Sudha. (2013). India faces stinking reality on Toilet Day. http://www.aljazeera.com/indepth/features/2013/11/india-faces-stinking-reality-toiletday-201311189452589714.html - UNICEF India. (2017). Eliminate Open Defecation. http://unicef.in/Whatwedo/11/Eliminate-Open-Defecation (accessed 15/05/17); An Uphill Task. The Statesman. May 17, 2017. http://www.thestatesman.com/supplements/anuphill-task-161753.html (accessed 17/05/17) - WHO (2016).Sanitation Factsheet. http://www.who.int/mediacentre/factsheets/fs392/en/ - Willoughby Leslie (2015). Celebrating Toilets in Rural Mali. http://news.stanford.edu/2015/10/13/mali-toilets-health-101215/
March 2016 Membership: 35www.montrose.co.lwvnet.org LEAGUE OF WOMEN VOTERS® Serving Montrose and Delta Counties Follow us o n Facebook : https://www.facebook.com/VoteMontrose WHAT IS COLORADOCARE? MONTROSE CITY COUNCIL CANDIDATE FORUM THURSDAY, MARCH 3, 7PM MONTROSE CITY COUNCIL CHAMBERS 107 SOUTH CASCADE, MONTROSE Question and Answer session to follow introductions and opening statements Town Hall format, Forum will be televised live on the City's TV channel 191. Doors open at 6:30. Come with questions and bring a friend! IN THIS ISSUE AMENDMENT 69 WILL APPEAR ON OUR NOVEMBER BALLOTS, SO TAKE THIS OPPORTUNITY TO LEARN ABOUT IT! Guest speaker, T.R. Reid, internationally known journalist, author, film writer, public radio commentator and speaker, has studied health care around the world and has committed his support to ColoradoCare Amendment #69. He will be working with local Colorado Leagues on his speaking tour on the Western Slope, including Grand Junction, Montrose and Durango. Wednesday, March 23, 5:30pm, Venue TBD. We'll keep you updated! Q & A to follow. See page 5. "GREAT DECISIONS" Date Changes The March meeting dates have been shifted forward one week due to the March 3 City Council Candidate Forum. Great Decisions is a series of discussions produced by the Foreign Policy Association, a non-profit, non-partisan educational arm of the World Affairs Councils of America, co-sponsored by the League of Women Voters of Montrose County and the Montrose Regional Library. Meetings from 7-9 pm in the Montrose Library Community Room begin with a video in which foreign policy experts present their perspectives, and a group discussion follows. Questions? Call Meg Nagel at 964-2548. March program topics are: March 10 The Koreas; Mar 17 The United Nations; Mar 24 Climate change; Mar 31 Cuba and the U.S. LOCAL LEAGUE NEWS WELCOME New Member, Kathy Heavers Our newest member is a third generation Colorado native, born and raised in Brighton on the Front Range. She is married to Tim Heavers and is the mother of two boys, Scott and Mike, who live on opposite sides of our country in California and New York. Kathy earned her B.A. in English in Wisconsin and her M.A. in Secondary Education at Western State College in Gunnison. She began her 45-year teaching career in 1969, which was the same year she became a teacher in Montrose in the RE1-J school district, retiring in 2015 from a position at Vista Charter School. During her distinguished tenure, she coauthored numerous educational books and received many laurels, including Colorado Teacher of the Year in 2005 and the Governor's Award for Excellence in Education. Kathy currently keeps busy with her volunteer activities as facilitator at the Heidi's Forum, and through the years was active with various community projects through the Montrose Chamber of Commerce, in her church, as coordinator of "Chalk Talk ", a weekly newspaper column of articles written by teachers, and as an adjunct professor at Adams State College, where she took additional graduate classes. When asked why she joined the League, Kathy said she wanted to be more informed and that she has followed the local programming, including our candidate forums, and wanted to take part. She reflected that she has always respected and trusted the research on issues performed by the League and has relied on our ballot issues pamphlets and candidate forums to become a more informed voter. Kathy added that she learned of some issues that she wasn't even aware of through the League! KUDOS to League Members! Susan Welk de Valdez from the Montrose Press, February 11, 2016 Susan will attend the 1st Minority Business Advisory Council meeting in Denver on February 24. Susan Chandler-Reed for her election as President-Elect of the Society for American Archaeology. She will assume her position as President in 2017. 96 Years and Still Going Strong! A group of local League members celebrated the LWVUS' 96th Birthday at The Bridges on February 13 with scintillating conversation on many topics, which made for a fine time! MILLENNIALS OUTREACH Millennials now comprise the largest generation in the U.S. workforce and will make up 1/3 of the November 2016 electorate! Our League's first step toward learning which local, state and national issues are important to our local 18-35 year-olds and why took place at the Proximity Space on February 16. Karen Connor and Nancy Ball met with six young adults from the upper end of the age range and learned that student debt, the cost of health care, the high cost of housing, the tight economy, the temptation of easy credit, and the difficult job market even with college degrees are at the top of their lists. Two themes they stressed for their generation were accountability and a solid work ethic. It was also made very clear that any and all news they receive comes via their Smart/I phones on social media platforms. They were amazingly honest (perhaps we looked grandmotherly to them?) and said that to stimulate interest in programs we would have to offer them something tangible, make them feel as though they would be missing something, and offer a complaint platform ahead of time and then address that issue. So, across our nation, if the League wants to reach these 83 million young people, we are going to have to modernize our mode of communication and strategize the messages we send. One other tidbit regarding League membership. There was interest in joining, and one young man asked if League was for women only per our name, and when we said "no", he said we should publicize that fact! By the way, if you have not as yet visited and toured the Proximity Space located at 210 East Main Street in Montrose, take the opportunity to do so. It is an amazing addition to our community! Never doubt that a small group of thoughtful, committed, citizens can change the world. Indeed, it is the only thing that ever has. Margaret Mead 2016 Planning Meeting, February 18 Planning Meeting, February 18 Eleven League members participated in the 2-hour fully-packed agenda meeting held at the Montrose Library. A fair number of the items discussed were recent and upcoming local and state League events which are reported on within this issue, but below is a short run down of several other items. Last year a $275 grant was received from the LWVCO for expenses related to a Kids Vote event. Caitlin Switzer provided us with a good lead on how to proceed and Diane Balk volunteered to follow up on it. The LWV of Minnesota presented a proposal to leagues across the nation to amend the LWVUS bylaws regarding League membership asking for their support so that the proposals could be presented to the LWVUS at its convention to be held in Washington, D.C. June 17-19. One proposal asked to amend Article III, Section 2, Voting Members, by striking out the word "Citizens" and inserting the word "Persons" to read "Persons at least 18 years of age who join the League shall be voting members of local Leagues, state Leagues and of the LWVUS." The second proposal was to amend Article III, Section 2, Voting Members, to strike out the words "at least 18 years of age" to read "Citizens who join the League shall be voting members....as above. Their rationale included "changing demographics, universal suffrage within the LWV, and inclusivity that they feel will enlarge and diversity the talent pool, enrich discussions and inform LWV decision making." After a scintillating discussion, we voted not to support either of the proposed amendments because we felt our name implies that members are voters---citizens---and we want to uphold its tradition. Of course, we strive to include all residents in our activities and will work to spread information to future citizens and future voters and encourage citizenship. A response has been filed with comments. The LWV of Needham, Massachusetts, proposed to add a new bullet item to the LWVUS list of action opportunities---Sustainable Planet/Sustainable Democracy---citing that "the issue of climate change and sustainability clearly falls within the general framework of "Making Democracy Work" because "the impacts of climate change around the world and on our economy pose a serious threat to our democracy and the civil liberties and freedoms that our democracy is built upon". Following a short discussion, we voted to support the proposal bullet item. A response form will be filed prior to March 1. Karen Connor reported that Vote411 is an ongoing League project and new information regarding ballot issues, candidates and elections is being added as it is received. To see what is on YOUR ballot, go to Nancy Ball presented the program topics survey results: #1 through #6: Money in Politics, Single Payer Health Care, Voting Rights/Voting Districts, Immigration/Citizenship, Minimum Wage/Living Wage, and Gun Safety/Crime Stats/Gun Legislation. Our programming will be planned to reflect the results. Teen Opportunity Expo, February 24, Montrose High School Pursuant to a request from the Montrose Youth Council, our League will be hosting a booth from 2:30 pm to 4pm in the school cafeteria to assist with online voter registration of students. It's That Time of Year Again---New Leadership! Nominating committee members are needed to find a slate of new officers---president, vice-president, secretary and treasurer---for the 2016-2017 year to be voted on at our annual meeting tentatively scheduled for Thursday, May 5. The slate must be in place 30 days prior to the meeting---April 5. Call Karen Connor at 275-1314 if you would be willing to step up and serve on the committee. A full agenda, indeed! STATE LEAGUE NEWS Behavioral Health Concurrence The Board of the LWVCO requested that all CO local Leagues propose concurrence with its newly-adopted Position on Behavioral Health. Locally, we voted on concurrence at our February 18 meeting and the outcome was unanimous support. The response report to the LWVUS has been filed. LWVCO Council - May 21-22 The theme of this year's Council is "Making Democracy Work", and as you are aware, our local League will be hosting Council here in Montrose. Each League is entitled to two delegates, and the registration fee and meals ($45) will be paid by each League. Sharron Baldwin volunteered to be one of the delegates from Montrose/Delta, so there is one open delegate space. If you are interested in attending as a voting delegate, please contact Karen Connor at 275-1314, as the registration deadline is April 25. Observers may attend at no cost. Needless to say, as the host League, volunteer helpers will be needed, so again contact Karen if you are interested in assisting. ColoradoCare Amendment 69 From Nancy Crow, LWVCO 1st Vice President Programming The LWVCO has taken the position of SUPPORT on ColoradoCare Ballot Amendment #69 that will be on the ballot in the fall elections of 2016. The LWVCO Board based its support of Amendment #69 on the LWVUS Position on Health Care. Here is a brief description of ColoradoCare: . It uses an option of the Affordable Care Act that allows Colorado to obtain waivers to create its own health care program . It provides comprehensive coverage for all residents of Colorado . It uses a member-owned cooperative business model; e.g., example Rural Electric Association . It claims it will cost less than the current system. . It will be primary coverage for all except individuals who have coverage under federal health care programs, i.e., Medicare and Veteran Administration Health. Those residents will use ColoradoCare as secondary coverage STATE INNOVATION MODEL GRANT TO DEVELOP INTEGRATED BEHAVIORAL HEALTH AND PHYSICAL HEALTH CARE; CAROL PACE APPOINTED TO ADVISORY BOARD By Marilyn Brown, Voter Editor Colorado is among select states to receive a federal State Innovation Model (SIM) grant. SIM grants, provided for under the Affordable Care Act (ACA) allow individual states to explore new methods for health care payment and delivery in specific focus areas. Colorado chose to focus on integration of behavioral and physical health care delivery systems. This has also been a strong LWVCO focus, and a national focus for many groups. The $65 million grant over four years will fund broad participation in practice models, involving hundreds of health care practices, researchers, consumers and other stakeholders statewide. The grant hopes to reach clinicians caring for 80% of the population of Colorado. With a strong interest in health care systems and consumer advocacy, Carol Pace, from the Denver League, recent LWVCO Board member, and active participant in the Legislative Action Committee, is one of two consumers appointed by Governor Hickenlooper to the SIM advisory board. Carol is looking forward to hearing from consumers and sharing ways they can be involved in this unique Colorado opportunity. NATIONAL LEAGUE NEWS Constitutional Convention Needs Safeguards 02/03/2016 \| by Kelly Ceballos \| League of Women Voters Announces New Position The League of Women Voters today announced a new position calling for safeguards to govern the constitutional convention process of proposing amendments to the U.S. Constitution. "The League believes that procedural safeguards must be put in place to protect democratic values and ensure that any proposed amendments reflect the concerns of citizens," said Elisabeth MacNamara, president of the League of Women Voters of the United States. "We cannot afford to have a chaotic or unrepresentative process for amending the Constitution. We can't afford to let special interests dominate a constitutional convention," MacNamara continued. There are many current proposals for constitutional amendments, from both the right and the political left, from a Balanced Budget Amendment to one curbing the rights of corporations. "Everyone should be concerned what a runaway, topsy-turvy Constitutional Convention might do. Before we head into uncharted territory that could affect our basic principles of government and our individual rights, we need to make sure some basic rules are in place," according to MacNamara. The League supports these safeguards for a Constitutional Convention: 1) The Convention must be transparent and not conducted in secret; 2) Representation at the Convention must be based on population rather than one state, one vote; and delegates should be elected rather than appointed; 3) Voting at the Convention must be by delegate, not by state; 4) The Convention must be limited to a specific topic; 5) Only state resolutions on a single topic count when determining if a Convention should be called; and 6) The validity of state calls for an Article V Constitutional Convention should be determined by the most recent action of the state. The new League position is especially relevant because the Balanced Budget Amendment is close to achieving the number of states needed to require Congress to call a convention. "The states that have called for a convention on the Balanced Budget Amendment have not provided for the safeguards that are necessary. Any calls for a constitutional convention must have built-in protections to ensure it is not hijacked by a small minority," MacNamara said. Article 5 of the U.S. Constitution provides for two ways to amend the constitution. Congress can initiate an amendment or, if two-thirds of the states petition Congress to do so, a Constitutional Convention can be called to propose amendments. Under either mechanism, proposed amendments must be ratified by threefourths of the states in order to take effect. There has never been a constitutional convention called under the U.S. Constitution. "There are many unresolved questions about the powers and processes of an Article V Constitutional Convention. These problems must be solved before America embarks on a dangerous journey," MacNamara concluded. 2015-2016 LWV Community Support The League of Women Voters of Montrose County, serving Montrose and Delta counties, thanks these local businesses, organizations and individuals who have donated financial and in-kind support. Please add your thank you when you patronize these businesses or visit with these individuals. Dennis Olmstead The Montrose Mirror Horsefly Brewing Company Shirley Ela Dalby, Wendland & Co. Alpine Bank Altrusa International of Montrose Alpine Archeological Karen & Bob Nicholson MARK YOUR CALENDARS! Check out our Website: www.montrose.co.lwvnet.org/ Our webmaster, Susan Chandler-Reed, is doing a terrific job keeping us updated on and linked to local, state and national activities, issues and websites. Check us out on Facebook too: Google "League of Women Voters of Montrose County, Colorado" and then click "Like us" on Facebook Susan is handling this site as well! Join League of Women Voters of Montrose County serving Montrose & Delta counties Not for Women Only! Name(s)__________________________________________________ Address_________________________________________ Phone (H)____________________(Cell)______________ E-mail__________________________________________ ___Individual $55 (Of this amount $31 goes to National League; $18 goes to State League; $6 is retained by the Montrose League) ___Household $90 – Two members in one household (National League receives $46.50; State League $27; $16.50 is retained by the Montrose League) ___I understand that I can join without being active, and this is my intent at the present time. ___ I would like to make a contribution beyond regular dues and understand it will go directly to our local League (Thank You!). ___ Sustaining Member $100 ___ I would like to make a tax-deductible contribution to the Montrose League . Write a separate check to League of Women Voters CO Education Fund . Write “Montrose” on the check’s memo line . Please make checks payable to League of Women Voters of Montrose County. Mail to P.O. Box 3321, Montrose, CO 81402 2015-2016 Board Members President: Karen Connor, 249-2135, firstname.lastname@example.org Vice President: Secretary: Robin Flom, 249-8963, email@example.com Rod Britten, 240-1119, Treasurer: firstname.lastname@example.org Membership: membership information available at http://montrose.co.lwvnet.org/join_form. html Voter Newsletter: Nancy Ball, 249-8963 email@example.com Website & Facebook Page: Susan Chandler-Reed, 249-1076, firstname.lastname@example.org At Large: Rosemary Murphy, 249-3925, email@example.com Barbara Krebs, 249-3989, firstname.lastname@example.org LEAGUE OF WOMEN VOTERS® of MONTROSE COUNTY serving Montrose and Delta counties Box 3321 Montrose, CO 81402 The League of Women Voters, a nonpartisan political organization, encourages informed and active participation in government, works to increase understanding of major public policy issues and influences public policy through education and advocacy.
ОПЕРАТОРСКО РЪКОВОДСТВО АКУМУЛATORНА БАТЕРИЯ 56 ВОЛТА НОМЕР НА МОДЕЛА ВА1120E/ВА1400/ВА2240E/ВА3360/ВА2800/ВА4200 1. Front panel 2. Base 3. Rear panel ПРОЧЕТЕТЕ ВСИЧКИ ИНСТРУКЦИИ) ПРОЧЕТЕТЕ И ОСЪЗНАЙТЕ РЪКОВОДСТВОТО С ИНСТРУКЦИИ ⚠️ Остъпчен риск! Хора с електронни устройства, като пейсмейкър трябва да се консултират с лекуващия(те) си лекар(и) преди употреба на този продукт. Работата с електрическо оборудване в непосредствена близост до сърдечен пейсмейкър може да предизвика смущение или неизправност на пейсмейкъра. ⚠️ ПРЕДУПРЕЖДЕНИЕ: За да осигурите безопасността и надеждността, всички поправки трябва да се извършват от квалифициран сервизен техник. СИМВОЛИ ЗА БЕЗОПАСНОСТ Целта на символите за безопасност е да превличат вниманието към възможни опасности. Символите за безопасност и обясненията към тях заслужават вашето повишено внимание и осъзнаване. Символите за безопасност сами по себе си не елиминират каквато и да е опасност. Инструкцияите и предупрежденията, които предоставят не са заместители за подходящите мерки за предотвратяване на инцидент. ⚠️ ПРЕДУПРЕЖДЕНИЕ: Уверете се, че сте прочели и осъзнали всички инструкции за безопасност в това Ръководство на оператора, включително всички известявящи символи за безопасност, като "ОПАСНОСТ", "ПРЕДУПРЕЖДЕНИЕ" и "ВНИМАНИЕ" преди да използвате този инструмент. Неспазването на всички инструкции изброени долу може да доведе до електрически шок, пожар или сериозно нараняване. ⚠️ ПРЕДУПРЕЖДЕНИЕ: За да осигурите безопасността и надеждността, всички поправки трябва да се извършват от квалифициран сервизен техник. ⚠️ ПРЕДУПРЕЖДЕНИЕ: Работа с който и да е електроинструмент може да доведе до изхвърлянето на чужди обекти в очите ви, което може да доведе до тежко увреждане на окото. Преди започване на работа с електроинструмент, винаги носете предпазни очила със странични екрани и еcran за защита на цялото лице, когато е необходимо. Препоръчваме ви защитна маска осигуряваща широко зрително поле, която да се използва над очилата или стандартни предпазни очила със странични екрани. ⚠️ ПРЕДУПРЕЖДЕНИЕ: Опасност от пожар или изгаряния. Не разглобявайте, не загрявайте над 100 °C или не изгаряйте. Дръжте акумулаторната батерия извън обсег на деца и в оригиналната опаковка докато не е готова за употреба. Незабавно изхвърляйте употребявани акумулаторни батерии в съответствие с местните регламенти за рециклиране или отпадъци. ИНСТРУКЦИИ ЗА БЕЗОПАСНОСТ Тази страница изобразява и описва символите за безопасност, които може да се появят по този продукт. Прочетете, осъзнайте и следвайте всички инструкции по машината преди предприемане на слобобаване или работа. \| Сигнал за безопасност \| Предпазни мерки, които засягат Вашата безопасност \| \|------------------------\|--------------------------------------------------\| \| \| Винаги носете предпазни очила със странични екрани и еcran за защита на цялото лице, когато работите с този продукт. \| \| \| За намаляване на опасността от нараняване, потребителят трябва да прочете и да осъзнае ръководството на оператора преди употреба на този продукт. \| \| \| Не изхвърляйте акумулаторната батерия/батеритите в домакинския отпадък, огън или вода. Акумулаторните батерии/батеритите трябва да се събират, рециклират или изхвърлят по безопасен за околната среда начин. \| \| \| Винаги снемайте акумулаторната батерия от продукта, когато слобобявате части, извършвате настройки, почиствате или когато продуктът не се използва. \| АКУМУЛATORНА БАТЕРИЯ 56 ВОЛТА — BA1120E/BA1400/BA2240E/BA3360/BA2800/BA4200 ПРЕДУПРЕЖДЕНИЕ: Прочетете и осъзнайте всички инструкции. Неспазването на всички инструкции изброени може да доведе до електрически шок, пожар и/или сериозно нараняване. Терминът "електроинструмент" при всички изброени предупреждения се отнася за ливадни и градински машини управляеме със зархване EGO + акумулаторна батерия. БЕЗОПАСНОСТ В РАБОТНАТА ЗОНА - Поддържайте работната зона чиста и добре осветена. Разхвърляни или тъмни работни зони пораждат инциденти. - Не работете с електроинструменти в експлозивна среда, като например в присъствието на запалими течности, газ или прах. Електроинструментите може да създават искри, които може да възпламенят праха или изпаренията. ЕЛЕКТРИЧЕСКА БЕЗОПАСНОСТ - Не излагайте електроинструментите на дъжд или влажни условия. Навлизането на вода в електроинструмент ще увеличи риска от електрически шок. - Използвайте само с зарядните устройства изброени долу: \| АКУМУЛATORНИ БАТЕРИИ \| ЗАРЯДНО УСТРОЙСТВО \| \|-----------------------\|---------------------\| \| BA1120E, BA1400, BA2240E, BA2800, BA3360, BA4200 \| CH5500E, CH2100E \| УПОТРЕБА И ГРИЖА ЗА ИНСТРУМЕНТ НА БАТЕРИИ - Презареждайте само с зарядни устройства определено от производителя. Зарядно устройство, което е подходящо за един тип акумулаторни батерии може да създаде риск от пожар, когато се използва с други акумулаторни батерии. - Използвайте електроинструменти само със специфично обозначени акумулаторни батерии. Употребата на каквато и да е друга батерия може да създаде риск от нараняване или пожар. - Когато акумулаторната батерия не се използва, дръжте я настрана от други метали предмети, като кламери, монети, ключове, пирони, винтове или други малки метални предмети, които могат да направят връзката от едната клема до другата. Съврзване на късо на клемите на акумулаторната батерия може да причини изгаряния или пожар. - При условия на злоупотреба, течност може да се отдели от акумулаторната батерия; предотвратете контакт. Ако инцидентно възникне контакт, изплакнете с вода. Ако течност влезе в контакт с очите, допълнително потърсете медицинска помощ. Течност отделена от акумулаторната батерия може са предизвика възпаление или изгаряния. - Не разглобявайте, отваряйте или режете вторични клетки или батерии. - Не излагайте клетките или батерияте на топлина или огън. Избягвайте съхранение под директна слънчева светлина. - Не свързвайте на къса клетка или батерия. Не съхранявайте клетки или батерии небрежно в кутия или чекмедже, където могат да се свържат на късо една с друга или да се свържат на късо с други метални предмети. ■ Не премахвайте клетка или батерия от оригиналната опаковка, докато не се изисква употреба. ■ Не излагайте клетките или батериите на механичен стрес. ■ В случай на теч от клетка, не позволяйте на течността да влезе в контакт с кожата или очите. Ако е осъществен контакт, измийте засегнатата област с обилен количество вода и потърсете медицински съвет. ■ Не използвайте каквото и да е зарядно устройство различно от специфично предоставеното за употреба с оборудването. ■ Не използвайте каквато и да е клетка или батерия, която не е проектирана за употреба с оборудването. ■ Не смесвайте клетки от различен производител, капацитет, размер или вид с дадено устройство. ■ Дръжте клетките и батерияте извън досяг от деца. ■ Незабавно потърсете медицинска помощ, ако клетка или батерия бъде погълната. ■ Винаги закупувайте подходящата клетка или батерия за оборудването. ■ Поддържайте клетките и батерияте чисти и сухи. ■ Забърсвайте клемите на клетката или батерията с чист, сух плат, ако се зацепят. ■ Вторичните клетки и батерии трябва да се заредят преди употреба. Винаги използвайте подходящо зарядно устройство и се обърнете към инструкциите на производителя или ръководството на оборудването за подходящи инструкции за зареждане. ■ Не оставяйте акумулаторна батерия продължително да се зарежда, когато не се използва. ■ След продължителни периоди на съхранение може да е необходимо да заредите и разредите клетките или батерияте няколко пъти, за да се постигнат максимални работни характеристики. ■ Вторичните клетки и батерии предоставят най-добриите си работни характеристики, когато работят при нормална стайна температура (20 °C ± 5 °C). ■ Запазете оригиналната литература на продукта за бъдещи справки. ■ Използвайте само клетката или батерията в приложението, за която е предназначена. ■ Когато е възможно, премахнете батерията от оборудването, когато не се използва. ■ Изхвърляйте по подходящ начин. ОБСЛУЖВАНЕ ■ Следвайте инструкциите в раздел Поддръжка на това ръководство. Употребата на неоторизирани части или неспазването на инструкциите за поддръжка може да създадат риск от шок или нараняване. СПЕЦИФИЧНИ ПРАВИЛА ЗА БЕЗОПАСНОСТ ■ Опознайте вашия електроинструмент. Прочетете внимателно ръководството на оператора. Научете приложенятия и ограниченията, както и специфичните потенциални опасности свързани с инструмента. Следването на това правило ще намали риска от електрически шок, пожар или сериозно нараняване. ■ Инструментите на батерии не е необходимо да се включват в електрическия контакт; поради това те винаги са в състояние за работа. Имайте предвид възможните опасности, когато използвате вашия инструмент на батерии. Винаги снемайте акумулаторната батерия преди смяна на аксесоари. Следването на това правило ще намали риска от електрически шок, пожар или сериозно нараняване. ■ Не поставяйте инструмента на батерии или акумулаторната батерия близо до огън или топлина. Това ще намали риска от експлозия и възможно нараняване. ■ Не изхвърляйте батерияте в огън. Клетките могат да експлодират. Проверете местните кодове възможни специални инструкции за изхвърляне. ■ Не отваряйте или не разединявайте батерията. Освободеният електролит е корозионен и може да предизвика нараняване на очите или кожата. Може да е токсичен, ако се погълне. ■ Не разбивайте, изпускате или повреждайте акумулаторната батерия. Не използвайте акумулаторната батерия или зарядното устройство, което е изпускано или е претърпяло силен удар. Повредената батерия е обект на експлозия. Незабавно изхвърляйте по подходящ начин изпуснатата или повредена батерия. ■ Батерияте отделят водороден газ и могат да експлодират в присъствието на източник на възпламеняване, като kontrolна лампа. За да намалите риска от сериозно нараняване, никога е използвайте каквото и да е бежични продукти в присъствието на открит огнь. Експлодирана батерия може да изхвърли остатъци и химикали. Ако се изложите на това, незабавно изплакнете с вода. ■ Не зареждайте акумулаторната батерия на влажни или мокри места. Следването на това правило ще намали риска от електрически шок. ■ За най-добри резултати, вашата батерия трябва да се зарежда на места, където температурата е по-висока от 0° С и по-ниска от 40° С. Не я съхранявайте на открито или в превозни средства. ■ При условия на екстремна употреба или температура, може да възникне теч от батериите. Ако течност влезе в контакт с Вашата кожа, измийте незабавно със сапун и вода, след това неутрализирайте с лимонов сок или оцет. Ако течност попадне в очите Ви, изплакнете ги с чиста вода за поне 10 минути и след това потърсете незабавна медицинска помощ. Следването на това правило ще намали риска от сериозно нараняване. ■ Не позволявайте бензин, масло, петролни продукти и т.н. да влизаат в контакт с пластмасовите части. Тези субстанции съдържат химикали, които могат да повредят, отслабят или разрушат пластмасата. ■ Обслужвайте вашата акумулаторна батерия чрез квалифициран техник, като използвате само идентични резервни части. Това ще осигури поддържането на безопасност за вашата акумулаторна батерия. Запазете тези инструкции. Обръщайте се често към тях и ги използвайте за инструктиране на други, които може да използват този инструмент. Ако заемете този инструмент на някой друг, заемете им и тези инструкции, за да се предотврати злоупотреба с продукта и вероятно нараняване. ОПИСАНИЕ ОПОЗНАЙТЕ ВАШАТА ЛИТИЕВО-ЙОННА АКУМУЛATORНА БАТЕРИЯ (Фиг. А) 1. Отвор за въздух за охлаждане 2. Електрически индикатор 3. Контакти на акумулаторната батерия РАБОТА ЕЛЕКТРИЧЕСКИ ИНДИКАТОР ВЪРХУ АКУМУЛATORНАТА БАТЕРИЯ Тази литиево-йонна акумулаторна батерия е оборудвана с електрически индикатор, който показва нивото на капацитета на заряд на акумулаторната батерия. Натиснете електрическия индикатор за да се покаже на дисплея нивото на заряд. Светодиодният индикатор ще светне за 10 секунди. ■ Зелената светлина показва, че акумулаторната батерия е над 15% от капацитета на заряда си. ■ Червената светлина показва ниско напрежение на акумулаторната батерия. ■ Мигащата червена светлина показва, че акумулаторната батерия близо до изтощаване и трябва да се зареди незабавно. ЗАЩИТА НА АКУМУЛATORНАТА БАТЕРИЯ Електрическата схема на акумулаторната батерия предпазва батериите от екстремна температура, прекомерно разреждане и превзареждане. За предпазване на акумулаторната батерия от повреда и за удължаване на живота, електрическата схема на ще изключи акумулаторната батерия, ако се претовари или ако температурата стане твърде висока по време на употреба. Това може да се случи при ситуации на изключително висок вътрешен момент, задържане и спиране. Акумулаторната батерия ще се изключи с електрически индикатор светещ оранжево за 10 секунди, когато работната температура превишава 70°С, и ще започне нормална работа, когато се върне до 67°С. Забележете: Значително намалено време на работа след пълно зареждане на акумулаторната батерия показва, че батерияте са близо до края на експLOATационния си живот и трябва да се подменят. РАБОТА ПРИ СТУДЕНО ВРЕМЕ Тази литиево-йонна акумулаторна батерия ще предостави оптимални работни характеристики при температури между 0° С и 40° С. Когато акумулаторната батерия е много студена, може да "пулира" за първите минути употреба, за да се затопли. Поставете акумулаторната батерия върху инструмент и използвайте инструмента в условията на леко приложение. След около минута, акумулаторната батерия ще се затопли и ще работи нормално. СПЕЦИФИКАЦИИ \| Акумулаторна батерия \| BA1120E: 56V 2,0Ah литиево-йонна BA1400: 56V 2,5Ah литиево-йонна BA2240E: 56V 4,0Ah литиево-йонна BA2800: 56V 5,0Ah литиево-йонна BA3360: 56V 6,0Ah литиево-йонна BA4200: 56V 7,5Ah литиево-йонна \| \|----------------------\|----------------------------------\| \| Оптимална температура на зареждане \| 0°С-40°С \| \| Тегло на акумулаторната батерия \| BA1120E: 1,2 кг BA1400: 1,3 кг BA2240E: 2,2 кг BA2800: 2,2 кг BA3360: 2,8 кг BA4200: 2,8 кг \| КОГА СЕ ЗАРЕЖДА АКУМУЛАТОРНА БАТЕРИЯ ЗАБЕЛЕЖЕТЕ: Литиево-йонни акумулаторни батерии се доставят частично заредени. Преди употреба за първи път, напълно заредете акумулаторната батерия. ЗАБЕЛЕЖЕТЕ: Тази акумулаторна батерия е оборудвана с разширена функция за самоподдръжка за удължаване на живота на батериите. В зависимост от заряда на батериите, автоматично ще извършва самостоятелно раззареждане след един месец съхранение. След тази самоподдръжка, акумулаторната батерия ще навлезе в спящ режим и ще поддържа 30% от капацитета на заряда си. Ако се съхранява за месец или по-дълго, напълно прераззаредете акумулаторната батерия преди следваща употреба. Необходимо е да изтощите заряда на акумулаторната батерия преди прераззареждане. Литиево-йонната акумулаторна батерия може да се заредя по всяко време и няма да развие "памет", когато се зарежда след само частично раззареждане. Използвайте електрическия индикатор, за да определите кога акумулаторната батерия трябва да се преразреди. КАК СЕ ЗАРЕЖДА АКУМУЛАТОРНА БАТЕРИЯ Следвайте инструкциите в Ръководството на оператора за Бързо зарядно устройство EGO CH5500E или Зарядно устройство CH2100E. ЗА ПРИКРЕПВАНЕ И СНЕМАНЕ НА АКУМУЛАТОРНАТА БАТЕРИЯ Следвайте инструкциите в Ръководството на оператора за индивидуалния продукт EGO. ПОДДРЪЖКА ПРЕДУПРЕЖДЕНИЕ: За да избегнете нараняване, винаги сменяйте акумулаторната батерия от инструмента, когато сменяте аксесоари, почиствате или извършвате поддръжка. ПРЕДУПРЕЖДЕНИЕ: Когато обслужвате, използвайте само идентични резервни части. Употребата на каквито и да е други части може да създаде опасност или да предизвика повреда на продукта. ПРЕДУПРЕЖДЕНИЕ: Не е препоръчително да се използва състен сух въздух като метод за почистване на акумулаторната батерия. Ако почистването със състен въздух е единственият метод за прилагане, винаги носете предпазни очила със странични екрани. Ако работата е прашна, също така носете прахозащитна маска. ОБЩА ПОДДРЪЖКА Избягвайте употребата на разтворители, когато почиствате пластмасовите части. Повечето пластмасови части са уязвими на повреда от различни видове разтворители в търговската мрежа и може да се повредят от тяхната употреба. Използвайте чист плат, за премахване на мръсотия, прах, масло и т.н. ПРЕДУПРЕЖДЕНИЕ: Никога не позволявайте спирчана течност, бензин, петролни продукти, проникващи масла и т.н. да влизаат в контакт с пластмасовите части. Химикатите могат да повредят, отслабят или разрушат пластмаса, което може да доведе сериозно нараняване. ПРЕДУПРЕЖДЕНИЕ: ЗА НАМАЛЯВАНЕ НА РИСКА ОТ ПОЖАР, НАРАНЯВАНЕ НА ХОРА И ПОВРЕДА НА ПРОДУКТА ПОРАДИ КЪСО СЪЕДИНЕНИЕ, НЕ ПОТАПЯЙТЕ НИКОГА СВОЯ ИНСТРУМЕНТ, АКУМУЛАТОРНИЯ КОМПЛЕКТ ИЛИ ЗАРЯДНОТО УСТРОЙСТВО В ТЕЧНОСТ ИЛИ НЕ ДОПУСКАЙТЕ ПРОНИКВАНЕТО НА ТЕЧНОСТ В ТЯХ. ПРИЧИНИЯЩИ КОРОЗИЯ ИЛИ ПРОВОДИМИ ТЕЧНОСТИ КАТО МОРСКА ВОДА, НЯКОИ ПРОМИШЛЕН ХИМИКАЛИ И БЕЛИНА ИЛИ ПРОДУКТИ СЪДЪРЖАЩИ БЕЛИНА И Т.Н. МОГАТ ДА ПРИЧИНЯТ КЪСО СЪЕДИНЕНИЕ. АКУМУЛАТОРНИ БАТЕРИИ Акумулаторната батерия е оборудвана с литиево-йонни зарядни батерии. Продължителността на употреба от всяко зареждане ще зависи от вида извършена работа. Батеритите в този инструмент са проектирани да предоставят максимален безпроблемен живот. Подобно на всички батерии, те в последствие ще се износят. На разглобявайте акумулаторната батерия или не предприемайте подръка на батеритите в ни. Боравенето с батеритите, особено когато носите пръстени и бижута може да доведе до сериозно изгаряне. За да получите възможно най-дългия живот на батериите, прочетете и осъзнайте ръководството на оператора. ■ Добра практика е да изключите от контакта зарядното устройство и да снемете литиево-йонната акумулаторна батерия, когато не се използва. За съхранение на литиево-йонна акумулаторна батерия за повече от 30 дни. Съхранявайте литиево-йонната акумулаторна батерия, където температурата е под 26°C и няма влага. ■ Съхранявайте литиево-йонната акумулаторна батерия в състояние на заряд от 30%-50%. ■ На всеки шест месеца съхранение, напълно зареждайте литиево-йонната акумулаторна батерия. ■ Външната част може да се почиста с плат или мека неметална четка. ЗАБЕЛЕЖЕТЕ: Тази акумулаторна батерия е оборудвана с разширена функция а самоподдръжка. Може автоматично да поддържа 30% от капацитета на заряда си след съхранение за един месец. СНЕМАНЕ НА АКУМУЛATORНАТА БАТЕРИЯ И ПОДГОТОВКА ЗА РЕЦИКЛИРАНЕ Не изхвърляйте зарядно устройство за акумулаторни батерии и батерии/акумулаторни батерии в домакинския отпадък. Li-ion Съгласно европейския закон 2012/19/EU, електрическо и електронно оборудване, което повече не може да се използва и съгласно европейското законодателство 2006/66/ЕС, дефектните или използвани акумулаторни батерии/батерии трябва да се събират отделно и да се изхвърлят по подходящ за околната среда начин. Обърнете се към местния орган по отпадъците за информация относно наличните възможности за рециклиране и/или изхвърляне. ПРЕДУПРЕЖДЕНИЕ: Преди снемане на акумулаторната батерия за изхвърляне или рециклиране, покритите клепите на акумулаторната батерия с адгезивна лента за високо напрежение. Не предприемайте разрушаване или разглобяване на акумулаторната батерия или не премахвайте каквито и да е от нейните компоненти. Литиево-йонните акумулаторни батерии трябва да се рециклират или изхвърлят по подходящ начин. Също така, никога не докосвайте клепите с метални обекти или частите на тялото, защото може да възникне късо съединение. Дръжте настрана от деца. Неспазването на предупреждения може да доведе до пожар и/или сериозно нараняване. ОТСТРАНЯВАНЕ НА ПРОБЛЕМИ \| ПРОБЛЕМ \| ПРИЧИНА \| РЕШЕНИЕ \| \|----------------------------------------------\|------------------------------------------------------------------------\|------------------------------------------------------------------------\| \| Зарядът на акумулаторната батерия се намаля след повече от един месец без употреба. \| Акумулаторната батерия автоматично извършва самоподдръжка, за да удължи живота си. \| Напълно превъзредете акумулаторната батерия преди употреба. \| \| Електрическият индикатор свети оранжево. \| Акумулаторната батерия е твърде гореща. \| Охладете акумулаторната батерия до спадане на температурата под 67°C. \| \| Крайната капачка на акумулаторната батерия се затопля по време на съхранение. Електрическият индикатор мига в зелено на всеки две секунди. \| Акумулаторната батерия автоматично извършва самоподдръжка, за да удължи живота си. \| Не е необходимо никакво действие; това е нормално. С натискане на електрическия индикатор процеса на самоподдръжка ще спре. \| ГАРАНЦИЯ ГАРАНЦИОННА ПОЛИТИКА EGO Моля посетете уебсайта egopowerplus.com за пълните условия по гаранционната политика на EGO. Всички продукти на EGO Power+ използвани за непрофесионални цели имат 2+3* години гаранция за машините и 2+1* години гаранция за батеритите. Допълнителните години гаранция към стандартните 3 за машините и 1 за батеритите от производителя се предоставят срещу регистриране на покупката в www.egopowerplus.bg ГАРАНЦИЯ ЗА ПРОДУКТИТЕ НА EGO POWER+ Градински инструменти EGO Power+ - Хоби потребители В продължение на 2+3 години от датата на първоначалната покупка на инструментите на EGO Power + имат гаранция срещу дефекти в материала или изработката в случайте, когато те се използват по предназначение от непрофесионалисти и за домашни цели. 3 допълнителни години гаранция към стандартните 2 от производителя се предоставят срещу регистриране на покупката в www.egopowerplus.bg, след което ще получите потвърдителен имейл за удължаване на гаранционния период. Зарядни устройства и батерии на EGO Power+ System – Хоби потребители В продължение на 2+1 години от датата на първоначалната покупка на зарядните устройства и батерийте на EGO Power+ System имат гаранция срещу дефекти в материала или изработката в случайте, когато те се използват по предназначение от непрофесионалисти и за домашни цели. 1 допълнителна година гаранция към стандартните 2 от производителя се предоставя срещу регистриране на покупката в www.egopowerplus.bg, след което ще получите потвърдителен имейл за удължаване на гаранционния период. Градински инструменти EGO Power+, Зарядни устройства и батерии на EGO Power+ System – Професионални потребители Закупилите инструменти на EGO Power+, които ги използват за професионални нужди: дейности по поддръжка на градини, паркове и други зелени площи ще могат да използват гаранцията на производителя в съответствие с класа на закупения инструмент. В продължение на периода на гаранцията от датата на първоначалната покупка на продуктите на EGO Power + имат гаранция срещу дефекти в материала или изработката в случайте, когато те се използват по предназначение от полу-професионални или професионални потребители, като тази гаранция не покрива случаите на отдаване под наем на оборудването. ГАРАНЦИОННИ УСЛОВИЯ EGO POWER+ КЛАСИФИЦИРА МАШИНИТЕ СИ В СЛЕДНИТЕ 3 КАТЕГОРИИ: EGO POWER* Инструменти подходящи за домашно ползване в малки и средни градини - 1 ГОДИНА - ГАРАНЦИЯ ЗА ИНСТРУМЕНТА - 2 ГОДИНИ - ГАРАНЦИЯ ЗА БАТЕРИЯТА EGO POWER PROFESSIONAL Инструменти подходящи за професионалисти и за големи градини и зелени пространства - 2 ГОДИНИ - ГАРАНЦИЯ ЗА ИНСТРУМЕНТА - 2 ГОДИНИ - ГАРАНЦИЯ ЗА БАТЕРИЯТА EGO POWER PROFESSIONAL X Инструменти подходящи за интензивна работа от професионалисти и специалисти - 3 ГОДИНИ - ГАРАНЦИЯ ЗА ИНСТРУМЕНТА - 3 ГОДИНИ - ГАРАНЦИЯ ЗА БАТЕРИЯТА - Дефектният продукт ще бъде ремонтиран или заменен безплатно, ако се установи, че дефектите са причинени от лоши материали или производствена грешка. - Тази гаранция не покрива части или консумативи, които са обект на износване и увреждане в следствие на обичайна употреба. - Тази гаранция обхваща само дефекти, възникващи вследствие на нормална употреба и не покрива неизправности или нарушени функции, появили се в резултат на неправилна използване, злоупотреба (включително претоварване на продукта и прекомерно излагане на вода или дъжд), злополуки, пренебрегване или неправилен монтаж, поддръжка или съхранение. - Тази гаранция важи само за първоначалния купувач на дребно и не може да бъде прехвърлена. - Тази гаранция не покрива щетите, които са следствие от модификация, изменение на продукта или неоторизиран ремонт. - Рекламации по гаранцията трябва да се извършват в рамките на гаранционния срок. Инструмента трябва да се върне заедно с оригинален документ доказавящ покупката (където са обозначени датата на закупуване и описанието на продукта) на дистрибутора, от когото първоначално е закупено продукта. В случай, че това не е възможно, използвайте предоставените на този уебсайт данни, за да се свържете с упълномощения сервизен център на EGO Power +. Дефектиралите батерии EGO Power + НЕ ТРЯБВА ДА СЕ ТРАНСПОРТИРАТ ПОСРЕДСТВОМ КУРИЕРСКА ИЛИ ВЪНШНА ТРАНСПОРТНА ФИРМА, без предварително да се свържете с търговеца, от който са закупени. Всички рекламации, различни от правото да се отстрани дефект, както е посочено в тази гаранция, са изключени. Гаранционният срок за оборудването не се удължава или подновява в резултат на поправка на оборудването, което се извършва. При възникнали въпроси се обръщайте към официалния представител за България на Фирма ИНСТРА ООД, тел.(02)955 9074; (0878)709730, email:firstname.lastname@example.org; www.egopowerplus.bg A 1. 2. 3. 4. 5. READ ALL INSTRUCTIONS! READ & UNDERSTAND INSTRUCTION MANUAL ⚠️ Residual risk! People with electronic devices, such as pacemakers, should consult their physician(s) before using this product. Operation of electrical equipment in close proximity to a heart pacemaker could cause interference or failure of the pacemaker. ⚠️ WARNING: To ensure safety and reliability, all repairs should be performed by a qualified service technician. SAFETY SYMBOLS The purpose of safety symbols is to attract your attention to possible dangers. The safety symbols and the explanations with them deserve your careful attention and understanding. The symbol warnings do not, by themselves, eliminate any danger. The instructions and warnings they give are no substitutes for proper accident prevention measures. ⚠️ WARNING: Be sure to read and understand all safety instructions in this Operator’s Manual, including all safety alert symbols such as “DANGER,” “WARNING,” and “CAUTION” before using this tool. Failure to follow all instructions listed below may result in electric shock, fire, and/or serious personal injury. ⚠️ WARNING: To ensure safety and reliability, all repairs should be performed by a qualified service technician. ⚠️ WARNING: The operation of any power tools can result in foreign objects being thrown into your eyes, which can result in severe eye damage. Before beginning power tool operation, always wear safety goggles or safety glasses with side shields and a full face shield when needed. We recommend a Wide Vision Safety Mask for use over eyeglasses or standard safety glasses with side shields. ⚠️ WARNING: Risk of fire and burns. Do not disassemble, heat above 100 °C, or incinerate. Keep battery out of reach of children and in original package until ready to use. Dispose of used batteries promptly according to local recycling or waste regulations. SAFETY INSTRUCTIONS This page depicts and describes safety symbols that may appear on this product. Read, understand, and follow all instructions on the machine before attempting to assemble and operate. \| Safety Alert \| Precautions that involve your safety \| \|--------------\|------------------------------------\| \| Wear Eye Protection \| Always wear safety goggles or safety glasses with side shields and a full face shield when operating this product. \| \| Read the Operator’s Manual \| To reduce the risk of injury, user must read and understand operator’s manual before using this product. \| \| Recycle Symbols \| Do not dispose of battery packs/batteries into household waste, fire or water. Battery packs/batteries should be collected, recycled or disposed of in an environmental-friendly manner. \| \| Remove the battery pack \| Always remove the battery pack from the product when you are assembling parts, making adjustments, cleaning, or when the product is not in use. \| \| Do not expose battery pack/battery cells to fire. \| Against continuous intense sunlight, fire, water, and moisture. Danger of explosion. \| \| Do not expose battery pack/battery cells to water. \| \| \| Ambient temperature of battery pack charging \| For best results, your battery should be charged in a location where the temperature is greater than 5°C and less than 40°C. \| \| Symbol \| Description \| \|--------\|-------------\| \| V \| Volt \| \| A \| Amperes \| \| Hz \| Hertz \| \| W \| Watt \| Voltage Current Frequency (cycles per second) Power WARNING: Read and understand all instructions. Failure to follow all instructions may result in electric shock, fire and/or serious personal injury. The term “power tool” in all of warnings listed refers to EGO Power+ battery operated (cordless) Lawn & Garden machines. WORK AREA SAFETY - Keep the work area clean and well lit. Cluttered or dark areas invite accidents. - Do not operate power tools in explosive environments, such as in the presence of flammable liquids, gases, or dust. Power tools create sparks, which may ignite the dust or fumes. ELECTRICAL SAFETY - Do not expose power tools to rain or wet conditions. Water entering a power tool will increase the risk of electric shock. - Use only with chargers listed below: \| BATTERY PACKS \| CHARGER \| \|------------------------\|-----------\| \| BA1400T, BA2240T, BA2800T, BA4200T, BA5600T \| CH2100E, CH5500E \| BATTERY TOOL USE AND CARE - Recharge only with the chargers specified by the manufacturer. A charger that is suitable for one type of battery pack may create a rise of fire when used with another battery pack. - Use power tools only with specifically designated battery packs. Use of any other battery packs may create a risk of injury and fire. - When battery pack is not in use, keep it away from other metal objects like paper clips, coins, keys, nails screws or other small metal objects that can make a connection from one terminal to another. Shorting the battery terminals together may cause burns or a fire. - Under abusive conditions, liquid may be ejected from the battery; avoid contact. If contact accidentally occurs, flush with water. If liquid contacts eyes, additionally seek medical help. Liquid ejected from the battery may cause irritation or burns. - Do not dismantle, open or shred secondary cells or batteries. - Do not expose cells or batteries to heat or fire. Avoid storage in direct sunlight. - Do not short-circuit a cell or a battery. Do not store cells or batteries haphazardly in a box or drawer where they may short-circuit each other or be short-circuited by other metal objects. - Do not remove a cell or battery from its original packaging until required for use. - Do not subject cells or batteries to mechanical shock. - In the event of a cell leaking, do not allow the liquid to come in contact with the skin or eyes. If contact has been made, wash the affected area with copious amounts of water and seek medical advice. - Do not use any charger other than that specifically provided for use with the equipment. - Do not use any cell or battery which is not designed for use with the equipment. - Do not mix cells of different manufacture, capacity, size or type within a device. - Keep cells and batteries out of the reach of children. - Seek medical advice immediately if a cell or a battery has been swallowed. - Always purchase the correct cell or battery for the equipment. - Keep cells and batteries clean and dry. - Wipe the cell or battery terminals with a clean dry cloth if they become dirty. - Secondary cells and batteries need to be charged before use. Always use the correct charger and refer to the manufacturer’s instructions or equipment manual for proper charging instructions. - Do not leave a battery on prolonged charge when not in use. - After extended periods of storage, it may be necessary to charge and discharge the cells or batteries several times to obtain maximum performance. - Secondary cells and batteries give their best performance when they are operated at normal room temperature (20 °C ± 5 °C). - Retain the original product literature for future reference. - Use only the cell or battery in the application for which it was intended. When possible, remove the battery from the equipment when not in use. Dispose of properly SERVICE Follow instructions in the Maintenance section of this manual. Use of unauthorized parts or failure to follow Maintenance instructions may create a risk of shock or injury. SPECIFIC SAFETY RULES Know your power tool. Read the operator’s manual carefully. Learn the applications and limitations, as well as the specific potential hazards related to the tool. Following this rule will reduce the risk of electric shock, fire, or serious injury. Battery tools do not have to be plugged into an electrical outlet; therefore, they are always in operating condition. Be aware of possible hazards when not using your battery tool. Always remove the battery before changing accessories. Following this rule will reduce the risk of electric shock, fire or serious personal injury. Do not place the battery tools or battery pack near fire or heat. This will reduce the risk of explosion and possibly injury. Do not dispose of the batteries in a fire. The cells may explode. Check with local codes for possible special disposal instructions. Do not open or mutilate the battery. Released electrolyte is corrosive and may cause damage to the eyes or skin. It may be toxic if swallowed. Do not crush, drop or damage the battery pack. Do not use a battery pack or charger that has been dropped or received a sharp blow. A damaged battery is subject to explosion. Properly dispose of a dropped or damaged battery immediately. Batteries vent hydrogen gas and can explode in the presence of a source of ignition, such as a pilot light. To reduce the risk of serious personal injury, never use any cordless product in the presence of open flame. An exploded battery can propel debris and chemicals. If exposed, flush with water immediately. Do not charge the battery in a damp or wet location. Following this rule will reduce the risk of electric shock. For best results, your battery should be charged in a location where the temperature is greater than 5° C and less than 40° C. Do not store it outside or in vehicles. Under extreme usage or temperature conditions, battery leakage may occur. If liquid comes in contact with your skin, wash immediately with soap and water, then neutralize with lemon juice or vinegar. If liquid gets in your eyes, flush them with clean water for at least 10 minutes, and then seek immediate medical attention. Following this rule will reduce the risk of serious personal injury. Do not let gasoline, oils, petroleum-based products, etc. come in contact with plastic parts. These substances contain chemicals that can damage, weaken or destroy plastic. Have your battery pack serviced by a qualified repairperson using only identical replacement parts. This will ensure that the safety of the battery pack is maintained. Save these instructions. Refer to them frequently and use them to instruct others who may use this tool. If you lend someone this tool, lend them these instructions also to prevent misuse of the product and possible injury. SAVE THESE INSTRUCTIONS! SPECIFICATIONS \| Battery \| BA1400T: 56V 2.5Ah Lithium-ion BA2240T: 56V 4.0 Ah Lithium-ion BA2800T: 56V 5Ah Lithium-ion BA4200T: 56V 7.5Ah Lithium-ion BA5600T: 56V 10Ah Lithium-ion \| \|---\|---\| \| Battery Designation \| BA1400T: 14INR19/66 & 14INR19/65 BA2240T: 14INR22/70 BA2800T: 14INR19/65-2 BA4200T: 14INR19/65-3 BA5600T: 14INR19/65-4 \| \| Nominal Voltage \| 50.4V \| \| Optimum Charging Temperature \| 5°C-40°C \| \| Optimum Storage Temperature In Use \| 10°C-26°C \| \| Battery weight \| BA1400T: 1.30kg BA2240T: 1.90kg BA2800T: 2.25kg BA4200T: 2.90kg BA5600T: 3.50kg \| DESCRIPTION KNOW YOUR LITHIUM-ION BATTERY PACK (Fig. A) 1. Cooling Air Port 2. Positive Contact 3. Negative Contact 4. Power Button 5. 5-LED Indicator OPERATION 5-LED INDICATOR ON BATTERY PACK This lithium-ion battery pack is equipped with a 5-LED indicator, press the power button to display the charge level or its working condition, the LED indicator will be illuminated for 10 seconds. \| Battery charge level/Working condition \| 5-LED indicator \| Remarks \| \|----------------------------------------\|-----------------\|---------\| \| 80% ≤ Charge level ≤ 100% \| ![5-LED shining green] \| 5-LED shining green \| \| 60% ≤ Charge level <80% \| ![4-LED shining green] \| 4-LED shining green \| \| 40% ≤ Charge level < 60% \| ![3-LED shining green] \| 3-LED shining green \| \| 20% ≤ Charge level < 40% \| ![2-LED shining green] \| 2-LED shining green \| \| 10% ≤ Charge level < 20% \| ![1-LED shining green] \| 1-LED shining green \| \| Charge level < 10% \| ![1-LED flashing red.] \| 1-LED flashing red. \| \| Low voltage \| ![5-LED flashing red.] \| 5-LED flashing red. The battery pack is nearly depleted and needs to be charged immediately. \| \| Over temperature \| ![5-LED shining red.] \| 5-LED shining red. Cool the battery pack until the temperature drops below 67°C. \| Self maintenance – For BA1400T/BA2800T/BA4200T/BA5600T 5 LEDs shine solid red for 10 seconds, then go out and remain off for 10 seconds, then shine solid red for 10 seconds again or 5 LEDs flash green every two seconds based on different battery version. Both indications, the LEDs will run the cycle until the self-maintenance is finished. For BA2240T no special indicator. BATTERY PROTECTION The battery circuitry protects the battery pack from extreme temperature, over-discharge, and over-charge. To protect the battery from damage and prolong its life, the battery pack circuitry will turn off the battery pack if it becomes overloaded or if the temperature becomes too high during use. This may happen in extremely high torque, binding, and stalling situations. The battery pack will shut down with power indicator shining red for 10s when its operating temperature exceeds 70°C, and will begin normal operation when it returns to 67°C. Notice: A significantly reduced run time after fully charging the battery pack indicates that the batteries are near the end of their usable life and must be replaced. COLD WEATHER OPERATION This Lithium-Ion battery pack will provide optimal performance in temperatures between 10°C and 26°C. When the battery pack is very cold, it may “pulse” for the first minute of use to warm itself. Put the battery pack on a tool and use the tool in a light application. After about a minute, the battery pack will have warmed itself and will operate normally. WHEN TO CHARGE THE BATTERY PACK NOTICE: Lithium-Ion battery packs are shipped partially charged. Before using it the first time, fully charge the battery pack. NOTICE: This battery pack is equipped with an advanced self-maintenance function to extend the battery life. Depending on the battery charge, it will automatically perform a self-discharge operation after one month of storage. After this self-maintenance, the battery pack will enter sleep mode and maintain 30% of its charge capacity. If stored for a month or longer, fully recharge the battery before the next use. (Not applicable to BA2240T which is equipped with other advanced technology to extend the battery life.) It is not necessary to run down the battery pack charge before recharging. The Lithium-Ion battery can be charged at any time and will not develop a “memory” when charged after only a partial discharge. Use the power indicator to determine when the battery pack needs to be recharged. HOW TO CHARGE THE BATTERY PACK Follow the instructions in the Operator’s Manual for the EGO CH5500E Rapid Charger or CH2100E Charger. TO ATTACH AND DETACH THE BATTERY PACK Follow the instructions in the Operator’s Manual for the individual EGO product. MAINTENANCE ⚠️ WARNING: To avoid serious personal injury, always remove the battery pack from the tool when changing accessories, cleaning or performing any maintenance. ⚠️ WARNING: When servicing, use only identical EGO replacement parts. Use of any other parts may create a hazard or cause product damage. ⚠️ WARNING: It is not recommended to use compressed dry air as a cleaning method for the battery pack. If cleaning with compressed air is the only method to apply, always wear safety goggles or safety glasses with side shields. If the operation is dusty, also wear a dust mask. GENERAL MAINTENANCE Avoid using solvents when cleaning plastic parts. Most plastics are susceptible to damage from various types of commercial solvents and may be damaged by their use. Use clean clothes to remove dirt, dust, oil, grease, etc. ⚠️ WARNING: Do not at any time let brake fluids, gasoline, petroleum-based products, penetrating oils, etc. come in contact with plastic parts. Chemicals can damage, weaken or destroy plastic which may result in serious personal injury. ⚠️ WARNING: TO REDUCE THE RISK OF FIRE, PERSONAL INJURY, AND PRODUCT DAMAGE DUE TO A SHORT CIRCUIT, NEVER IMMERSE YOUR TOOL, BATTERY PACK OR CHARGER IN FLUID OR ALLOW A FLUID TO FLOW INSIDE THEM. CORROSIVE OR CONDUCTIVE FLUIDS, SUCH AS SEAWATER, CERTAIN INDUSTRIAL CHEMICALS, AND BLEACH OR BLEACH CONTAINING PRODUCTS, ETC., CAN CAUSE A SHORT CIRCUIT. BATTERIES The battery pack is equipped with Lithium-Ion rechargeable batteries. The duration of use from each charge will depend on the type of work performed. The batteries in this tool have been designed to provide maximum trouble-free life. Like all batteries, they will eventually wear out. Do not disassemble the battery pack or attempt to replace the batteries. Handling of the batteries, especially when wearing rings and jewelry could result in a serious burn. To obtain the longest possible battery life, read and understand the operator’s manual. - It is good practice to unplug the charger and remove the Lithium-Ion battery pack when not in use. For Lithium-Ion battery pack storage longer than 30 days: Store the Lithium-Ion battery pack where the temperature is below 26°C and free of moisture. - Store Lithium-Ion battery packs in a 30%-50% charged condition. - Every six months of storage, fully charge the Lithium-Ion battery pack. - Exterior may be cleaned with a cloth or soft non-metallic brush. BATTERY PACK REMOVAL AND PREPARATION FOR RECYCLING Do not dispose of battery charger and batteries/rechargeable batteries into household waste! According to the European law 2012/19/EU, electrical and electronic equipment that is no longer usable, and according to the European law 2006/66/EC, defective or used battery packs/batteries, must be collected separately and disposed of in an environmentally correct manner. Consult your local waste authority for information regarding available recycling and/or disposal options. ⚠️ WARNING: Upon removal of the battery pack for disposal or recycling, cover the battery pack’s terminals with heavy-duty adhesive tape. Do not attempt to destroy or disassemble the battery pack or remove any of its components. Lithium-Ion batteries must be recycled or disposed of properly. Also, never touch the terminals with metal objects and/or body parts as a short circuit may result. Keep away from children. Failure to comply with these warnings could result in fire and/or serious injury.
BIKE YOKE MANUAL DIVINE English 01 - 26 Deutsch 27 - 52 READ THESE INSTRUCTIONS BEFORE USE! REGISTER FOR MORE BENEFITS DIGITAL MANUAL ON & OFF THE TRAIL ASSEMBLY VIDEOS TIPPS & TRICKS SERVICE FAQ ... & MORE # CONTENTS WARRANTY ................................................................. 5 BEFORE INSTALLATION ........................................... 6 INSTALLATION - Remote lever .................................................................. 7-8 - Cable housing length .................................................... 9-10 - Preparing inner cable ..................................................... 11 - Connecting cable .......................................................... 12 - Seatpost orientation ....................................................... 13 - Inserting seatpost .......................................................... 14 - Minimum insertion depth .............................................. 15 - Inner cable tension ....................................................... 16 - Saddle installation ......................................................... 17 USING YOUR SEATPOST - Return speed .................................................................. 18-19 - Drop and extend ............................................................ 20-21 SERVICE - Maintenance instructions .............................................. 22 - Maintenance plan .......................................................... 23 FAQ ........................................................................... 24-25 *TROUBLESHOOTING .................................................. 26** service app Copyright © 2021 BikeYoke All rights reserved Thank you for choosing a BikeYoke dropper seatpost. To ensure maximum and enduring performance with your DIVINE, please read and follow this manual carefully and keep it for future reference. If you purchased your seatpost separately, you will find instructions on how to install it. Please note that your DIVINE requires regular maintenance and care - see the corresponding chapter in this manual. You can also find many important and useful tips in our service app or on www.bikeyoke.com. Happy trails Your BikeYoke team The warranty only applies to the original owner and cannot be transferred. Proof of purchase is required to validate warranty eligibility. Normal wear and tear, routine maintenance, improper installation, and improper use are not covered by the warranty. The warranty is void if the seatpost is modified in any way. BikeYoke will not be responsible for any incidental or individual costs incurred by the warranty service provider, not covered by the warranty. The warranty covers only the repair or replacement of the defective part and is the sole remedy of the warranty. The user assumes all risk of any personal injury or property damage, including any damage to the seatpost, and any other losses, if the seatpost is modified or used improperly at any time. This warranty gives the consumer specific legal rights and those rights vary from state to state. This warranty does not affect the statutory rights of the consumer. DIVINE models use internal cable routing and are designed to only work with bicycle frames with internal cable routing. ⚠️ ATTENTION: DO NOT DRILL OR MODIFY YOUR FRAME IN ANY WAY. Doing so will void the warranty of DIVINE and in most cases void the warranty of your bicycle. ⚠️ DANGER: Any modification to your frame may cause the frame to fail, which could lead to injury or death. If you are unsure if your DIVINE is compatible with your frame, contact your frame manufacturer or BikeYoke directly. You can find all contact informations on our website www.bikeyoke.com. WARNING: You must ensure that your frame is designed to fit your DIVINE. Incorrect fit may result in slippage, faulty performance, injury, or death and may void your warranty. CAUTION: BikeYoke does not recommend modifying or altering your frame in any way. Doing so may void your frame or bicycle’s warranty and may result in frame failure which could lead to injury or death. Ensure your seat tube is clean and free of debris, and the inside of the seat tube is smooth and free of any objects that may contact the seatpost! Apply a heavy suitable grease to the lower tube of the post to prevent galvanic corrosion inside the frame. Friction paste should only be used if the post cannot be clamped properly. Don’t use any abrasive paste, that could damage the post’s coating. STEP 1: INSTALLING REMOTE LEVER (2X) 1. Loosen and remove the clamping bolt on the 2X remote with a 3 mm Allen key. Open the hinged clamp, install the lever in the desired position and tighten the bolt. Maximum torque: 1,5 Nm 2. The 2X remote can be installed on either the right or left side of the handlebar. 3. Install the supplied elbow noodle with integrated tension adjuster into the 2X remote and insert cable housing including installed ferrule into the tension adjuster. STEP 1: INSTALLING REMOTE LEVER (TRIGGY) Triggy remote can be installed with a stand alone clamp on your handlebar, or an adapter directly on your brake. Use a maximum torque of 1,5 Nm on the pinch bolt on the BikeYoke splits clamp. Triggy remotes can only be installed on the left side of the handlebar. I-Spec Adapter installation scheme parts - barrel nut pin (1 Nm) - barrel nut - screw M5x6 (4 Nm) - screw M5x10 (4 Nm) I-Spec B - screw M5x10 (4 Nm) I-Spec II - screw M5x12 (4 Nm) - screw nut - M5x6 (4 Nm) I-Spec EV STEP 2: CABLE HOUSING LENGTH Route the housing through your bicycle frame per your bicycle frame manufacturer’s specifications. To determine the correct length for your housing, place the housing into the tension adjuster of your remote, and make sure your handlebar can turn a minimum of $90^\circ$ without stretching the housing. Do not permanently affix your housing in place. You will need it free to move in a later step. STEP 2: DETERMINING CABLE HOUSE LENGTH Mark the position of your cable housing at the seat clamp, as it protrudes from the seat tube. Pull the cable housing out of the seat tube and make another mark 90 mm downwards. This will be your final housing length for minimum insertion. If you insert your post deeper you can cut the housing shorter accordingly to avoid excessive slack of your housing. Cut the housing to length with proper cable cutters. STEP 3: PREPARING INNER CABLE 1. Slide the open barrel nut over the uncut inner cable and move it close to the nipple, leaving a 1-2 mm gap. 2. Use a 3 mm and 2 mm Allen key to fix the barrel nut. Torque:* 2 Nm 3. Trim the cable nipple, using a suitable tool. 4. Push the ferrules onto both ends of the cable housing as far as possible. 5. Guide the inner cable through the cable housing from the seat tube towards the remote lever. STEP 4: CONNECTING CABLE TO SEATPOST 1. Insert the barrel nut end into the actuation lever. 2. Gently pull on the outer housing and move the lever down to pass the cable end stop with the ferrule. 3. Guide the inner cable through the slotted cable end stop and push the ferrule firmly into the cable end stop by hand. STEP 5: SEATPOST ORIENTATION There is only one position for seatpost direction, saddle and saddle clamp orientation. STEP 5: INSERTING SEATPOST Insert the seatpost into your seat tube. When inserting or extending, make sure you do not pull too hard on the outer housing, as doing so may pull the ferrule out of the cable stop. ⚠️ Insert slowly and carefully! When inserting, make sure there are no such things as pivot points, bent tubes, ... inside your seattube that can interfere with the seatpost. ⚠️ You should always use a good quality grease on contacting faces between seatpost and seattube in order to prevent corrosion. Use friction paste only if proper clamping is impossible with greased components. Contact us before applying friction paste. ⚠️ Make sure your post does not slip inside the seat tube when sitting on it, before going out for a real ride. ⚠️ Over-tightening your frame’s seat clamp might lead to a stuck post and/or increased wear. Use only as much torque as you need to keep the post in place during normal riding. It is appropriate for the post to rotate or slip under higher input forces to prevent overload. Never exceed 5 Nm of torque! STEP 5: MINIMUM INSERTION DEPTH All seatpost models must be inserted into the bicycle’s seat tube, so that the minimum insert line is covered by the seat tube at all times or deeper. ⚠️ WARNING: Insufficient seatpost insertion into the bicycle frame’s seat tube could result in damage to the seatpost and/or bicycle, causing loss of control, which could lead to serious injury or death. In case your frame requires more minimum insertion depth than the post, follow the frame specification. SEAT CLAMP TORQUE: Tighten your frame’s seat collar to a maximum torque of 5 Nm. STEP 6: INNER CABLE TENSION 1. Insert the inner cable through the remote lever and insert the cable housing into its seat. Make sure that there is no slack in the inner cable. Tighten the pinch bolt (Triggy) or the barrel nut (2X remote) with 2 Nm. 2. Adjust the tension with the cable tensioner on the lever, so there is no play in the cable. If the tension is too high, it will permanently activate the post. A low tension will cause cable play, and the post will not reach its full speed. 3. Cut the inner cable and secure it with an end cap. STEP 7: SADDLE INSTALLATION Remove the saddle clamp bolts, barrel nuts, and upper and lower saddle clamps with a T25 Torx wrench (4 mm Allen key on older models). To install the saddle, replace the two saddle clamp bolts, barrel nuts, upper and lower saddle clamps in the order they were removed. Ensure that the rails of your saddle rest in the channel provided by the upper and lower saddle clamps before tightening. Adjust the saddle angle by tightening the two saddle clamp bolts. Tighten both bolts evenly and alternately to the maximum torque specified on the seatpost. Ensure that the shaft or thread of the bolts does not contact the post and cause the bolts to bend. DIVINE saddle clamp works with standard rails, oval rails and carbon rails. CAUTION: GREASE SHOULD NOT BE USED ON THE THREADED CONNECTIONS! CAUTION: With seatpost fully dropped and rear suspension fully compressed, make sure there is sufficient clearance between the saddle and the tire. ADJUSTING RETURN SPEED Your DIVINE comes with a factory setting of 300 psi air pressure. DIVINE is designed with a safety overload feature, that allows the post to act like a spring after hard impacts on the saddle, while the post is stiff under normal sitting/riding. This is to protect the post internals from very high peak loads. The pressure inside the post can be adjusted within a range of 250 psi to a maximum of 350 psi to accommodate to the rider’s speed and lever force preferences. Higher pressure = Higher overload threshold and higher speed Lower pressure = Lower overload threshold, lower speed, lower lever force CAUTION: Safety glasses and gloves must always be worn when adjusting the air pressure, since the dropper post contains high pressures and suspension fluid! WARNING: Keep your post right side up and fully extended, when adjusting air pressure. Never operate the air valve, while the post is laying horizontally or upside down or you will cause suspension fluid to leak out of the post under high pressure! This can cause severe injuries! ADJUSTING RETURN SPEED 1. Extend the post completely. 2. Remove the saddle clamps and remove the valve cap. 3. Attach the air valve adapter and then attach the shock pump onto the adapter. Make sure not to overtight the shock connection. 4. Pump the post to desired pressure. We do not recommend pressures lower than 250 psi, since it can make the post become very slow and not supportive enough. Maximum pressure is 350 psi. We recommend to use a high quality shock pump with a 2-step valve to avoid air loss, when detaching the pump. 5. Remove pump and adapter from the post. 6. Clean your post from any excessive suspension fluid. 7. Reinstall all previously remove parts in the order they were removed. The saddle can be dropped by (1) unweighting it, (2) pushing the trigger, and (3) sitting on the saddle firmly. Ensure smooth action and reduce wear on pins and bushings inside the post by applying force only in the direction of the seat tube axis. To raise the saddle, push the trigger with unweighted saddle. Once the desired position is reached, release the trigger. You can set the saddle height infinitely in any position within the post’s travel range. DROP AND EXTEND Your post might need to be manually broken loose if it hasn’t been used or adjusted for a long time, since the seals tend to stick to the contacting surfaces. For this initial “break-away” just push the remote and then gently push or pull the saddle until the post starts moving. Dissimilar to posts of other manufacturers it is acceptable for BikeYoke droppers to carefully pull on the saddle or lift the bike on the saddle. MAINTENANCE You can expect reliable service from this high-performance product if properly installed and regularly maintained by an authorized BikeYoke service center or a qualified service technician. For assistance locating a qualified service technician, visit www.bikeyoke.com. ⚠️ WARNING: Do not disassemble your seatpost by yourself unless you are a skilled and authorized technician! Failure to follow these warnings and instructions will immediately void your warranty! ⚠️ CAUTION: When working on the seatpost, gloves and safety glasses must always be worn! As some of the components are under high pressure, disassembling the seatpost may cause damage and severe personal injury. Besides routine maintenance, the operator must check the seatpost every time it is used to ensure proper operation. Your new seatpost is warranted for a period of two years from the date of purchase. The warranty is expressly limited to the repair or replacement of the defective part and is the sole remedy of the warranty. ### MAINTENANCE PLAN \| Task \| Before Every Ride \| After Every Ride \| Minimum Every 12 Months or After 100 Hours of Operation* \| Upon Need \| \|----------------------------------------------------------------------\|-------------------\|------------------\|----------------------------------------------------------\|-----------\| \| • Check saddle clamps for proper fit \| X \| \| \| \| \| • Inspect the post for damage \| \| \| \| \| \| • Check function \| \| \| \| \| \| • Gently wipe off dirt & water (no power wash!) \| \| X \| \| \| \| • Make sure no water enters the frame during washing (humidity can cause corrosion) \| \| X \| \| \| \| • Store bike in a dry place \| \| \| \| \| \| • Lower tube service \| \| \| X \| \| \| • Full cartridge service \| \| \| X \| \| * whichever comes first ** Complete maintenance plan, instructions and video tutorials can be found on www.bikeyoke.com! Before longer periods of non-use (>1 month), be sure to carry out a service on the lower tube unit to prevent corrosion damage due to humidity. Depending on the amount of use and riding conditions, a shorter maintenance interval may be necessary in order to ensure a smooth function of your BikeYoke seatpost! Is there a weight limit on the DIVINE dropper post? Our DIVINE has a model specific maximum rider weight. See the detailed weight limits on our website www.bikeyoke.com. Can I use other remotes than BikeYoke? We support all commonly available cable dropper remotes. To provide full return speed and smooth drop feel, your remote should have at least 10 mm of cable pull for REVIVE, REVIVE MAX and DIVINE, and at least 5 mm of cable pull for DIVINE SL and SL Rascal. Can I mount saddles that have carbon rails and/or high-oval rails to my post? Our DIVINE and REVIVE droppers are compatible with standard 7x7 mm and oval rails 7x9 or 7x10 mm made from carbon or alloy. Can I clamp my BikeYoke seatpost in the assembly stand? We recommend to clamp only the lower tube unit with care. Can I get spare parts for my DIVINE? We have all important spare parts available in our online shop, at our distributors and listed BikeYoke dealers. Other parts are available on demand. Can I convert my post to another seatpost diameter? Conversions between 30.9 and 31.6 mm are possible. Conversions to or from 34.9 mm are not possible. Is there anything I need to consider when lowering my post? Before pushing the remote lever, slightly unweight your saddle. Always apply the drop force along the seat tube direction! My post slightly compresses under load. Is that normal? A small amount of compression movement is absolutely normal and harmless, and can be up to 1-2 mm. Which type of bike are BikeYoke seatposts for? BikeYoke seatposts can be equipped to any type of bike, whether mountain, gravel, city or e-bike. What do I have to consider when installing the saddle? Alternately tighten the clamping bolts to the torque specified on the dropper post. IMPORTANT: Do not grease the saddle clamp bolts. Can I lift my bike on the saddle? It is acceptable for BikeYoke droppers to carefully lift the bike on the saddle. Is it okay to use t-bar lifts with my BikeYoke seatpost? Bikeyoke generally advises against using t-bar lifts. In addition to the obvious risk of scratching the post’s coating, the multitude of lift variants result in incalculable loads on the post, which can lead to possible late effects. Any use of our seatposts on t-bar lifts is expressly at the user’s own risk and voids the warranty. How do I install the travel reducers? You can find the installation video on our website www.bikeyoke.com. Do not install travel reducers by yourself unless you are a skilled technician! Fore more answers and questions check out our website or service app. BIKEYOKE SERVICE APP EVERYTHING YOU NEED TO KNOW! ASSEMBLY VIDEOS TIPPS & TRICKS SERVICE FAQ & MORE QR CODE BIKE YOKE MANUAL DIVINE English 01 - 26 Deutsch 27 - 52 LIES DIESE ANLEITUNG VOR DER NUTZUNG! SCANNEN UND REGISTRIEREN DIGITALES MANUAL AUCH UNTERWEGS MONTAGEVIDEOS TIPPS & TRICKS SERVICE FAQ ... & MORE \| GEWÄHRLEISTUNG \| 31 \| \|----------------\|----\| \| VOR DER MONTAGE \| 32 \| \| MONTAGE \| \| \| Remotehebel montieren \| 33-34 \| \| Zughülle ablängen \| 35-36 \| \| Innenzug vorbereiten \| 37 \| \| Zug einhängen \| 38 \| \| Einstecken der Sattelstütze \| 39 \| \| Einstecktiefe \| 40 \| \| Stütze ausrichten \| 41 \| \| Innenzuglänge bestimmen \| 42 \| \| Sattel montieren \| 43 \| \| NUTZUNG \| \| \| Ausfahrgeschwindigkeit \| 44-45 \| \| Absenken und Ausfahren \| 46-47 \| \| SERVICE \| \| \| Servicehinweise \| 48 \| \| Wartungsplan \| 49 \| \| FAQ \| 50-51 \| \| PROBLEMBEHEBUNG* \| 52 \| Service App Copyright © 2021 BikeYoke All rights reserved Vielen Dank, dass du dich für eine Vario-Sattelstütze von BikeYoke entschieden hast. Um dir maximalen und nachhaltigen Fahrspaß mit deiner DIVINE zu garantieren, bitten wir dich, diese Anleitung durchzulesen. Beware diese Anleitung sorgfältig auf. Falls du deine Stütze einzeln gekauft hast, findest du die Installation Schritt für Schritt erklärt. Bitte beachte, dass deine Stütze regelmäßiger Wartung und Pflege bedarf - siehe entsprechendes Kapitel in diesem Manual. Viele wichtige und nützliche Tipps findest du auch in unserer Service-App oder auf unserer Webseite www.bikeyoke.com. Viel Spaß und RIDE ON Das Team von BikeYoke Die Gewährleistung gilt nur für den Erstkäufer und ist nicht übertragbar. Zur Überprüfung des Gewährleistungsanspruchs ist ein Kaufbeleg erforderlich. Die Gewährleistung erstreckt sich nicht auf normale Abnutzung und Verschleiß, routinemäßige Wartungen sowie unsachgemäße Montage oder Verwendung der Sattelstütze. Bei jeglichen Umbauten oder nicht fachgerecht ausgeführten Servicearbeiten an der Sattelstütze erlischt der Gewährleistungsanspruch. BikeYoke haftet nicht für zusätzliche oder individuelle Kosten, die beim Gewährleistungserbringer anfallen und nicht durch diese Gewährleistung abgedeckt sind. Der Benutzer trägt das Risiko für Personen- oder Sachschäden, einschließlich Schäden an der Sattelstütze und aller sonstigen Schäden, die aus dem Umbau oder der unsachgemäßen Verwendung der Sattelstütze entstehen. Diese Gewährleistung verleiht dem Verbraucher spezifische Rechte, die von Land zu Land variieren können. Diese Gewährleistung wirkt sich nicht auf die gesetzlichen Verbraucherrechte aus. Die BikeYoke DIVINE nutzt eine interne Führung des Remotekabels und ist nur für Rahmen vorgesehen, die entsprechend dafür vorbereitet sind. ACHTUNG: BOHRE KEINE LÖCHER IN DEINEN RAHMEN UND VERÄNDERE IHN AUCH NICHT IN SONSTIGER ART!* In solchen Fällen erlischt die Garantie der DIVINE und in den meisten Fällen auch die deines Fahrrades. WARNUNG: Veränderungen jeglicher Art am Rahmen deines Fahrrades können zum Bruch führen. Dies kann ernsthafte Verletzungen bis hin zum Tod verursachen. Wenn du nicht sicher bist ob die BikeYoke DIVINE mit deinem Rahmen kompatibel ist, wende dich bitte an deinen Fahrradhersteller oder an ein BikeYoke Service-Center. VOR DER MONTAGE Prüfe ob deine neue BikeYoke Sattelstütze in deinen Rahmen passt. Alle DIVINE Modelle sind für Sitzrohre mit Innendurchmessern von 30.9 mm oder 31.6 mm in entsprechendem Maß erhältlich. Eine falsche Passung kann Rutschen, eine mangelhafte Performance und Verletzungen verursachen, sowie zum Erlöschen der Gewährleistung führen. ACHTUNG: BikeYoke rät dringend davon ab, an deinem Rahmen Modifikationen oder Änderungen jeglicher Art vorzunehmen. Hierdurch kann die Garantie deines Rahmens oder Rades erlöschen und der Rahmen könnte brechen, was zu Verletzungen oder zum Tod führen kann. Stelle sicher, dass dein Sitzrohr sauber ist. Die Innenseite des Sitzrohres sollte glatt und frei von Gegenständen sein, welche die Sattelstütze ggf. verkratzen könnten. Verwende beim Einbau ein geeignetes, zähes Fett um Rahmen und Stütze bestmöglich vor Kontaktkorrosion zu schützen. Verwende reibungserhöhende Montagepasten anstatt Fettes nur dann, wenn die Stütze ansonsten nicht ausreichend geklemmt werden kann. Verwende keine Pasten, die die Beschichtung der Stütze oder den Rahmen angreifen! SCHRITT 1: REMOTEHEBEL MONTIEREN (2X) 1. Löse und entferne die Klemmschraube am 2X Remote mit einem 3er Inbus. Klappe die Lenkerschelle auf, bringe den Hebel in die gewünschte Position und fixiere die Schelle wieder. Maximales Drehmoment: 1,5 Nm 2. Der 2X Remote kann sowohl links als auch rechts am Lenker montiert werden. 3. Montiere den mitgelieferten Winkelabgang und stecke die Außenzughülle mitsamt Endkappe in die Spannvorrichtung. SCHRITT 1: REMOTEHEBEL MONTIEREN (TRIGGY) Der Triggy Remote kann lediglich an der linken Lenkerseite montiert werden. Das Drehmoment für die Klemmschraube beträgt maximal 1,5 Nm. Der Triggy kann mittels separater Montageschelle oder (optional) I-Spec Adapter am Lenker angebracht werden. I-Spec Adapter Anbauschema Fixierungspin (1 Nm) Tonnenmutter Schraube M5x10 (4 Nm) Schraube M5x6 (4 Nm) I-Spec B Schraube M5x10 (4 Nm) I-Spec II Schraube M5x12 (4 Nm) Befestigungsmutter Schraube M5x6 (4 Nm) I-Spec EV SCHRITT 2: ZUGHÜLLE ABLÄNGEN 1. Mit korrekt ausgerichtetem Winkelabgang und Zughülle am Hebel wird der Zug nach den Angaben deines Rahmenherstellers durch den Rahmen gefädelt. 2. Um die korrekte Zuglänge für Vorne zu bestimmen wird der Lenker nun um etwas mehr als 90° in beide Richtungen gedreht. Stelle sicher, dass die Zughülle beim Einschlagen in keiner der beiden Richtungen unter Spannung steht, und genügend Freiraum und Reserven für Bewegung hat. Fixiere die Zughülle noch nicht durch ggf. vorhandene Kabelhalterungen/-führungen. Die Zughülle muss für kommende Schritte noch frei beweglich sein. SCHRITT 2: ZUGHÜLLE ABLÄNGEN 1. Markiere an der Zughülle die Position, an der die Zughülle das Sitzrohr verlässt. 2. Ziehe die Zughülle vorsichtig nach oben aus dem Sitzrohr und markiere erneut 90 mm abwärts von der bereits gesetzten Markierung. Die ist deine endgültige Zughüllenlänge. Mit dieser Zuglänge kann der maximale Stützenauszug erreicht werden. Falls deine Stütze tiefer im Rahmen steckt, musst du den entsprechenden Wert zu den 90 mm addieren. SCHRITT 3: INNENZUG VORBEREITEN 1. Schiebe die geöffnete Klemmtonne über den ungekürzten Innenzug bis kurz vor den Innenzugnippel. 2. Fixiere die Klemmtonne mit einem 3 mm und 2 mm Inbusschlüssel an der richtigen Position. Drehmoment: 2 Nm 3. Kürze das überstehende Ende des Innenzuges mithilfe geeigneten Werkzeuges bündig mit dem Ende der Klemmtonne. 4. Stecke die Endkappen bis zum Anschlag auf beide Enden der Außenhülle. 5. Führe den Innenzug durch die Außenhülle vom Sitzrohr in Richtung des Remotehebels. SCHRITT 4: ZUG MIT DER STÜTZE VERBINDEN 1. Führe die Klemmtonne mit dem Zug von der Seite kommend in den Sitz am Anlenkungshebel. 2. Ziehe den Zug vorsichtig nach unten, um mit der Endkappe am geschlitzten Zugstopper vorbeizukommen. Der Hebel kann sich dabei mitbewegen. 3. Drücke die Endkappe fest nach oben in den Zugstopper. SCHritt 5: SAttelStütze einstecken Schiebe die Stütze vorsichtig in das Sitzrohr deines Rahmens. Ziehe beim Justieren der Stützenposition nicht zu stark am Zug, da ansonsten der Zug versehentlich aushängen könnte. ⚠️ Wenn die Stütze tief in das Sitzrohr eingesteckt wird, stelle sicher, dass im Inneren des Sitzrohres nichts mit der Stütze kollidieren kann (z.B. Lagerpunkte, Schweißraupen, Kabelführungen). ⚠️ Benutze geeignetes Fett zur Vermeidung von Korrosion zwischen Sitzrohr und Außenrohr der Stütze. Reibungserhöhende Pasten sollten nur verwendet werden, falls die Stütze mit Fett nicht ausreichend geklemmt werden kann. Kontaktiere uns in solch einem Fall. ⚠️ Ziehe die Sattelklemme mit maximal 5 Nm an. Zu hohes Drehmoment kann die Funktion der Stütze dauerhaft beeinflussen. ⚠️ Stelle sicher, dass deine Stütze ordentlich im Sitzrohr fixiert ist, und nicht versehentlich verdrehen oder rutschen kann, bevor du damit Fahren gehst. SCHRITT 5: EINSTECKTIEFE SATTELSTÜTZE Die Sattelstütze ist mindestens so tief in das Sitzrohr des Fahrrades einzustecken, dass die Minimum-Insert-Markierung komplett vom Sitzrohr verdeckt ist. Falls der Hersteller deines Rahmens eine andere Einstecktiefe fordert, so ist in jedem Falle die höhere der beiden Mindesteinstecktiefen zu beachten. ACHTUNG: Wird die Sattelstütze nicht ausreichend tief in das Sitzrohr des Fahrrades gesteckt, können Schäden an der Sattelstütze und/oder dem Fahrrad entstehen. Ferner kann es dadurch zum Kontrollverlust über das Fahrrad kommen. Dies kann zu schweren bis hin zu tödlichen Verletzungen führen. Ziehe die Sattelklemme nicht zu stark an, da dies die Funktion der Stütze dauerhaft beeinträchtigen kann. Klemme stets nur so stark, dass die Stütze beim Fahren nicht in den Rahmen rutscht, sich aber bei einem seitlichen Schlag verdrehen kann. Dies kann helfen, die Stütze vor Überlast und Beschädigung zu schützen. Anzugsmoment Sattelklemme: Ziehe die Sattelrohrklemme mit maximal 5 Nm an! SCHRITT 5: AUSRICHTUNG DER STÜTZE Es gibt genau eine erlaubte Ausrichtung/Orientierung der Sattelstütze für Stützenkopf und Sattelklemmschalen: HECK DE BIKES FRONT DES BIKES SCHritt 6: INNENZUGLÄNGE BESTIMMEN 1. Führe den Schaltzug durch den Remote-Hebel und stecke die Außenhülle in ihren Sitz. Ziehe am Schaltzug, um sicherzustellen, dass keine Spiel zwischen allen beteiligten Teilen der Leitung ist und klemme den Zug mit der Klemmschraube (Triggy) oder der Klemmtonne (2X). DREHMOMENT: 2 Nm 2. Stelle über die Stellschraube am Hebel (Triggy) oder am Winkelabgang (2X) die Zugspannung so ein, dass kein Spiel vorhanden ist, aber auch der Zug nicht zu stark vorgespannt ist, und die Stütze permanent auslöst. 3. Kürze den überschüssigen Innenzug und sichere das Ende mit einem Endkäppchen. SCHRITT 7: SATTEL MONTIEREN Um den Sattel zu montieren, löse zunächst die beiden Sattelklemmschrauben, die zugehörigen Tonnenmuttern und beide Sattelklemmschalen mithilfe eines Torx T25 Schlüssels (4 mm Inbus für ältere Versionen). Löse nur soweit, bis du genügend Spiel hast, um das Sattelgestänge zwischen den beiden Klemmschalen zu positionieren. Achte auf die richtige Ausrichtung der Klemmschalen und den Klemmbereich deines Sattelgestänges! Ziehe abwechselnd beide Klemmschrauben an, bis der auf der Stütze angegebene Drehmoment und der gewünschte Neigungswinkel der Klemmschalen erreicht sind. Dabei dürfen die Schrauben nie mit dem Schaft oder dem Gewinde seitlich am Stützenkopf oder den Klemmschalen anliegen. DIVINE Klemmschalen sind neben runden und ovalen Sattelgestängen auch geeignet für Carbon-Sattelgestänge. WICHTIG: KLEMMSCHRAUBEN OHNE FETT MONTIEREN! ACHTUNG: Achte darauf, dass bei abgesenktem Sattel bei vollem Einfedern des Hinterrades ausreichend Platz zwischen Sattel und Reifen vorhanden ist. AUSFAHRGESCHWINDIGKEIT Deine DIVINE Sattelstütze wird werksseitig mit einem Druck von 300 psi befüllt und verfügt über eine Überlastregelung, die die Stütze federn lässt, sobald ein bestimmter Schwellwert durch einen Stoß von oben überschritten wird. Die Stütze ist beim normalen Fahren starr. Diese Überlastregelung schützt die Stütze vor Beschädigung durch Spitzenlasten. Dieser Schwellwert, die Hebel-Handkraft und die Ausfahrgeschwindigkeit sind über einen erlaubten Druckbereich von 250 psi bis maximal 350 psi anpassbar: Höherer Druck = Höhere Handkraft am Hebel, schnellere Ausfahrgeschwindigkeit, höherer Schwellwert Niedrigerer Druck = niedrigere Handkraft, niedrigere Ausfahrgeschwindigkeit, niedrigerer Schwellwert VORSICHT: Trage beim Einstellen des Druckes der Stütze immer eine Sicherheitsbrille. Die Stütze steht unter hohem Druck und Hydraulikflüssigkeit kann unter hoher Geschwindigkeit austreten. ACHTUNG: Halte deine Stütze beim Einstellen des Druckes immer mit dem Stützenkopf nach oben zeigend. Betätige das Luftventil nie in liegendem Zustand, da Hydraulikflüssigkeit unter hohem Druck austreten würde! Dies kann zu schweren Verletzungen führen. AUSFAHRGESCHWINDIGKEIT 1. Fahre die Stütze komplett aus. 2. Entferne die Sattelklemmteile und die Ventilkappe unter der unteren Sattelklemmschale. 3. Verbinde die Dämpferpumpe mit der Stütze. Schraube nicht zu fest auf. 4. Befülle die Stütze mit dem gewünschten Druck. Wir empfehlen keine Drücke unter 250 psi, da die Stütze zu langsam würde. Drücke über 350 psi sind nicht erlaubt! Benutze eine Pumpe mit doppelstufigem Ventil, um Druckverlust beim Abschrauben zu verhindern. 5. Entferne Pumpe und Adapter von der Stütze. 6. Reinige deine Stütze und entferne ggf. ausgetretenes überschüssiges Öl. 7. Installiere alle zuvor entfernten Teile wieder in der richtigen Reihenfolge. Um den Sattel abzusenken, betätige den Lenkerhebel und belaste den Sattel durch Aufsitzen oder per Hand. Belaste den Sattel, bzw. die Sattelstütze immer in Richtung der Längsachse der Stütze. So gleitet die Stütze am leichtesten und Lager werden am wenigsten beansprucht. Um den Sattel auszufahren, betätige den Lenkerhebel und entlaste den Sattel. Sobald die gewünschte Position des Sattels erreicht ist, lasse den Lenkerhebel los, und die Stütze verweilt in dieser Position. Die Sattelhöhe kann beliebig stufenlos zwischen den beiden Endpositionen gewählt werden. ABSENKEN UND AUSFAHREN Falls die Stütze längere Zeit nicht bewegt wurde, kann es vorkommen, dass die Dichtungen leicht angehaftet sind, und die Stütze sich nicht sofort per Hebeldruck aus abgesenkter Position nach oben in Bewegung setzt. Um die Stütze in Bewegung zu setzen, kann es dann notwendig sein, die Stütze zunächst per Hebeldruck und gleichzeitig leichtem Druck oder Zug am Sattel initial loszubrechen. Nach wenigen Einfederungsvorgängen wird die Stütze dann wie gewohnt funktionieren. Anders als bei anderen höhenverstellbaren Stützen schadet es dem Hydrauliksystem der DIVINE nicht, wenn an der Stütze leicht gezogen wird, beispielsweise wenn das Fahrrad am Sattel aufgehängt oder angehoben wird. WARTUNG BikeYoke Sattelstützen sind leistungsfähige Fahrradbauteile, die unbedingt regelmäßiger Wartung und Service bedürfen. Bei ordnungsgemäßem Einbau und regelmäßiger Wartung durch ein autorisiertes BikeYoke Service-Center wird das Produkt zuverlässig funktionieren. Kontaktinformationen zu unseren Service-Centern findest du auf unserer Website www.bikeyoke.com ⚠️ Alle Wartungs- und Servicearbeiten sowie Reparaturen setzen erforderliche Fachkenntnisse voraus und müssen von geschultem Personal ausgeführt werden. Selbst durchgeführte Service- oder Wartungsarbeiten, sowie Reparaturen, erfolgen ausdrücklich auf eigene Gefahr! Bei Nichteinhaltung dieser Warnhinweise und Anweisungen erlischt der Gewährleistungsanspruch mit sofortiger Wirkung. ⚠️ WARNUNG: Zerlege niemals deine Sattelstütze ohne ausreichende technische Fachkenntnisse! Dies kann zu schweren Personenschäden führen, da einige Baugruppen unter hohem Druck stehen. Zusätzlich zu den Wartungsarbeiten muss die Stütze vor jeder Nutzung vom Fahrer Routine-Checks unterzogen werden, um eine einwandfreie Funktion zu gewährleisten. Für deine neue Sattelstütze gilt ein Gewährleistungszeitraum von zwei Jahren ab dem Kaufdatum. Die Gewährleistung ist ausdrücklich auf die Reparatur oder Ersatzlieferung des defekten Teils beschränkt und bildet das einzige Rechtsmittel, das aus der Gewährleistung entsteht. \| WARTUNGSPLAN \| VOR JEDER FAHRT \| NACH JEDER FAHRT \| MINDESTENS ALLE 12 MONATE ODER NACH 100 BETRIEBSSTUNDEN* \| BEI BEDARF \| \|--------------\|-----------------\|------------------\|----------------------------------------------------------\|-----------\| \| • Klemmung von Stütze und Sattel prüfen • Sichtprüfung auf Beschädigung • Funktionsprüfung \| X \| \| \| \| \| • Behutsames Reinigen (kein Hochdruck!) • Wassereintritt in den Rahmen vermeiden (Feuchtigkeit kann zu Korrosion führen) \| X \| \| \| \| \| • Unterer Rohr Service / Lower Tube Service \| \| \| X \| \| \| • Kompletter Kartuschen-Service \| \| \| X \| \| * je nachdem, was zuerst eintritt Führe vor längeren Standzeiten (>1 Monat) unbedingt einen Service der unteren Rohreinheit durch, um Korrosionsschäden durch Feuchtigkeit zu vermeiden. Je nach Grad der Nutzung und Nutzungsumgebung muss gegebenenfalls ein kürzerer Wartungsintervall gewählt werden um die reibungslose Funktion der Stütze auf lange Zeit zu gewähren! Gibt es eine Gewichtsbeschränkung für die DIVINE? Die DIVINE hat ein modelspezifisches maximales Fahrergewicht. Weitere Details sind auf www.bikeyoke.com zu finden. Welche anderen Bedienhebel kann ich nutzen? Prinzipiell funktioniert jeder Bedienhebel mit Zug-Klemmung am Hebel. Um die volle Ausfahrgeschwindigkeit und geschmeidiges Einfahren zu erreichen sollte der Hebel mindestens 10 mm Kabelzug haben für REVIVE, REVIVE MAX und DIVINE, und mindestens 5 mm Kabelzug für DIVINE SL und DIVINE SL Rascal. Kann ich Sättel mit Carbon-Rails und/oder hochovalen Rails an meiner Stütze montieren? Unsere Sattelstützen sind mit runden 7x7 mm und mit hochovalen 7x9 sowie 7x10 mm Sattelrails kompatibel. Kann ich meine BikeYoke-Stütze im Montageständer einspannen? Wir empfehlen nur die untere Rohreinheit mit Bedacht einzuspannen. Gibt es Ersatzteile für meine BikeYoke-Stütze? Alle gängigen Ersatzteile für deine Stütze sind über den Fachhandel oder unseren Webshop erhältlich. Meine Stütze gibt minimal nach, wenn ich sie belaste? Ein leichtes Nachgeben der Stütze unter Belastung um 1-3 mm ist normal und unbedenklich. Kann ich meine Stütze auf einen anderen Sattelstützendurchmesser umbauen? Ein Umbau zwischen 30.9 und 31.6 mm ist möglich. Umbauten auf 34.9 mm sind aufgrund des dickeren Oberteils nicht realisierbar. Muss ich beim Absenken meiner Stütze etwas berücksichtigen? Belaste die Stütze zum Absenken immer in Längsrichtung zum Sitzrohr. Entlaste die Stütze vor dem Betätigen des Remotehebels kurz von deinem Körpergewicht. Meine Stütze hat seitliches Spiel. Ist das normal? Um ein weiches Ansprechverhalten zu erreichen, weisen Vario-Stützen aller Hersteller minimales Spiel auf. Dieses seitliche Spiel ist völlig normal und unbedenklich. Für welche Einsatzzwecke sind BikeYoke-Stützen geeignet? Mit unseren Stützen kannst du jedes Fahrrad ausrüsten, egal ob Gravel-, Mountain- oder E-Bike. Was muss ich bei der Sattelmontage beachten? Ziehe die Sattelklemmschrauben mit dem auf der Stütze angegebenen Drehmoment an. WICHTIG:** Die Klemmschrauben dürfen nicht gefettet sein, da dies zu erhöhter Zugbelastung führt. Darf ich mein Bike am Sattel hochheben, oder passiert etwas, wenn ich versehentlich am Sattel ziehe? Das Bike am Sattel anzuheben ist in der Regel kein Problem. Deine DIVINE resettet den Hydraulikkreislauf bei jedem kompletten Absenken automatisch. Allerdings solltest du dennoch nicht mutwillig am Sattel ziehen. Kann ich mit meiner BikeYoke Sattelstütze Lifte benutzen? Wir raten generell von der Nutzung von Schleppliften ab. Neben der Gefahr, die Beschichtung zu verkratzen, kommt es zu nicht kalkulierbaren Belastungen der Stütze, die zu Spätfolgen führen können. Eine Nutzung unserer Stützen an Schleppliften erfolgt ausdrücklich auf eigene Verantwortung und unter Erlöschen der Gewährleistung. Mehr Fragen und Antworten findet ihr auf unserer Webseite oder in unserer Service App. BIKEYOKE SERVICE APP ALLES WAS DU WISSEN MUSST! MONTAGEVIDEOS TIPPS & TRICKS SERVICE FAQ & MEHR QR-Code
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However, do not, under any circumstances, disclose your secure login profile by telephone or to any one claiming to represent Peoples Bank; Peoples Bank's employees do not need and should not ask for your secure login profile. You are liable for all transactions made or authorized using your secure login profile. Peoples Bank has no responsibility for establishing the identity of any person using your secure login profile. If, despite Peoples Bank's advice, you give your secure login profile to anyone, you do so at your own risk since anyone to whom you give your Peoples Online Services secure login profile or other means of access will have full access to your accounts even if you attempt to limit that person's authority. You must notify Peoples Bank that your secure login profile has been lost, stolen or otherwise compromised. It should not be honored and must be disabled by us. 3. Joint Accounts. If your Account is owned jointly any/all owners or designated agents may consent to receive electronic disclosures and eStatements. In addition, that person's election to access eStatements shall apply to any/all owners or designated agents. 4. Authorized Use (Joint Accountholders and Authorized Signers) You hereby release Peoples Bank from any liability and agree not to make any claim or bring any action against us for honoring or allowing any actions or transactions where you have authorized the person performing the action or transaction to use your account(s) and/or you have given your secure login profile to such person, or, in the case of a jointly held account such person is one of the owners of the account. A person who has been furnished your secure login profile is considered an authorized user until you contact the Bank to verify your identity and have your secure login profile reset. You agree to indemnify Peoples Bank and hold it harmless from and against any and all liability (including but not limited to reasonable attorney fees) arising from any such claims or actions. There are two ways for joint accountholders to enroll for Peoples Online Services. 1. All account holders may enroll separately. Each will have his/her own secure login profile and his/her own separate Peoples Online Services Agreement. Each such account holder is subject to separate Peoples Online Services Service fees as applicable. 2. Alternatively, one holder of a joint account can enroll for Peoples Online Services with one secure login profile issued and be subject to fees for one person. 5. Stop Payment Requests. You acknowledge that the Stop Payment feature of Peoples Online is an alternate entry system for issuing Stop Payment Requests. When utilizing this feature, you warrant that the information describing the check including its exact amount and the check number is correct. You acknowledge that the exact amount of the check is required, and if the incorrect amount or any other incorrect information is provided, the Bank will not be responsible for failing to stop payment on the item. You agree that the Stop Payment Request must be received by the Bank within a reasonable time for the Bank to act on the order prior to final payment of the check. A Stop Payment Request received by the Bank using this service will be accepted as if it were in written form and will be effective for six (6) months only, and will expire automatically at that time, without further notice, unless specifically renewed prior to expiration. You agree that it is commercially reasonable for the Bank to pay on an item for which a stop payment order has expired without further notice or approval. When you elect to execute Stop Payment Requests through Peoples Online, the stop payment will be automatically posted to FI's main computer system. The Service will automatically check the current and previous month's transactions to verify that the item has not already been posted to your account. However, if a stopped item has already been paid prior to the FI receiving the request, FI shall not be liable for any loss incurred by the Company arising from the event. Use of the Stop Payment Request service does not apply to payments issued through the Bill Payment Service. 6. Limits on Transfers from Accounts. Federal regulations limit the number of certain types of transfers from savings and money market deposit accounts. You are limited to six pre-authorized electronic fund transfers and telephone transfers, including bill payment transactions, checks and point-of-sale transactions, per month. Each fund transfer or bill payment through the Service from your savings or money market deposit Account is counted as one of the six transfers you are permitted each month. However, payments to your loan accounts with us are not counted toward this limit for savings and money market deposit Accounts. Your ability to transfer funds from certain Accounts is also subject to the Account Agreements. You should refer to these agreements for legal restrictions and service charges applicable for excessive withdrawals and transfers. 1. Limitations on dollar amounts of transfers. 1. You may transfer up to your available balance daily within your accounts at Peoples Bank. 2. Bill payments are limited as follows: * must be at least $1.00 and cannot exceed $25,000/payment * cannot exceed $25,000 in total payments daily 3. External Transfers are limited as follows: * the lesser of your available balance or $10,000 per outgoing payment (debit) and $10,000 total debits per day * $10,000 per incoming deposit (credit) and $10,000 total credits per day * the total of transactions made during a calendar month cannot exceed $20,000 (debits) and $20,000 (credits) 4. People Pay transfers are limited to $2,000 per transfer and $4,000 per day. 2. Transfer types allowed. In order to transfer between accounts at Peoples Bank you must be identified in our records as an owner of the checking and/or savings accounts. You may then use your secure login profile to access your account(s) to: 1. Transfer funds between your checking and/or savings accounts at Peoples Bank whenever you request. 3. Transfer funds from your checking or savings accounts to your loan accounts. 2. Pay bills directly from your checking account in the amounts and on the days you request. 4. Transfer funds from your revolving loan account to your checking or savings accounts. 6. People Pay. A transfer between your account at Peoples Bank and another person using Peoples Online Services and Peoples Mobile. 5. External transfer. A transfer between your account at Peoples Bank and your account at another financial institution. 7. Bank's Responsibility for Processing Transactions. If we do not complete a transfer to or from your Account on time or in the correct amount according to our agreement with you, we will be liable for your losses or damages. 8. Limitations of Bank's Responsibility for Processing Transactions. There are some exceptions to the Bank's liability for processing transactions on the Accounts. We will not be liable, for instance: 1. If, through no fault of ours, you do not have enough money in your Account to make the transfer; 3. If the funds in your Account were attached or the transfer cannot be made because of legal restrictions affecting your Account; 2. If the transfer would go over the credit limit on your overdraft line; 4. If any system or any software was not working properly and you knew about the breakdown when you started the transfer; 6. If you have not provided us with complete and correct transfer or payment information, including without limitation, the name, address, account number and payment amount for the Payee on a bill payment; 5. If circumstances beyond our control (such as interruption of telephone service or telecommunication facilities, or natural disaster such as a fire or flood) prevent the transfer, despite reasonable precautions that we have taken; 7. If you have not properly followed the instructions for using the Service or any software; 9. If you are unable to access your Account or the Service due to Internet facility or service provider delays or other problems. 8. If your operating system or software was not properly installed or functioning properly; or 10. There may be other exceptions stated in our agreement with you. The Bank's sole responsibility for an error in a fund transfer or bill payment will be to correct the error, but in no case shall the Bank be liable for any indirect, punitive, special, incidental or consequential damages (even if you have informed us of the possibility of such damages). In states which do not allow the exclusion or limitation of liability for indirect, punitive, special, incidental or consequential damages, the Bank's liability is limited to the extent permitted by Applicable Law (as defined below). Our service providers are independent contractors and not our agents. To the extent permitted by Applicable Law, we will not be responsible for any error, damage or other loss caused by any service provider. 9. Confidentiality. We will disclose information to third parties about your account or the transfers you make: 1. Where it is necessary for completing the transfers. 3. In order to comply with government agency or court orders. 2. In order to verify the existence and condition of your account for a third party, such as a credit bureau or merchant. 4. If you give us your written permission. 10. Availability of Service. Under normal circumstances, the Service will be accessible 24 hours a day, seven days a week. The Service may be inaccessible for a reasonable period on a daily basis for system maintenance. We shall not be liable under this Agreement for failure to provide access. Your access to the Service shall be determined in the sole discretion of the Bank. Subject to applicable law, the Bank reserves the right to modify, suspend, or terminate access to the Service at any time and for any reason without notice or refund of previously incurred fees. 11. Amendments. We have the right to modify or terminate this agreement at any time. We will comply with any notice requirements under applicable law for such changes or termination. If we terminate this Agreement, no further Peoples Online Services transfers or bill payments will be made, including but not limited to any payments or transfers scheduled in advance or any pre-authorized recurring payments or transfers. If we modify this Agreement, your continued use of Peoples Online Services will constitute your acceptance of such changes in each instance. 12. Bill Payment Service. 1. Bill Payment. You may use the Service to pay bills if you enroll in the Bill Payment Service. Unless the context clearly requires otherwise, all references to the "Service" herein also refer to the Bill Payment Service as long as you are subscribed to the Bill Payment Service. With the Bill Payment Service, you may schedule payments to occur on the same day ("Same Day Payments"), a future date ("Future Payments"), or on a recurring basis ("Recurring Payments") to certain companies or individuals you select or to your loan or credit accounts with us. Bill payments may not be made to pay taxes or child support, maintenance, alimony or other court-ordered obligations. You may make bill payments in any amount greater than or equal to $1.00 and less than $25,000 ("Payment Range"). Total limit of bills paid in a single day must be less than $25,000 ("Daily Payments Limit"). Bank reserves the right to change the Payment Range and/or the Daily Payments Limit at any time. Such changes will be effective upon Bank's implementation and posting of such on its systems or website. Furthermore, Bank reserves, in Bank's sole discretion, to allow exceptions to the Payment Range and Daily Payments Limit based upon certain criteria including, but not limited to total relationship with Bank, your credit scores, and/or special requests. 2. Funding Account. When you sign up for the Bill Payment Service, you designate a checking account with us as the default funding account from which bill payments should be made (the "Default Funding Account"). Additional checking accounts can be enabled for use as a bill payment funding account during enrollment or by managing your payment accounts after enrollment. 3. Payees. You may designate payees through the Bill Payment Service (each, a "Payee"). You must provide sufficient information about each Payee as requested from time to time to properly direct a payment to that Payee and permit the Payee to identify the correct account to credit with your payment. This information may include, without limitation, the name and address of the Payee and your Payee account number. The Payee must have a United States payment address that can be verified in the ordinary course of business. Occasionally a Payee may choose not to participate in the Bill Payment Service or may require additional information before accepting payments. While we work with these Payees to encourage them to accept an electronic or check bill payment through the Bill Payment Service, the Payee may not accept such bill payments or may not be able to process bill payments in a timely manner. In that event, we may decline to make future payments to this Payee and a notice will be sent to you. 4. eBills. You may also select the option to activate electronic bill statement presentment and payments ("eBills"), which will allow you to establish a payment schedule for such eBills to be paid through the Bill Payment Services. With the payment schedule, you can select to pay a designated fixed amount, the total amount of the bill due, the minimum amount of the bill due, or a reoccurring amount with a specific set of designated options based on the eBill presented for payment. In addition, you can determine the desired date you want to pay your bill; you should schedule your payments at least five (5) to seven (7) Business Days prior to the due date of the bill or upon you receipt of the eBill. You have sole responsibility for setting up eBill presentment through your third party service providers or bill presenters ("Billers") and for receiving and reviewing billing statements directly from your Biller. You will have sole responsibility for updating your personal information with Bank and with Biller separately. Additionally, you will be solely responsible for maintaining, protecting, and updating any and all usernames, passwords, or authentication techniques with your Biller and with the Bank and their respective electronic or Internet websites. It will be your responsibility to activate eBill presentment through your Biller and set-up all authorization and notification requirements. By activating your electronic billing through the Biller, you authorize Bank to act on your behalf to access your billing statements and information necessary to pay bills through eBills and the Bill Payment Services. You understand and agree that the Biller may require several billing cycles to set up your request for eBill presentment to the Bank and you agree to schedule and plan for any delays. You will be solely responsible for maintaining a current balance and paying all bills timely with your Billers; Bank shall have no liability whatsoever to you or the Biller for any reason for any late fees, expenses, or late payments and you agree to indemnify and hold the Bank harmless from any Biller or other third party claims, damages, expenses, costs, or fees which arise out of or relate to eBills or the Bill Payment Services. The retention and ability to see eBill history will be at the discretion of the Bank and/or Biller based on how the eBills are presented and received for payment. Bank shall have no liability for eBill historical information, which is outside the control of the Bank. You must request copies of any billing statements directly through your Biller and set up eBills in accordance with Bank instructions. You should monitor and keep track of all bills paid and those pending for payment. Bank is not responsible for the accuracy of any eBills presented or received by Bank; any discrepancies or disputes regarding the accuracy of any bills or payments must be addressed directly to the Biller. As necessary, you grant Bank the right to access the necessary third party website or system to retrieve necessary account and billing information on your behalf; however, Bank shall have no responsibility or liability for any Biller who fails to provide necessary information or data required by Bank to process an eBill in a timely manner. You are responsible for making sure your eBills are timely paid and that accurate information is provided. 5. Making Payments. The date that you request a bill payment is the "Initiation Date". The date that an electronic funds transfer is made from the Funding Account is the "Scheduled Date" and may be different than the date the payment is sent to the Payee. If your funding account has insufficient funds or is not an active account in good standing with the Bank, your payment may be delayed or canceled. The date the payment is actually sent to the payee is the "Transmit Date" of the payment. The date the payee receives the payment may be later than the Transmit Date and will depend on the method of payment as discussed below. 6. Scheduled Payments and Sufficient Available Funds. When you schedule a bill payment using the Bill Payment Service, you authorize us to follow the payment instructions and transfer funds to the Payee from your Funding Account with us. We process payment instructions only if there are sufficient funds available in your Funding Account on the Scheduled Date. If sufficient funds, including funds available under any overdraft plan, are not available in your Funding Account on the Scheduled Date, we may refuse to act on your payment instructions. If sufficient funds are not available, the bill payment may be held aside until next day exception processing is completed. If funds are available during exception processing, the payment will be sent; if not the payment will be canceled. An electronic notice of any canceled bill payment will be sent to you. We reserve the right to refuse to make any bill payment. 7. Same Day Payments. You may schedule payments on the same date of your request ("Same Day Payments") if payment is initiated prior to 8:00 pm Central Time. Otherwise, "Same Day Payments" will be transmitted on the first Business Day after the payment request is scheduled. You must have sufficient available funds in the Funding Account on the Scheduled Date. Same Day Payments may be changed or canceled any time prior to 8:00 pm Central Time. 8. Future Payments. You may schedule the Transaction Date of a bill payment to be a future date within 365 days of the Initiation Date ("Future Payment"). You must have sufficient available funds in the Funding Account as of the Scheduled Date of the payment. Future Payments may be changed or canceled online until 8:00 pm Central Standard Time of the Business Day before the Scheduled Date. Future Payments are generally transmitted on the same date as the Scheduled Date. 9. Recurring Payments. You may schedule a bill payment to be automatically initiated in a fixed amount on the same Scheduled Date every month ("Recurring Payment"). The date on which a bill payment is scheduled is referred to as the "Recurring Payment Date". If the Recurring Payment Date is a date that does not exist in a certain month, the bill payment will be initiated on the last Business Day of the month. For example, if you schedule a bill payment for the 30th of each month, the bill payment for the month of February will be initiated on or before the 28th of February. If the Recurring Payment Date falls on a day other than a Business Day in any month, the bill payment will be initiated on the next Business Day. For example, if you schedule a payment to be issued on the 15th of each month, and the 15th is a Saturday or Sunday of that month, a check will be issued on the first Business Day after the 15th. Thus, the actual Transmit Date for any month may not be the Recurring Payment Date. Recurring Payments may be changed or canceled online until 8:00 pm Central Standard Time of the Business Day before the Scheduled Date. Recurring Payments are generally transmitted on the same date as the Scheduled Date. 10. Method of Payment. You authorize us to make the bill payments you request through the Bill Payment Service in any one of the following ways. Bill payments may be sent through an electronic transmission to the Payee or they may be made by a check mailed to the Payee. When more than one customer schedules a payment to the same Payee on the same date (which frequently happens), a consolidated check may be issued to the Payee with an accompanying paper list of each customer by name, each account number to be credited, and the amount of each payment. All checks are sent through the United States Postal Service. 11. Processing Time. To ensure that your bill payments arrive on time, payments that will be transmitted electronically should have a Scheduled Date at least three (3) Business Days prior to the payment due date, not including any applicable grace period. Payments that will be transmitted as a check should have a Scheduled Date at least ten (10) Business Days prior to the Payment Due Date, not including any applicable grace period. This generally allows sufficient time for the Payee to receive and post your bill payment. We are not responsible for postal delays or processing delays by the Payee. Payments made through the Bill Payment Service are assigned a unique confirmation reference number that appears on your monthly statement for your Funding Account and is viewable online through the service. 12. Stopping, Canceling or Changing Bill Payments. You may use the Bill Payment Service to electronically change the payment amount and/or the scheduled payment date of any previously scheduled payment, or to electronically cancel a previously scheduled payment, subject to the limitations herein. A Same Day Payment may be canceled, changed or rescheduled using the Bill Payment Service any time prior to 8:00 PM CT on the scheduled payment date. Future Payments and Recurring Payments may be canceled, changed or rescheduled any time prior to 8:00 pm CT on the Business Day prior to the scheduled payment date. If your payment has already been transmitted it may not be cancelled or stopped through the Bill Payment Services. If a bill payment was sent by check, a stop payment may be placed up to three (3) Business Days after the Transaction Date by contacting Peoples Bank at (800) 584-8859. A stop payment fee may be assessed. Please refer to your Miscellaneous Fee Schedule for stop payment fee information or visit https://www.peoplesbankwa.com/pbwa/media/pdfs/Miscellaneous-Fee-Schedule.pdf . 13. Fees. Please refer to your Miscellaneous Fee Schedule for fees associated with the Bill Payment Service or visit https://www.peoplesbank-wa.com/pbwa/media/pdfs/Miscellaneous-Fee-Schedule.pdf . . 13. External Transfers 1. Use of External Transfer Service. This Section of this Agreement sets forth specific terms and conditions applicable to your use of the Online Services' External Transfer service. Use of the External Transfer service is at the discretion of Peoples Bank and the External Transfer capability may be cancelled by us at any time. 2. Eligible Accounts. An External Transfer is a transfer of funds between one of your eligible accounts at Peoples Bank and an eligible account at another financial institution. You will need to enroll an external account before you can transfer funds to or from that external account. Not all types of accounts are eligible for funds transfer. You may be subject to penalties by the other financial institution, or suffer negative tax consequences, for certain transactions involving retirement accounts (401K, IRA, etc.), trusts or other accounts types. It is your responsibility to verify with the other financial institution any restrictions that pertain to any external account you enroll. We reserve the right to decline the use of any external account. External accounts must be personal accounts; business, corporate or organizational accounts are NOT permitted. 3. Accounts. You agree that you will only attempt to register accounts for which you have the authority to transfer funds. To enroll that account you must be an owner of the Peoples Bank account as well as the external account. You will need to provide certain information about the external account including the Routing & Transit Number and an account number. It is your responsibility to ensure you submit valid and correct external account information. We may verify the external accounts from time to time. You authorize us to validate the external accounts by the use of a test transfer in which one or more low value payments will be deposited and/or credited to the external account. We may also require you to submit proof of ownership of the external account. You authorize us to use the information submitted by you to complete authorized External Transfers. 4. Other Financial Institution. All External Transfers are also subject to the rules and regulations of the other financial institution. You agree to obtain any and all permissions required by the other financial institution prior to transferring to or from that external account. Any fees charged by the other financial institution are your responsibility. 5. Failure or Rejection of External Transfers. You may not make External Transfers in excess of the collected funds in your account. If the account has insufficient funds to cover an External Transfer, the Bank may, at its sole discretion: * Cover the funds transfer under the terms of any overdraft protection plan you have established. * Cover the funds transfer and overdraw your account until the overdraft is paid. * Refuse to cover the funds transfer. * Cancel any and all External Transfers to any and all external accounts. 6. Fees may apply to the above remedies. Please refer to your Miscellaneous Fee Schedule for details or visit https://www.peoplesbank-wa.com/pbwa/media/pdfs/Miscellaneous-Fee-Schedule.pdf. 7. Completion of External Transfers. External Transfers that move money from Peoples Bank to another financial institution generally take one to three business days to settle. This means immediate transfers may take up to three days before funds have actually transferred. External Transfers that move money from another financial institution to Peoples Bank generally take four business days to settle. This means immediate transfers may take four days before funds have actually transferred. New accounts within their first 30 days may have an additional hold of up to eight (8) calendar days. Accounts opened more than 30 days may have an additional hold up to one (1) calendar day. Peoples Bank will not be responsible for returning funds due to an unrecoverable External Transfer. 8. Cancellation. External Transfers that are "in process" cannot be cancelled or stopped. You may cancel an External Transfer at any time up until it has been processed. Cancelling a single transfer before such transfer is processed, or cancelling the entire service, can be done within your Peoples Online Services. 9. Limitations on Dollar Amount of Transfers. External Transfers can be in amounts of up to your collected balance in the account subject to the transfer limitations applicable to the account as set forth in the account agreement. Please reference Section 6 of this Agreement (Limits on Transfers from Accounts). We may from time to time modify transfer limitations for security and risk management reasons. In addition to limits imposed by us, the other financial institution may impose limits on the dollar amount and/or frequency of transfers. All funds transfers are subject to the rules and regulations governing the relevant accounts. You agree not to initiate any funds transfers that are not allowed under the rules and regulations applicable to such accounts including, without limitation, rules or regulations designed to prevent the transfer of funds in violation of OFAC regulations. 10. Applicable Law. You agree that Peoples Bank may use any means or routes which we in our sole discretion consider suitable to execute your transfer including, without limitation: Automated Clearing House transfer ("ACH"), Fedwire transfer (a funds transfer system operated by the Federal Reserve Banks), through Clearing House Interbank Payments System (a funds transfer system operated by The Clearing House); through Society for Worldwide Interbank Financial Telecommunication (SWIFT) or by check. You agree to be bound by rules and regulations that govern the applicable funds transfer systems including, without limitation, ACH rules as published by the National Automated Clearinghouse Association ("NACHA").] 14. People Pay. 1. Enrollment. Acceptance of enrollment in People Pay is at the discretion of Peoples Bank and the service may be cancelled at any time. 3. Payment Expiration. Email or mobile phone payments will expire 10 calendar days after payments are sent. Counter begins the day after the send date. Once expired the recipient will not be able to claim the funds. Bank account payments are sent automatically via ACH and do not have an expiration period as they are processed at the end of the business day. 2. Payment Methods. People Pay users may send transfers to either an email address, a mobile phone number or a bank account. 4. Payment Cancellation. Email or phone payments can be cancelled by the People Pay user who initiated the payment until such time as the payment has been claimed by the recipient. Bank account payments cannot be cancelled once submitted. 5. Sufficient Funds. Funds must be available in the sending account in order for payment to be made. 15. DISCLAIMER OF WARRANTIES. NEITHER THE BANK NOR ANY SERVICE PROVIDER MAKES ANY WARRANTY, EXPRESS OR IMPLIED, TO YOU CONCERNING THE SERVICE, INCLUDING, WITHOUT LIMITATION, ANY WARRANTY OF MERCHANTABILITY OR FITNESS FOR PARTICULAR PURPOSE OR NON-INFRINGEMENT OF THIRD-PARTY RIGHTS, UNLESS DISCLAIMING SUCH WARRANTY IS PROHIBITED BY APPLICABLE LAW. 16. Liability. Tell us at once if you believe your secure login profile has been lost or stolen. Telephoning is the best way of keeping your possible losses down. You could lose all the money in your account (plus your maximum overdraft line of credit). If you tell us within 2 business days, you can lose no more than $50 if someone used your secure login profile without your permission. If you do NOT tell us within 2 business days after you learn of the theft of your secure login profile, and we can prove we could have stopped someone from using your secure login profile without your permission if you had told us, you could lose as much as $500. Also, if your statement shows transfers that you did not make, tell us at once. If you do not tell us within 60 days after the statement was mailed to you, you may not get back any money you lost after the 60 days if we can prove that we could have stopped someone from taking the money if you had told us in time. If a good reason kept you from telling us, we will extend the time period. 17. Reporting Unauthorized Transactions. You should notify us immediately if you believe your secure login profile has been lost, stolen, or that someone has transferred or may transfer money from your account without your permission. 18. ERROR RESOLUTION NOTICE: In Case of Errors or Questions About Your Funds Transfers and Bill Payments or Internet Banking Service and Bill Payment Service Call: (360) 354-4044 or (800) 584-8859 You may also write to: Peoples Bank Attn: Remote Banking P.O. Box 233 Lynden, WA 98264 Contact Peoples Bank via the methods outlined above if you think your statement is wrong or if you need more information about a fund transfer or bill payment listed on the statement. We must hear from you no later than 60 days after we sent the FIRST statement on which the problem or error appeared. Please provide the following information: * Tell us your name and Account number. * Describe the error, the fund transfer, or bill payment you are unsure about. Explain as clearly as you can why you believe it is an error or why you need more information. * Tell us the dollar amount of the suspected error. If you tell us orally, we may require that you send us your complaint or question in writing within ten (10) Business Days. We will determine whether an error occurred within ten (10) Business Days after we hear from you and will correct any error promptly. If we need more time, however, we may take up to 45 days to investigate your complaint or question. If we decide to do this, we will credit your account within ten (10) Business Days for the amount you think is in error, so that you will have the use of the money during the time it takes us to complete our investigation. If we ask you to put your complaint or question in writing and we do not receive it within ten (10) Business Days, we may not credit your account. We will tell you the results within three (3) Business Days after completing our investigation. If we decide that there was no error, we will send you a written explanation within three (3) Business Days after we finish our investigation. You may ask for copies of the documents that we used in our investigation.
ERIKSEN & ASSOCIATES LTD Actuaries & Investment Strategists Eriksen's Master Trust Survey Results to 31 December 2013 Investment Returns Over the 12 months to 31 December growth funds rose 13.2%, balanced funds gained 9.4% and conservative funds had positive returns of 4.4% after tax and fees – while inflation was1.6%. While marginally down on last quarter these are still excellent returns. lower growth across the Tasman is expected to continue over the next few years. Already we are seeing the effect of the differing growth rates in Australia and New Zealand in the change in our net immigration (outflow of 4,000 mid 2012 to an inflow of 22,500 for the year to December 2013). Economic Commentary Well, it was a good year for equities with very strong returns across most countries' bourses. With record low interest rates (due mainly to the quantitative easing policies around the world) and the tapering that's now underway (resulting in increased longer term rates), fixed interest had low or negative returns over the year. With interest rates starting to go up in some markets fixed interest isn't looking like its traditional "safe" investment. In fact we start the year with many equity markets at record highs but interest rates at record lows. In New Zealand the economy is being boosted by strong commodity prices (especially dairy produce) and the Christchurch rebuild. Business confidence has improved and the Reserve Bank had indicated that there will be a 0.25% OCR increase in March. This should be followed by a fairly consistent series of 0.25% rises throughout the year. The Reserve Bank introduced restrictions on high LVR mortgage lending from 1 October to try and reduce the high property increases (mainly Auckland but also Christchurch). It is still too early to say definitively how this policy will play out but it does seem to have slowed residential house sales down. The NZ dollar strengthened over the year to 31 December against the Australian and Yen but weakened slightly against the other main currencies. With much of the fear out of the market, gold (as an alternative safe haven) took a battering over the year. Japan has joined the Quantitative Easing program with an intention of increasing inflation to 2% per annum (rather than the 1% deflation that has plagued the country for the last 20 years). The Bank of Japan continued with its policy of purchasing assets (mainly Japanese government bonds) to achieve its aim of expanding the monetary base at an annual pace of 60-70 trillion yen. Whether this works or not is still to be seen although Japanese core inflation year on year to December 2013 was 0.6%. China is expected to grow at a reduced rate of around 7% over the coming year. However their demand for our agricultural products is likely to remain very strong which will give a boost to our economy. Certainly local businesses are more confident and are looking to employ more staff. Hopefully this will result in the currently high unemployment rate of 6.2% reducing in the coming months. The reduced growth in China has already resulted in a lower demand for the mineral resources in Australia. The resulting As the mining sector investment in Australia turns down the non-mining sector is starting to pick up the slack. Export companies have been helped recently by the Reserve Bank of Australia (RBA) Governor jaw-boning down the currency which had been obstinately rising back towards parity with the US$ again after falls earlier in the year. At the time of writing the Australian dollar had fallen to around 0.89 against the US$ and with levels of 0.85 or 0.80 being tipped as a new equilibrium. The RBA also left interest rates unchanged at 2.5% for the 5 th straight monthly meeting in a row. We do not expect any further interest rate falls. Emerging markets saw disappointing returns last year as investors reacted to a number of themes. Improving developed economies growth and moderating growth in EM, poor earnings growth in the BRIC countries and countercyclical factors in a strongly defensive stock rally has seen markets firmly rerated. The uncertainty surrounding the US Federal Reserve's tapering timetable caused investors to withdraw from both EM bond and equity markets so liquidity tightened. Investors started ignoring long term fundamentals that support strong growth in EM. Specialist investment managers in this sector suggest that expectations are now too low and that considerable upside exists in selected countries and stocks. Whilst the economic risks appear to have eased the geopolitical risks are increasing. Potential hotspots include: North Korea - political execution of Kim Jong-un's - uncle - China - Ukraine - tug of war between EU and Russia - territorial grab for disputed islands in East and South China Sea - Russia - oil grab in the Arctic circle - Middle East - Syria, Iran, Iraq etc It should be another very interesting year! The Year Ahead Although all the signals look good for New Zealand's economy in 2014 such as the Reserve Bank looking to raise interest rates a number of times, growth forecast to top 3.5% and strength in world prices for our products, we remain cautious about the road ahead. We are still in the middle of a Global Financial Crisis and heavy weight players in the world economy are making some big moves without knowing the consequences: this game hasn't actually been played before. Auckland firstname.lastname@example.org email@example.com Ph 64 9 486 3144 Ph 64 4 470 6144 Wellington Back issues are available from www.eriksensglobal.com (c) Eriksen & Associates Ltd, 2008 - 2012 All rights reserved Eriksen's Master Trust Survey Results to 31 December 2013 \| Fund Name \| Fund Size $ million \| Annualised Returns (Net of Tax & Expenses) \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| 1 Year \| 2 Year \| 3 Year \| 4 Year \| 5 Year \| Eriksen's Master Trust Survey Results to 31 December 2013 \| Fund Name \| Fund Size $ million \| Annualised Returns (Net of Tax & Expenses) \| \| \| \| \| No of Employers \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| 1 Year \| 2 Year \| 3 Year \| 4 Year \| 5 Year \| \| \| Balanced Funds AMP ANZ Balanced Plus (fmly OnePath Balanced Plus) AMP ASB Balanced AMP Balanced AMP Moderate Balanced (fmly Lifesteps Moderate Balanced) AMP Tower Balanced AMP Tyndall Balanced* AMP's SMT Multi-Manager Balanced Aon Balanced ASB SMT Balanced Aventine's SuperLife Aim60 Aventine's SuperLife Ethica Aventine's SuperLife SuperLife60 (fmly Managed60) Mercer Active Balanced Tower Lifesaver Balanced All Balanced Funds \| 214.6 50.3 433.0 107.8 125.7 104.0 235.6 46.1 488.9 45.8 8.4 161.6 68.8 219.0 2,309.5 \| 12.9 10.5 8.7 7.2 8.1 10.3 9.1 8.8 11.5 4.5 7.3 7.8 10.0 6.7 9.4 \| 12.9 9.7 9.3 7.9 9.1 10.4 9.3 10.2 10.6 8.1 8.9 10.6 9.4 7.7 9.8 \| 8.5 5.8 5.3 4.6 5.2 6.2 5.3 6.8 6.8 4.9 6.3 6.7 5.9 4.9 6.0 \| 7.7 5.9 5.0 4.4 5.4 5.9 5.4 6.7 6.6 5.3 5.7 6.7 5.8 5.0 5.9 \| 8.9 7.2 5.8 5.1 6.6 7.1 7.3 8.3 7.5 7.0 6.4 7.5 7.4 5.7 6.9 \| 51 129 129 \| * The AMP Tyndall Balanced Fund was managed by BT until 25 June 2008 The material presented here has been compiled from publicly available sources and information from the respective Master Trust providers. Where tax paid returns for PIE compliant funds have not been available, tax paid returns have been calculated using a 33% tax rate up to 31 March 2008, 30% to 30 September 2010 and 28% thereafter. Eriksen's Master Trust Survey Results to 31 December 2013 \| Fund Name \| Fund Size $ million \| Annualised Returns (Net of Tax & Expenses) \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| 1 Year \| 2 Year \| 3 Year \| 4 Year \| 5 Year \| The material presented here has been compiled from publicly available sources and information from the respective Master Trust providers. Where tax paid returns for PIE compliant funds have not been available, tax paid returns have been calculated using a 33% tax rate up to 31 March 2008, 30% to 30 September 2010 and 28% thereafter. Eriksen's Master Trust Survey Results to 31 December 2013 \| Fund Name \| Fund Size $ million \| Annualised Returns (Net of Tax & Expenses) \| \| \| \| \| No of Employers \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| 1 Year \| 2 Year \| 3 Year \| 4 Year \| 5 Year \| \| The material presented here has been compiled from publicly available sources and information from the respective Master Trust providers. Where tax paid returns for PIE compliant funds have not been available, tax paid returns have been calculated using a 33% tax rate up to 31 March 2008, 30% to 30 September 2010 and 28% thereafter. Eriksen's Master Trust Survey Results to 31 December 2013 \| Fund Name \| Fund Size $ million \| Annualised Returns (Net of Tax & Expenses) \| \| \| \| \| No of Employers \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| 1 Year \| 2 Year \| 3 Year \| 4 Year \| 5 Year \| \| \| Single Sector Defensive AMP Cash AMP's SMT Cash AMP's SMT Global Bonds AMP's SMT NZ Fixed Interest ASB Cash Fund ASB New Zealand Fixed Interest ASB World Fixed Interest Aventine's SuperLife Cash Aventine's SuperLife NZ Bonds Aventine's SuperLife Overseas Government Bonds Aventine's SuperLife Overseas Non-Government Bonds Aventine's SuperLife UK Cash Aventine's SuperLife UK Income Mercer Cash Tower LifeSaver NZ Fixed Income Tower LifeSaver Preservation All Single Sector Defensive \| 65.1 35.4 2.8 7.9 57.2 33.3 32.3 116.9 136.6 51.2 66.0 10.1 0.1 25.0 10.8 50.3 701.0 \| 1.8 2.2 1.5 -0.6 2.2 -0.2 0.2 2.7 1.5 -2.8 -1.0 1.7 2.6 1.6 -0.7 2.3 1.1 \| 1.8 2.2 3.3 1.7 2.0 1.7 2.1 2.7 3.6 1.0 3.6 1.7 1.6 2.4 2.5 \| 1.9 2.2 4.3 3.6 2.0 3.6 3.2 2.8 4.9 2.7 4.0 1.9 3.5 2.3 3.1 \| 2.0 2.3 4.7 3.9 2.0 4.0 3.5 2.8 5.0 3.8 4.4 2.1 3.7 2.4 3.3 \| 2.1 2.4 5.3 4.0 2.0 3.7 3.1 2.8 4.7 3.5 4.8 2.0 3.4 2.5 3.3 \| \| \| Fund Name \| Fund Size $ million \| Annualised Returns (Net of Tax & Expenses) \| \| \| \| \| No of Employers \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| 1 Year \| 2 Year \| 3 Year \| 4 Year \| 5 Year \| \| \| Total Funds Cash Benchmark (Net) CPI \| 5,006.6 \| 8.7 1.8 1.6 \| 9.2 1.9 1.3 \| 5.7 1.9 1.5 \| 5.5 1.9 2.1 \| 6.5 1.9 2.1 \| \| Contact us: Auckland Wellington firstname.lastname@example.org email@example.com Ph +64 9 486 3144 Ph +64 4 470 6144 Page \| 6 The material presented here has been compiled from publicly available sources and information from the respective Master Trust providers. Where tax paid returns for PIE compliant funds have not been available, tax paid returns have been calculated using a 33% tax rate up to 31 March 2008, 30% to 30 September 2010 and 28% thereafter. Eriksen & Associates accepts no liability for any errors herein, or any legal or investment decisions made as a consequence of the information shown. Investment decisions or comparisons should not be based on past performances in isolation from other factors.
The email@example.com mailbox has received numerous questions about test environment setups, T+2 functional changes and CTS Re-write functional changes over the course of the industry testing windows for these two significant initiatives. In response, DTCC has created the following cheat sheet, which covers a range of related questions received into the T2testing mailbox. DTCC will expand upon this document, as necessary. 1: What do I need to test for T+2? It is not mandatory for firms to conduct T+2 testing, though it is strongly encouraged. For firms that plan to conduct T+2 testing, there is no one-size-fits-all response to this question. Firms should consider the processes that will be impacted by T+2 functional changes and determine their test plans accordingly. DTCC has published resources to help firms determine the scope of their individual T+2 test plans, in particular: * The Shortened Settlement (T+2) DTC, NSCC and OMGEO Functional Changes Document (the "T+2 Functional Changes Document"), which discusses the functional changes DTCC is making to support the industry's migration to T+2 settlement. * The T+2 Test Approach: Detailed Testing Whitepaper ("the T+2 Detailed Testing Whitepaper"), which discusses all aspects of T+2 testing, including: [x] Applications available in the PSE U (T+2) test environment [x] Instructions for firms to request various components of test setup [x] Sample test scenarios to assist firms in planning their individual T+2 tests Both documents are posted to the Industry Documentation Section of the UST2.com website, which provides a wealth of information on many subjects related to the T+2 initiative. 2: How do I access DTCC's PSE U (T+2) test environment? There is no single point of entry to the PSE U (T+2) test environment. The answer is unique to every firm, depending upon the functionality it needs to execute its individual test plans and the type of network connectivity the firm uses. As a first step, firms should determine the full scope of their individual T+2 test plans (please see FAQ #1, above). Once scope is determined, firms must assess their existing test capabilities against what they will need to conduct their T+2 testing and submit setup requests to DTCC for any missing components. In terms of test setup requests, there are three main considerations, discussed below and in the T+2 Detailed Testing Whitepaper: NETWORK CONNECTIVITY A. SUBSCRIPTIONS TO DTCC'S WEB PRODUCTS C. SUBSCRIPTIONS TO TEST FILES B. NETWORK CONNECTIVITY A. * Firms must establish network connectivity to DTCC's PSE U (T+2) test environment, as well as to the specific applications they need for their T+2 testing, either directly and/or through a service provider. * By design, many firms already have network connectivity to DTCC's PSE U (T+2) test environment. * However, if a firm builds a new test environment of their own for T+2 testing, then it must take steps to connect the new test environment to DTCC's PSE U (T+2) test environment. * If the firm utilizes a service provider, then the service provider is responsible for establishing network connectivity to DTCC's PSE U (T+2) test environment; the firm does not need to submit connectivity requests to DTCC. * If a firm is unsure if it already has network connectivity to DTCC's PSE U (T+2) test environment for any/all test applications, it should contact firstname.lastname@example.org. * DTCC's connectivity experts will work with the firm to make a determination about any existing connectivity. * Firms that must establish new network connectivity to the PSE U (T+2) test environment, or specific applications within the test environment, should kick-off the process by completing a Request for Router Exchange Form, located on the T+2 Test Forms Page, and submitting it to email@example.com. * On the form, firms must specify the type of network connectivity they use: BT Radianz, SMART or SFTI. * Firms that want to establish new MQ interactive messaging in the PSE U (T+2) test environment should also complete an MQ Page 1 Form on the T+2 Test Forms Page and submit it to firstname.lastname@example.org. Please be advised: * Establishing network connectivity and MQ messaging may take up to several weeks and is typically an iterative process worked out between the firm's IT team and DTCC's connectivity experts. * Firms should direct any questions about test setups and test results to email@example.com, rather than any other DTCC mailbox (e.g. the PIP Request Mailbox). T2 testing is responsible for routing the questions to the appropriate support teams and doing otherwise can significantly slow down the resolution process. TEST FILE SUBSCRIPTIONS B. * DTC, NSCC and Omgeo offer test input and output files in the PSE U (T+2) test environment, including files for T+2 testing of Corporate Action events. * DTCC also offers MQ messaging for some products. * Firms that are not already subscribed to all of the test files they will need to conduct their T+2 testing must request them, by completing the applicable Subscription form(s) on the T+2 Test Forms Page and submitting them to firstname.lastname@example.org. * There are four Subscription request forms on the T+2 Test Forms Page: [x] Subscriptions to DTC Inputs and Outputs form [x] Subscriptions to NSCC Inputs and Outputs form [x] Subscriptions to Omgeo Outputs form [x] Subscriptions to Corporate Actions Inputs and Outputs form (which is an instructional document and not an editable request form, as the other forms are) The forms require firms to specify the environment(s) in which they would like to obtain the inputs and outputs. * The Subscriptions to NSCC Inputs and Outputs form also requires firms to specify NDM Destination Nodes and File Names for each AutoRoute file requested. NSCC files cannot be set up without this information. ENTITLEMENTS TO WEB PRODUCTS C. * DTCC supports two Web interfaces: [x] The DTCC Web Portal [x] The Participant Terminal System / Participant Browser System (PTS/PBS), which is an interface to DTCC's mainframe applications * Some of DTCC's Web products are located on the DTCC Web Portal, while others are located on PTS/PBS. Information about the web products available on each interface are specified in: * DTCC's T+2 Detailed Testing Whitepaper * The Subscriptions to Corporate Actions Inputs and Outputs document on the T+2 Test Forms Page * DTCC manages access to web products through a Super Access Coordinator (SAC) model: 1. Firms designate certain employees to be SACs. 2. SACs obtain "entitlements" to DTCC's web products from DTCC. 3. SACs can then assign the entitlements and underlying "roles" to individual users at their firms. * Individuals who need access to a DTCC web product, but do not know the identity of their firm's SAC for that product, should contact email@example.com. * As of March 29, 2017, all SACs for PTS/PBS web products can provision individuals at their firms with entitlements to PTS/PBS web products, without having to obtain the entitlements from DTCC beforehand. * SACs for DTCC's Web Portal products, however, must continue to request web entitlements from DTCC. To obtain entitlements to DTCC's Web Portal products, Web Portal SACs should email firstname.lastname@example.org and state the following information: 1. Their name 2. Stating that they are an SAC 3. Their firm's name 4. Their firm's DTCC account number(s) 5. The entitlements they need 6. The environments in which they need them (Production and/or Test) . * Once DTCC has provisioned SACs with entitlements, the SACs must add them to their Operator Profile in the Customer Registration System (CRS) in order to assign them to individuals at their firms. * The CRS is located on DTCC's Production Web Portal (www.portal.dtcc.com). SACs who need assistance should contact email@example.com, which will engage DTCC's web team to provide guidance. * Firms that do not have SACs should complete a DTCC Super Access Coordinator Authorization Form, located on the T+2 Test Forms Page and submit it to firstname.lastname@example.org. [x] Page 1 of this form must be signed by one of the firm's Authorized Signers. Individuals who do not know the identity of their firm's Authorized Signers should contact email@example.com. [x] To complete the table on Page 3 of this form, state the following information: a) The entitlements to any/all DTCC Web Portal products that the SAC(s) needs. b) The environment(s) in which they need them: Production and/or PSE (Test). Please see FAQ #4 below for important information about the Clearing Dashboard, which is a new DTCC Web Portal product. 3: What is the CTS Re-write and how is it related to T+2 testing? * The Consolidated Trade Summary (CTS) Re-write is a multi-year initiative that is resulting in the launch of a new CTS report for NSCC Members on June 23, 2017. * Given the testing periods for the CTS Re-write and the T+2 initiatives largely overlap, firstname.lastname@example.org is the central hub for questions about both initiatives, including questions regarding test setups and test results. * CTS rewrite output will replace legacy CTS output on June 23, 2017. As a result, all NSCC Member Firms that use this data must subscribe to the new CTS report in Production and/or obtain entitlements to the Clearing Dashboard CTS Web (see FAQ #4), prior to June 23, 2017. * Firms also have the option to test the new CTS report in DTCC's test environments – the PSE U (T+2) and the PSE A (T+3) test environments. * The process for subscribing to the new CTS reports is no different than subscribing to other NSCC files. Firms can subscribe to them by following the steps in the FAQ #2 B above (the Subscriptions to NSCC Inputs and Outputs form lists all CTS files available in DTCC's Production and Test environments). * All NSCC Member firms must familiarize themselves with the requirements of the CTS Re-write and how the new CTS report will differ from the legacy report in Production today. Firms can obtain all relevant information about the CTS Re-write from the CTS portion of the DTCC Learning Website, including: * CTS Re-write Customer Business Requirements * Important Notices * CTS Re-write Industry Group Meeting Minutes * CTS Re-write File Layout * User Guides * FAQs, which include an explanation of the key differences between the legacy and new CTS report. Access to the CTS portion of the DTCC Learning Website requires a brief registration process. 4: What is the Clearing Dashboard? The NSCC Clearing Dashboard is a new DTCC Web Portal product, which is a landing page that contains three underlying web products: A. CTS WEB C. CNS WEB B. UTC WEB As with other DTCC Web Portal products, access is managed via the SAC model discussed in FAQ#2C above. Please be advised that since the Clearing Dashboard functions as a landing page, SACs must request entitlements to both the Clearing Dashboard and any/all underlying web products they need. CTS WEB A. * The CTS Web is an inquiry tool that enables firms to query their CTS transaction data. * The CTS Web is currently available in DTCC's test environments and will become available in the Production environment upon the launch of the CTS Re-write, on June 23, 2017. SACs should request entitlements to both the Clearing Dashboard and the CTS Web. UTC WEB B. * The Transaction Management Tool (TMT), which firms can use to submit test transactions directly into the test environments (as opposed to submitting them through one of the participating exchanges), is available through the Clearing Dashboard – UTC Web in DTCC's Test environments. SACs should request entitlements to both the Clearing Dashboard and the UTC Web. * Firms must use the TMT file upload template to submit test transactions via the TMT. * The file upload template and a User Guide are at the bottom of the T+2 Test Forms page. * See the "File Format" tab for guidance on the field definitions, values and to determine the conditions under which fields are required. * The TMT file upload template is based upon FIX protocol. Additional information about UTC is available in the UTC User Specification Guide. CNS WEB C. * The CNS Web was deployed in Production in November 2016, with limited functionality, and will be expanded to include a number of functions that are currently available on DTCC Web Direct. * The additional functionality will be launched into Production on June 23, 2017. SACs should request entitlements to both the Clearing Dashboard and the CNS Web. Additional information is available in this Important Notice. 5: Do I need to find a test partner for T+2 testing? In general, firms have a few options for submitting test transactions. For equity test transactions, firms can: * Find test partners and coordinate testing with them. * Firms that want to volunteer as a test partner can make their contact information public, by completing a T+2 Test Counterparty Request Form. * Firms that are looking for test partners should contact email@example.com to obtain information about the firms that have volunteered. * Submit test transactions against DTCC's test accounts (122 and 123) * If the firm has multiple test accounts, they can submit test transactions using one of their accounts versus another of their accounts. For CMU and Omgeo test transactions: * Firms must find test partners and coordinate testing with them. * If a firm has two or more DTCC accounts, it can submit test transactions using two of its accounts as test counterparties. DTCC kindly asks firms to submit test transactions versus the DTCC test accounts (122 and 123), if they have not coordinated testing with a test counterparty. Doing otherwise can disrupt other firms' planned tests and negatively impact their expected test results.
Pharmaceutical and Biomedical Research Assessment of mortality rate and its relation to off-hours and holidays in patients admitted to the CCU of a Noor general hospital Shahram Ala 1* , Abbas Alipour 2 , Fatemeh Faramarzi 1 , Khadijeh Farkhondeh 3 1Department of Clinical Pharmacy. Faculty of Pharmacy, Mazandaran University of Medical Sciences, Sari, Iran 3Imam Khomeini General Hospital, Mazandaran province, Noor, Iran 2Thalassemia Research Center, Department of Community Medicine, Faculty of Medicine, Mazandaran University of Medical Sciences, Sari, Iran Received: Nov 15, 2014, Revised: Jan 12, 2015, Accepted: Jan 21, 2015 Abstract Despite the reduction of mortality rate in the past years, coronary artery diseases (CADs) are the main reason of death in the world. Many factors including changes in nurses and medical staffs, numbers of beds influence the mortality rate of patients admitted in holidays and night time. The objectives of this study were to clarify the association between mortality rate and off-hours and holidays in patients admitted to the cardiac care unit (CCU) of Noor General Hospital. This is a retrospective study of 186 hospitalized patients in CCU that suffered cardiac arrest during 10 years. Patients 'data was gathered in a questionnaire including information about sex, date and cause of hospitalization and cardiac arrest, CPR duration, admission in working hours, off-hours and holidays. Data showed that patients were between the ages of 21 to 88 years old (66.92 ± 52.12), and 92 patients (50%) were female. Time of admission of 146 deceased patients (79.5%) and time of CPR of 145 of them (78.9%) were in off- hours and holidays. Patients who had died of pulmonary embolism were admitted in the evenings and holidays. Cardiac arrest and CPR of hospitalized patients diagnosed with cardiogenic shock and chronic renal failure were in the evening shift and holidays, too. Higher mortality of CCU patients admitted during nights, evening hours, and holidays or when CPR were performed on them during these times showed that patient care and diagnostic and treating procedures were not performed effectively; and this issue could be due to the fewer number of physicians, nurses or fatigue of staffs at night hours. Keywords: Mortality, CCU, holidays, off- hours, CPR Pharm Biomed Res 2015; 1(1): 55-62 DOI: 10.18869/acadpub.pbr.1.1.55 Introduction Despite the reduction of mortality rate in the past years, Coronary Artery Diseases (CADs) are the main reason of death in the world (1). Due to increase of life span in IRAN and the fact that CADs are more likely to happen in old age, they have become the main reason of mortality in the country. Changes in sympathetic activity, platelet aggregation, fibrinogen and antithrombin function in early morning hours causes higher incidence of acute myocardial infarction (AMI) and more patients will be admitted in holidays and night time (2). Care of critical patients in special units of hospitals is very important because these patients'respiration and nutrition conditions are not good, so real time and intensive monitoring is needed. Given that faster the treatment of AMI starts better long term results can be achieved, admission and treatment in shortest time is needed. Many factors including changes in nurses and medical staff, number of beds, intensity of disease and comorbidities influence the mortality rate of these patients. Researches show that well rested physicians had better functions that result in better diagnostic and analysis of data and in the end, higher patient safety. Therefore limiting the work hours of physicians will give better results (3). Studies suggest that mortality of critical patents increase in holidays and night times (4-11). A recent study on patients admitted with worsening heart failure shows no difference in mortality rate of hospitals on week days and weekends (12). The objectives of this study were to clarify the association between mortality rate and off-hours and holidays in patients admitted to the CCU of Imam Khomeini Hospital of Noor city in north of Iran. Materials and methods This is a descriptive and retrospective study on 186 hospitalized patients in cardiac care unit (CCU) of Imam Khomeini general hospital of Noor city , Mazandaran province, located in north of Iran. This governmental hospital has 150 beds includes 8 of CCU beds. These patients were expired with cardiac arrest during 10 years from 24 March of 2003 to 26 august of 2013. Patients Data was gathered in a questionnaire including sex, date of hospitalization, cause of hospitalization, co morbidities, cause and time of cardiac arrest, CPR duration, working hours, off hours and holidays In order to compare the association between mortality rate and admission and CPR time, patients divided into 4 groups: a; morning shift of week days b; evening shift of week days c; morning and evening shifts of holidays d; night shift of week days and holidays. The Morning Shift in this hospital started from 8 A.M to 2 P.M, the evening shift from 2 P.M to 8 P.M and the night shift from 8 P.M to 8 A.M. Week days are from Saturday to Thursday and Friday was the weekend; also other official holidays were considered as a holiday. The morning shifts were considered working hours and other shifts were non working hours. Because the study was retrospective, some data such as time of admission of 7 patients were not available. Statistical analysis Descriptive baseline characteristics for groups of study comparisons were tabulated as mean ± standard deviation (SD) or as percentages. Association between the reason of hospitalization and comorbidities with time of admission and CPR were evaluated using chisquare or Fisher-exact test and for continuous data were statistically analyzed using student ttest in univariate analysis. All factors with a significance of p < 0.2 were entered into a binary backwards-stepwise logistic regression model. A p value of 0.05 or less was considered statistically significant and p value of less than 0.1 considered marginally statistically significant. Data were analyzed using IBM SPSS statistics version 16 (Chicago, USA). Results In This Study 184 expired patients in the CCU of Imam Khomeini Hospital of Noor city during 2003-2013 were studied based on time of admission, CPR and other factors. Their age ranged from 21 to 88 yr with a mean age of 66.92 ± 52.12 yr and 92 (50%) were male. Time of admission of 146 expired Patients (79.5%) and time of CPR of 145 of them (78.9%) were in OffHours and holidays. Additional demographic information, reason of hospitalization and co morbidities of expired patients according to different times of admission is in table 1 and according to times of CPR is in table 2. As shown in table 1, Relative frequency of expired patients with AF (as the reason of hospitalization) in the morning shifts of week days is more than other shifts and the difference observed between admitted groups in different shifts were marginally statistically significant (p = 0.09). The relative frequency of expired patients with different comorbidities in night shift admissions is more than other shifts but only the difference observed in relative frequency of expired patients with diabetes in night shift compare to other shifts was statistically significant (P = 0.04). Table 2 shows that the CPR of expired patients with UA and cardiogenic shock (as the reason of hospitalization), CADs, apnea and CRF (as the comorbidity diseases) were more occurred in night shift than other shifts (p < 0.1). A multivariable binary logistic regression model revealed that after adjusting of other variables expired patients with pulmonary emboli (PE) (as the cause of hospitalization) have greater risk of admission in off-hours and holiday times than morning shifts( OR = 3.32; 95% CI: 1.11-9.94) (table 3). However multivariable binary logistic regression model revealed that after adjusting of other variables expired patients with cardiogenic shock (as the cause of admission) (OR = 3.3; 95% CI: 1.53-7.14), CRF (as the comorbidity diseases) (OR=4.78; 95%CI: 1.51-15.15) and asystole (as the cause of death) (OR = 3.08; 95% CI: 1.34-7.09) have greater risk of CPR in off-hours and holiday times than morning shifts (Table 4). Discussion This study shows that Among the CCU patients of Imam Khomeini Hospital of Noor that suffered cardiac arrest in 10 years period, time of Table1 Distribution of cause of admission and underlying disease of expired patients in CCU in different time of admission - *Due to lack of Hypothesis for Chi-Square Test, after merging the groups of non-holiday evening (2), Holidays (3) and Night (4) as the group of holidays and morning of non-holiday as the non-holiday group, Fisher Exact Test was done and the results were reported. - Time of Admittance of 8 patients and time of CPR of 3 Patients was Unknown. - MI: myocardial infarction , UA: unstable angina, CHF: congestive heart failure, CAD: coronary artery disease, GIB: gastrointestinal bleeding, CVA: cerebrovascular accident, PE: pulmonary embolism, AF: atrial fibrillation, COPD: chronic obstructive pulmonary disease, CRF: chronic renal failure, CABG: Coronary artery bypass graft, HLP: hyperlipidemia, HTN: Hypertension, HCM: hypertrophic cardiomyopathy, VF: ventricular arrhythmias, VT: ventricular tachycardia admission for majority of them were in off duty hours. These times include the evening and night shifts of regular days, official holidays, and weekends. Day and the time of admittance in those times had a linear relationship with worsen Table 2 Distribution of cause of admission and underlying disease of expired patients in CCU in different time of CPR - Due to lack of hypothesis for Chi-Square Test, after merging the groups of non-holiday evening (2), holidays (3) and night (4) as the group of holidays and morning of non-holiday as the non-holiday group, Fisher Exact Test was done and the results were reported. clinical outcome in these patients. These results were compatible with many prior researches (1318). The effect of weekends for patients with critical conditions that need multiple intensive interventions at the same time is of special importance. This problem was discussed in various researches and same results as our study were obtained (19-21). Many MI patients during 15 years studied and it was demonstrated that patients who were admitted at the weekends have higher mortality rate. This research showed that higher mortality at weekends in patients with a first myocardial infarction represents about 10 additional deaths per 1000 admissions per year. A higher mortality rate on weekends is for MI patients with less invasive procedures and delay in treatment (19). In a research that 86748with in Table 3 Association between time of admission with factors of cause of admission and underlying disease of expired patients in CCU - Binary Logistic Regression (Backward Stepwise) was performed. Factors entered in eth model: gender, PE, C. Shock, AF, CVA, DM and HTN. - Binary Logistic Regression (Backward Stepwise) was performed. Factors entered in eth model: UA, C.Shock, CRF, Asystole, Apnea, CHF and CAD. Table 4 Association between time of CPR with factors of cause of admission and underlying disease of expired patients in CCU hospital cardiac arrest patients in 7 years were evaluated, it was determined that survival rates were substantially lower during nights and weekends there is a less survival rates, except emergency department and trauma services that they often have similar staffing numbers and capabilities throughout the day, evening and night (20). Evaluation of mortality after admitting to emergency department that was done in 2003 study, suggests that deaths happen more in nonworking hours, at night and when the personnel are less or more tired (22). In a retrospective cohort study on the association between day hospital presentation and the quality and safety of stroke care were studied and showed that stroke patients that are admitted on weekends are less likely to receive urgent treatments and had higher mortality rate. The proposed solutions to address the weekend effect such as maintaining more consistent levels of activity during these time, which can be economical even if hospital staff are paid at higher levels (23). The results of a large, multicenter study on emergency admissions at the same time showed that risk of mortality in patients admitted on weekends are 10% more than week day's admissions (24). This problem was also seen in Acute Kidney Injury patients admitted on weekends (9). Recently mortality rate of patients with different diagnoses according to weekend and week day admissions were studied and demonstrated that patient with Cardiac arrest or serious Arrhythmia had significantly higher mortality rate on weekends (25). In another study that emergency admissions in 11 years were studied it was determined that the mortality for weekend admissions was higher than that for weekday admissions. In this study the effect of admission at weekends on mortality remained much the same throughout the 11- year period study (11). A study on the relationship between time of day, day of week and duration of treatment procedures and in-hospital mortality for patients with acute ST- segment elevation myocardial infarction showed that presentation during off-hours was associated with substantially longer times to treatment for percutaneous coronary intervention (PCI) but not for fibrinolytic therapy. Also patients treated on off-hours had higher mortality rate compare to those on regular hours (26). There also have been more reports the existence of greater mortality risk for emergency PCI performed at night than for day time (27). This study determined that 80% of expired patients admitted on unofficial (off) hours and holidays and the most mortality rate were for the patients admitted at night shifts that for the patients with DM as comorbidity this difference was statistical significant. The most important causes of death in patients admitted to emergency department are, delays in doctor's visit, inaccurate diagnoses, delays in investigations and initiation of treatment; they occurred mostly in those admitted at night, when there are fewer personnel or more tired they are (22). Also results of our study shows that most of expired patients in holidays and unofficial hours had CPR and this was even more in night shift and the difference was statistical significant in patients with Coronary Artery Disease (CAD) and Chronic Renal Failure (CRF) and also patients that their cause of admission or cardiac arrest were cardiogenic shock. Our results are compatible with other studies: CPR performance after cardiac arrest at night shift was associated with higher mortality rate and shorter survival in comparison with morning and evening shifts (28). In this study after adjusting other variables, it was determined that patients admitted due to pulmonary embolism (PE) in holidays are 3.3 times more than non holidays, as well as patients admitted because of CRF, their CPR on holidays are 4.78 times higher than non-holidays, patients that cardiogenic shock brought them to hospital, their CPR was 3.3 times more on holidays; CPR done on patients that their cause of death were asystole were 3.08 times more on holidays. An important nursing activity in the coronary care unit (CCU) is assessing trends in a patient's hemodynamic parameters, vital signs and Lab tests and ECG data (29). Evidence suggests an inverse link between the number of nurses, patient mortality and length of stay. A patient in crisis is in need of intervention and specialist support 24 hours a day and there is evidence that patients admitted overnight have a higher risk of mortality. Also there is a direct association between number staffing levels and patient outcomes and higher standard of care from nurse lowers mortality in hospital (30). Possible factors involving higher mortality of patients on weekends include, fewer personnel, changes in attendance of physicians and fewer specific diagnostic and treating procedures on these times; since the fewer personnel and doctors on weekends causes the less experienced ones to take responsibility of more work load that lead to higher mortality in patients admitted in these times (8). Our study contrary to the recent study that divided patients in two groups admitted on weekends and week days (12), considered admission in night and other holidays as non working hours that have higher mortality rate. Limitations of our study were that we had not enough data on personnel and doctors on duty on different hours. Also it was not observed an accurate data on different diagnostic and treating procedures done on patients in different hours. The other issue was that we only entered expired patients and did not compare to patients released from CCU. Conclusion Considering the results of study, higher mortality of CCU patients that admitted or performed CPR on them during night, un official hours and holidays shows that patient care and diagnostic and treating procedures in these times at this hospital are not done effectively; and this issue could rise from fewer doctors , nurses or tiredness of staff at night hours. Therefore to reduce this problem we suggest the use of more personnel, more experienced and skilled at these times. Acknowledgements The authors would like to thanks the nurses and patients of CCU of Noor's general hospital for their collaborations. Conflict of interest statement The authors claim that they have no conflicting interest in this study. References 1. Michalopoulou A, Tsios A, Vitos M, Liapi P, Mpizas L. admissions to the coronary care unit (CCU): comparison with international data. Hospital Chronicles 2008;3:182–6. 2. Berger A, Stauffer JC, Radovanovic D, Urban P, Bertel O, Erne P. comparison of in-hospital mortality for acute myocardial infarction in Switzerland with admission during routine duty hours versus admission during out of hours. Am J Cardiol 2008;101:422–7. 3. Schenarts P, Bowen J, Bard M, Sagraves S, Toschlog E, Goettler C, et al. The effect of a rotating night-float coverage scheme on preventable and potentially preventable morbidity at a level 1 trauma center. Am J Surgery 2005;190:147–52. 4. Lee SK, Lee DC, Andrews W L, Baboolal R, Pendray M, Stewart S, Higher mortality rates among inborn infants admitted to neonatal intensive care units at night. J Pediatr 2003; 143:592-7. 5. Barba R, Losa J.E, Velasco M, Guijarro C, Garcı´a de Casasola G, Zapatero A. Mortality among adult patients admitted to the hospital on weekends. Euro J Inter Med 2006;17:322–4. 6. Ananthakrishnan AN, Mcginley EL, Saeian K. Outcomes of weekend admissions for upper gastrointestinal hemorrhage: a nationwide analysis. Clin Gastrol Hepatol 2009;7:296–302. 7. Lairez O, Roncalli J, Carrié D, Elbaz M, Galinier M, Tauzin S, et al. Relationship between time of day, day of the wee and in-hospital mortality in patients undergoing emergency percutaneous coronary intervention. Arch Cardiovasc Dis 2009;102:811-20. 8. Ricciardi R, Nelson J, Roberts PL, Marcello PW, Read TE, Schoetz DJ. Is the presence of medical trainees associated with increased mortality with weekend admission? BMC Med Educ 2014; 14:4. 9. James MT, Wald R, Bell CM, Tonelli M, Hemmelgarn BR, Waikar S, Chertow GM. Weekend hospital admission, acute kidney injury, and mortality. J Am Soc Nephrol 2010; 21:845–51. 10. Arias Y, Taylor D.S, Marcin J.P. Association between evening admissions and higher mortality rates in the pediatric intensive care unit. Pediatrics 2004;113:530-4. 11. Handel AE, Patel SV, Skingsley A, Bramley K, Sobieski R, Ramagopalan SV. Weekend admissions as an independent predictor of mortality: an analysis of Scottish hospital admissions. BMJ 2012;2:1-8. 12. Hamaguchi S, Kinugawa Sh, Tsuchihashi-Makaya M, Goto D, Tsutsui H. Weekend versus weekday hospital admission and outcome during hospitalization for patients due to worsening heart failure: a report from Japanese Cardiac Registry of Heart Failure In Cardiology (JCARE-CARD). Heart Vessels 2014;29:328–35. 13. MGallerani M, Imberti D, Bossone E, Eagle KA, Manfredini R. Higher mortality in patients hospitalized for acute aortic rupture or dissection during weekends. J Vascular Surgery 2012;55: 1247-54. 14. Schneider B, HiraniS A, Hambridge HL, Haut E R, Carlini AR, Castillo RC, et al. Beating the weekend trend: Increased mortality in older adult Traumatic brain injury (TBI) patients admitted on weekends. J Surg Res 2012;177:295-300. 15. Marco J, Barba R, Plaza S, Losa JE, Canora J, Zapatero A. Analysis of the mortality of patients admitted to internal medicine wards over the weekend. Am J Med Qual 2010;25:312-8. 16. Fang J, Saposnik G, Silver FL, Kapral MK. Association between weekend hospital presentation and stroke fatality. Neurology 2010; 75:1589-96. 17. Deshmukh A, PantS, Kumar G, Bursac Z, Paydak H, Mehta JL. Comparison of outcomes of weekend versus weekday admissions for atrial fibrillation. Am J Cardiol 2012;110:208-11. 18. Sharp AL, Choi H, Hayward RA. Don't get sick on the weekend: an evaluation of the weekend effect on mortality for patients visiting US EDs. Am J Emerg Med 2013;31:835-7. 19. Kostis WJ, Demissie K, Marcella SW, Shao YuH, Wilson AC, Moreyra AE, Weekend versus weekday admission and mortality from myocardial infarction. N Engl J Med 2007; 356:1099-109. 20. Peberdy MA, Ornato JP, Larkin GL, Braithwaite RS, Kashner TM, Carey SM, et al. Survival from in-hospital cardiac arrest during nights and weekends. J Am Med Association (JAMA) 2008; 299:785-92. 21. Saposnik G, Baibergenova A, Bayer N, Hachinski V. Weekends: A dangerous time for having a stroke. Stroke 2007; 38:1211-5. 22. Seward E, Greig E, Preston S, Harris RA, Borrill Z, Wardle TD, et al. A confidential study of deaths after emergency medical admission: issues related to quality of care. Clin Med 2003; 3:425-34. 23. Palmer WL, Bottle A, Davie Ch, Vincent CA, Aylin P. Dying for the Weekend: A retrospective cohort study on the association between day of hospital presentation and the quality and safety of stroke care. Arch Neurol 2012;69:1296-1302. 24. Aylin P, Yunus A, Bottle A, Majeed A, Bell D. Weekend mortality for emergency admissions. A large, multicentre study. Qual Saf Health Care 2010;19:213-7. 25. Concha OP, Gallego B, Hillman K, Delaney GP, Coiera E. Do variations in hospital mortality patterns after weekend admission reflect reduced quality of care or different patient cohorts? A population-based study. BMJ Qual Saf 2014; 23:215-22. 26. Magid DJ, Wang Y, Herrin J, McNamara RL, Bradley EH, Curtis JP, et al. Relationship between time of day, day of week, timeliness of reperfusion, and in hospital mortality for patients with acute st-segment elevation myocardial infarction. J Am Med Association (JAMA) 2005; 294:803-12. 27. Laireza O, Roncalli J, Carriéa D, Elbaza M, Galinier M, Tauzina S, et al. Relationship between time of day, day of the week and inhospital mortality in patients undergoing emergency percutaneous coronary intervention. Arch Cardiovascular Dis 2009;102:811-20. 28. Matota I, Shleifer A, Herschc M, Lotand Ch, Weinigera CF, Drore Y, et al. In-hospital cardiac arrest: Is outcome related to the time of arrest? Resuscitation 2006;71:56-64. 29. Pelter MM, Adams MG, Wung ShF, Paul SM, Drew BJ, Peak time of occurrence of myocardial ischemia in the coronary care unit. Am J Crit Care 1998;7:411-7. 30. British cardiovascular society. From coronary care unit to acute cardiac care unit- the evolving role of specialist cardiac cares 2011. https://www.bcs.com/documents/9a6_bcs_report _on_coronary_care_units.pdf.
Organic & Fairtrade Competence Centre (OFTCC) Annual Report 2009 (1.1.2009 - 31.12.2009) Frank Eyhorn Andrea Bischof Jens Soth Raphael Dischl Tobias Meier Zurich, March 2010 \| Project responsible: \| Frank Eyhorn \| Collaborators : \| Andrea Bischof, Jens Soth, Raphael Dischl, Tobias Meier, Cecile Eisenring \| \|---\|---\|---\|---\| \| Project start: \| 2004 \| Phase duration: \| 4 years (2008-2011) \| 2 Abbreviations BAFU Bundesamt für Umweltschutz (Ministry of Environment) CC Competence Centre CMDT Companie Malienne de Développement de Textiles CoP Community of Practice FiBL Research Institute for Organic Agriculture FLO Fairtrade Labelling Organisations HEKS Hilfswerk der Evangelischen Kirchen der Schweiz ICAC International Cotton Advisory Council ICCO Interchurch organisation for development co-operation IFOAM International Federation of Organic Agriculture Movements IMO Institute for Market Ecology ITC International Trade Centre KM Knowledge Management OC Organic Cotton OE Organic Exchange OFTCC Organic & Fairtrade Competence Centre OFTC Organic and fair-trade commodities PPP Public-private partnership SDC Swiss Agency for Development and Cooperation SECO State Secretariat of Economic Affairs UNPCB Union Nationale des Producteurs de Coton Burkinabé Content 1 Overview of the competence centre's mandate The competence centre (CC) pro-actively contributes to the development of the OFTC sector and provides the stakeholders with competent and relevant services in the fields of knowledge management, value chain and market development, and networking and public relations. These services shall facilitate the consolidation and expansion of existing OFTC projects and the development of new initiatives. They shall help reduce development costs and improve the performance of these projects. Stakeholders in this sense include producers, project organizers, traders, processors, distributors, NGOs, relevant government agencies, media, and consumers. The encouraging results achieved with cotton and its rotation crops (e.g. sesame, shea nut) call for a transfer of the gained experience to other commodities. The market shows a particular interest in organic and fairtrade cocoa from smallholder projects. The CC has therefore taken up cocoa as a new focus commodity, in collaboration with interested private sector actors, other donors and other NGOs. Nevertheless, the organic and fair-trade cotton sub-sector is still in an initial and highly dynamic stage. Further efforts are needed to optimize value chain management, to facilitate the involvement of new stakeholders, and to consolidate market growth. In the second phase, the activities of the competence centre accordingly shifted from "preparing the ground" to "consolidation, up-scaling and transferring the know-how to other commodities and players". The following focus areas are being pursued: * Knowledge generation and management: development and transfer of know-how (on project design, production systems, internal control and quality management systems, value chain management etc.) to organizers and value chain actors of new and existing OFTC value chains; * Value chain and market development: facilitating the development of new OFTC value chains (particularly cocoa), coordinating stakeholders along new and existing value chains (links between production, processing, trade, and retail; facilitating access to finance), and developing new markets for OFTC; * Sensitizing stakeholders and aligning initiatives: promoting the OFTC approach and coordination with related initiatives. The "value added" of the competence centre is that it offers the necessary concepts and know-how to reduce market entry costs for new players and thus can substantially contribute to the consolidation and up-scaling of the successful approach of stakeholders along a value chain who have similar interests. 2 Development of the context Even during the economic crisis, the global markets for organic and fairtrade products have been growing, though at slower pace. Mainstream chocolate producers like Ritter, Mars and Halba are increasingly sourcing cocoa from sustainable production including organic and fairtrade. Awareness raising campaigns on child labour issues have also mobilized large cocoa traders to look into labelled production. At the cotton front, some large retailers like C&A and Walmart successfully launched their organic cotton textile lines. At the same time, global organic cotton production has strongly increased, resulting in a considerable oversupply. As a result, price premiums for organic cotton have collapsed. According to various experts, one can expect that some of the new initiatives will again step out of organic cotton, as they did not get the expected premiums, and certifiers are likely to be stricter in future. Already in 2008/09, growth in organic cotton production came down to 28%, compared to 153% in the previous season. In response to the temporary oversupply, the producer organisations supported by SECO, Helvetas and ICCO decided to halt further expansion of the production until market demand recovers. They intensified their efforts to diversify their production and to engage in value addition, resulting in additional income from marketing of crops like sesame and shea. At the same time, producer organisations are increasingly getting active in finding market partners for cotton and other crops. In 2009 the topic of potential GMO-contamination in organic cotton was high on the agenda. Cases in India caused certifiers to tighten the certification requirements, demanding that more samples are taken for analysis. Newspaper articles on allegedly large-scale fraud in India turned out to lack substance. Nevertheless, the industry is now highly sensitized on this issue and is looking for ways to reduce contamination risk. Besides organic and fairtrade, other sustainable commodity initiatives are being promoted. The Better Cotton Initiative (BCI) has elaborated minimum criteria and is expecting a first Better Cotton harvest in 2010. Cotton made in Africa is currently elaborating a verification system for its criteria. The Dutch Sustainable Trade Initiative attempts to promote sustainability within mainstream commodity markets. In cocoa, Rainforest Alliance and Utz Certified are increasingly gaining market shares. Although these initiatives do not reach as far as organic and fairtrade, they are worthwhile moves of mainstream commodity trade into the direction of more sustainability. For farmers, engaging in one of these initiatives can eventually become a stepping stone to organic and fairtrade. 3 Project Progress 3.1 Achieved impact and outcomes The following paragraphs describe the achieved impact and outcomes of the work of the competence centre concerning the key performance indicators defined in the Logframe, as far as an intermediate assessment is possible. A coincidence of strongly increased organic cotton production in India and a slow down in demand due to the economic crisis lead to temporary oversupply in the global organic cotton market. As a response to this situation, growth in the organic cotton projects supported by Helvetas was halted. At the same time, organic and fairtrade cocoa and coffee production increased. Altogether about 15'000 farmer families participated in projects supported by the OFTCC in 2009. Although strong competition from India made it more difficult to sell the cotton in 2009/10, new companies became commercial partners of the organic cotton producer organisations (Canoram, TK Maxx, DevCot), and further ones indicated interest to join. Substantial volumes of crops associated to cotton could be produced and sold in the organic market, especially shea nuts (560 tons), sesame (300 tons) and sunflower (80 tons), thus adding to farmers' incomes. The total trade volume of products emerging from the ten projects directly supported by the OFTCC in 2009 is estimated at CHF 4-5 Mio. In order to rigorously assess the impact of organic cotton projects on the farmers' livelihoods and incomes, two studies on the projects in Burkina Faso and Kyrgyzstan have been conducted by the Centre for Development and Environment (CDE), University of Berne. The results show that in both countries profits in organic cotton production are about 30% higher than in conventional farms. In addition, farmers benefit from lower financial risk / indebtedness, better health and food security, and improved soil fertility. 1 The OFT value chain approach has been successfully promoted among key development actors (e.g. GTZ, EC Commission, ICCO, Rabobank Foundation) and companies and is used for developing new initiatives. A new Organic Business Guide has been developed in collaboration with ICCO, Agro Eco and IFOAM which is expected to help improve quality, increase efficiency and thus reduce costs of organic and fairtrade value chain initiatives. An international training workshop on organic and fairtrade value chains held in Benin in collaboration with ICCO contributed to build capacities among senior staff of organic and fairtrade production initiatives. The transfer of experiences gained in organic cotton to cocoa has been initiated with the launch of the organic cocoa programmes that started in 2009 in Honduras and Vietnam. Consultancy missions and support to projects in Benin (pineapple) and Nepal (coffee) contribute to improved incomes among the involved farmers. Altogether, OFTCC supported through these activities around 20 organic and fairtrade production initiatives. In order to broadly promote the organic and fair-trade cotton value chain approach in the textile industry and to boost the demand of the commodity worldwide, the World Congress on Organic Cotton was organised in Interlaken (21 to 25 Sept. 2009) in collaboration with several partners including Organic Exchange, SECO, ITC, IMO, Max Havelaar, ICCO and Solidaridad. The event attracted 365 participants from 50 countries, contributing to the recognition of OFTCC as a competent partner at the international level and promoting the topic prominently. The event resulted in several new business partnerships and new projects initiatives among participating companies and organisations. The public Swiss organic and fair-trade cotton campaign "Ask for organic / fair trade when buying TShirts, too." was successfully realised, attracting broad attention in the Swiss public, and giving prominence to the topic. International partner organisations (i.e. Organic Exchange) are showing interest in implementing the same campaign in other European countries, which offers an international multiplier opportunity. 3.2 Results versus expected outputs The following table provides an overview of the main results achieved in 2009 in relation to the expected outputs planned in the project document. They are discussed in the next chapter. Complementary to this, Annex 1 provides an overview of the main activities and events implemented in 2009. Table 1: Expected outputs and results achieved by the competence centre in 2009. 1 See http://www.organicandfair.org/oftcc/Publications/Publications.php 1.2 Efficient organic management systems identified and documented 1.3 Information and guidance provided to OFTC initiatives (on request) 1.4 Updated data on OFTC production, stakeholders and markets 1.5 Community of Practice for organic/FT-cotton developed 1.6 Information exchange with and between OFTC projects ensured 1.7 Independent web site developed in collaboration with other stakeholders * Photo archive completed; selection available at www.organiccotton.org * Production and financial planning tools developed and accessible at www.organicandfair.org * Organic business guide elaborated and published * Database tool refined and introduced in Mali, Burkina Faso and Benin * Provided general information on OFT to numerous requests * New info-line established (email@example.com) and used * International workshop on organic and fairtrade value chains with 35 participants successfully implemented in Benin; experience sharing among practitioners; capacities in VC management strengthened * Mid-term evaluation of organic pineapple project conducted in Benin (internal consultancy mandate); recommendations provided on future orientation of the project * Guidance in planning organic cocoa projects in Honduras, Ghana and Vietnam; support in developing project documents * Support in certification issues to Burkina Faso and Kyrgyzstan; obstacles to certification successfully eliminated * Support to planning an organic value chain project in Tajikistan; improvement of project document * Strategic review of organic coffee project in Nepal (internal consultancy mandate), recommendations provided on future intervention strategy of the project * Current data and figures on production (volumes, producers), sales (quantities, qualities, price and markets) and certification (FTpremium) gathered and disseminated to media, consumers and partners * Database on stakeholders updated, categories defined; used for providing targeted information to stakeholders * Community of Practice on organic cotton launched; more than 200 registered members * 4 online discussions facilitated (during at least 4 weeks each) with active contributions by 55 participants; key conclusions documented and made accessible * Support to and background moderation of registered members (firstname.lastname@example.org) * Face to face meeting of the organic cotton community held in Interlaken with 70 participants; discussion of topics identified during the online-dialogues; getting to know each other / networking * Experience sharing sessions during the OFTVC workshop in Benin * Web platform www.organiccotton.org launched, which also serves as base for the CoP * Content available in English, German, French and Spanish * In the first six months in average 1375 visitors per month * Advertisements of 5 companies \| \| 1.8 Monitoring system for the organic textile share in Switzerland \| • Share of organic cotton in Swiss cotton mass flow calculated for 2008: 5% \| \|---\|---\|---\| \| 2) Value chain and market development \| 2.1 Coordination of organic/FT value chains and partnerships \| • Stakeholder meeting conducted in Interlaken with 40 participants, including stakeholders from West-Africa and Central Asia; challenges in the OC market and suitable strategies discussed • Trade finance for Kyrgyzstan organized with Triodos (NL), allowing BioFarmer to purchase the majority of the produced organic cotton • Feedback provided to the investment tool developed by ResponsAbility (work in progress) \| \| \| 2.2 Strategies for new OFTC value chains developed \| • Discussions with potential stakeholders of organic cocoa programme (Ritter, Coop/Halba, Rabobank Foundation); commitment strengthened to engage in OFT cocoa value chains • Support to develop organic cocoa project documents for Ghana • Donor support for organic cocoa projects in Vietnam, Honduras and Ghana ensured (Rabobank Foundation, Coop, GTT Ghana, Ford Foundation). Supporting funds for Indonesia and Ivory Coast are likely • Proposal submitted to EU commission in collaboration with FiBL to research/improve the potential of organic farming for adaptation to climate change (EuropeAid tender) \| \| \| 2.3 New stakeholders (processing, trade) mobilized for OFTC \| • Potential public buyers of organic and fair-trade cotton identified in the health sector: Inselspital Bern, Spital Zofingen. Nursing homes of Zurich are procuring organic & fair-trade work wear • New commercial partners associated in the organic cotton programmes: TK Maxx, Armorlux, Canoram. Further companies are interested (e.g. Armstrong, Evideniz, Sanko, Otto Spinning) • Companies interested in partnering in the organic cocoa programme identified (Ritter, Coop/Halba, Ecoidées) • Buyer for long staple cotton in Tajikistan identified • Links between POs and potential partners for rotation crops and other crops established: Claro, Maviga, Erboristi Lendi, Lebensbaum, Fabulous Food etc. \| \| \| 2.4 Market intelligence and know-how to potential buyers of OFTC provided (as per demand) \| • Sustainable public textile procurement symposium realized in Solothurn, 18 May 2009. Result: Nursing homes Zurich launch an organic & fair-trade procurement project; new companies invest in organic & fair (i.e. Hüsler AG). • Study on climate footprint of organic textiles for the City of Zurich (consultancy mandate), demonstrating how procurement of organic cotton can contribute to mitigate climate change • Elaboration of environmental performance sheets (EPS) for textile products on behalf of BAFU (consultancy mandate); the tool shall contribute to more sustainable public procurement • Support to Swissmill in sourcing organic quinoa and amaranth for the Coop pasta lines \| 2.5 Markets and value chains for OFTCs developed * Market survey in Switzerland for dried pineapples from Benin (Migros, Coop, Varistor, Gebana, BioPartner, Pakka); potential buyers and requirements identified * Product sheets developed for cotton and rotation crops; template available online * Support in identifying buyers for organic shea, sesame, mango, pineapple, rice, MAPs, sunflower; various trade contacts facilitated * Participation of producer organisations from W-Africa at the European Fair Trade Fair in Lyon facilitated; new potential clients * Support of producer organisations from Mali and Kyrgyzstan at Biofach 2009 (in collaboration with SIPPO); linking them with potential buyers * Market place during OC Congress in Interlaken with numerous networking opportunities; new trade contacts established \| 3) Sensitizing stakeholders and aligning initiatives \| 3.1 Events in order to promote OFTC \| • World Congress on Organic Cotton implemented with 350 participants (Interlaken Sept. 2009); various associated meetings (FLO, Organic Exchange, Made By), fashion show, excursions, market place, interactive knowledge sharing; participants broadened their knowledge and networks; critical issues discussed and documented (social reporting with blogs and blibs) • Workshop on promoting fairtrade cotton within the European Fair Trade Fair (Lyon, October 2009); inputs to discussions • \| \|---\|---\|---\| \| \| 3.2 Approach and achievements communicated (media work) \| • Media campaign on organic cotton implemented in collaboration with Helvetas C&F and with co-funding by private sector; well received by the public • Inputs to Swiss television emission (Kassensturz) about the social problems in the cocoa value chain (information and local contacts) • Contribution to / mention in various newspaper articles, radio broadcasts and TV reports \| \| \| 3.3 Approach promoted in meetings, workshops and events \| • OFTC promoted at: NATUR (Basel), Sustainable Textile Forum at Biofach (Nuremberg), Ethical fashion workshop of University of Zurich (paid mandate), SOLA (Zurich), ICAC annual meeting; awareness created • Input to supplier meeting of the Swiss dye house Cilander • Contribution in the OE annual meeting (Seattle); sharing results of the Interlaken congress \| \| \| 3.4 Coordination with other networks and initiatives \| • Organic cotton aspects fed into the results of the SEEP panel of the ICAC (presented at Annual meeting in South Africa) • Participation in the working group on the revision of public procurement regulations; statement to public consultation • Guidance to UNIDO initiative on local textile processing in W-Africa • Participation in IMO Steering Committee; audit (paid mandate) \| \| \| • Participation in review of Contract Production Standards by FLO \| \|---\|---\| \| 4.1 Business strategy for the Competence Centre developed \| • Discussion of the concept and strategy of the OFTCC with the Steering Committee; principles defined • Conditions for contributions from leverage fund refined \| \| 4.2 Planning, monitoring and steering optimized \| • Steering committee for the OFTCC launched, ToR defined; two meetings held; inputs to the strategic development of OFTCC received • Detailed activity plan and budget for 2010 developed \| 4 Analysis of results and challenges to be addressed In the following sections, selected results of 2009 are briefly discussed and challenges to be addressed in 2010 are identified. A detailed plan of activity for 2010 is given in Annex 2. 4.1 Developing efficient management systems and business models Concepts and tools developed so far have been shared and further developed in an exchange and training workshop conducted in Benin in April 2009 in collaboration with ICCO. The tools have been finalized and made available as general templates in French and English at www.organicandfair.org and www.organiccotton.org. The database tool for West-African producer organisations has been finalized and introduced in Mali, Burkina Faso and Benin. The workshop in Benin also served to further develop the concept of an organic and fairtrade value chain guide that was developed in 2009 in collaboration with ICCO, AgroEco and IFOAM. The Organic Business Guide was finalized in an extensive review process and will be launched during Biofach 2010. It provides practical guidance and tools for cooperatives, companies and organisations involved in setting up or managing organic value chains with smallholders. An interactive version of the guide has been set up at www.wikibooks.org. The French version will be ready by end of March 2010. As in previous years, the CC continued being a contact point to provide information and advice on organic and fairtrade commodity value chains for a wide range of interested public: media, consumers, schools, research institutions, GOs and NGOs, as well as for the private sector (particularly textile and food processing industry). The following consultancy missions were conducted (Helvetas internal consultancies): * Mid-term review of organic pineapple project in Benin * Strategic review of organic coffee programme in Nepal As the services of the OFTCC have not yet been promoted, and the organization of the World Congress on Organic Cotton absorbed more manpower as expected, no consultancy mandate was acquired from another development organisation. In 2010, consultancy missions are planned to Indonesia (cocoa), Kyrgyzstan (cotton), Ghana (cocoa) and Nepal (coffee). In addition, the CC will strive to acquire at least one new consultancy mandate from another development cooperation agency. 4.2 Community of Practice on organic cotton and knowledge sharing platform The Global Organic Cotton Community Platform has been launched in June 2009 in the frame of the UN Year of Natural Fibres. The platform is a joint project by ICCO, SECO, Organic Exchange and the OFTCC and has been created for active members of the global organic cotton community to share conversations, knowledge and information about organic and fair-trade cotton. The new knowledge sharing tool for the organic cotton sector was made public within the network of OE and OFTCC (via printed and electronic flyers), promoted via web banners and presented at several fairs and events such as Innatex in Germany, the OE Sustainable Textile Conference in Seattle, the World Congress on Organic Cotton in Switzerland amongst others. The first face-to-face meeting of the Global Organic Cotton Community took place in the frame of the World Congress on Organic Cotton in September in Interlaken, Switzerland. About 70 participants attended the meeting, discussed and further developed topics which stemmed from the online dialogues. During 2009 four facilitated discussions had been held about "supply and demand on organic cotton", about "harvest estimates", about "water consumption in organic cotton production" and about "non GM seed availability for organic cotton production". The dialogues lasted about 4 to 7 weeks each and involved representatives of all positions within the textile value chain. Summaries of all discussions are accessible via the online library on www.organiccotton.org. Until end of 2009, 215 members registered for the online discussions, and about 55 of them actively contributed to the online dialogues. Meanwhile the web platform counts about 1450 visitors monthly with an upward trend. 4.3 Organic and fairtrade cocoa programme The cocoa programmes started in Vietnam, Ghana and Honduras with the support of Coop, Ecomercados, Ford Foundation and Rabobank Foundation. The necessary design and planning discussions for realizing support by the SECO WEHU were carried out together with a broad range of stakeholders in order to enlarge the programmes substantially in 2010. The programme in Vietnam could successfully engage the local governments of the provinces Ben Tré and Tien Giang. They will contribute their own extension workers and thus the corresponding remuneration to conduct the monitoring and trainings on farmer level. The programme thus can focus on the capacity building of the existing extension system rather than developing a new one. This step supports the institutional set-up of the value-chain significantly. In Honduras the first batches of Criollo cocoa from the natural conservation area of Patuca could be produced. Halba and Helvetas realized practical tests for the post-harvest and fermentation processes and implemented first steps for optimization. If all runs well the public launch of the product will be due in April 2010. The main challenge in the cocoa sector is the public over-emphasis of the child labour issue as compared to many other critical sustainability issues in the cocoa production. Similar as in cotton one can notice a certain proliferation of standards that differ only in minor items. Thus there is a need for impulses to harmonize and align these activities. The OFTCC sees good opportunities to contribute to this alignment and harmonization steps by developing efficient and farmer oriented internal control systems that can comply with organic and fair trade regulations, but also include adherence to other standards. The necessary working steps are key aspects on the OFTCC agenda in 2010 and 2011 and will also be elements in the cocoa programmes in the countries mentioned above. 4.4 Value chain and market development As expected, the substantial growth in global organic cotton production, the availability of stocks at the level of some processing companies, and the withdrawal of Marks & Spencer lead to difficulties in selling the West-African organic and fairtrade cotton production of 2008/09. Although several companies expressed interest in partnering with the producer organisations, and some new buyers committed to purchase volumes, purchase confirmation from buyers was still pending for about 30% of the production by end of 2009. Nevertheless, all farmers received the organic-fairtrade price for their production. This was possible due to finance provided from the local producer organisation (UNPCB in Burkina Faso), cotton societies (CMDT in Mali) and trade finance (Triodos for Kyrgyzstan). During the World Congress on Organic Cotton, a stakeholder meeting was held, for the first time involving participants from West-Africa, Asia and Latin America. The main topic discussed was the difficult situation in the global organic cotton market and possible strategies to enlarge volumes of sales. The OFTCC facilitated a workshop within a one-day meeting on green public purchase organized by SANU. It assisted the BAFU in developing environmental performance sheets (EPS) for textile products. A model EPS was developed and tested by companies and public buyers. EPS for 4 products will be finalized by March 2010. 4.5 Sensitizing stakeholders The UN Year of Natural Fibres 2009 provided an occasion to promote OFT cotton broadly by means of a big national sensitising campaign, a world congress on organic cotton, and a symposium on sustainable public textile procurement. The national campaign was set-up as a joint initiative between Helvetas and private partners with the aim to increase the consumption of organic and fair trade textiles significantly on the national level. The main sponsors were SECO, Coop, Switcher and Max Havelaar. Hess Natur, Fair Wear Foundation, Claro, Swiss Textiles and the City of Zurich were secondary sponsors. With a total budget of 0.5 million CHF the campaign created an advertising pressure of 1.5 million CHF, resulting in high publicity and wide recognition among the Swiss public. Contents, slogans and visual materials had to be developed in very short time in early 2009. The campaign was then launched in April 2009, adding a second publicity wave in September 2009. The campaign included 1500 billboards with three subjects (salad, banana, apple made out of textiles) distributed all over Switzerland; 220 advertisements in main Swiss newspapers and magazines; 135'000 printed campaign flyers; several activities at points of sale of partner companies; a series of online ads; a face-book group; and a campaign website (www.bio-fair.ch) with a map-based search tool for stores that offer organic and fair trade cotton products. By the end of 2009 more than 1500 organic & fairtrade stores and selling points had registered. Furthermore, 64 reports and articles were published in Swiss print and online media. The World Congress on Organic Cotton (Interlaken, 21-25 September 2009) was organized in collaboration with Organic Exchange, Institute for Market Ecology (IMO), International Trade Centre (ITC) and Max Havelaar, and was sponsored by Remei AG, Switcher, ICCO and Solidaridad, among others. The agenda included more than 30 workshops and plenary sessions, a market place for companies, a big fashion show presenting organic cotton collections of four designers (including renowned names like Peter Ingwersen), flash presentations, a gala dinner and excursions. The agenda setting and selection of speakers and moderators was realized in a participatory way with partners – a fruitful but time consuming process. Key agenda topics included cost price efficiency, reduction of certification costs, harmonization of standards and certification, improved GMO monitoring, OFT cotton in high fashion, and climate change among others. Active knowledge sharing was one of the key concepts of the congress. Apart from diverse networking platforms, most workshops applied interactive methodologies such as the Fish Bowl, World Café or Talk show format, thus providing diverse platforms to participants to bring in their expertise. 365 representatives from 50 countries participated in the congress, including 150 representatives from 100 brands and retailers and 35 representatives of producer organisations. Due to the difficult economic situation in most countries, registration of paying participants stayed below the target. Thanks to considerable cost savings, the financial losses could be kept within reasonable limits. However, Helvetas had to contribute substantially more resources than planned. In terms of results, a big majority of participants was highly satisfied with the choice of topics, the networking possibilities provided and the outcomes of the congress (see evaluation report). Several new business partnerships were discussed and initiated during and after the event. Also, the congress attracted considerable attention for the topic of organic and fair-trade cotton especially among textile brands and retailers, designers, service providers and professional media. Annexes Annex 1: Main activities and events in 2009 \| Date / period \| Activity / event \| Comment \| \|---\|---\|---\| \| January \| Input on PCM seminar of NADEL \| Example of organic cotton in India \| \| January \| Seminar on sustainable agriculture University of Weihenstephan \| Audience of 300 students and professors \| \| February \| Launch of Organic Cotton Congress Website \| \| \| February \| Presentation on NABU Workshop regarding GMO cotton, February 09, Berlin \| See: http://www.nabu.de/themen/gentechnik/ hintergrund/10445.html \| \| February \| Presentation of OFT cotton for Africa in the Textile seminar of Biofach Congress \| \| \| February \| Coaching of participation of Helvetas partners at Biofach \| Linkages to potential buyers; networking; promotion of the WCOC \| \| March \| Presentation on Indian supplier meeting \| Specific focus on co-existence with GMOs \| \| April \| International training and exchange workshop on organic and fairtrade value chains \| 5 days, 35 participants from Africa, Asia and Europe \| \| April \| Writeshop to develop the content of the Organic Business Guide \| 2 days, with 8 participants from Africa, Asia and Europe \| \| April \| Presence on CFC meeting, Amsterdam \| Acquisition of sesame project under guidance of RTI, Amsterdam \| \| May \| Symposium on sustainable textile procurement \| \| \| May \| Mid-term Review of ProFa Pinapple project in Benin \| \| \| May \| Presentation on organic cotton working group meeting of PAN, Berlin \| Specific focus on co-existence with GMOs \| \| May \| Strategic review of organic coffee programme in Nepal \| Coffee sector and general organic sector \| \| May – July \| Development of website and brochure for OFTCC \| \| \| June \| Launch of Global Organic Cotton Platform \| English and French sites \| \| June \| Writeshop to develop the first draft of the Organic Business Guide with Agro Eco \| \| \| July – August \| Support to Burkina Faso in certification issues \| Managing GMO co-existance \| \| August \| Examination of two Batchelor students of SHL \| On organic cotton in Benin and organic vegetable farming in Laos \| \| August \| Launch of OFTCC website \| www.organicandfair.org \| \| September \| Printing of OFTCC brochures \| \| \| September \| Participation on 68th ICAC Meeting in Capetown \| 3 speeches contributed \| \| September \| Stakeholder meeting of organic cotton initiatives \| About 40 participants from Africa, Asia, Latin America and Europe \| \| Date / period \| Activity / event \| \|---\|---\| \| September \| Face-to-face meeting of the Global Organic Cotton Community \| \| September \| World Congress on Organic Cotton, Interlaken \| \| October \| Participation in European Fairtrade Fair (Lyon) \| \| October \| 1st review round of the Organic Business Guide among experts \| \| October \| Presentation in the OE Sustainable Textile Conference in Seattle \| \| October- December \| Elaboration of a proposal on organic agriculture, food security and climate change in W-Africa \| \| November \| Writeshop to finalize the Organic Business Guide \| \| December \| 2nd review round of the Organic Business Guide with experts \| \| December \| Annual team retreat of the OFTCC \| \| December \| Elaboration of model environmental performance sheet for textiles \| Annex 2 : Action plan for 2010 \| \| Resp \| Description \| \| Jan - Mar 2010 \| \| Apr - Jun 2010 \| \| Jul - Sep 2010 \| Oct - Dec 2010 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| Knowledge management - Gather and disseminate information - Efficient management systems - Guidance to OFTC initiatives - Updated data on OFTC - Monitoring system OC Switzerland \| AB FE AB RD AB \| Develop, document and share information and know-how related to OFTC. Update photo archive and key documents Finalize ICS, OM, DB tools, organic business guide Provide guidance to other OFT initiatives, answer general requests Updates Baseline study labelled cocoa in CH \| results impact assessment KR communicated (FE) launch OFTVC guide, online version, French version on request \| \| up date photo archive with AP on request monitoring concept, questionnaire for organic cocoa monitoring elaborated \| \| on request questionnaire sent, data collected and report elaborated \| \| \| \| CoP & Website \| \| Establish a CoP on OC and an independent website, in collaboration with OE. \| \| \| \| \| \| \| \| \| - Develop a CoP - Ensure information exchange - Develop independent web site \| AB AB AB \| Facilitate 3 discussions f2f workshop @ OE meeting? Update website; get sponsoring, develop business plan \| Reports to ICCO, business plan review of websites (.org, .ch), invite companies for advertising \| \| facilitation of CoP concept for organiccotton.ch \| \| Surevey, handover of facilitation initiated adapted version organiccotton.ch implemented \| \| \| \| Value chain & market development \| \| Facilitate the development of value chains and markets for OFTC. \| \| \| \| \| \| \| \| \| - Coordinate OFTC value chains - Develop strategies for new VCs - Mobilize new stakeholders \| TM/? JS JS \| Cotton stakeholder meeting, facilitate new partnerships launch cocoa programme (base & roof); explore Cocoa CoP options; commodity monitoring concept (GRI), Acquire co-funding for cocoa programme; set-up cocoa VC project ID; implement organic cotton in Nordic \| client database in place, cotton selling 2009-10 finalized, commitments for 2010-11 clarified Funding and launch cocoa GH, HO, VN; sesame project BF with KIT set-up Cocoa mission ID \| \| contracts for 2010-11, Pre- financing organized Support to cocoa VC projects (GH, HO, VN); clarify collaboration with Progreso for CoP elaborate ProDoc ID; participation in cocoa stakeholder meeting of \| \| stakeholder meeting Support to cocoa VC projects (GH, HO, VN); develop commodity monitoring concept discussions for cocoa VC project ID; contribute to revision of \| \| \| \| - Market intelligence to buyers - Develop markets for OFTC \| RD ? \| swan scheme Support city of Zurich in defining supply policy, GPP activities with ICLEI; participation in GPP network (RD); GMO co-existence Market development: tools, capacity building, strategies; develop markets for associated crops of cotton (?); support Biofach participation 2010 (FE) \| Follow-up pilot project Pflegeheime/ Zentralwäscherei Zürich / SNB Support Biofach 2010 participation of POs; linking with stakeholders (JS, FE); market development strategy with FLO \| Rabobank F.; contribute to revision of Nordic swan scheme Concept for dissemination of fact sheets with ICLEI; see also LoA 54 marketing tools and capacity building needs identified \| Nordic swan scheme GPP activities with ICLEI? see also LoA 54 marketing strategy defined; capacity building event \| \|---\|---\|---\|---\|---\|---\| \| Networking & public relations \| \| Promote OFTC and the value chain approach. Coordinate with related initiatives. \| \| \| \| \| - Organize events to promote OFTC - Media work, publications - Promote the approach in meetings - Coordinate with other networks / initiat. \| JS JS JS JS/FE/ TM \| Cocoa? Cocoa and cotton in media Screeing of events (calendar, prioritize); various presentations and workshops Sustainable commodity initatives (JS), Coordination with OE-FDP (FE), Swissfairtrade (TM) \| counter GMO cotton; prepare HO chocolate launch Thekeyto; Textile workshop Biofach; GOTS-workshop; Input to SEEP; WTO-panel Meeting BCI-CmiA \| prepare cocoa stakeholders exchange for sustainability funds (Invera, Höller) counter GMO cotton; HO chocolate launch cocoa VC projects for Green week Brussels Follow-up on collaboration with BCI and CmiA \| cocoa stakeholders exchange for sustainability funds (Invera, Höller) counter GMO cotton; HO chocolate in newspapers, cocoa VC in Partnerschaft ICAC Texas, SEEP Panel Follow-up on collaboration with BCI and CmiA \| \| External mandates \| \| Mandates and consultancies financed by other donors or private sector (including acquisition) \| \| \| \| \| - Private sector consultancy - Coaching other initiatives - Mandates OC West-Africa \| JS AB/RD FE \| BAFU, China, others (on demand); Multi-standard ICS for cocoa with Barry Callebaut Consultancy to other OFTC projects Strategy development, capacity \| Publish CC calculation GPP, BAFU ULB's (RD) \| consult Mecilla project China; see also LoA 33 explore co-operation options with VCs within Year of Biodiversity initative UNEP \| Barry Callebaut Farmer field book consult UNEP projects \| Helvetas OFTCC \| Co-existance GMO cotton /GTZ VC capacity building (ICCO) Support cocoa Ghana, Indonesia Sustainable commodity \| JS FE JS JS \| building (ICCO, AFD) Develop concept to manage co- existence of GMO with organic cotton and CmiA, C & A for India Organic business guide, workshop, coaching of projects Project set-up, ICS, business planning etc. manual + reporting \| GMO co-existence project task force meetings OFTVC capacity building phase II acquired (ICCO), online version of guide see also LoA 32 and 33 \| First Project report GMO co- ex manual India and West Africa Workshop Nepal see also LoA 32 and 33 \| GMO co-ex manual West Africa & India elaborated Coaching see also LoA 32 and 33 see also LoA 32 \| \|---\|---\|---\|---\|---\|---\| \| Internal consultancies \| \| Consultancies for Helvetas OFTC projects \| \| \| \| \| - KS Backstopping SDC - Kirgistan Nepal Guatemala Mali / Burkina / Kyrgyzstan / Benin - Burkina Faso \| FE FE RD/AB ? ? AB \| Consultancy for KS backstopping of SDC BP and organisational set-up CoPP (DFID), LMD Market development for organic products, capacity building mandate AFD? Soil fertility PMEs \| Explore options \| Feasibility study \| Consultancy \| \| Management & administration \| \| Internal meetings, administration, strategic development, coordination, planning, reporting, HRD. \| \| \| \| \| - Strategic development - Administration - Marketing of CC services - CC team meetings - Further education, information update \| FE FE FE FE \| Strategy for economic and institutional sustainability; SC meetings Improve monitoring system; reporting 2009; review 2010, planning 2011 Introduction day for interested NGOs and companies Monthly meetings, team development NADEL-course DR, Moderation AB, Business management FE \| Strategy for institut./economic sustainability Accounts and report 2009 Info-mailing with SECO \| SC meeting Intro day OFTVC Monitoring indicators team development \| mid-term accounts + activity monitoring \|
The Narrative Potential of Album Covers Robert J. Belton Abstract In Popular Music Studies there appears to be a conceptual divide between the aesthetics of videos and those of album covers because the former move in time and the latter do not. One of the consequences of this separation is that music video studies tend to take inspiration from film and media studies whereas album cover studies tend to derive ideas and methods from art history. This paper asks if this isn't a missed opportunity. It argues that album covers can and do exist in time, and it offers a type of analysis that shows how still and moving images both integrate with music to create a modal hybrid that is greater than simply the sum of their parts. One can, for example, profitably deploy narrative analysis to understand still images. Similarly, one can deploy art historical methods to assess music videos. There is a conceptual divide between the aesthetics of album covers and those of videos because the latter move in time, while the former do not. This paper argues that album covers do exist in time, because they, too, are in semiotic coordination with music, producing opportunities for multimodal analyses. I conclude with some remarks about the opposite—that music videos might also be profitably assessed from the point of view of still pictures. switching vertical recession to a horizontal plane 3 . In contrast to mere depictions of objects and spatial relations, Lessing argued that poetry necessarily exists in time as the result of the consecutive presentation of elements. He concluded that pictures only represent things, while texts can describe actions and therefore narratives (Lessing 101). Are still pictures of any sort narratives? Klaus Speidel tells us that the answer to that question has been "No" since at least 1766, when G. E. Lessing reasoned that a picture creates space, and its presentation of the elements of a scene is simultaneous (Speidel). Lessing would have been thinking of a typical Renaissance artist's mastery of linear perspective, as in Perugino's Delivery of the Keys to St Peter (148182), where converging orthogonals create a mathematical expanse that determines the proportions of things at various distances from the viewer. A similar device can be found in many album covers, like Genesis's Nursery Cryme (1971), where it is handmade 1 ; The Beatles' Abbey Road (1969), where it is a property of a 50mm camera lens 2 ; and Soul Generation's Beyond Body and Soul (1972), where it is a visual pun But is it the case that these album covers are actionless? Aren't the Beatles striding over a zebra crossing, while a curious onlooker, Paul Cole, turns on the right to see what is happening (DeYoung)? Isn't the girl on the front of the Genesis gatefold playing croquet? Aren't these at least glimpses of action and therefore potential narratives? 1 See http://www.soundstation.dk/images/products/large/76/130276b.jpg for the outside and http://magar57.altervista.org/wpcontent/uploads/2013/08/2.jpg for the inside. In an era in which we understand (a) the intertextuality of multiple media and (b) texts in a Barthesian way as open instead of closed, determinate works, this line of thinking seems Well, no—if we believe almost all subsequent theorists after Lessing. They argue that single pictures can't be narratives but can at best induce them by inspiring commentators to develop stories through a kind of hyperactive imagination (Leitch 40). Consequently, I would imagine they would say that any kind of story precipitated by an album cover is something that exists outside the picture. In this way, they would surmise, the interpretation of an album cover is something akin to a Rorschach test (Dieterle 135). 3 http://a2.mzstatic.com/us/r30/Music6/v4/2b/bc/b4/2bbcb4ef-d4b1ad3e-5416-52cb4b539974/4538182380673_cov.1200x1200-75.jpg 2 Abbey Road; see http://d817ypd61vbww.cloudfront.net/sites/ default/files/styles/media_responsive_widest/public/tile/image/Abb eyRoad.jpg?itok=BgfH98zh weirdly passé. On the upside, theorists say pictures stimulate narration as a consequence of presenting a series of still images (Wolf 96). This is clearly an allusion to the types of closure created by sequential art forms like comic books (Duncan and Smith 316). An early artwork that uses separate frames in a similar manner is Gentile da Fabriano's Adoration of the Magi 4 . Along the bottom are small predella panels that depict episodes from the story of Christ's childhood: the Nativity, the Flight into Egypt and the Presentation at the Temple. The Adoration of the Magi also features a practice that art historians call "continuous narrative," in which a single locale hosts multiple episodes of an unmistakable story: The main image features the Magi in the distance at the top left, en route in the central background, and at the birthplace in the central foreground. Such stories of course, are anchored to a paratext, a separate text that serves to disambiguate the imagery (Genette 5). In Masaccio's Tribute Money 6 , for instance, we find that the Gospel of Matthew in the New Testament makes sense of a single scene in which a taxman at the centre demands money of Christ, who in turn directs Peter to retrieve the money from the mouth of a fish, which Peter then delivers to the same taxman at the right. A similar theory is at work in Robert Crumb's design for the cover of Cheap Thrills 5 by Big Brother and the Holding Company, in which a stylized Janis Joplin appears three times. These images were intended to relate a story about the band in the manner of traditional liner notes on the back of the album, but Joplin, who was a fan of underground comics and Crumb in particular, demanded that this be the cover (Sullivan). The main objection that an image is not a true narrative depends upon the idea that it is presented all at once (Chatman 118). This is not a convincing differentiator, because the words on a page are also all presented simultaneously, but time is required for the eyes to trace across and interpret them (Inhoff et al.). Perceiving pictures takes time—something theorized by scholars like Whitney Davis and easily demonstrated empirically with eye-tracking devices (Belton & Kersten). Some pictures 4 1423; see http://media-2.web.britannica.com/eb-media/69/43569004-1A6A34C7.jpg 6 1425; see https://classconnection.s3.amazonaws.com/917/ flashcards/1702917/jpg/21181346808522555.jpg 5 1968; see https://upload.wikimedia.org/wikipedia/en/9/9e/ Cheapthrills.jpeg deliberately exploit this to create narrative-like effects. A case in point is this 16 th -century landscape, once attributed to Brueghel, in which one notices crucial details in a sequence that generates a natural story and meaning effect (Altman 213). Speidel writes, A painting…shows a landscape with a shepherd, some sheep, a farmer plowing, a fisherman fishing and a large ship in the ocean. Only if we contemplate the picture for long enough do we discover two legs somewhere in the sea and realize that the picture tells a story…. What seemed to be an idyllic landscape becomes a scene of death by drowning. The other figures depicted as simply minding their own business may suddenly seem to be acting inappropriately…. [W]e may also discover a … corpse in the bushes.… [W]e suddenly find ourselves in the same cognitive position as the other persons in the picture. This painting has often been related to the Dutch saying "No plough stands still because a man dies…." The saying is both illustrated and performed by each new viewer in her viewing process…. We find a similar process at work in the album cover accompanying Pink Floyd's 1969 release Ummagumma 7 . At first glance, we see a conventional portrait of the band at rest. On the right side we see David Gilmour seated in a chair, Roger Waters seated on the floor just behind him, Nick Mason standing in the middleground, and Richard Wright performing a leg lift in the background. Then we notice that the left side of the picture contains a copy of the whole image, as in the so-called "Droste effect" or mise en abyme of art history and film studies. But here the recursive appearance within the image of a smaller replica of itself is different in that the image on the wall rotates the membership of the band clockwise: Waters-seated-chair, Masonseated-ground, Wright-standing, Gilmour-leg lift. The image within that image rotates them again: Mason-seated-chair, Wright-seated-ground, Gilmour-standing, Waters-leg lift. The iterations continue but become increasingly indistinct. The cover's designer, Storm Thorgerson, explains that the soundtrack for the 1958 film musical Gigi was placed in the left foreground as an ironic red herring to generate debate and 7 see http://media.feedfloyd.com/post/thumb-2/5bcd3cef70749c5b efd61b12a34d9e64ac72e669.jpg underline the difference between mainstream popular entertainment and the more experimental music on the album. It's also unclear that the image relates to the music in any direct way, although the track entitled "Several Species of Small Furry Animals Gathered Together in a Cave and Grooving with a Pict" exhibits experimental musique concrète passages that repeat with permutations. The waiflike voices are also hinted at on the inside of the gatefold, where guitarist Gilmour poses against a well-known "elfin" tree in Kensington. The cover produces a kind of intellectual game that is itself a signifier of membership in a particular kind of social formation. Santana's first album 11 , also reveals much about the mindset of his cultural clientele, the expectations of record buyers in the late 1960s, and the climate in which the record was made. Lee Conklin's cover exploits the psychology of multistable perception by inventing ambiguous or alternating features deriving ultimately from test images like the famous Necker cube, first Appealing to the in-crowd is a widespread practice in album cover design, ranging from experiments in legibility—for example, from Richard Hamilton's design for the Beatles' album The Beatles 8 to Trevor Jackson's cover for Soulwax's Any Minute Now 9 —to what I'll call semiotic "in-crowd mind-games" like Ummagumma. A striking example of the latter in a completely different style is Peter Saville's design for New Order's Power, Corruption & Lies 10 , which fuses a nineteenth century flower painting with what looks like a printer's colour proof swatch but which is actually an alphanumeric code spelling out the catalogue number, FACT 75. The code itself is presented elsewhere in the manner of a 1980s floppy disk, indicating the band's predominantly synth-pop style. "In this way," writes design historian Patrick Cramsie, "Saville tapped into the same sort of feeling of knowingness and exclusivity among the band's fans that the designers of the psychedelic poster had earlier exploited with their barely legible lettering …, creating [what journalist John Pareles called] 'a mass produced secret'" for an in-crowd (Cramsie 308). 8 1968, a.k.a the white album; http://atbishopsgate.com/wpcontent/uploads/2015/08/ArticleSharedImage-13491.jpg 9 10 1983; http://images.rapgenius.com/320b315f4abf6615ed05411bcd56d 197.1000x999x1.png 2004; see http://images.junostatic.com/full/CS1368548-02A-BIG.jpg 11 1969; https://freecritique.files.wordpress.com/2013/07/santanasantana.png described in 1832. This phenomenon involves a constant sensory stimulation that stimulates inconstant perceptual reversals. Through a kind of mental effort, one can reorient the cube so that it appears to "open" on the front or even the right side. The relevant detail is that the effects are sequential, and one does not see them all at once (Kornmeier, Jürgen & Bach 955). Fast-forward to 1933 and Salvador Dalí's first attempts to create multiple images in a single picture, as in his famous Slave Market with the Disappearing Bust of Voltaire 12 . Fast-forward again to 1969, by which point the impact of Surrealism on posters and album covers of the psychedelic rock era is very well established. Like the music, the album cover requires time to experience, with a lion's face morphing into an African maiden in a grass skirt, a sequence of faces, and a tiny figure standing just below the uppermost face at the top. The use of album covers to generate a sense of belonging takes a wide variety of forms, some unlike Ummagumma. For instance, Ian Chapman analyzes the cover of Kiss: Alive! 13 according to art historical principles developed by Erwin Panofsky and others in the midtwentieth century, concluding that the packaging depicted "glam-metal" well before the invention of the term by conflating the signifiers of glam rock and heavy metal. He then explains that the image appealed to him personally because of its iconographical ambiguity, which "afforded the opportunity for personal readings en masse" (Chapman 142). It is, in other words, a Barthesian text (Barthes 155-164), but its ambiguity is different in character from that of, say, The imagery doesn't really articulate the album's contents. The lyrics are pedestrian love songs with lines like "I'm on the pier, I'm waiting for my baby," and the music is a blend of jam rock and covers of jazz tunes modified by a taste for Latin percussion. Were it not for a recasting of Babatunde Olatunji's song "Jingo" as "Jingo Rock," there would be no African connection to the cover at all. So the cover does not "illustrate" the recording, but it does create a supplementary experience of sensory disorientation for the purpose of creating a sense of social belonging. 12 1940; http://art-dali.com/image/artworks/430%20Slave%20 Market %20with%20the%20Disappearing%20Bust%20of%20Voltaire%201940 .jpg 13 http://cps-static.rovicorp.com/3/JPG_400/MI0002/319/MI0002319 783.jpg?partner=allrovi.com Ummagumma. Chapman does not link the album cover in any specific way to the music on the album, so the only temporal narrative is a matter of viewer engagement and response through subcultural identification. He theorizes that this is frequently how semiotic codes in album covers associate to create depictions of class, gender, performativity, race, sexuality, and social belonging, a process predictable and stable enough that it can be simulated in computer vision for the purpose of identifying musical genres (Jānis Lībeks & Douglas Turnbull). Other, more prominent parts of the album cover illustrate not just the lyrics but also the back-stories inspiring the songs. "The Musical Box," for instance, was inspired by a fairy story invented by singer Peter Gabriel—seen in a faux Victorian scrapbook inside the gatefold—in which a young girl, Cynthia Jane De BlaiseWilliam, beheads Henry Hamilton-Smythe while playing croquet. The ball, we now realize, is the rolling head of her victim. The song also criticizes a nurse because she "will tell you lies of a kingdom beyond the skies," and who appears on the cover in the form of a nanny carrying a punishing whip and arriving on retroroller-blades. But the lyrics as performed in the Andrew Goodwin (86-89) once argued that music videos can be categorized as illustrations (where images echo the lyrics), amplifications (where images supplement the meaning of lyrics so as to create a greater whole), or disjunctures (where images and lyrics have nothing to do with each other). Some album covers can also be so understood, although I'd like to make the case for several nuances to be added to the taxonomy. Goodwin's notion of illustration, for example, is articulated in Nursery Cryme in more than one way. At the far left of the cover image, painted by Paul Whitehead, we can just make out a tiny figure standing on the ledge beneath a semicircular window while a figure ascends a ladder nearby. This illustrates the song "Harold the Barrel," which concerns a suicidal restaurateur standing on a window ledge while onlookers cry out, "Come off the ledge / if your father were alive he'd be very, very, very upset. / Just can't jump, you just can't jump." Here the lyrics and the image work together multimodally to create an impression, but does the music itself add another level? Yes, says an anonymous contributor to Wikipedia, who feels that the extended fading out at the end of the song, after the word "jump," symbolises Harold's leap to his death (Wikipedia). song do not use the back-story itself, so we see that we need more subcategories of illustration to capture the difference between a cover illustrating specific lyrics and one illustrating a Genettian paratext. We also need a subcategory to distinguish genre attributions that are specific to the music (as opposed to the lyrics) from others that are more about the circumstances of production and reception. For instance, Chapman's take on Kiss: Alive! is basically about deciding what genre the music is and how it's visualized, yet it is still a species of illustration without actually "illustrating" anything in the lyrics. We need a similarly nuanced approach to the category of amplification (or complementation). Jethro Tull's Thick As a Brick 15 is a case in point. Intended to be a parody of concept albums (Nollen 81), TAAB is an extended song cycle based on lyrics written by a fictitious eight-year-old prodigy named Gerald Bostock. Encompassing a wide variety of musical genres Goodwin's concept of amplification might well be applied to the cover of N.W.A's Straight Outta Compton 14 , designed by Helane Freeman and photographed by Eric Poppleton. It exploits a low camera angle called a "beat-down" shot, in which several young men look down menacingly (Johnson). The image doesn't directly illustrate any of the songs, but it expands upon the tone of several of them. For instance, "Gangsta Gangsta" includes the phrase, "My man Dre'll fuck you up in a minute / With a right left, right left you're toothless / And then you say goddamn they ruthless!" The use of the second-person voice in the lyrics is equivalent to the subjective point of view in the shot. Here we encounter a type of emergent metaphor in a syntagmatic axis. Nicholas Cook—whose own version of illustration, amplification and disjuncture is rendered as conformance, complementation and contest (Cook 98-106)—writes of CD jewel case design, "the very fact of juxtaposing image and music has the effect of drawing attention to the properties that they share, and in this way constructing a new experience of each; the interpretation is in this sense emergent" (Cook 73). The metaphor is that listening to the radical opinions expressed on the album is like being knocked down by the truth. It is syntagmatic because it is expressed consecutively. 14 1988; http://hiphop-n-more.com/wp-content/uploads/2015/08 /straight-outta-compton-album.jpg 15 1972; http://pxhst.co/avaxhome/ef/78/002478ef_medium.jpeg and themes in different tempos, time signatures, textures and timbres, the album's progressive rock richness and diversity is articulated and expanded in Roy Eldridge's cover design, which takes the form of an entire small-town newspaper. This astonishing supplement, which singer Ian Anderson said took longer to create than the music (Rees 49), satirizes the homespun style of articles and advertising in local English broadsheets. The cover story outlines the poetic disgrace of the fictional Bostock, who was disqualified from a poetry contest for vulgar and offensive passages like "Your sperm's in the gutter, your love's in the sink." Other parts of the paper reproduce the entire poem (that is, all the lyrics), various absurd jokes (one of which concerns an "experimental non-rabbit"), a children's puzzle, and even a negative review of the music. These elements complement each other to create an immense, intertextual parody in a syntagmatic axis. There is plenty of room for the consideration of album covers as narratively connected to music in a variety of ways. The only real difference between album covers and music videos is that the former typically speak to collections of songs while the latter links to a single song. (A further research topic might fruitfully investigate how packaging for 45 RPM singles bridge this gap.) While the formal Disjuncture (or contest) can also be further subcategorized. The cover of Beck's Odelay 16 is a photograph of a leaping Komondor, a dog with a coat heavily corded like dreadlocks. When asked why he used it, Beck replied, "He looked like a bundle of flying udon noodles attempting to leap over a hurdle. I couldn't stop laughing. Plus the deadline for the cover was a day away" (Martell 44). Designer Robert Fisher merely added the oddly retro font. But this disjuncture, which was very much a happy accident driven by corporate necessity, is very different from that in the notorious original cover of the Beatles' Yesterday and Today 17 . That was an excerpt from a never-finished conceptual photo series by Robert Whitaker entitled "A Somnambulant Adventure," which Paul McCartney, at least, saw as a commentary on the Vietnam War (Gaffney). There are, therefore, both "arbitrary" and "motivated" subcategories of disjuncture. 16 1996; http://assets.rollingstone.com/assets/images/list/ 3e56f66b 22b00a08250fa20b1f00c11b66020fbf.jpg 17 1966; http://s3.birthmoviesdeath.com/images/made/beatlesyesterday-today-butcher1_1200_1200_81_s.jpg analysis of videos will necessarily involve different approaches to, say, editing and camera movement (Vernallis xi-xiii), I feel that narrative can function in both domains, just as interactivity is beginning to do. A second category would be music videos that deliberately exploit intertexts drawn from art history and visual culture, as in Tarsem Singh's video for R.E.M.'s Losing My Religion 20 — which explicitly alludes to Caravaggio's The Incredulity of Saint Thomas 21 (Buckley 206-07)— or Catherine Wheel's Crank 22 , which alludes to all sorts of Christian iconography, including, for instance, Byzantine icons. I suggested at the beginning that music videos might also be profitably assessed from the point of view of still pictures. I don't have the time to explore this in depth here, but I will offer two quick examples. One is rather obvious: the kind of video that basically is a still picture—or that at least changes so little that no significant inflection of meaning accumulates. Here, D'Angelo's Untitled (How Does It Feel) 18 , directed by Paul Hunter and Dominique Trenier, is essentially one shot that explores much of the singer's body in a highly suggestive way. Hunter said, "We made this for the women. The idea was, it would feel like he was one-on-one with whoever the woman was" (Peisner). Although less sexual, Miles Davis's Tutu 19 exhibits a similar intimacy. Interestingly enough, it was also a collaboration between male and female artists, in this case designer Eiko Ishioka (who won a Grammy for best album package) and photographer Irving Penn (Gallafent). In conclusion, I feel that album covers, like music videos, can indeed produce narratives as emergent properties of various types of intertextual relationships. To capture them, we need more nuanced theoretical approaches, like illustration of lyric vis-à-vis illustration of music vis-à-vis illustration of context, or amplification through hypotextual supplementarity, or arbitrary disjuncture vis-à-vis motivated disjuncture, and so on. Clearly, we have much to talk about. 18 2000; http://www.vevo.com/watch/dangelo/untitled-(how-does-itfeel)/USVI30500120 20 1991; https://www.youtube.com/watch?v=xwtdhWltSIg 19 1986; http://ecx.images-amazon.com/images/I/51Ej-Za2DzL.jpg 21 1601-02; http://caravaggioprints.com/Incredulity%20of%20St%20 Thomas%20Caravaggio%20Print.jpg 22 1993; https://www.youtube.com/watch?v=DoEav9mAB3U Bibliography "The Abbey Road Cover Photography Session \| The Beatles Bible." The Beatles Bible. N.p., n.d. Web. 25 May 2015. http://www.beatlesbible.com/1969/08/08/the-abbey-road-cover-photographysession/. Belton, Robert & Kersten, Bernd. "Vision and Visions in Piero della Francesca's Legend of the True Cross." Glimpse: The Art and Science of Seeing 6 (2010): 34-48. Barthes, Roland. "From Work to Text." Image, Music, Text. Trans. Stephen Heath. New York: Hill and Wang, 1977. 155-64. Print. Buckley, David. R.E.M.: Fiction: An Alternative Biography. London: Virgin, 2002. Print. Chatman, Seymour. "What Novels Can Do That Films Can't (and Vice Versa)." On Narrative. Ed. W. J. T. Mitchell. University Press: Chicago, 1981. 117-36. Print. Chapman, Ian. "Kiss: Alive! An Iconographical Approach." Coverscaping: Discovering Album Aesthetics. By Asbjørn Grønstad and Øyvind Vågnes. Copenhagen: Museum Tusculanum, 2010. 132-43. Print. Cook, Nicholas. Analysing Musical Multimedia. Oxford, Clarendon Press, 1998. Print. Dalí, Salvador. "Interprétation paranoïaque-critique de l'image obsédante L'Angélus de Millet." Minotaure 1 (February 1933): 65-67. Print. Cramsie, Patrick. The Story of Graphic Design: From the Invention of Writing to the Birth of Digital Design. New York: Abrams, 2010. Print. Davis, Whitney. A General Theory of Visual Culture. Princeton, NJ: Princeton UP, 2011. Print. Dieterle, Bernard. Erzählte Bilder. Zum narrativen Umgang mit Gemälden. Marburg: Hitzeroth, 1988. Print. DeYoung, Bill. "Paul Cole, Man on Beatles' 'Abbey Road' Cover, Dies." TCPalm. TCPalm.com, 15 Feb. 2008. Web. 26 May 2015. http://www.tcpalm.com/entertainment/30gtpaul-cole-man-onbeatles-abbey-road-cover. Duncan, Randy and Matthew Smith. The Power of Comics. London: Continuum, 2009. Print. Gallafent, Alex. "Looking Back on the Career of Designer Eiko Ishioka." Public Radio International. N.p., 31 Jan. 2012. Web. 26 May 2015. http://www.pri.org/stories/2012-01-31/looking-back-careerdesigner-eiko-ishioka. Gaffney, Dennis. "The Beatles "Butcher" Cover." PBS, Antiques Roadshow, Follow the Stories. PBS.org, 27 Oct. 2008. Web. 22 May 2015. http://www.pbs.org/wgbh/roadshow/fts/jackpot_200302A14.html. Genette, Gérard. Palimpsests: Literature in the Second Degree. Trans. Claude Doubinsky. Lincoln: University of Nebraska Press, 1997. Print. . Inhoff, W. Albrecht, Brianna M. Eitner, and Ralph Radach. "Time Course of Linguistic Information Extraction From Consecutive Words During Eye Fixations in Reading." Journal of Experimental Psychology: Human Perception and Performance 31.5 (2005): 979-95. Web. 25 May 2015. http://dx.doi.org/10.1037/0096-1522.214.171.1249. Goodwin, Andrew. Dancing in the Distraction Factory: Music Television and Popular Culture Minneapolis: U of Minnesota, 1992. Print. Johnson, Christopher. "'Straight Outta Compton,' 20 Years Later." NPR. NPR, 4 Dec. 2007. Web. 22 May 2015. http://www.npr.org/templates/story/story.php?storyId=16853159. Leitch, Thomas M. What Stories Are: Narrative Theory and Interpretation. University Park: Pennsylvania State UP, 1986. Print. Kornmeier, Jürgen, and Michael Bach. "The Necker Cube: An Ambiguous Figure Disambiguated in Early Visual Processing." Vision Research 45.8 (2005): 955-60. Web. 19 May 2015. Lessing, Gotthold Ephraim. Lessings Laokoon. Carlsruhe: Büreau der Deutschen Classiker, 1824. Print. Lībeks, Jānis and Douglas Turnbull. "You Can Judge an Artist by an Album Cover: Using Images for Music Annotation." IEEE Multimedia 18.4 (2011): 30-37. Web. Nollen, Scott Allen. Jethro Tull: A History of the Band, 1968-2001. Jefferson, NC: McFarland, 2002. Print. Martell, Nevin. Beck: The Art of Mutation. New York: Pocket, 2001. Print. "Nursery Cryme." Wikipedia. Wikimedia Foundation, n.d. Web. 22 May 2015. http://en.wikipedia.org/wiki/Nursery_Cryme. Peisner, David. "D'Angelo: What the Hell Happened?" SPIN (2008): n. pag. Spin. 05 Aug. 2008. Web. 22 May 2015. <http://www.spin.com/articles/dangelo-what-hell-happened>. Pareles, Jon. "New Order Keeps Marching to Its Own Mystery." The New York Times. The New York Times, 11 Feb. 1989. Web. 26 May 2015. http://www.nytimes.com/1989/02/12/arts/recordingsnew-order-keeps-marching-to-its-own-mystery.html. Rees, David. Minstrels in the Gallery: A History of Jethro Tull. Wembley: Fire Fly, 1998. Print. Steiner, Wendy (1988): Pictures of Romance. Form against Context in Painting and Literature. Chicago. Speidel, Klaus. "Can a Single Still Picture Tell a Story? Definitions of Narrative and the Alleged Problem of Time with Single Still Pictures." Diegesis. N.p., 2013. Web. 19 May 2015. https://www.diegesis.uni-wuppertal.de/index.php/diegesis/article/view/128/158. Sullivan, James. "'Cheap Thrills,' Big Brother & the Holding Company - 'R. Crumb: The Complete Record Cover Collection'" R. Crumb: The Complete Record Cover Collection. Rolling Stone, 21 Dec. 2011. Web. 22 May 2015. http://www.rollingstone.com/music/pictures/r-crumb-the-complete-recordcover-collection-20111221/cheap-thrills-big-brother-the-holding-company-0362927. Walter, John L. "Reason and Rhymes." Eye 63.17 (2007): n. pag. Web. 20 May 2015. Vernallis, Carol. Experiencing Music Video: Aesthetics and Cultural Context. New York: Columbia UP, 2004. Print. Wolf, Werner. "Narrative and Narrativity: A Narratological Reconceptualization and Its Applicability to the Visual Arts." Word & Image 19.3 (2003): 180-97. Web. 19 May 2015. Biographical note Robert J. Belton, PhD is Associate Professor (Art History) at The University of British Columbia's Okanagan Campus, Canada, Department of Critical Studies, Faculty of Creative and Critical Studies PhD Art History 1988 (UToronto)
Water Wheel Being one with all Buddhas, I turn the water wheel of compassion. — Gate of Sweet Nectar The Goose in the Bottle by Wendy Egyoku Nakao A woman raised a goose in a bottle. When the goose had grown, she wanted to get it out, without harming the goose or breaking the bottle. How do you get the goose out of the bottle? – Acequias A new calendar year of practice is an invitation to practice together, to refresh ourselves and begin anew. We are always together in practice – even if you were to escape to the most isolated mountain peak somewhere, you would not be alone, nor separate. This year we will continue our collective koan practice. Sharing and investigating koans together is a natural extension of the collective work we have been engaging in for years through Shared Stewardship and Council. Let's extend the ways we mutually and respectfully learn from each other to include communal koan practice, not only solitary koan endeavor. It is not that one style of koan practice is better than the other; it is simply different. Furthermore, can we divest ourselves of passing koans as a sense of spiritual achievement? Can we have conﬁ dence in our own experience that is not contingent upon needing someone else's approval or validation? Can we grow into human beings who are mutually inquiring together, are both teacher-and-student together? It is not that only the teacher has wisdom – each of us has the wisdom and love of a buddha. Each of us is responsible for discovering this in ourself and for living in this way. Let's continue to co-create a culture of practice that allows each person to stand in the fullness of their own unique experience of life. Your uniqueness is your birthright. The structures of Zen practice can reinforce our deeply hard-wired tendency to seek out authority, to seek approval, to seek the "right bottle." We ourselves wish to be the "right goose," or to ﬁ nd the "right teacher." I experience myself awakening together with you whenever I sit in Council and embrace not-knowing and engage in deep listening to all that is arising. I notice how my sense of solid self is constantly in ﬂ ux, how I expand as others permeate my being and touch the edges of my reactivity. I experience how my intimate sharing awakens others and how your intimate sharing awakens me. I experience how this sense of "me" that often feels so solid and must be protected, has, in fact, no ﬁ xity. I notice that when I deny this fact, when I insist that this is not so – when I cling to my idea of who I think I am, or keep rearranging myself to ﬁ t your ideas or my own ideas – that my suffering continues unabated. (Continued on page 2) INSIDE THIS ISSUE 3 The Zendo Practice of the Three Wheels by George Mukei Horner 4 Making the Buddha's Robe by Deb Faith-Mind Thoresen 6-7 Dana Booklet 2014 9 Social Action Loving Action by George Mukei Horner 10 Disaster Preparedness by Ty Jotai Webb and Robert Diaz THE GOOSE IN THE BOTTLE (Continued from page 1) This goose-in-the-bottle koan has been my companion these past months because it illuminates exactly these experiences. When I ﬁ rst moved into the Pine House over 10 years ago from a one-room living space, the house felt too big. I rarely went into some of the rooms. But I have grown over the years, like the gosling in the bottle. The house began to feel too small. I could not lift my wings, my body needed room to stretch, my feet room to run. It so happens that when this koan rose up to meet me, I was also introduced to The Life-Changing Magic of Tidying Up! by Marie Kondo. Tidying is turning out to be a profound practice for being released from the bottle. Not only is my house being tidied, I am also cleaning out my interior world by reckoning with my past – with my family, friends, interests, passions on a very deep level, all of which ﬁ lled my house through photographs, gifts, things. My relationship to my life is radically changing as space is created for new energies and creativity to ﬂ ow as I align with a spaciousness arising from the depths of my being. As I have let things go, I am in alignment with the deep heart of my being. When my actions are in alignment with the call from the heart of my heart, the goose is out of the bottle of constrictions. In what way am I afraid to grow or am needing to grow? Several years ago, a very dear friend came to see me to register, as he said, with someone what he was going through. He was in the bottle of an increasingly impossible marital situation – a marriage without intimacy. He and his wife of many years had had open discussions about this, and she was clear that she had no interest in intimacy and that he was free to do as he pleased. He was not comfortable with such an arrangement, however, so he sought out various experts and people he trusted to see what could be done. Eventually, he became involved in another relationship, all in total transparency without destroying the parties involved. As I listened deeply to his telling, I was struck by the alignment of these individuals and the integrity of their efforts, his most of all. I felt for everyone of them in the same way that I can identify with the person who put the goose in the bottle, with the goose, and even for the bottle, the dilemma itself. Each one could not arrest their own growth by remaining in the dilemma of their own particular situations. I asked myself, "In what ways have I become -2- too small for the situation in which I am living? In what way am I afraid to grow or am needing to grow?" I learned a lot that afternoon about vulnerability and humility, about transparency, about listening and discernment. I also began to raise questions and reﬂ ect upon the things in my own life that I am not giving voice to. What are the conversations I am not having? Are there people that I will not speak to? The situation of the goose grown too big for its bottle reminds us how each of us is continually outgrowing our own situations, outgrowing who we think we are. A koan awakens us by pointing to our very own lives. The potential for awakening is right here, now, in the midst of how you are living. As Zen practitioners, we continually hone our awareness of self-and-other over time. We develop an amazing capacity to listen deeply and to strengthen our relationships in liberating ways that do not diminish any person. The vulnerability of leaving our own constrictions calls forth an intimate meeting of our hearts. The goose in the bottle can take on many dimensions. Someone recently shared her experience of witnessing her mother's cremation. Before the body was put into the oven, she looked at her mother's face and saw so clearly that mom was gone. I recalled after my sister, brother and I witnessed our father being slipped into the oven, my sister said to me, "I am so glad we did that. I got that it was just a body." The so-called goose was out of the bottle – where did the goose go? What is the nature of goose? Of bottle? Of this amazing life being lived through us? There is a longer version of this koan featuring Riko and Zen Master Nansen. After Riko inquired about how to get the goose out without killing it or breaking the bottle, Nansen called out, "Riko!" Startled, Riko said, "Yes!" "See," said Nansen, "the goose is out!" The goose in the bottle – as with all koans – is a portal leading beyond the appearances of things, beyond settling for the usual conditioned responses and unexamined boundaries that comprise so much of our lives. Are there beliefs that I never question? Are there emotions that I never let myself feel? What do I need to say and to whom? Here we are, you and I and all of us together, whole and complete, free and unconstrained – already so, and yet, not so. Let's continue to investigate together these dimensions of our life until we, too, can declare: "Yes, the goose is out!" Roshi Egyoku is ZCLA's Abbot & Head Teacher. The Zendo Practice of the Three Wheels by George Mukei Horner May we with all living beings, Realize the emptiness of the three wheels: Giver, receiver, and gift. –Sesshin meal chant When I ﬁ rst came here, I was so new, it never occurred to me to wonder what one needed to know to run the Zen do: how to get the building ready for our arrival; how to hit the woodblock, bells, and clappers to signal us what to do next; how to offer incense at the altar, or the kyosaku (the awakening stick) to people who are drowsy or whose shoulders ache; how to clean and restock the altar at day's end, and make it ready for tomorrow. The Zen do was there, I came to sit along with everyone else, but the container that held our practice was mostly invisible to me. Yet, just as the dining hall does, the Zen do reveals the practice of the three wheels: giver, receiver, and gift. In the Zen Practice classes I learned the guidelines for Zen do practice: * I should dress appropriately (keep my legs and shoulders covered, wear nothing with messages, and don't wear jeans). * Before leaving, I should brush off and straighten the place where I sat, then pick up my cushion and make ﬁ nal bows toward and away from my seat. when asked to move up by the jisha (the teacher's attendant), so as not to interrupt my zazen by repeatedly moving unnecessarily. * And I should refrain from conversation in the hall, even when the program is over and we're ﬁ ling out. These rules applied both to myself and to how I practiced with others. Over time, I realized there were also * When walking or standing, I should keep my hands together in shashu (unless chanting with palms together, or carrying something), never have my arms down at my sides. * When entering the hall, I should step over (not on) the threshold, and bow. * When going from one side of the hall to the other, I should pass behind the altar, not in front of it. * When someone about to sit next to me bows to their seat, or someone across the hall bows toward me before sitting, I should return their greeting with a seated bow (but not after zazen has started). * At my seat, I should put down my zafu, with the label right-side-up and away from me, then bow to my seat, bow away from my seat, and sit down. * I should be upright, balanced, and relaxed during zazen, and be as still as possible, not scratching my head, rubbing my eyes, or taking my hands from the zazen mudra except to cover my face when coughing or sneezing. * When waiting in line for Face-to-Face, I should only move up when the person in front of me goes in, or rules for how to practice with the Zendo as a space. Do not open or close the windows. Do not adjust the lights, fans, or heaters. Leave them as they are. It wasn't usually stated, unless someone did one of these. And granted, it's not always easy to leave things as they are. Sometimes those who prepare the room misjudge what it will be like in an hour. Sometimes people are just different. The room can always be too cold, too hot, too bright, or too dark for someone. The way out of that problem ("I don't think this should be like this") is called doing zazen. So these rules serve the same purpose as the others. They constrain and hold us, while we learn how to be present with what is. The fundamental teaching is that we are not separate from anything, and at its most basic, the only thing anything is doing is just being as it is. In the midst of all our habit-patterns, likes and dislikes, this is not easy to appreciate. So we practice zazen, which means: be present, with our awareness wide open to the reality of this moment, and without resistance, let things be as they are, until even the thought of wanting them to be some other way does not arise. Of course, simply to be in that state is not the goal. We are gaining the ability to be clear and settled, so that when we get off the cushion and leave the Zen do and have to act, we discover how to be deeply settled, even amid the challenges and difﬁ culties of our lives. In the Zendo of the three wheels, the practice of the jikido and the monitors is to prepare the hall as a practice space, and offer it to us. Our practice is to receive their gift, in whatever form they give it to us. Whatever it is, however it is, just receive. Mukei is the Zendo Steward and a Senior student at ZCLA. Making the Buddha's Robe by Deb Faith-Mind Thoresen In the Buddha's time, the clothing of the developing Sangha was not uniform. Various sutras record that there was a variety of attire, some quite fantastic, down to the clothing that mendicants wore. This caused a problem for a Buddhist king named Bimbasara who wanted to pay homage to the Buddha's Sangha but was having trouble picking them out of the crowd, so he asked the Buddha to make a distinctive robe for his monks. One day, when the Buddha and Ananda, his personal attendant, were walking by a rice ﬁ eld in Magadha, the Buddha asked Ananda to design an outer robe (okesa) based on the orderly, staggered pattern of rows of the rice paddies. Thus developed the ﬁ vestriped robe. There is some uncertainty about the origins of the rakusu, which has its roots in China. According to one account, during a persecution of Buddhists, a Chinese emperor forbade the wearing of okesa by Buddhist monks and nuns; he defrocked them and bestowed imperial favor on the Confucian and Taoist priests. Chinese Buddhist monks then created a miniature version of their robe – the rakusu – which could be worn secretly around the neck and under the lay clothing in which they were hiding. After the persecutions, the rakusu continued to be used for informal events like traveling, and the okesa was used for ceremonial activities. Dogen Zenji who traveled from Japan to China in the 12th century and was the founder the Soto School in Japan, is credited for bringing the rakusu to Japan. We ask that, while sewing, the sewer should chant with every stitch. I recommend the Verse of the Kesa which is the verse we chant every morning after dawn sitting. We take our rakusu out of its case, place it on our head, put our hands in gassho, and chant: Vast is the robe of liberation. A formless ﬁ eld of benefaction. I wear the Tathagata teaching, At ZCLA, when one wants to receive Jukai, there are several requirements: one is sewing your own rakusu using pamsula, cloth gathered from many sources. We then dye all the material together and accept whatever colors emerge from the dye. Since some folks have never even threaded a needle, many states of mind can arise while sewing one's rakusu and the sewer may feel overwhelmed and confused. We offer as much support and guidance as we can, but the truth is, as in our Zazen practice, we have to do it for ourselves. Many just jump in, willing to deal with what comes up; others are more cautious. Sewing the rakusu is a very experiential practice and takes some courage to complete. Serving all sentient beings. The robe of liberation is none other than our life itself – Vast, Boundless, Empty. Chanting during sewing can help us to remember not to become attached to the outcome. A formless ﬁ eld of benefaction. Formless – no ﬁ xed form. As you wear the rakusu, the material moves and changes; nothing is ﬁ xed. I wear the Tathagata teaching, Wearing the Buddha's robe reminds us that we are wearing our vows, our connection to the lineage, and to all those who have come before us. Serving all sentient beings. We realize the Buddha's teachings for the sake of others. For me, sharing this journey with our rakusu sewers is very heartfelt and deeply touching as folks come face to face with all kinds of emotions and conditioning – "I can't do this, I'm not good enough, this is overwhelming!" Whatever story arises – the voices from our heart-mind and from our lives – all that is happening is sewn into the rakusu, all is included, nothing excluded. When I was sewing my okesa (outer robe) for priest ordination, my mother became quite ill and I thought I would have to postpone my tokudo. Roshi said, "Just sew it all into the okesa." That was a very powerful guide for me: all of life shows up in whatever we are doing, including sewing a rakusu. Just use all of the ingredients of your life; there is nothing more, just this! by Burt Wetanson Frank Martinez For me, making my rakusu is saying, I'm really going to explore this practice in a deeper way and see where it leads me. My particular age and station in life is a time of trying to gain some wisdom and explore deeper what it means to be alive, because my time is limited here. Really embracing and fully exploring a tradition that attracted me is a step in that process. Making my rakusu certainly has been challenging. It takes a lot of patience and going slow. I've never done any real sewing before, so I had to learn the basics – threading a needle and the terminology. It's like a physical demonstration and then it's just taking your time, relaxing, and chanting while you're sewing, which is helpful. Sewing a Rakusu So I bought the rakusu kit and got material from my daughter and other people. Then you dye it all so it becomes pretty similar. And I found material that was dirty which I cleaned up and got it dyed. The photographs in the color instructions help for sure but, if you don't have experience sewing, it's just kind of – "Wow, how do I get in there and do that?" When they say "blind stitching," I don't know whether they're talking about the stitch or the guy trying to do it. Eleanor Heaphy For me, going to the Precepts class, sewing my rakusu, and taking Jukai are all ways of furthering my commitment. As for making the rakusu, I haven't had a big moment of "I want to do this." It's been more of a gentle pulling. After the Precepts and Jukai classes, we had developed nice relationships and I gradually moved into making the rakusu. It's been a life process, like somebody's pulling me, like a slow moving stream. In making the rakusu, the hardest part, I think, was getting the lines across the rice ﬁ eld all lined up, the strips fairly even from top to bottom. I'll think, "I just can't do all these things by June," but today I came here and have been working quietly. At this point, I'm -5- about two-thirds through – I'm in the home stretch. Chanting keeps me focused. If I had not sewn before, I'm not sure I would be chanting, but since I have a sense of how to move the needle through the fabric, the chanting smooths the process. I think there's going to be a lot more chanting. Has being in Faith-Mind's group been helpful? I can't imagine doing this without some guidance. You could follow the instruction book, but I've learned more watching somebody doing it. Besides, there's more than just the physical aspect. There's the encouragement and emotional support and the furthering of my commitment. I would say that I wouldn't want to go back to living my life without Buddhism, without my practice. Jeff LaCoss I started coming to ZCLA about four years ago and my ﬁ rst day, I spent the whole Sunday here. I really liked the feeling of ZCLA. What impressed me most was the way people treated each other. I found that very attractive. Now I sit between thirty minutes and an hour a day. Just sitting still and opening up and breathing have really helped me. I began to receive comments from people. "Wow, what are you doing? You seem a lot more relaxed, a lot more calm," and I realized that it was from sitting. The rakusu is not complicated really, but for people who don't sew, it's a difﬁ cult medium to work in. I'm an engineer by profession and I do woodwork and metalworking, but sewing is different. Cloth is malleable. It shifts around. You can cut something to a certain size and lay it down on a measuring mat and realize that it's not really that size. Certainly you want every stitch to be the best you can. Sometimes, as I sew, it helps me to mentally, or out loud, chant the Verse of the Kesa or the Gatha of Atonement or from the Heart Sutra. It helps my sewing and I want to learn the liturgy. I'm not trying to make the perfect rakusu, I'm trying to make the best rakusu I can and be happy with it. DANA BOOKLET January 1, 2014 – December 31, 2014 Dear Sangha and Friends of ZCLA, The people whose names appear in this Dana Booklet have given of their time, energy, material goods and money to ensure that the Zen Center can continue to provide the space, teachers and community that encourage the awakening of hundreds of people a year. The Zen Center is deeply grateful for the generosity of all our donors. We achieve nothing alone. We experience this when we deeply realize the interconnectedness of all that was, is, or ever will be. Each year, the Zen Center relies on donations to the Dharma Training Fund and to the Annual Appeal to ensure that we can continue to offer a space for regular zazen, trainings, programs, sesshins, and zazenkais, and to maintain our buildings and grounds. Anonymous Donors Laos Chuman Concetta Getsuren Alfano Michael Altshuler Holly Burgoyne Ames Max Andes Tom Enjo Arthur Nem Etsugan Bajra Adam Berkley Conrad Berglund Lilly Berge-Brodie Mark F. Bettinger Mark Shogen Bloodgood Joel Boxer Merle Kodo Boyd Michael Branch Paul Brabeck Betsy Enduring-Vow Brown John Daishin Buksbazen Tom Yudo Burger John Byrne James Carter Heather Faith-Spring Chapman Sherry Shinge Chayat Cheng Chen Jane Chen James Jakugen Chou Nina Clark Randolph Cockrell Shiin Coffey Clifford Shishin Collins Diane Zensho Comey William H. Earth-Mirror Corcoran Mary Yugen Courtney Barbara Craig Constance Lotus-Moon Crosby Nena Davis Kim KiMu Debacco Lauren W. Deutsch Robert Diaz Jeanne Dokai Dickenson Virginie Dinsmore Charles Dittell Renata Dobryn Neal Chiyu Donner Dana Dovitch Marley Klaus-Dowling Charles Duran George R. Durakovich Ryan Emslie Don Erway Eberhard E. Fetz There are also nearly 40 donors who have joined the Zen Center's Legacy Fund, donors who have remembered the Zen Center in the form of future bequests. Each year, in February, we hold a service for our donors who have died. Their photographs on the altar remind us that generosity lives on forever. As the Zen Center creates a new story for years to come, we take into account and appreciate each one of you that have been so generous. With deep gratitude, Darla Myoho Fjeld Temple Co-Director Darla Myoho Fjeld Charles & Cris Tenshin Fletcher Jan Ryotetsu & Maggie Freed Patricia Muso Giggans Lynda Jikai Golan Sandra Goodenough James Bodhi-Song Graham Jerry Grenard Katherine C. Senshin Grifﬁ th Cassandra Ocean-Heart Guarino Patricia Shingetsu Guzy Christopher Hackman James Jindo Hagar Andrew Dharma-Heart Halladay Paula Hall Andy Mugan Handler Jim Dojun Hanson Kjerstin Hatch Kipp Ryodo Hawley Eleanor Heaphy Micah Spencer Hecht Peter Heinrich Karin H. Hilsdale Kevin Hopps Janka Koan Gary Michael Jann John Jenkins Diane Enju Katz Marilyn Kaufhold Kaoru Kawanishi Howard Lee Kilby Ed Etsudo Kimble Susanna Knittel Hiromi Jiyu Komiya Thomas Kopache Annette W. Korbin Niyant Krishnamurthi Arno Kroner Lorraine Gessho Kumpf Jeff LaCoss Ellen Reigen Ledley Daniel Lessler Jonathan Kaigen Levy Paul J. Limm Michael Lo Andrew Long Diane Yuko Mark-Walker Frank Martinez Rosa M Ando Martinez Ichiko Jikan Masuda Anthony McAdoo Marlene McCurtis Sarah McCarron Rosalie McQuaide Nan Reishin Merritt Ronnie Mestaz Joe Enjo Migliore James Milner Sue Milner Joanne Seigetsu Morey John Mudd Linda M. Muse Bonnie Myosen Nadzam Wendy Egyoku Nakao Lee Nedler Barbara Joshin O'Hara Annette Ostergaard John Ott Jessica Oetsu Page Roland Palmer John Parsons Jason Patti Jill Peters Patricia Pfost Kane Phelps Linda Preuss Ingeborg Buzan Prochazka James Quam Thomas Dharma-Joy Reichert Lourdes Jisen Reybin Ellen Richter Mary Rios Dale Roche Conrad Butsegan Romo David Ruth Marsie Scharlatt John Schlottig Carol Flowing-Mountain Schmitt Richard Schulhof Donna Genshin Schuman Nina Reiju Wasserman Patricia Way Justin Laird Weaver Ty Jotai Webb Barbara Wegmuller Martin Ocean-Peak Weiss Burt Wetanson White Herron Sangha Gerry Shishin Wick Patricia Ann Williams Timothy Yamamoto Joanne Yoon James Sie Timothy Zamora "Since that which is real includes nothing worth begrudging, they give their body, life, and property in charity, without regret, without the vanity of giver, gift, or recipient, and without the bias of attachment." – Bodhidharma, Outline of Practice Sydney Nonin Sims James Zeigler Myokai Snodgrass DeWayne Gojitsu Snodgrass Carlos Soto Hannah Seishin Sowd Nancy Spear Lana Shoshin Spraker Donald Spuehler Harold J. Stanton Tara Jiho Sterling Carolyn Stevens Simha Stubbleﬁ eld Erika Suderbury Robert A. Swan John Plum-Hermit Swanger Julie Swayze Edward Emyo Swiatek John & Irene Syson Debbie L. Faith-Mind Thoresen Penelope Luminous-Heart Thompson Patrick Thurmond Grace Tiessen Nancy Tremblay Susan Tritt John Heart-Mirror Trotter John Troyer Alan Taigen Turton Becky Veno Reeb Kaizen Venners -7- Lisa Zeller Al Zolynas SPECIAL DONOR RECOGNITION We acknowledge with gratitude these donors whose ﬁ nancial gifts have ranged from $2,500 to $10,000 last year. Eberhard E. Fetz Darla Myoho Fjeld Katherine Senshin Grifﬁ th Lorraine Gessho Kumpf Jill Shinjin Peters Tom Dharma-Joy Reichert Tara Jiho Sterling The Legacy Circle Please consider joining the Legacy Circle by arranging for a bequest or other estate gift to ZCLA. For more information, contact Patti Muso Giggans at firstname.lastname@example.org by Chris Daian Fields You associate and riff and fantasize. How does it move? Colors? Sounds? Music? The quality of light? Memories. Images. Listen to it with your blood. A play is a wonderful thing that must be approached very quietly, very gently. You must go to it; you mustn't drag it to you. Make no assumptions. Know nothing. You read it silently then you read it aloud. You whisper it sometimes. You hear it in your head. Images ﬂ ow in and out. Directing as Practice move and talk and have their own ideas that challenge and stimulate while they are contained in this big circle, the play. And it is also not knowing and bearing witness! I give myself permission; in fact, I welcome not knowing which leads me to listening as deeply as I can to everything and everyone. And, the play is very much a koan: something not to be assaulted with intellect but experienced in the moment in the room. And you ask big simple questions: What is it about, really about? How is it a love story? (I think that every story, in some way, is a love story and I always seek that frame.) Who are these people and how do they tell me who they are by what they do? I avoid adjectives. I don't judge. What do I feel? What do I want the audience to feel after the curtain has dropped? And I try to experience it intrinsically – no me and them – always striving for empathy – to be one with them and it – as much all here now as possible. And trying to avoid dualistic thinking: no good/bad, there is only it; what we're all doing together. And we work on it as it is, not pushing for what we think it should be. And, like a koan, it surfaces and coalesces and manifests into what it is. What it has to be! And actors and designers and rehearsal. And if ever there was form and emptiness, here it is: these others that Ultimately, my job is to be of service. The shebang is not about me. I attempt to get out of the way by giving over. I've done my job if no one knows that I've been there. by Tina Jitsujo Gauthier Reﬂ ecting on Waste When I lived in New York City, I got in the habit of photographing trash on the sidewalks: disgusting squished sandwiches, spilled soda, chicken bones, barf, and poo. I practiced bearing witness… Who discards all this? Who pretends it's not there? Who cleans it up? Here were the three poisons – greed, anger and ignorance – at work in my life. Six of us from ZCLA toured the Athens Material Recovery Facility (MRF) last November to see how they process our Los Angeles trash. Our tour guide, Carlos, led us upstairs into a glass tower in the center of the immense warehouse where trash is sorted. He said 40% gets recycled. A lot falls through the cracks. There are three destinations: recycling center, green waste, and landﬁ ll. My eyes followed the conveyor belts around the warehouse. It was difﬁ cult bearing witness to the effort, care, and labor happening on my behalf. The never-ending ﬁ ve-story pile of waste being trucked to the landﬁ ll felt disheartening. I asked if I could step outside the glass tower onto the platform. The machines were loud; the smell was not as bad as I imagined. I could hear the workers laughing and shouting as they threw recyclables to one another and into bins. There was a sense of community. Carlos told us that Athens workers tend to stay until retirement age. When I went back inside, I felt really emotional. I felt gratitude for so much being done on my behalf, powerless about the waste piling up and ﬁ lling our lands, and confusion about what realistic efforts I could make to reduce the waste I produce. How to embody this practice and leave no trace? Social Action Loving Action (SALA) by George Mukei Horner Last year, 2014, saw the renewal of the Zen Peacemaker Order as a container for meditation that extends into social action, and of Zen Center of Los Angeles as a ZPO training center. This year, ZCLA is bearing witness to the presence of hunger in Los Angeles – our community – and to the creative responses that have arisen to our country's growing reality of hunger in the midst of wealth and plenty. This focus has been named Social Action Loving Action. Its abbreviation, SALA, recalls the groves of sala trees in which Shakyamuni Buddha was born and died. to both the magnitude of the problem and the surprising variety of organizations people have created to help reduce its severity. One of these is the Los Angeles Regional Food Bank, a "wholesaler/distributer" of food donated in bulk, that serves the smaller, local organizations throughout the greater Los Angeles area that provide it directly to those in need. On Saturday, March 7, we visited the Food Bank for a morning of assembling bags of food for later transport to their destinations. On February 15, Flori Schutzer, a long-time activist on issues of hunger and food insecurity, introduced us Penelope Luminous-Heart Thompson In the coming months, we will continue to explore hunger in LA, in conversation with those who are actively helping in this area, and by personally pitching in ourselves. Zen Center Bodhisattvas Buddha's Birthday Disaster Preparedness at ZCLA by Ty Jotai Webb and Robert Diaz Cleary, who was a member of the EC and a resident. Without both Gemmon's and Pine-Ocean's tremendous efforts and guidance, the Zen Center would not have our current level of disaster preparation and supplies. In 2008, the ZCLA Board of Directors charged the Executive Committee (EC) with creating a team to assist in case there is some form of disaster on the Zen Center grounds. The program steward at the time was Evi Gemmon Ketterer who was a trained nurse. She did the initial groundwork for our current disaster plan. Her work was further enhanced by Tom Pine-Ocean Gemmon and Pine-Ocean created an emergency preparedness manual for each residence that includes maps showing the locations of all the gas and electricity shut-offs, suggestions on what tools residents might have on hand, such as a crowbar and hammer, food and water, batteries, extra medication, pet notices, and an emergency phone tree should one be needed. The phone tree is kept current by the ofﬁ ce staff. This manual is reviewed during each new resident's orientation by the resident steward. In an effort to strengthen the disaster readiness of ZCLA, Robert and Jotai recently attended a Community Emergency Response Training (CERT), offered by the Los Angeles Police Department's Olympic Division. The training was based on a manual written for Homeland Security. The trainers were two senior lead ofﬁ cers of the Olympic police station. One of the trainers was also a paramedic. The ofﬁ cers were excited about having us attend since we live in the local residential community. The training was done over seven three-hour meetings. Disaster preparedness supplies. Some of the items covered during the CERT training included home and workplace preparedness, basic ﬁ reﬁ ghting, hazardous materials recognition and handling, interior building search and rescue, triage, basic wound ter care including treating fractures and dislocated bones. There was also extensive discussion on how CERT-licensed people would interface with both the police and ﬁ re departments should they need to come onto ZCLA's grounds. The last session of the training included a certiﬁ cation test. In addition to much information, we walked away from the CERT course with a valuable lesson: "Learning to work with the resources you have in any given situation is how you operate in an emergency." You never know where you'll be when disaster strikes so it helps to be trained and prepared. The Zen Center maintains a primary disaster storage locker located in the tool shed next to the Buddha Hall. The locker contains an extra water cistern, emergency supplies including basic ﬁ rst aid supplies, a stretcher, a power generator, and tents. The locker also contains suggested protocols to follow should there be an earthquake, a ﬁ re, or an explosion.There are also emergency tool boxes located at the Pundarika and Nilotpala buildings, as well as an extra water cistern in the Nilotpala laundry room. Currently, there are four residents who serve as primary coordinators in case of an emergency and the ofﬁ ce is closed. They include Tina Jitsujo Gauthier, Dylan Neal, Robert Diaz, and Jotai Webb. -10- To our SALA Co-Stewards Yudo and Mukei for organizing our day at the LA Regional Food Bank and to those who volunteered: Roshi Egyoku, Carlos Soto, Bob Ross, Cody Pham, Myoho, Faith-Mind, Diane True-Joy Fazio, Diane Enju Katz, Ellen Reigen Ledley, Your Gifts are Received with a Heartfelt "Thank You!" To all those who attended the services at Evergreen cemetery to honor our ancestors: To Flori Schutzer for giving a Sunday talk on Hunger in LA; To the tree waterers: Carol Flowing Mountain Schmitt, Carlos, Kaizen, Burt Wetanson, Jiho, Shaon, Tim, and the owners of Chelo's Hair Fashions on 8th street and the A La Carte Catering truck for watering the trees in front of their establishments; Frank Martinez, Hilda Bolden, Ingeborg Buzan Prochazka, Jesus "Chuy" Michel, Dharma-Joy, John Rosania, Mara Shiko Moon, Shogen, Reishin, Etsugen, Yoko, Kaizen, Shaon, Sandy Goodenough, Ty Jotai Webb, and Penelope Luminous-Heart Thompson; To Sensei Shinko Perez for giving the February Thursday night Dharma talk; To Deb Faith-Mind Thoresen for leading the February Zazenkai; Mark Shogen Bloodgood, Tom Dharma-Joy Reichert, Ty Jotai Webb, Bob Ross, Roland Palmer, Katherine Senshin Grifﬁ th, Jonathan Keigen Levy, Darla Myoho Fjeld, Tom Yudo Burger, Tim Zamora, Tina Jitsujo Gauthier, George Mukei Horner, Shaw Shaon Nichols, and John Heart-Mirror Trotter; To Venerable Pannavati Bhikkhuni for giving the February Sunday Dharma talk; To our February Zazenkai tenzos: Jitsujo,Kev- To Venerable Mujin Sunim for giving the March Sunday Dharma talk; in Garrity, andReverend Jushou Iwakami; To Jeanne Dokai Dickenson for leading the March Introduction to Sesshin; To all those who organized the Tokudo for Jonathan Kaigen Levy: Sensei Gary Koan Janka, Reishin, Reigen, Shiko, Faith-Mind, Yudo, Shogen, Shaon, Enduring-Vow, Myoho, Dharma-Joy, Roshi Egyoku, Tim, and Mukei; To our Day Managers Faith-Mind, Myoho, Luminous-Heart, Enduring-Vow, Jitsujo, Dharma-Joy, Kaizen, and Mukei; Reishin cooking breakfast To Muso Giggans, Faith-Mind, Myoho, Betsy Enduring-Vow Brown, Robert Swan, John PlumHermit Swanger, Dharma-Joy, Senshin, Mary Rios, Yudo, Dokai, Shogen, Lorraine Gessho Kumpf, Bill Earth-Mirror Corcoran, and Mukei; Dharma-Joy To Patricia Pfost, Nan Reishin Merritt, and Jitsujo for Saturday snacks for Day of Reﬂ ection; To Rose Pinard for facilitating our all day Board of Directors Visioning Retreat and to those who attended: Roshi Egyoku, Patti To our Sunday Tenzos: Roland Palmer, John Rosania, Tim Zamora, Reeb Kaizen Venners, Gabriel Lucero, Kane Phelps, Conrad Butsugen Romo, Nem Etsugen Bajra, Yoko Bajra, Chris Daian Fields, Janet KoRen Sager, and Mujin Sunim; and Shogen for the Service Position Training class; To all those who created Buddha's Birthday Celebration: Reishin, True-Joy, Mujin Sunim, Kaizen, Chris Hackman, Enju, LuminousHeart, Shaon, Faith-Mind, Myoho, Shiko, Yoko, Yudo, Mukei, Etsugen, Dokai, Mujin Sunim, Buzan, Butsugen, Yudo, Jiho, and Oetsu; and Plum-Hermit for gold leaﬁ ng the spoon used for bathing the baby Buddha; Table setting for Buddha's birthday by Reishin and True-Joy To the ﬁ rst quarter Jikidos: Gabriel Lucero, Carlos Soto, Jitsujo, Shiko, Shaon, Frank Martinez, Chris, and Jim Dojun Hansen; To the altar chidens: Gary Belton, Kaizen, Burt, Jitsujo, Patricia Pfost, Chris, Carol, Gessho, Dylan, Butsugen, Mukei, and to the Priest Circle who take turns cleaning the Kaisando (the Founders' room); To Jitsujo for the line drawings of Gate of Sweet Nectar mudras. Carlos Soto and Sensei Koan taking care of the trees -11- ZCLA Afﬁ liated Groups The Lincroft Zen Sangha (New Jersey) led by Sensei Merle Kodo Boyd The Monday Night Meditation Group (Pasadena, CA) coordinated by Betty Jiei Cole The Ocean Moon Sangha (Santa Monica, CA) led by Sensei John Daishin Buksbazen The San Luis Obispo Sitting Group (CA) coordinated by Mark Shogen Bloodgood Santa Barbara Zen Center (CA) led by Sensei Gary Koan Janka The Valley Sangha (Woodland Hills, CA) led by Sensei Patricia Shingetsu Guzy The Westchester Zen Circle (CA) led by Sensei Kipp Ryodo Hawley Contact email@example.com for information. The Water Wheel is published by the Zen Center of Los Angeles, Great Dragon Mountain / Buddha Essence Temple, which was founded by the late Taizan Maezumi Roshi in 1967. Our mission is to know the Self, maintain the precepts, and serve others. We provide the teaching, training, and transmission of Zen Buddhism. Our vision is an enlightened world free of suffering, in which all beings live in harmony, everyone has enough, deep wisdom is realized, and compassion ﬂ ows unhindered. Founding Abbot: Taizan Maezumi Roshi Abbot 1995-1999: Roshi Bernard Glassman Abbot: Roshi Wendy Egyoku Nakao Staff: Deb Faith-Mind Thoresen, Temple Co-Director ; Darla Myoho Fjeld, Temple Co-Director; Mary Rios, Business Manager; Katherine Senshin Grifﬁ th, Program Steward; Tom Yudo Burger, Guest Steward; Ty Jotai Webb, IT Steward ; Robert Diaz, Facilities Manager. Water Wheel: Editor : Burt Wetanson; Production Artist, Tom Yudo Burger; Proofreaders for this issu: Marley Klaus, George Mukei Horner, and Ty Jotai Webb; Photographers for this issue: Tom Yudo Burger and Shawn Shaon Nichols. The Water Wheel is published quarterly in electronic format only. Contact Burt, our Editor, at firstname.lastname@example.org. The Water Wheel is available on the web at www.zcla.org. Zen Center of Los Angeles Great Dragon Mountain 923 South Normandie Avenue Los Angeles, CA 90006 email@example.com • www.zcla.org • 213-387-2351 -12- Sangha Rites of Passage Welcome New Members Bob Ross Jose Padilla Welcome New Residents Mara Shiko Moon Shawn Shaon Nichols John Rosania Jessi Heinze Shared Stewardship Entering Priest Circle Tina Jitsujo Gauthier Resident Security Steward Shawn Shaon Nichols Resident Steward Reeb Kaizen Venners SALA Co-Stewards Tom Yudo Burger George Mukei Horner Teacher's Circle Sensei Raul Ensho Burge Sensei Kipp Ryodo Hawley Shared Stewardship Leave-Taking Board of Directors DeWayne Gojitsu Snodgrass Health Circle John Heart-Mirror Trotter Pat Way Resident Security Steward Reeb Kaizen Venners Resident Steward Lorraine Gessho Kumpf Teacher's Circle Sensei Gary Koan Janka Resident Leave-Taking Bret Chilton
Minutes Committee of the Whole November 22, 2018 Grey County Council met on the above date at 10:05 AM at the County Administration Building. Warden Stewart Halliday assumed the Chair and called the meeting to order with all members present. Declaration of Pecuniary Interest There were no disclosures of pecuniary interest. Delegations Don Scott, Principal Planner, Cuesta Planning Consultants – Georgiou Plan of Subdivision (42T-2016-08) Don Scott discussed the Georgiou Plan of Subdivision in Hanover. Mr. Scott raised concerns on behalf of Mr. and Mrs. Tedford, the landowners to the south. The concerns included the impact that the plan of subdivision will have on the Tedfords' property and stormwater concerns. The Tedfords believe that the current plan will restrict their ability in the future to create a subdivision. Mr. Scott would like to develop a different street layout in the Georgiou Plan of Subdivision that is coordinated with the Tedfords. Mr. Scott requested that the Committee defer approval of the Plan of Subdivision to develop street layouts in a way that benefits both parties. Ron Davidson, Planner – Georgiou Plan of Subdivision (42T2016-08) Ron Davidson represents Ms. Georgiou, the developer in the Georgiou Plan of Subdivision. He advised that the plan was filed two years ago. Mr. Davidson reviewed background information on the project, including meetings with the Tedfords, the public meeting, and Hanover Council meetings. He advised that there were numerous resolution attempts and that the Plan of Subdivision as drafted includes consideration for future development of the Tedfords' property. Mr. Davidson asked the Committee to approve the Plan of Subdivision as recommended in the staff report. Determination of Items Requiring Separate Discussion All items were requested to be removed from the Consent Agenda and moved under Items for Discussion. Consent Agenda There were no Consent Agenda items. Items for Direction and Discussion Addendum to PDR-CW-04-17 Georgiou Plan of Subdivision Hanover CW275-18 Moved by: Councillor Barfoot Seconded by: Councillor Mackey That Addendum to Report PDR-CW-04-17 be received; and That all written and oral submissions received on plan of subdivision 42T2016-08 known as the Georgiou Subdivision were considered; the effect of which helped to make an informed recommendation and decision; and That in consideration of the draft plan of subdivision application 42T-201608, for lands described as Part of Lot 18, Plan 55, (geographic Township of Bentinck) in the Town of Hanover, the Grey County Committee of the Whole approves this plan of subdivision to create a total of sixty-seven (67) detached dwelling lots and two blocks for up to fifty-nine (59) townhouses, subject to the conditions set out in the Notice of Decision. Carried FR-CW-24-18 Corporate Financial Update and Year-End Projection as of September 30, 2018 CW276-18 Moved by: Councillor Burley Seconded by: Councillor Barfoot That Report FR-CW-24-18 regarding a Corporate Financial Update and YearEnd Projection as of September 30, 2018 be received. Carried Committee recessed briefly and then reconvened. Warden Halliday requested and received the required support to move PDR-CW-42-18 forward on the agenda. PDR-CW-42-18 Regional Agricultural Learning and Demonstration Site – Georgian Bluffs, Chatsworth, and Owen Sound CW277-18 Moved by: Councillor Barfoot Seconded by: Councillor Greenfield That Report PDR-CW-42-18 be received which provides an overview of a potential partnership opportunity between Grey County and the Owen Sound Agricultural Society and Chatsworth Agricultural Society to create a Regional Agricultural Learning and Demonstration Site directly adjacent to Grey Roots; and That support be provided in principle to explore this partnership opportunity further and to submit a Niagara Escarpment Plan Amendment application to the Niagara Escarpment Commission to seek permission for establishing a Regional Agricultural Learning and Demonstration Site adjacent to Grey Roots; and That staff be directed to prepare a report for Council in 2019 which would include a proposed memorandum of understanding detailing the partnership with the Owen Sound and Chatsworth Agricultural Societies. Carried FR-CW-25-18 2019 Corporate Budget Overview and Background CW278-18 Moved by: Councillor Burley Seconded by: Councillor Ardiel That Report FR-CW-25-18 regarding the 2019 Corporate Budget Overview and Background be received; and That any additional revenue generated by the 2018 assessment growth, by exceeding the average of the previous five years, be budgeted as a transfer to the Capital Infrastructure Reserve for future Transportation Services road and bridge infrastructure capital needs and that this be included in the 2019 Budget for Council's consideration as part of the 2019 Budget review. Carried Committee recessed and then reconvened. Councillors McKean and McQueen left the meeting during the recess. FR-CW-26-18 Annual Indexing of Development Charges Effective January 1, 2019 CW279-18 Moved by: Councillor Mackey Seconded by: Councillor Fosbrooke That Report FR-CW-26-18 regarding the updated development charge rates effective January 1, 2019 be received for information. Carried TR-CW-44-18 Amendments to By-Law 4788-13 Regulating Traffic and Parking within the County of Grey Roads System CW280-18 Moved by: Councillor Fosbrooke Seconded by: Councillor Bell That Report TR-CW-44-18 be received and that Schedules "H", "N", "O", "P" and "U" of By-Law 4788-13 being the By-law to regulate traffic and parking on Grey County roads be amended to reflect the proposed revisions. Carried PDR-CW-39-18 Owen Martin Forest By-law Minor Exemption– Grey Highlands CW281-18 Moved by: Councillor Greenfield Seconded by: Councillor Paterson That Report PDR-CW-39-18 be received and that the application for a Minor Exemption under the County's Forest Management By-law for Lot 37, Concession 8 (427066 8 th Concession), in the geographic Township of Artemesia, Municipality of Grey Highlands, be approved. Carried PDR-CW-40-18 Rockland Mfg. Inc. Minor Exemption – Grey Highlands CW282-18 Moved by: Councillor Burley Seconded by: Councillor Hicks That Report PDR-CW-40-18 be received and that the amended application (map 2) for a Minor Exemption under the County's Forest Management Bylaw for Lot 31, Concession 5 (213159 30 th Sideroad), in the geographic Township of Artemesia, Municipality of Grey Highlands, be approved. Carried PDR-CW-41-18 Wally Schaus Official Plan Amendment Merit Report – West Grey CW283-18 Moved by: Councillor Bell Seconded by: Councillor Boddy That Report PDR-CW-41-18 regarding a proposed County Official Plan Amendment be received; and That the proposal proceeds to a Public Meeting to consider an amendment to the County of Grey Official Plan on lands designated 'Agricultural' and 'Hazard Lands', to permit a surplus farm dwelling severance within 500 metres of the Primary Settlement Area boundary of the Town of Hanover, for the lands described as Lot 5, 6, 7 Concession SDR (301138 Knappville Road), geographic Township of Bentinck, Municipality of West Grey, provided the Municipality is prepared to hold a joint public meeting in consideration of the necessary local amendment requirements. Carried PDR-CW-43-18 Grey Sauble Conservation Authority Contract Renewal for Continued Forest and Trail Management and By-law Enforcement CW284-18 Moved by: Councillor Pringle Seconded by: Councillor Paterson That Report PDR-CW-43-18 be received which provides an overview of the current contract agreements with Grey Sauble Conservation Authority (GSCA) for managing the County Forests, general maintenance and risk management of County owned trails, and for providing By-law Enforcement of the County's Forest Management By-law; and That based on the current contract agreements expiring on December 31, 2018 and March 1, 2019 respectively it is recommended that the agreements be extended to December 31, 2019 to allow the opportunity to update the agreements in 2019 and for Council to consider the renewal of the contract arrangement outside of the Lame Duck period; and That Council acknowledges that an extension of the current agreements with Grey Sauble Conservation Authority to December 31, 2019 is required and staff be directed to move forward with these renewals as approved by the Chief Administrative Officer in accordance with Sections 1 and 2 of Bylaw 5029-18, being the Lame Duck By-law. THAT the GSCA agreement continue as per 4.3 f) of Purchasing Policy stating that a single source procurement may take place when competitive procurement may be found to be impractical. Carried CAOR-CW-25-18 The Regiments of Grey Cenotaph Project CW285-18 Moved by: Councillor Pringle Seconded by: Councillor Mackey That Report CAOR-CW-25-18 Regiments of Grey Cenotaph Project, be received; and That $15,000 be transferred from the Grey Roots Moreston Reserve to cover any project costs which exceed the Veteran's Affairs Grant of $18,172, InKind Donations, and 2018 budgeted funds. Carried Tourism Advisory Committee Minutes dated November 1, 2018 CW286-18 Moved by: Councillor Clumpus Seconded by: Councillor Ardiel That the Tourism Advisory Committee minutes dated November 1, 2018 be adopted as presented; and That the following recommendations contained therein be endorsed: 1. That Report CAOR-TAC-23-18 be received and that the Priorities for 2019 under the Tourism Destination Development Action Plan be supported. 2. That Report CAOR-TAC-24-18 regarding revised Terms of Reference for the Tourism Advisory Committee be received; and That the revised Terms of Reference for the Tourism Advisory Committee as attached to Report CAOR-TAC-24-18 be endorsed. Carried TR-CW-03-18 Road Widening Acquisition Plan 16R-11118 Grey Road 17 – Georgian Bluffs CW287-18 Moved by: Councillor Greenfield Seconded by: Councillor Burley That Report TR-CW-03-18 regarding the acquisition of road widening be received and that the property identified as Part of Lot 26 Concession 14 Keppel being Part 1 Plan 16R-11118; Geographic Township of Keppel, Township of Georgian Bluffs, County of Grey be acquired by The Corporation of the County of Grey for road widening purposes; and That Staff be directed to proceed with the road acquisition prior to County Council approval as per Section 25.6 b) of the procedural by-law in order to allow for a timely closure of the real estate transaction pending on the abutting land. Carried TR-CW-22-18 Road Widening Acquisition Plan 17R-634 Grey Road 14 – Grey Highlands CW288-18 Moved by: Councillor Wright Seconded by: Councillor Bell That Report TR-CW-22-18 regarding the acquisition of road widening be received and that the property identified as Part of Lot 21 Concession 1 North of the Durham Road Artemesia being Part 6 Plan 17R-634; Geographic Township of Artemesia, Municipality of Grey Highlands, County of Grey be acquired by The Corporation of the County of Grey for road widening purposes; and That Staff be directed to proceed with the road acquisition prior to County Council approval as per Section 25.6 b) of the procedural by-law in order to allow for a timely closure of the real estate transaction pending on the abutting land. Carried TR-CW-47-18 Capital Procurement Prior to 2019 Budget Approval - Construction CW289-18 Moved by: Councillor Pringle Seconded by: Councillor Barfoot That Report TR-CW-47-18 be received; and That Staff be authorized to issue the tender for the Grey Road 40 Pulverize and Pave Construction Project prior to 2019 budget approval due to tender constraints in accordance with Section 3.3 (c) of the Purchasing Procedure which allows the procurement of up to fifty percent of gross expenditures in year one of the ten year capital forecast and section 10.0, 10.1 f) of the purchasing procedure stating that items requiring pre-budget approval must be reported to Council in order to have the expenditure authorized via resolution. Carried HDR-CW-22-18 Agreement for Investment in Affordable Housing Funding - Trembles CW290-18 Moved by: Councillor Barfoot Seconded by: Councillor Eccles That Report HDR-CW-22-18 regarding funding for affordable housing in West Grey be received; and That the Warden and Clerk be authorized to enter into a Contribution Agreement with 1993934 Ontario Inc. (Kevin and Jason Tremble) for the funds available in 2018 and 2019 through the Investment in Affordable Housing Program Rental Build Program. Carried Other Business Councillor Pringle suggested that next year the Grey Roots visit highlight the Regional Agriculture Learning and Demonstration Site project and that key individuals be invited to celebrate the accomplishment. Councillor Fosbrooke noted the Councillor Survey that was sent out. She expressed her hope that all meetings will be recorded. Notice of Motion There were none. Special Presentations Warden Halliday presented service pins to outgoing members of Council. Bronze pins representing less than ten years of service were presented to: John Bell (8 years) and Anna-Marie Fosbrooke (4 years). Councillor John McKean will receive a bronze pin for his four years of service. Councillor Barfoot presented Warden Halliday with a bronze pin for his four years of service. Silver pins representing ten years to nineteen years of service were presented to: Gail Ardiel (11 years), Alan Barfoot (14 years), Kevin Eccles (15 years), Harley Greenfield (11 years), Bob Pringle (19 years), and Arlene Wright (12 years). Warden's Closing Address Warden Halliday presented his Closing Address to County Council. CW291-18 Moved by: Councillor Eccles Seconded by: Councillor Pringle That the Warden's Closing Address be adopted as presented and engrossed in the minutes. Carried Councillor Barfoot presented Warden Halliday with the Warden's pin and thanked him for his leadership as Warden. Adjournment On motion of Councillors Burley and Barfoot, Committee of the Whole adjourned at 3:10 PM to the call of the Chair. _________________________________ __________________________________ Stewart Halliday, Warden Heather Morrison, Clerk
Ž . Brain Research 787 1998 269–276 Research report Viscerosomatic interactions in the thalamic ventral posterolateral nucleus Ž . VPL of the squirrel monkey Johannes Bruggemann, Ting Shi, A. Vania Apkarian ) ¨ Department of Neurosurgery, Computational Neuroscience Program, SUNY Health Science Center at Syracuse, Syracuse, NY 13210, USA Accepted 9 December 1997 Abstract In anesthetized squirrel monkeys single cell recordings were performed using tungsten microelectrodes. The responses of 29 viscerosomatoceptive and somatoceptive VPL neurons to noxious distension of the urinary bladder, the lower esophagus and the distal colon and to innocuous and noxious somatic stimuli were assessed when these stimuli were presented separately or together. Neuronal responses were defined as additive or interactive depending on the relative changes in responses to individual somatic or visceral stimuli, Ž . and on their responses during conditioning somatic and visceral stimuli applied concurrently . In 13 neurons interactions between the somatosensory and visceral inputs could be demonstrated. The dominant interactive effect was inhibition, although facilitatory effects Ž . were seen as well 2 of 13 . The magnitude or direction of the interactions seemed independent of the location of the somatic and visceral receptive fields. The mean population response of the neurons showing interactions was 4.66 spikesrs to somatic stimulation, and 0.07 spikesrs to visceral stimulation. During conditioning the mean interactive effect was y62% of the calculated additive effect. This implies that overall the somatic responses are halved during a coincident visceral stimulus. In a subgroup of the VPL neurons, which were Ž . Ž . classified as pure somatic responsive n s14 due to their unresponsiveness during visceral stimulation alone, a third n s5 still exhibited visceral convergence during conditioning. The latter neurons, therefore, receive visceral inputs, which function in a purely Ž . Ž . interactive modulatory manner. It is concluded that part of the described effects is due to competition cross modality suppression between the visceral and somatic inputs. We further conclude that the suppression of somatic information by noxious visceral stimuli may contribute to a more effective processing of the discriminatory aspects of nociceptive visceral information previously demonstrated in VPL. q 1998 Elsevier Science B.V. Keywords: Thalamus; Nociception; Visceral sensation; Somatovisceral convergence; DNIC; Descending and ascending inhibition 1. Introduction In a recent study we demonstrated that most neurons in the squirrel monkey somatosensory thalamus receive conw x vergent somatic and visceral inputs 5 , and many of the neurons met the criteria for coding visceral information. In addition, we found indications for a modulatory role of these convergent visceral inputs, because for example most visceral responses were inhibitory, no viscerotopical arrangement was found, and in many cases the viscerosomatic convergence was improper with respect to the spinal cord segmental inputs. Interactions between the somatic and visceral systems have been demonstrated in various studies at different Ž w x levels of the CNS in rat e.g., Refs. 6,10,12,14,15 , cat w x w x . 1,7 , and in psychophysical studies 4,8 . One common feature of these interactions is that they are inhibitory, i.e., that either somatic conditioning stimuli suppress responses to visceral stimuli, or vice versa, or that the ongoing activity of neurons is suppressed. ) Corresponding author. SUNY Health Science Center at Syracuse, Neurosurgery Research Laboratory, 3118 WSK Hall, 766 Irving Ave., Syracuse, NY 13210, USA. Fax: q1-315-464-5504; E-mail: firstname.lastname@example.org r 0006-8993 98 r $19.00 q 1998 Elsevier Science B.V. All rights reserved. w x Given the results of our previous study 5 we hypothesized that the same visceral inputs, which are encoded by individual neurons, might modulate the responsiveness of neighboring neurons, i.e., that the somatic and visceral inputs would interact in the lateral thalamus of the squirrel monkey. To test this hypothesis, we performed a second, independent study, where we applied somatic and visceral stimuli separately, like in the previous study, but in addition, we now presented visceral somatic stimuli together, and analyzed the observed interactive effects quantitatively. 2. Materials and methods All surgical procedures, housing and care of the animals were approved by the local Committee for the Humane Use of Animals. Before each experiment anesthesia was Ž . induced by ketamine hydrochloride 35 mgrkg i.p. and Ž . maintained with halothane 0.8–1.25% in a mixture of Ž . N OrO 33r67% . Blood pressure, expiratory CO con- 2 2 2 centration, and O saturation were monitored continuously. 2 Data acquisition was stopped when the values were out of the physiological range. The trachea was catheterized, and the animals breathed spontaneously. The body core temperature was kept around 388C by means of a feed back heating pad. The experiments were performed in four Ž . adult, female squirrel monkeys weight 650–850 g . In three monkeys following a craniotomy a recording chamber was implanted over the right hemisphere of the skull to gain access to the region in and around the lateral thalamus. This procedure was performed under sterile conditions, and the animals were given at least one week to recover. Once or twice every two weeks these animals were deeply anesthetized and 8 h recording sessions were performed. In one monkey a craniotomy was performed over the right hemisphere without implanting a recording chamber. In this case the experiment lasted 28 h after which the animal was given a lethal dose of pentobarbitone. Extracellular single cell recordings using tungsten elecŽ trodes tip diameter: 1 mm; impedance at 1 kHz: 1–1.5 . MV were performed. During the experiment the neuronal activity was window discriminated, displayed as peristimuŽ . lus-time histograms PSTHs , and correlated with the various stimuli applied. For the quantitative analysis, the recorded neuronal activity was reanalyzed off-line with respect to spike shape and amplitude to make sure that only single cell activity was correlated with the different The following controlled stimuli were applied to characterize lateral thalamic neurons exhibiting ongoing activity: Ž . Ž . air puff pico-spritzer , skin displacement Chubbuck , inŽ nocuous and noxious mechanical pressure two different . Ž hemostats , and in a few instances noxious heat feed back . controlled thermo-probe . In the three monkeys with an implanted recording chamber the distal colon and the lower esophagus were catheterized with double-lumen balloon catheters. In the fourth monkey, in addition, the urinary bladder was catheterized through the urethra with a double-lumen catheter without a balloon. The organs were distended via one of the tubes and the intraluminal pressure was measured through the other tube. In order to investigate interactions between the somatic and visceral systems, somatic and visceral stimuli were applied sepaŽ . rately and simultaneously for details see below . combinations of stimuli. For this commercially available Ž hardware and software DataWave Technologies, Col- . orado was used. A response had to occur at least two times, before a neuron was considered responsive. To be considered a response, changes in neuronal activity had to Ž be at least "30% and statistically significant t-test; p F . 0.05 . 2.1. Definition of interaction To determine quantitatively the interrelationship between the somatic and visceral inputs of a given neuron its Ž . ongoing activity generally for 20 to 60 s before each stimulation was subtracted from both the responses to Ž . Ž . visceral DV and somatic DS stimulation alone. Both Ž rates were added DV qDS; expected rate or additive . effect and compared to the change in discharge rate during the simultaneous application of visceral and soŽ . matic stimuli DVS; conditioning effect . An ideal test Ž . consisted of two runs: 1 30–60 s ongoing activity, soŽ . matic stimulation alone to calculate DS , ongoing activŽ ity, followed by visceral stimulation alone to calculate . Ž . DV . 2 Ongoing activity, somatic stimulation alone, siŽ multaneous visceral and somatic stimulation to calculate . DVS , somatic stimulation alone. Between runs at least 5 min had to pass. Each test was performed at least twice. If there was a significant difference between the expected Ž additive effect DV qDS, which assumes no cross interference between the somatic and visceral channels accessing . the neuron, i.e., two independent channels , and the condiŽ . tioning effect DVS , it was concluded that the two inputs Ž . interact. Significant difference interaction was defined as: < < I V ,S s100= DVSy DV qDS r DV qDS Ž . Ž . Ž . Ž . to be larger than "30%. When I V,S was negative Ž . Fy30% , the interaction was defined to be inhibitory, i.e., co-activation of both inputs led to a lower discharge rate than expected from activating each input separately Ž . competitive suppression , and when the difference was Ž . positive Gq30% , it was defined as a facilitatory interŽ . action cross facilitation . It should be noted that, given the Ž . definition of I V,S , when DV s 0 or when DVS s 0 one cannot imply a lack of visceral inputs or a lack of viscerosomatic interaction. When DV s 0, there may still be visceral inputs that modulate the somatic responses, i.e., the visceral inputs are purely interactive. When DVSs 0, Ž . it only implies that the conditioned or combined response is zero, which may or may not be equal to the additive responses. 3. Results Twenty-nine VPL neurons were tested for modulatory effects of visceral inputs on somatic responses. In 13 of these neurons significant interactions between the somatosensory and the visceral systems could be demonstrated. Fig. 1 is an example of the responses of a neuron with significant viscerosomatic interactions. The unit had an ongoing activity of 6.3 spikesrs and increased its activity to 11.1 spikesrs due to hair movement by air puff Ž . applied to the lateral wrist DS sq4.8 spikesrs . Distension of the lower esophagus alone decreased the activity to Ž . 0.2 spikesrs DV sy6.1 spikesrs , and the same somatic and visceral stimuli presented together elicited a decrease Ž in neuronal activity to 1.6 spikesrs mean rate during . maximal esophagus distension; DVS sy4.7 spikesrs . Thus, the difference between the expected and the obw Ž served discharge rate during conditioning DVS y DV q . x Ž . DS was y3.4 spikesrs inhibitory interaction , the Ž . strength of the interaction was I V,S sy262%. Therefore, the simultaneous activation of visceral and somatic Ž . channels decreased negative I value the response of this neuron by 262% of its summed response to each stimulus modality. In the 29 VPL neurons, the following interactions were tested: colon distension and air puff or skin displacement Ž . LTs : n s 25; showing interaction: n s 9; esophagus distension and LTs: n s 19; showing interaction: n s 3; bladder distension and LTs: n s 7; showing interaction: n s 0. The colon and bladder responses were combined to represent the incidence of interaction when the lower body viscera were tested. Chi square test of incidence of interac- A second example of a viscerosomatic interaction, this time between responses to air puff and colon distension is shown in Fig. 2. In contrast to the neuron described above, Ž . colon distension DV sy0.06 spikesrs alone had no statistically significant effect on the unit's ongoing activity Ž . Ž Fig. 2B . However, the responses to air puff DS s 6.01 . spikesrs were decreased during distension of the distal Ž . colon DVS s 0.17 spikesrs . Thus, the visceral input was Ž . only apparent during conditioning, and I V,S sy121%. Therefore, visceral inputs of this neuron had only modulatory effects on the somatic responses during conditioning. tion for lower vs. upper body viscera resulted in borderline Ž . significance p - 0.09 , i.e., colon responses had a higher incidence of interactions, implying that interaction incidence may be organ specific. Twenty-two of 29 neurons were characterized with somatic and visceral stimulation alone as well as with viscerosomatic conditioning. In the other seven only the conditioning and somatic stimulation alone were performed. In the latter group only the magnitude of DVS could be determined. In regard to separate somatic and Ž . visceral stimulation eight of 22 neurons were classifiable as somatovisceroceptive, and 14 as somatoceptive. In the somatovisceroceptive group all showed interactions, and in Ž the somatoceptive group i.e., neurons which did not re- . spond to visceral stimulation alone five showed interactions. Thus, in five neurons the visceral input was only apparent when somatic and visceral stimuli were applied simultaneously. With respect to somatic stimulation six of the 29 neurons tested were somatic nociceptive, all of them In the 13 neurons exhibiting interactions six were tested only with colon distension, and two with only esophagus distension, all showed inhibitory interactions. Five were tested with both colon and esophagus distension, three had inhibitory interactions for both organs, one had inhibitory colon interaction but facilitatory esophagus interaction, and one had facilitatory interactions from both esophagus and colon, as well as trials where the interaction from colon were inhibitory. Thus, the dominant interaction effect was inhibitory for the different combinations of viscera tested. Table 1 Relationship between interaction types and the location of the somatic receptive fields Abbreviations: Col, colon distension; Eso, esophagus distension; som. RF, somatic receptive field; y, inhibitory; q, excitatory; ", mixed excitatoryrinhibitory. The asterisk indicates one neuron, which was excited by visceral stimulation alone, but was inhibited during conditioning. exhibiting interactions for somatic LT type stimuli. Only two of the six somatic nociceptive neurons were tested for viscerosomatic interaction with noxious thermal somatic stimulation. In two somatic nociceptive neurons esophagus and colon distension was tested against noxious heat. The different interactions between visceral and somatic inputs observed in these two units are shown in Fig. 3B and C. The neurons were recorded simultaneously and differentiated Ž . by spike shape and height Fig. 3A . The ongoing activity of both neurons did not change during colon or esophagus Ž . distension alone i.e., DV was zero, not shown . In both neurons the responses to noxious heat applied to digit 5 of There was no significant difference between hetero- vs. perirhomo-segmental somatic receptive fields and the diŽ . rection i.e., excitatory or inhibitory effects of the interacŽ . tive effects paired t-test, p s 0.26; Table 1 . In one of 8 cases the response to visceral stimulation alone was in the opposite direction as the interaction, i.e., colon stimulation alone was excitatory, somatic LT stimulation was also excitatory, but the interaction was inhibitory. The latter is an important observation, because it is the only case where the interaction indicates that simultaneous activation of both channels decreases the visceral responses as well as the somatic ones. Ž the foot were inhibited by noxious colon distension left A, Ž . Ž . B graphs, inhibitory interaction I Colon,S sy79% A Ž . and y100% B . Noxious distension of the esophagus, however, had no significant effect on the responses to Ž . somatic stimulation in the first unit A, right graph , but Ž . had a facilitatory i.e., positive multiplicative effect in the Ž . Ž . second neuron, I Esophagus,S s 213% B, right graph . Thus, these two neighboring neurons both received inhibitory interactive colon inputs, one did not receive any esophagus inputs, while the other received facilitatory esophagus inputs. These visceral effects were only modulatory, because visceral stimulation alone had no effect. 3.1. Population response The mean change in discharge rate to somatic stimulaŽ . tion alone DS of all 13 neurons with interactions was 4.66 " 6.06 spikesrs, that to visceral stimulation alone Ž . DV was 0.07 " 3.2 spikesrs, and that to conditioning Ž . DVS was 1.79 " 6.03 spikesrs, resulting in a population Ž . I V,S sy62%. Thus, considering the population of neurons that showed interactions between somatic and visceral inputs, visceral stimulation alone showed a minimal change Ž in population firing rate although nearly half of the indi- . vidual neurons had visceral responses , but significantly decreased the population response to the somatic input during conditioning. Facilitatory interactive effects were Ž . seen in two units only, where I V,S ranged from 213% to 844%. All other interactions were inhibitory, ranging from y38% to y590%. 3.2. Distension intensities for interactiÕe effects Visceral activation thresholds were around 30"3 mm Ž Hg for seven neurons five to colon, and two to esophagus . distension , while in two neurons the thresholds were around 55 mm Hg. The first group corresponds to visceral Ž . wide dynamic range type neurons WDRv , and the second Ž . group to visceral nociceptive specific NSv type neurons w x 5 . In four neurons the conditioning effects were observed at distension intensities corresponding to their threshold for visceral responses alone, while in five neurons the conditioning effects were observed at 20 mm Hg above visceral threshold. Thus, in at least half the neurons with interactions the interactive effects were observed at visŽ ceral distension intensities below the noxious range see w x . Ref. 5 . 4. Discussion The results show that the responses to visceral stimulation in 13 out of 29 VPL neurons were modulated by convergent conditioning somatic inputs, that is the somatic and visceral systems interacted. In a subset of VPL neurons, characterized as purely somatic according to separate somatic and visceral stimulation, the visceral inputs were Ž only revealed during conditioning i.e., simultaneous so-. matic and visceral stimulation , because visceral stimulation alone had no effect on the units' ongoing activity. As demonstrated in our earlier study in the squirrel monkey w x 5 , at least 85% of the VPL neurons have convergent viscerosomatic inputs. The fact that in the present study for some of the neurons visceral inputs could only be demonstrated by conditioning, suggests that the proportion of visceroceptive neurons could be even higher. The recording sites were not verified histologically because they were not marked with electrolytic lesions to minimize brain damage in surviving animals. Most likely, however, we investigated the same population of lateral thalamic neurons as described in our previous studies w x where extensive histological analysis was performed 3,5 , because the somatic and visceral responses, receptive field sizes and sequences were not distinguishable from the VPL neurons investigated in the previous studies. In the present study only a limited range of intensities and kinds Ž of stimulation mainly innocuous intensities in case of somatic stimulation and mainly noxious visceral stimula- . tion was applied; therefore, a variety of other possible interactions remain to be studied. These neurons most likely subserve two different tasks under different conditions, i.e., firstly, coding visceral stimulus intensity and duration, and thus most certainly playing a role in the discriminative aspects of visceral nociception, and secondly, suppressing somatic responses when somatic and visceral stimuli are applied together, to facilitate visceral information processing. 4.1. Supraspinal interactions The dominant viscerosomatic interactive effect was inhibitory. This finding is in agreement with two other w x studies performed at the thalamic 1 and the cortical level w x 7 in the cat. Both studies used electrical stimulation of w x somatic and visceral nerves. Airapetyan et al. 1 stimuŽ . Ž . lated the radial somatic and splanchnic visceral nerves and recorded from VPL neurons. They observed that both somatic responses conditioned by visceral stimulation, and vice versa, were suppressed. w x Chernigovskiy et al. 7 , using the method of evoked potentials, demonstrated interactions between the somatic and visceral systems in the second somatosensory cortex Ž . SII and in the parietal cortex of the cat. They found also that both systems had inhibitory effects on each other, and that irrespective of which system was activated first, the responses to stimulation of the second system were suppressed. Thus both systems have been shown to be able to suppress the other one at the thalamic and cortical levels. 4.2. Spinal interactions The studies cited above and our present report of interactions between the visceral and somatic systems are partially in agreement with numerous other investigations, which show that remote noxious, but not innocuous somatic and visceral stimuli inhibit nociceptive and nonŽ nociceptive responses in spinal dorsal horn neurons e.g., w x . Refs. 6,10–13,15,17 . 4.2.1. DNIC Although DNIC has not been studied in the monkey thalamus, our findings speak against the view that the inhibitory interactive effects observed were primarily due to DNIC. Firstly, there were no observable differences between the direction of the interaction caused by esophagus or colon distension and the location of the somatic receptive field on the upper or the lower body, respectively. Secondly, although the dominant conditioning effect was inhibition, facilitatory effects were also observed Ž w x also seen in the rat spinal cord by others 14,15 , see . below . Furthermore, due to the experimental paradigm, interactions were observed in neurons with somatic low threshold response properties, irrespective of the location of somatic or visceral receptive fields, i.e., neither the Ž . Ž . stimulus modality noxious , nor location remote conditions are necessary to observe thalamic interactions. Therefore, it seems that viscerosomatic interactive inhibitions are more generalized in the thalamus than in the spinal cord. Thus, although DNIC type mechanisms at the level of the spinal cord certainly must be reflected in the interactions we observed in the thalamus, circuitry other than DNIC must contribute to the thalamic viscerosomatic interactions. w x Le Bars et al. 10 investigated a specific effect, which Ž . they termed 'diffuse noxious inhibitory control' DNIC , Ž . where remote i.e., heterosegmental noxious, but not innocuous stimuli suppress the ongoing activity and reŽ . Ž sponses of wide dynamic range WDR neurons converw x . gent neurons; Ref. 10 in the spinal dorsal horn. Prolonged inhibitions, termed post effects, were also consistently observed during DNIC. Nociceptive specific, nonnociceptive and proprioceptive neurons were not affected by DNIC. These inhibitory controls disappeared when the w x animals were spinalized 12 . Thus, this effect is different from homosegmental inhibitory effects described by others Ž w x . e.g., by Ref. 9 , where in addition innocuous somatic stimuli can suppress neuronal activity. 4.2.2. Nocigenic inhibition w x This view is supported by Ness and Gebhart 14,15 , who investigated a comparable, but more general phenomenon, which they proposed to be termed 'nocigenic inhibition'. This was defined as '' . . . the inhibition of neuronal, behavioral, or reflex responses to a nociceptive test stimulus produced by another nociceptive stimulus, Ž and the term applies to segmental and intraspinal i.e., . propriospinal as well as supraspinal levels of interaction''. Thus, the definition of the diffuse inhibitory effects includes DNIC, but is kept more general than the phe- nomenon of diffuse and remote inhibition defined by Le w x Bars et al. 10 . DNIC and nocigenic inhibition partially overlap, but are not the same. There are similarities and differences between the prew x sent study and those by Ness and Gebhart 14,15 in the rat spinal cord. The studies show that the dominant viscerosomatic interactive effect is inhibitory, and that a small number of neurons exhibit excitatory interactions. HowŽ ever, in the rat spinal cord more remote stimuli s . heterosegmental: 106 of 129 trigeminal–cervical neurons seem to be more effective in inhibiting test stimuli than Ž less remote conditioning stimuli perisegmental: 59 of 100 . L3–L5 neurons . This tendency was not seen in the monkey thalamus, although the numbers in our study are small. Differences between spinal cord and thalamus interaction properties can readily be explained by the variety of Ž convergent inputs on lateral thalamic neurons e.g., see w x . Ref. 5 . 4.3. Psychophysically studied interactions In a psychophysical investigation involving nine healthy humans it was demonstrated that not innocuous, but noxious gastric distension is capable of inhibiting a nocicepŽ . w x tive spinal flexor reflex RIII in a graded manner 4 . This clearly is in agreement with the phenomenon of DNIC. However, that there are in addition more general mechanisms active in awake humans other than DNIC has also w x been demonstrated in another psychophysical study 8 . Here the perceptions of eight healthy subjects elicited by gastric and duodenal distension were investigated. After Ž determining the thresholds for discomfort, low just per- . Ž . ceivable and high non-painful , transcutaneous electrical Ž . nerve stimulation 100 Hz, 100 ms was used as the somatic conditioning stimulus. The authors demonstrated that well perceivable, but non-painful remote stimulation of somatic nerves suppressed the perception of unpleasant visceral sensations, because the thresholds for perception of gut distension were increased. Thus, in healthy humans unpleasant visceral sensations are suppressed by innocuous somatic stimuli. This effect, which is clinically well known w x as counter-irritation 18 , has been studied in humans experimentally with respect to somatosomatic nociceptive interactions in numerous investigations and will not be Ž w x . discussed here for review and references see Refs. 14,15 . 4.4. QuantitatiÕe measure of interaction In the present study interaction was defined by calculating the difference between the expected activation, i.e., the sum of the number of action potentials during somatic stimulation alone and during visceral stimulation alone, and during conditioning, i.e., when both stimuli were applied at the same time. The ongoing activity before each stimulation was subtracted to quantify only response related spikes. With this approach the strength and direction of the interaction is indicative of the properties of the underlying synaptic circuitry. This linear approach to calculate interactions is simplistic. However, the approach is useful because we assume that the somatic and visceral Ž inputs reach the neuron via independent channels or . codes . The fact that somatic and visceral information is conveyed in the CNS generally by convergent viscerosomatic neurons, does not contradict this assumption, because in principal the same pathways can be used to Ž transmit information about different kinds of stimuli touch, pressure, pinch, heat, cold, etc., like in polymodal neurons, or somatic and visceral information, like in viscerosomatic . convergent neurons . We assume that the activation of both channels will result in a summation of EPSPs and IPSPs in single cells, and thus result in action potentials, which reflects the sum of the two independent inputs. For CA1 pyramidal neurons it is known that synapses in various parts of the dendritic tree are nearly equally effecw x tive in this regard. Andersen 2 wrote: ''EPSPs produced by neighboring synapses sum linearly, both with each other and with hyperpolarizing, inhibitory potentials''. w x Shadlen and Newsome 16 state that cortical EPSPs sum linearly too. Given these results we assume that thalamic inputs sum linearly as well. Thus, if the number of spikes during conditioning is different from the sum of the spikes during separate somatic and visceral stimulation, there must have been cross talk between the two channels before the combined information reached the unit. However, there Ž are also arguments for non-linear in the sense of non-ad- . ditive mechanisms involved in the generation of spikes. In the earlier studies cited above interactions between different input channels were quantified by the percent change in either ongoing activity or evoked responses Ž w x . steady state; Refs. 10,12,14,15 , where the ongoing activity or response to a test stimulus was defined as 100%. Ž . In contrast, we defined the additive effect i.e., DV q DS as 100%, because this approach indicates differences as well as demonstrates latent visceral inputs onto neurons, in which the ongoing activity is not affected by the visceral Ž . Ž . test stimulus DV s 0 . 4.5. Populational interactions w x The psychophysical data reported by Coffin et al. 8 are in good agreement with the physiological data reported here, and indicate that part of the effects we see is due to cross modality suppression, i.e., a competition between visceral and somatic inputs. The fact that there exists a sub-population of neurons with no changes in neuronal activity to visceral stimulation alone, but with reduced somatic responses during concurrent visceral stimulation imply the existence of a circuitry to amplify the less frequent and less dominant visceral inputs. This is in agreement with the population response of the neurons exhibiting interactions in the present study. Here visceral stimulation alone had no significant effect, but the excitatory responses to somatic stimulation were suppressed, when at the same time visceral inputs were present. This interaction circuitry would function in increasing the signal to noise ratio for processing visceral information. In the behaving organism the thalamus is constantly bombarded by somatic inputs and less by visceral, especially noxious visceral inputs. Thus, the interaction circuitry provides a mechanism for amplifying the less frequent inputs. Acknowledgements The technical help of R.T. Stevens is appreciated. We thank Dr. Christiane Vahle-Hinz for reading an earlier version of the manuscript and her helpful comments. This research was funded by the Department of Neurosurgery and a grant from the Perkins Foundation. J. Bruggemann ¨ was supported by a research fellowship of the Fogarty International Center of NIH. References w x 1 A.A. Airapetyan, L.G. Vaganyan, I.G. 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Special points of interest: ♦ Executive Committee Meeting Minutes - page 3 ♦ Change in Newsletter Schedule—page 4 ♦ Annual dues are due! Upcoming Meetings Wednesday, October 19th Bangor Public Library Lecture Hall, 6:00 pm Roxanne Moore Saucier will present a session on "How to write an effective query." Wednesday, November 16 Bangor Public Library Lecture Hall, 6:00 pm BPL Research Night combined with Introduction to Genealogy session Wednesday, December 21 Bangor Public Library Lecture Hall, 6:00 pm "And these are a few of my favorite things…" Come for an evening of holiday cheer and member sharing! Share favorite resource materials, research websites, ancestor or relative. INSIDE THIS ISSUE: \| Queries \| 2 \| \|---\|---\| \| Corinth Historical Society Project \| 2 \| \| Chandler Ancestors DNA Project \| 2 \| \| Executive Meeting \| 3 \| \| GenBytes \| 4 \| Articles accepted for publication must be of genealogical nature. Share your research experiences (your successes and your disappointments) or information about your Penobscot County ancestors. Submissions should be forwarded to the Newsletter Editor. President's Message Fall is approaching, although with the nice warm weather we've had here in Penobscot County the last few days, it is hard to believe. The cool mornings are a reminder that soon we will all be able to cuddle up and stay warm next to the volumes and volumes of research materials at the library! Fall brings change. This fall will see Penobscot County Genealogical Society going through a few changes as well. After three years as president, I have opted to step aside to allow myself an opportunity to pursue other areas in the genealogical world. Not only will this give me a chance to recharge the ole batteries, but will give the Society a chance to reevaluate where it is and where it wants to go. I am very pleased with the work the board has done on planning for next year and the upcoming addition of some fine folk to the board to help oversee the background operation. From a communications standpoint, the newsletter and website have been two areas that I have been very involved with; these are transitioning to Jacque Rump and Louise Howard, respectively, and I am confident that they will put a fresh face on both. It has been a busy, fun, sometimes frustrating, but rewarding ride these first three years of Penobscot County Genealogical Society. I am proud to have played an instrumental role in its founding. I am proud to have received the encouragement, assistance and support of all of you. I am proud to be the benefactor of so many new friendships. I can now proudly stand before you and declare "I am Dale, I am a genealogist." I look forward to the upcoming membership year. I hope to see many of you returning and continue to meet many more of you. Thank you, Dale Queries To post a query, email firstname.lastname@example.org CHASE I am looking for any mention of a young woman named Nellie M. Chase, married to a Mr. Leith (possibly Henry). He was a musician. They resided in Bangor sometime between 1855 and 1859. Carolyn Schriber E-mail: email@example.com WALL Mary E. Wall was born in Bangor, Me. April 2, 1835. She is my maternal geat grandmother. Any info would certainly be appreciated. Thanks Jim Standefer E-mail: firstname.lastname@example.org BLACK Hello! I am looking for information on a Joseph Black. Born 1871, Bathurst, NB Canada, died unknown. Son of William James Black also Bathurst. Brothers: William (b 1866), Hugh (b 1869). Half-siblings: Mary Ann (1873), Jane (1875), Sarah (1878) & James (1880). According to an obituary I have, he was residing in the Old Town, Maine area in Jan 1935. If anyone has any information on this Joseph Black, it would be greatly appreciated!! Thank You! Ally Carey Bathurst, NB E-mail: email@example.com INQUIRY ABOUT BANGOR ORPHANAGE My grandmother was raised in an orphanage in Bangor. Would you know anything about this place? Where would I start getting info on this? I would so appreciate any help or direction. Thank you... Emma O'Brien Meriden,CT E-mail: firstname.lastname@example.org BLAISELL I am looking for information about Nancy Blaisdell's parents. Nancy was born 6 Dec 1829 and died 28 Mar 1915. She married Asa C Burrill. She is layed to rest in the Union Cemetery in Dedham Maine. Thanks, In Advance, John Van Dyke E-mail: email@example.com SNOW I am looking for a member of the Snow family that could tell me the first name of ? SNOW that married Elizabeth Perkins about 1918. From what I have been told that they were from Plantation 21, Maine. there was a train wreck about 1919 -1920 and Elizabeth was killed in it. there child Elizabeth or Zana ? was incorporated into the family Howard and Sadie Perkins. The child is now 86 years old and would like to know of her fathers past. My mother who grew up with the name Zana has tried to find this information for many years. Her Daughter Pat. E-mail: firstname.lastname@example.org WARREN I am seeking information for one Joseph Warren born approx. 1807 to 1811 place of birth - Bangor, ME (according to cemetery records) father's place of birth - Massachusetts; mother's - Maine (according to death certificate) Died Dec. 1, 1886 Washington, D.C., Buried Irwin, PA. Dec. 5, 1886 Wife's name Ann I shall thank you for any information regarding Joseph Warren's parents - the names of his parents, the places of their births, siblings, etc. NOTE I am looking for a connection between a Joseph Warren who was the son and 2nd child of Joseph and Abigail Whittier Warren of Palmyra supposedly born in 1807I would expect to assume any expense incurred in this search. Thank you. Edith Howell E-mail: email@example.com Note from Editor: In the transitioning of newsletter duties we have tried to make sure all queries received in the past couple of months were included in this issue. If you have submitted a query that has not appeared please re-submit. I apologize in advance for any inconvenience. Jacque CORINTH HISTORICAL SOCIETY PROJECT The Corinth Historical Society is busy researching and writing the history of (East) Corinth, a job which has not been done since 1887! We are interested in collecting genealogical information on any present or former resident of the town. We are especially interested in hearing from descendants of some of the earlier settlers of the place. If you have any information that you could contribute, you may contact us at firstname.lastname@example.org or by mail at Corinth Historical Society, P.O. Box 541, Corinth, Maine 04427. We thank you in advance for your invaluable aid. Sincerely, James R. Wilson Historian, Corinth Historical Society Executive Committee Meeting Minutes September 7, 2005 Bangor Room, Bangor Public Library Meeting called to order at 6:00 pm by President Dale Mower. In attendance: (1) Dale Mower, President; (2) Annette Roberts, VicePresident; (3) Phil Getchell, Treasurer; (4) John Albertini, Research Director and (5) John Nelligan, Program Director. Nominations for 2005-2006 First order of business was discussion of nominations to the Executive Committee for the 2005-2006 membership year. The board approved the following slate of nominees: President Phil Getchell Vice-President John Albertini Treasurer Annette Roberts Secretary Dale Mower Webmaster Louise Howard Newsletter Director Jacque Rump Research Director Roberta Williams (a) Program Director John Nelligan Director-at-large Celia Gray Gerald Freeman (b) Dale reported that Louise Howard had volunteered to take over the website and he had met with her the following evening to start that transition. He and Jacque Rump had hoped to meet to discuss the newsletter transition prior to her moving from the area, but Murphy's Law interceded and they will work on the transition long-distance. Dale further reported that he had received e-mails from two members (Roberta Williams and Gerald Freeman) expressing interest in serving on the board as directors-at-large, and expressed his feeling that where we only had the two members expressing an interest in becoming involved that we should make a place for them. The question was raised as to any limits on the number of directors-at-large; Dale stated he didn't believe so. A review of the bylaws after the meeting shows that the bylaws only state that "any member may volunteer to be a 'Director-at-Large' to assist the Executive Committee with planning and special projects". It was decided that Dale will contact Roberta Williams to see if she would be willing to serve as Research Director. If she did not accept that position, he will contact Gerald Freeman to see if he would be interested. Pending responses both will be offered a position on the board. Dues for 2005-2006 The next order of business was setting the dues amount for 2005-2006. After much discussion, which included the cost of printing and mailing the newsletter on a bi-monthly basis, it was agreed that the Society will increase dues to $6.00. Maine Genealogical Conference Dale reported that he had signed up to share a table at the MGS conference on October 8 th with Wassebec Genealogical Society. Phil and he will work out the details on what to have on the table. Dale will revise our brochures to reflect the increased dues amount. Dale also reported that he would he purchase a door prize for the Chapter to donate to the conference. (he has since purchased a tree frame to hold miniature photos) and the chapter should also donate a one-year membership consistent with other chapters. PCGS Ancestors Cookbook John reported that progress is being steadily made. He has a very enthusiastic group working with him on this project. He wants to make sure the foundation is solid before they start collecting recipes. There was some discussion on trying to get submissions from local political leaders and it was agreed to avoid anything that could be inferred to carry a political connotation. Speaker Gifts It was agreed that the Society would donate 2 books to the LDS library in recognition of their support of our group, as shown at the last meeting held there. Dale will purchase genealogical-related coffee cups to give as speaker gifts for the upcoming year. Program for 2005-2006 The final order of business was discussion of the program for the upcoming year. The meeting was adjourned at 8:10 pm by Dale Mower Respectfully submitted, Dale W. Mower President ATTENTION CHANDLER DESCENDANTS I am seeking other CHANDLER descendants interested in proving their lineage back to the New England immigrant ancestor, primarily William and Annis, Edmund, and Roger, although there are a few others. The proof of the lineage will result from a DNA sample provided by those interested to Family Tree DNA, a national DNA testing organization. Details are at URL: http:// www.edmundchandler.com/index.html, then click on "Chandler DNA Results". Any questions - contact Bob Chandler E-mail: email@example.com Penobscot County Genealogical Society c/o Jacque Rump 3019 S. 204th St #28 Seatac, WA 98198 NEW SCHEDULE FOR NEWSLETTER Based on member input we will be switching to a bi-monthly publication of our Penobscot Roots & Connections instead of the currently quarterly schedule. Going forward you should expect your issues in the mail during the first week of DECEMBER, FEBRUARY, APRIL, JUNE, AUGUST and OCTOBER. Deadlines for submission of queries, notices or articles will be the 15 th of the previous month (i.e. November 15 th for December issue, January 15 th for February, and so forth). GenBytes by Dale Mower I've been surfing a lot of sites related to beginning genealogy and sites hosting various forms in preparation for my presentations at Maine Genealogical Society's annual conference. My googling uncovered a unique form that can capture all the census history for an individual on one form. It is a .pdf format so you will have to have Adobe reader on your computer to view it. The web address to take you directly to the form is: http://www.obcgs.com/censusrecordform.pdf. Also, another valuable resource that everyone should bookmark is the "Encyclopedia of Genealogy." This is a very comprehensive website sponsored by Eastman's Online Genealogy Newsletter. You may recall that I have recommended this newsletter in the past, particularly where Dick Eastman has roots in Penobscot County – it is located at www.eogn.com. If you add a letter to that web address and go to www.eogen.com you will enter the the Encyclopedia. This is a completely free and fully searchable resource. As the site indicates, "This encyclopedia is not a place to find all the ancestors of John Doe or all the descendants of John and Mary Smith. The World Wide Web already has many online message boards and databases that perform that function well. Instead, the Encyclopedia of Genealogy serves as a clearinghouse of genealogy techniques: where to find records, how to organize the data found, what the terminology means and how to plan your next research effort." I bopped around the site, searching for old medical terms you might find on a death record, relationships, and for Maine resources and was very impressed with the information available at the touch of a keystroke.
PONDICHERRY UNIVERSITY PUDUCHERRY M.Sc. BOTANY (Choice Based Credit System) Syllabus & Regulations (2020-2021 onwards) CBCS GUIDELINES FOR AFFILIATED COLLEGES FOR M.Sc. BOTANY PROGRAMME (ARTS & SCIENCE COLLEGES) 1. Objectives: Choice Based Credit System (CBCS) at Post Graduate programmes, is aimed at I. Offering Courses on Credit mode and enrich the quality of Teaching-Learning at Higher Education level. II. Encouraging faculty to design and develop newer Electives/ Soft Core Courses. III. Enabling Students to make a choice between different streams of Soft Core/ Elective courses IV. Facilitating credit transfer from courses offered through SWAYAM / MOOCs platforms. 1.1. Eligibility: Candidate for admission to M.Sc. Botany shall be required to have passed B.Sc. Botany/ Plant Science with 50 percentage of marks in non-CBCS syllabus pattern (or) Letter Grade of C with the Grade Point of 5 in CBCS syllabus pattern, in Part III (Main and Allied). Maximum age for the admission into M.Sc. Botany programme is 25. 2. Credit Based Courses: * Credits: CBCS defines different courses offered in a PG Programme in terms of Credits. * Teacher Contact: A Credit refers to the number of hours that a teacher contact is required per week for a given subject * Classification of Courses: Based on contents of syllabus and level of difficulty of Teaching – learning process, credits are assigned. For example, 2.1. Hard Core and Soft Core: * Hard core: Subjects which are basic and essential to a programme are called Hard Core (Compulsory) courses. * Soft core: Courses which are open for only a select group of students who opted for a specific specialization are called Soft Core/ Elective courses. * Specialization: Soft Core courses are designed and offered by a team of teachers of a programme based on their specialization. * MOOCs: Soft Core courses also include all those subjects offered by a department for the benefit of all Students of the College. For Example, courses on Environment Studies, Science for common man, Finance for Non Finance students, Basics of Business, Basics of Compute rProgramming, etc. These also include related subjects available in MOOCs and SWAYAM platforms. 2.2. Audit and Non-Audit Courses * Audit: Audit courses refer to all those subjects for which Credits earned will be taken into consideration for the calculation of CGPA and declaration of results. Audit courses include Hard Core as well as Soft Core subjects. Regular classes will be conducted for all Audit courses. * Non–Audit: Non – Audit course refers to courses/activities which shall be completed by the student, but the Credits earned are not considered in the calculation of CGPA. The non – Audit courses are to be completed by students at their own initiative. These include participation in Skill development workshops, NSS/NCC and Sports activities, participation in awareness camps conducted in adopted villages by the college. These also include completion of select courses through OOCs/SWAYAM platforms. A course completion certificate is needed from HOD or Faculty Coordinator. 3. Total Credits of a PG Programme: The minimum number of credits that a student is expected to complete over a period of four semesters for M.Sc. Botany is given below. (Every Core subject is to be taught for prescribed number of hours. In addition to regular classroom teaching there should be at least 2 hours of Tutorials additionally. In case of Lab subject every 2 credit Lab requires 6 hours of Lab supervision. Accordingly Teacher workload to be calculated) 4. Course Design * UGC Model Curriculum: All Hard Core courses are compulsory courses. Soft Core courses are Elective streams with internal choice. All courses are designed by a team of experts in a PG Board of studies (BOS) meeting based on latest UGC/AICTE Model Curriculum/ NET/CSIR/Civil Services syllabus. * Specialization subjects: Soft Core Courses are designed based on Skill requirements of Employers/ Career objectives of students and market trends. Specializations of existing Faculty are also taken into consideration in designing Soft Core courses. * Lab based/ Field based subjects: Four sets of elective Soft Core courses shall be designed by the BOS Each set is called Elective stream with six to eight Soft Core subjects in each. Soft Core subjects may include Theory subjects, Lab Practicals, Field study based subject, Internship based subjects, Project works, Seminars- cum-Viva subjects. All Soft Core courses outcomes, Detailed syllabus, Basic Text Books, Course Materials, Web based resources, Model Internal Assessment Test papers and End Semester model Question papers along with a Panel of Examiners who can set and evaluate Answer papers from other Universities for each subject. 4.1. Typical Course Design (for 72 Credits) Post Graduate BOS in consultation with the Faculty working in PG Departments of affiliated colleges may design a Course Structure as follows 4.2. Breakup of Hard and Soft core: PG Level Course structure thus contains a minimum of ``` 5 Hard Core Theories = 5 x 4 = 20 Credits 4 Hard Core Theories = 4 x 3 = 12 Credits 1 Hard Core Project = 1 x 6 = 6 Credits 6 Hard Core Labs = 5 x 2 = 10 Credits 6 Soft Core Subjects (Theory) = 6 x 3 = 18 Credits 2 Soft Core Subjects (Theory)= 2 x 2 = 4 Credits 1 Soft Core Subjects (Lab) = 1 x 2 = 2 Credits TOTAL = 72 Credits ``` 4.3. Non – Audit Courses Winter/Summer Activities Co-curricular and Extracurricular: In addition to the above Course structure of 72 Credits, every Post Graduate student is expected to complete 10Credits worth of Non- Audit Courses during Summer and Winter Vacation so as to become eligible to get his/her PG Degree from Pondicherry University. The tentative list of Non-Audit courses are as follows: \| Sl. No. \| Non-Audit Courses \| \|---\|---\| \| 1 \| Skill Development/Soft skills workshops (one/two) (Min Duration : 15 days) \| \| 2 \| Innovations and Entrepreneurship Development Workshops Industry – Interface, Incubation and Start-Up Programmes (Training for 15 days) \| \| 3 \| Village Adoption/Awareness camps, SHG, Basic Literary Clubs (15 days) \| \| 4 \| NSS/NCC Camp/Swatch Bharat/ Traffic Maintenance Activities/ Government schemes (2 weeks) \| \| 5 \| Participation in Seminars / Conferences/ Inter collegiate Meets /Science Day Celebrations, etc (Any 4 events for 15 days) \| \| 6 \| Completion of any one/two MOOCS/ SWAYAM Courses (30 hours) \| Completion Certificate needed: A certificate of completion for each activity shall be issued by the HOD/Faculty Co-ordinator or Principal of the College which is needed to be submitted to Programme Committee, before the candidate is allowed to take up his final Semester exam. 4.4. Format for Course Structure of 2 Year M.Sc. BOTANY (CBCS) Programme offered at Affiliated Colleges Bridge Course: Does not arise since a candidate with a degree other than B.Sc. Botany cannot study this programme. Regular Courses I Semester (Audit Courses) \| Sl. No. \| Course Code \| Course Title \| Nature \| No. of Credits \| No. of teaching hours \| \|---\|---\|---\|---\|---\|---\| \| 1. \| 411 \| Plant Diversity I (Algae, Fungi, Lichens) \| Hard Core (Theory) \| 4 \| 6* \| \| 2. \| 412 \| Plant Diversity II (Bryophytes, Pteridophytes, Gymnosperms & Paleobotany) \| Hard Core (Theory) \| 4 \| 6 \| \| 3. \| 413 \| Cell and Molecular Biology \| Hard Core (Theory) \| 3 \| 6 \| \| 4. \| 414 \| Practical I (Plant Diversity I) \| Hard Core (Lab) \| 2 \| 4 \| \| 5. \| 415 \| Practical II (Plant Diversity II & Cell and Molecular Biology) \| Hard Core (Lab) \| 2 \| 4 \| \| 6. \| 416 \| Pathogens and Pests of Crop Plants / Applications of Algae, Environment And Human Welfare/Campus Ecology/ MOOCs/ SWAYAM \| Hard Core (Theory) \| 3 \| 4 \| \| Total \| \| \| \| 18 \| 30 \| * Teaching hours including Seminar hour. II Semester (Audit Courses) \| Sl. No. \| Course Code \| Course Title \| Nature \| No. of Credits \| \|---\|---\|---\|---\|---\| \| 1. \| 421 \| Plant Morphogenesis \| Hard Core (Theory) \| 4 \| \| 2. \| 422 \| Taxonomy of Angiosperms \| Hard Core (Theory) \| 4 \| \| 3. \| 423 \| Ecology and Biodiversity Conservation \| Hard Core (Theory) \| 3 \| \| 4. \| 424 \| Practical- III (Plant Morphogenesis) \| Hard Core (Lab) \| 2 \| \| 5. \| 425 \| Practical- IV (Taxonomy of Angiosperms &Ecology and Biodiversity Conservation) \| Hard Core (Lab) \| 2 \| \| 6. \| 426 \| Evolutionary Biology/ Economic Botany/ Secondary Plant Products and Metabolic Engineering/ MOOCs/ SWAYAM \| Hard Core (Theory) \| 3 \| \| Total \| \| \| \| 18 \| III Semester (Audit Courses) \| Sl. No. \| Course Code \| Course Title \| Nature \| No. of Credits \| \|---\|---\|---\|---\|---\| \| 1. \| 511 \| Plant Physiology and Biochemistry \| Hard Core (Theory) \| 4 \| \| 2. \| 512 \| Microbiology and Immunology \| Soft Core (Theory) \| 3 \| \| 3. \| 513 \| Instrumentation and Research Methodology \| Soft Core (Theory) \| 3 \| \| 4. \| 514 \| Practical V (Plant Physiology and Biochemistry) \| Hard Core (Lab) \| 2 \| \| 5. \| 515 \| Biogeography/ Biodiversity and Conservation/ Air Pollution and Climate Change/ MOOCs/ SWAYAM \| Soft Core (Theory) \| 3 \| \| 6. \| 516 \| Medicinal Botany and Dietetics/ Ethnobotany/ Molecular Plant Breeding/ MOOCs/ SWAYAM \| Soft Core (Theory) \| 3 \| \| Total \| \| \| \| 18 \| IV Semester (Audit Courses) \| Sl. No. \| Course Code \| Course Title \| Nature \| No. of Credits \| No. of teaching hours \| \|---\|---\|---\|---\|---\|---\| \| 1. \| 521 \| Project \| Hard Core (Project) \| 6 \| 6 \| \| 2. \| 522 \| Genomics and Bioinformatics \| Soft Core (Theory) \| 3 \| 6 \| \| 3. \| 523 \| Plant Biotechnology \| Soft Core (Theory) \| 3 \| 6 \| \| 4. \| 524 \| Practical VI (Genomics and Bioinformatics & Plant Biotechnology) \| Soft Core (Lab) \| 2 \| 4 \| \| 5. \| 525 \| Nanobiology/ In Vitro Technologies and Industrial Applications/Molecular Interactions of Plants with Microbes/ MOOCs/ SWAYAM \| Soft Core (Theory) \| 2 \| 4 \| \| 6. \| 526 \| Plants and People/ Agricultural Ecology/ Systems Biology/ MOOCs/ SWAYAM \| Soft Core (Theory) \| 2 \| 4 \| \| Total \| \| \| \| 18 \| 30 \| Hard Core – 48 Credits Soft Core – 24 Credits Total: 72 Credits ELECTIVE PAPERS Each Student shall choose any of the choices given in each softcore paper mentioned in each semester. 5. Programme Committee: a) CBCS Implementation: Every PG Programme shall have a 'Programme Committee'. It facilitates the implementation of CBCS. It supervises the Academic activities of the department. A Programme Committee meets at least two times in a semester. b) Constitution of Programme Committee: All Faculty members in the Department who are offering Hard Core/Soft Core courses are the members of Programme Committee. Two Student Representatives, one each from I year and II year based on their Academic Merit are also coopted to represent the students views on academic matters. c) Principal's Nominee: Principal will nominate one faculty from sister departments of the same college, as his/ her nominee. d) HOD is the Chairman: HOD is the Chairman of the Programme Committee. He keeps a record of minutes of meetings. Other records like allotment of Subjects, Time Table, schedule of Internal Assessment tests, Question papers, etc., are to be maintained by HOD. e) Course Plan: Faculty are expected to prepare their Course plan, number of sessions of Teaching, Field Projects/ Lab Practical sessions, etc., and place before Programme Committee. f) Credit Transfer: Credit Transfer from open source courses, method of evaluation for Internal Assessment tests, etc are to be finalized in Programme Committee. g) Department Activities: Decisions relating to Conduct of special Lectures/ Seminars/ Conferences/ Workshops for the benefit of students, Students Meets, Science Day celebrations, Alumni meets etc., and the requirement of funds for equipments, annual tours are to be finalized in a Programme Committee meetings. h) Soft Skill Workshops: Every PG Department should make arrangements for organising Skillworkshops for communication and development of Soft skills, Industry Interface meets, Campus Placement meets. Smart class rooms are to be created for open source courses, organise Village camps for awareness meets on Government schemes, Climate change, Environment Protection, Girl child, Right to Education, Gender sensitization, etc., i) Academic Clubs: Colleges Should organize Research clubs, Technology clubs, Science Exhibitions, Innovation and Patent Workshops, Entrepreneurship Development, etc, j) Membership in Professional Bodies: The PG Department should join as member in all Professional bodies and conduct at least one annual Seminar on contemporary Topics by inviting experts from professional associations. k) Workload documentations: All the faculty members are expected to maintain documents relating to number of sessions of teaching (45 hours of direct contact Hours for a 3 credit subject and 60 hours for a 4 credit subject) in every semester l) Students Attendance: Individual Faculty should also maintain the student's attendance for the sessions handled by them. A minimum 70% attendance is essential to allow a student to appear for the End semester Examination (The same rule is applicable for every Internal Assessment test as well). Students cannot register for subjects where they have shortage of attendance for end- semester exam. 6. Evaluation: 1. Total 100 marks: All Audit courses are evaluated for 100 marks. The Internal Assessment component is for 40 per cent and End semester is for 60 per cent marks. 2. Internals for Lab/Project Work: In case of Practical Lab Exams/Fields study Reports/Project works/Viva Voce examinations there is 40% internal marks out of 100 marks, i.e., 40 marks for ICA- Internal Continuous Assessment and 60 marks for ESE- End Semester Exam (ICA marks are calculated by consolidating the marks earned by a student in each practical classes of a practical course for the entire period of a semester). The ESE shall comprise marks for Lab Record, Practical Exam, Viva voce, Herbarium. There shall be a mock test for all Lab courses. 3. Break up of Internal Assessment marks * Each Theory Course shall have the following Break-up of Internal Assessment Marks Internal Assessment Tests (Two) 2x15 Seminar/Assignment/ Presentation/Viva and Attendance = 15 + 15 = 30 Marks = 5 + 5 = 10 Marks ------------------- Total = 40 marks ____________ \| Below 75% \| 0 \| \|---\|---\| \| 75-80% \| 1 \| \| 80-85% \| 2 \| \| 85-90% \| 3 \| \| 90-95% \| 4 \| 4. Internal Test Schedule: Internal Assessment Tests for all subjects in a given semester are to be conducted Test at a time. Program Committee prepares the Internal Assessment schedule. * First Test series is to be conducted in first week of September, 2 nd Test series in the second week of October and in third week of November, end-Semester examinations begin. * In case of even semester (2 nd , 4 th ) the first Internal Assessment test series is in the 2 nd week of February and second Internal Assessment test series is in the 3rdweek of March and the end Semester exam will be during fourth week of April. * Internal Assessment Tests shall be conducted centrally for all the subjects in a particular week continuously for both first and second year students. * The faculty Co-ordinator and HOD will coordinate the paper setting work, room arrangements, invigilation, etc. 5. Two Tests per day in case of internal assessment tests: Usually, tests for 2 subjects shall be conducted in a given day i.e., 10.00 to 11.30 A.M Paper I, 2.00 to 3.30 P.M Paper II, etc. All Internal Assessment tests should be completed within 3 to 4 days. No class work during the Internal Assessment Test series. 6. Evaluation in one week days: The Internal Assessment test papers are to be evaluated within one week days and feedback to be given to students. All test papers should be preserved until end semester exams are conducted. 7. Minimum 40%: The Passing Minimum for Internal Assessment tests is 40% of 40 Marks. 8. Re-test Facility: A Re-test may be conducted for all those failed to secure 16 marks in IA. No retest will be allowed to those who are irregular, absent without any valid reasons and without any prior approval from all concerned Faculty and HOD. 9. Consolidated IA Marks: A Programme Committee meeting (without student representatives) shall be conducted to approve the Internal Assessment marks awarded by all Teachers before submitting to the University. \| Range of Marks \| Letter Grade \| \|---\|---\| \| 91-100 \| O \| \| 81-90 \| A+ \| \| 71-80 \| A \| \| 61-70 \| B+ \| \| 56-60 \| B \| \| 50-55 \| C \| \| Below 50 \| F \| \| Failed due to shortage of Attendance \| FA \| 6.1. End Semester Examinations: * Paper Setting by COE: For all theory papers, the Controller of Examinations (CEO) of University will arrange for Question papers set by external examiners and also conducts the Examinations by appointing a chief superintendent in each college. * Lab/ Project Work Exams: For all Practical exams/Project works/Viva, an External Examiner appointed by COE and an eligible Internal Faculty of the Department jointly evaluate the performance of students. The Controller of Examinations also appoints an external examiner for all Computer Lab subjects. He evaluates for 60marks * Passing Minimum Aggregate 50 Marks: The Passing minimum in End-semester Examination is 40%. However, a student should get 50 marks when Internal Assessment and End – semester marks are put together. * Arrear Exam: A student who failed to secure 50 marks in aggregate is eligible to take up a supplementary exam with, prior Registration to the said course in the following Semester. Students who failed due to shortage of attendance have to repeat the course. 6.2. Letter Grades and CGPA: Controller of Examinations shall consolidate the Internal Assessment marks and marks secured in the End – semester examinations. He declares the Results both in letter grades and in Figures. The letter grades refer to the following distribution of marks. 6.3. CGPA: Cumulative Grade Point Average (CGPA) will be calculated as a weighted average of number of credits that a course carries and the value of Grade point, averaged for all the subjects. 6.4. Declaration of Results The Controller of Examinations (COE) of Pondicherry University is authorized to declare the Results of a programme. Pass classes are worked out as follows: Pass Class \| CGPA \| Result \| \|---\|---\| \| 9.0 and above (in first attempt) \| Distinction \| \| 7.0 and above \| First class \| Maximum time to complete a 2 year PG Programme is 4 years. University Gold medal will be declared not only based on Academic performance of a student but also weightage is given for his participation in curricular co-curricular and extension activities. 7. Role of Principals: Overall Supervision: The Principal of the College/Director of PG Centre is authorized to resolve operational difficulties in implementing the CBCS. He is also empowered to supervise the quality of the teaching, standards of this evaluation of Internal Assessment tests and regulate students' attendance, maintain discipline, teacher's sincerity in handing classes, conducting remedial classes for weaker students/students with arrear subjects, etc. Nomination of Faculty Coordinators: Principals are requested to nominate different faculty in each PG Department as Faculty Coordinators for Internal Assessment Tests, Skill Development, Village Adoption. Innovation and Entrepreneurship, NSS/NCC and other Outreach activities, Coordination of SWAYAM/ MOOCS Courses, Counselling of students to participate in Technical Seminars/ Hackathons, and Campus Placements. Each faculty may be given 2 hours of workload per week for coordinating the above said works 8. Power to resolve Grievances: However, the Chairman Academic Council/ (Vice–Chancellor of Pondicherry University) has the ultimate authority to interpret, modify and relax any of the above said guidelines and the recommendations of a oversight Committee formed for the purpose of implementing CBCS smooth conduct of Academic programmes in affiliated colleges. HARD CORE - PAPER 1 I Semester PLANT DIVERSITY I (ALGAE, FUNGI AND LICHENS) Theory (Credits: 4) Lecture:60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: * To learn the diversity, structural organization and reproduction of lower organisms – algae, fungi, lichens and present these life form to be progenitors of higher forms life, especially the plants * To introduce the students the economic value of Thallophytes and their utilization by humans Course outcome: On successful completion of the course students will be able to * identify and classify algae and evaluate the significance in their habitats and in economic terms * distinguish and classify fungi and assess their biotic significance * recognize the economic importance of fungi would turn the attention of students to study it * muster knowledge in spotting lichens and consider them and lower plants indispensable and important as organisms of extreme conditions in the biosphere.. ALGAE Unit 1 Classification of Algae 12 Lectures Criteria for algal classification – Fritch's system of algal classification [In brief, general characters at class level only] – Modern trends in algal classification – chief algal divisions and their principal characters: Cyanophyta, Chlorophyta, Bacillariophyta, Phaeophyta and Rhodophyta. Thallus organization, Organells (chloroplast, pyrenoid eyespot, flagella and Gas vacuoles) & Life cycle patterns in algae. Unit 2 Applications of Algae 12 Lectures - Nitrogen fixation by Cyanobacteria. Beneficial and detrimental aspects of algae: Biotechnological applications of algae. Bioluminescence – Algal bloom, Red tide, and Algal toxins. Algae as indicator of water pollution. Role of algae for carbon sequestration. FUNGI Unit 3 Classification of Fungi 12 Lectures Classification of fungi by Alexopolous (1995), recent trends and criteria used in classification (DNA BAR coding in fungi). Fungal mycelium and organization of hyphal apex, Fungal Nutrition(with reference to necrotrophs, biotrophs and symbionts), General account of Myxomycetes, Oomycetes, Zygomycetes, Ascomycetes Basidiomycetes and Deuteromycetes with reference to Plasmodiophora, Phytophthora, Rhizopus,Aspergillus, Puccinia, Colletotrichum and Cystopus. Unit 4 Reproduction and Economic uses of Fungi 12 Lectures Reproduction in fungi; Hormonal control of sexual reproduction; Patterns of Life cycle in fungi; Fungal Cytology: Heterothallism, heterokaryosis, parasexuality. Economic importance of fungi – Mycotoxins, and mycotoxicoses, antibiotics, edible mushrooms. Mycorrhiza –types and significance. LICHEN Unit 5 Nature and Classification of Lichen 12 Lectures Lichens- Nature of the relationship between algae and fungi in Lichens - Habit and habitat – Classification of Lichens. Fine structure of lichen thallus – Internal structure– Special structures: Clyphellae, Cephalodia, Soredia, Isidia and Rhizinae. Reproduction: Asexual reproduction: Fragmentation, Isidia and Soredia – Sexual reproduction – Apothecia of lichen. Economic importance of lichens. Lichen as pollution indicators. Suggested Readings Text Books 1. Ahamadjan V. 1973. The Lichens. Academic press. New Delhi. 2. Gangulee H.C. and Kar A.K. 2011. College Botany (Vol. II). New Central BookAgency. Calcutta. 3. Gibson J.P. and Gibson T.R. 2007. Plant Diversity (Hopkins W.G (Editor). Chelsea House Publishers, New York. 4. Kumar H.D. 1999. Introductory Phycology (2 nd ed.). Affiliated East-West Press Pvt. Ltd. Delhi. 5. Nash III T.H. 2008. Lichen Biology(2 nd ed.). Cambridge University Press, Cambridge. 6. Pandey S.N. and Trivedi P.S. 2013. A textbook of Botany (Vol-I), Vikash Publishing House Pvt. Ltd., New Delhi. 7. Rai M. and Kovics G. (editors). 2010. Progress in Mycology. Scientific Publishers (India). Jodhpur. 8. Raven P.H., Johnson G.B., Losos J.B. and Singer S.R., 2005. Biology. Tata McGraw Hill. New Delhi. 9. Sethi I.K. and Walia S.K. 2011. Text book of Fungi & Their Allies, MacMillan Publishers Pvt. Ltd. New Delhi. Reference Books 1. Alexopoulos C.J., Mims C.W. and Blackwell M. 2002. Introductory Mycology (4 th ed.). John Wiley and Sons (Asia), Singapore. 2.Bellinger E.G. and Sigee D.C. 2010. Freshwater Algae- Identification and Use as Bioindicators. John Wiley & Sons, Ltd, UK. 3. Lee R.E. 2008. Phycology (4 th ed.). Cambridge University Press, Cambridge. 4. Round F.E.1986. The Biology of Algae. Cambridge University Press, Cambridge. HARD CORE –PAPER 2 I Semester PLANT DIVERSITY II (BRYOPHYTES, PTERIDOPHYTES, GYMNOSPERMS AND PALEOBOTANY) Theory (Credits: 4) Course Code: 412 Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: * To learn the diversity, structural organization and reproduction and evolution of organs of Bryophytes, Pteridophytes & Gymnosperms as a perquisite intended towards the extensive colonisation land by flowering plants. * To learn the preserved vestiges of plant life of the geological past and get a grasp changes faced on global climate and environment. Course outcome: On successful completion of the course students will be able to * locate the trivial non-vascular embryophytes, the bryophytes and could identify them as amphibians of plant kingdom * classify and identity these first successful land plants as forerunners of Pteridophytes, * comprehensively review the structural and functional elaboration of free-sporing vascular plants, and * Comprehensively study the strategies involved in the greening of world and infer the evolution of seed plants * study the to identify Gymnosperms and interpret the morphological features as key to structural evolution and ecological adaptations, * examine fossils and could trace the origin and evolution of various groups of plants. BRYOPHYTES Unit 1 Classification, Anatomy and Cytology of Bryophytes 12 Lectures Classification of bryophytes by Rothmaler (1951) (In brief, general characters at class level only). Origin of Bryophytes including fossil evidence - Morphological variations, Anatomical and Cytological studies of Gametophytes and Sporophytes with reference to Hepaticopsida, Anthocerotopsida & Bryopsida- Dehiscence of capsule and dispersal of spores. Evolution of gametophytes and sporophytes –Affinities of Bryophytes - Progressive sterilization of the sporogenous tissue – Ecology of bryophytes(Pollution indicators and monitoring) – Economic importance of Bryophytes. PTERIDOPHYTES Unit 2 Classification of Pteridophytes 12 Lectures Classification (G.M. Smith) of Pteridophytes – General aspects of the Psilopsida, Lycopsida, Sphenopsida and Pteropsida. Origin of Pteridophytes: Telome theory; Origin of leaves; sporophylls & roots; Stelar system in Pteridophytes; Zimmermen's telome theory. Comparative account of the important characters of the Psilotopsida, Eligulopsida and Ligulopsida. Unit 3 Experimental studies in Pteridophytes 12 Lectures Life cycle and biology of Equisetum, sexuality and advances in homosporous & heterosporous ferns, Heterothallism, regulatory role of light, hormonal control of antheridial and archegonial differentiation. Experimental studies on the development of gametophyte – regeneration of gametophyte reproductive physiology in relevance to genetics. Sporophytes in PteridophytesHeterospory and seed habit in Pteridophytes- Economic importance of Pteridophytes. GYMNOSPERMS Unit 4 Classification and Characters of Gymnosperms 12 Lectures Classification of Gymnosperms by K. R. Sporne. General characters of the following orders: Psilophytales, Lepidodendrales, Sphenophyllales and Coenopteridales. Evolutionary tendencies among Gymnosperms – Comparative account of important characters of Cycadopsida, Coniferopsida and Gnetopsida. Primary and secondary structures of wood in cycads and conifers. Organization of male and female cones. Development of male and female gametophytes and embryogeny of class Coniferopsida. Experimental studies and economic importance of Gymnosperms. PALEOBOTANY Unit 5 Fossils and Geological Time Scale 12 Lectures Plate tectonics- Wagner's theory of continental drift - Mega and microfossils - Geological time table – Salientfeatures of Paleozoic Pteridospermae and Mesozoic Pteridospermae. Affinities of the Cordaitales, Resemblances with Cycads, Ginkgoales and Pteridosperms. A detailed study of external, internal morphology and reproduction in the following fossils – Asteroxylonmackiei, Lepidocarpon lomaxi, Lyginopteris oldhamia,Cordaitesand Pentoxylon. Contributions of Indian Paleobotonist- Birbal Sahni. Suggested Readings Text Books 1. Bhatnagar S.P. and Moitra A. 1996. Gymnosperms. New Age International (P) Ltd Publishers. New Delhi. 2. Gibson J.P. and Gibson T.R. 2007. Plant Diversity (Hopkins W.G (Editor). Chelsea House Publishers, New York. 3. Goffinet B. and Shaw A.J. 2009.Bryophyte Biology (2 nd ed.).Cambridge University Press. Cambridge. 4. Pandey B.P. 2012. College Botany (Vol. II). S. Chand & Company Pvt. Ltd. New Delhi. 5. Parihar N.S. 1991.An Introduction to Embryophyta (Vol.I). Bryophyta. Central Book Depot, Allahabad. 6. Rashid A. 1999. An Introduction to Pteridophyta: Diversity, Development, Differentiation(2 nd revised ed.). Vikas Publishing House Pvt Ltd. New Delhi. 7. Sambamurty A.V.SS. 2005. A text book of Bryophytes, Pteridophytes, Gymnospermsand Paleobotany I.K. International Pvt. Ltd. New Delhi. 8. Sporne K.R. 1991. The Morphology of Pteridophytes. B.I. Publishing Pvt. Ltd. Bombay. 9. Sporne K.R. 1974. Morphology of Gymnosperms. Hutchnson University Library. London. 10. Vashishta B.R. 1995. Botany for degree students: Bryophyta. S.Chand & Company Ltd. New Delhi. 11. Vashishta P.C., Sinha A.K. and Kumar A. 2010. Pteridophyta. S. Chand & Company Pvt. Ltd. New Delhi. Reference Books 1. Arnold C.A. 2008. An Introduction to Palaeobotany. Read Books. New York. 2. Stewart W.N. and Rathwell G.W. 1993. Palaeobotany and the evolution of Plants. Cambridge University press. 3. Taylor T.N. and Taylor E.L. 2009. Paleobotany: The Biology and Evolution of Fossil Plants (2 nd ed.). Academic Press, Amsterdam. 4. Tuba Z., Slack N.G. and Stark L.R. 2011. Bryophyte Ecology and Climate Change. Cambridge university press, Cambridge. HARD CORE –PAPER 3 I Semester CELL AND MOLECULAR BIOLOGY Theory (Credits: 3) Lecture:60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: * This course is to understand the basic theoretical concepts and techniques of Cell Biology and Molecular Biology with special reference to plants. * It will facilitate the students to develop an understanding of sub-cellular structural details of plant cells. * This paper shall introduce the constructs on molecular details of the different plant cells enable them to identify the area of interest for research. Course outcome: On successful completion of the course students will be able to * probe and unravel the mysteries of plant life at microscopic and nano scale dimensions * handle modern microscopic and molecular tools with confidence. * hire appropriate tools/ techniques identify and characterize the roles played by each plant cell organelle. * Infer and interpret events like cell division and it molecular mechanism so as to appreciate and manipulate normal and abnormal cell and tissue growth * Know the functions of nuclear genome and would realize the importance in coordinating cell and organelle functions CELL BIOLOGY Unit 1 Introduction to Modern Tools and Techniques of Cell Biology 12 Lectures Light and Electron microscopy, techniques supplementing microscopy (cytochemistry and techniques like microprobe analysis, X-ray diffraction), Cell fractionation and visualization/characterization of various cell fractions. Unit 2 Cell Components and their Functions 12 Lectures Dynamic structure, functions and biogenesis of cell wall and plasma membrane; new insights in structure and function of cytoplasmic cell organelles and biopolymers; nucleus; its components, chromatin structure in eukaryotes, condensation and packaging of DNA in prokaryotes, their dynamic state and role in gene regulation and C-value paradox; structure and function of plant cytoskeletal genes and gene products; protein sorting and intracellular trafficking. Unit 3 Cell Signaling 12 Lectures Signal transduction: receptors and G-proteins and signal transduction pathways, second messengers, regulation of signaling pathways, bacterial and plant two component systems, light signaling in plants. Unit 4 Cell Multiplication and Turnover 12 Lectures Mitosis and meiosis, their regulation, steps in cell cycle regulation and control of cell cycle (Cyclins and CdkS) and apoptosis; Gene structure, regulation and expression in eukaryotes: Gene and promoter architecture, cistrons, regulatory sequences, enhancers and their mechanism of action, DNA replication; transcription - RNA polymerases, transcription factors, Introns, RNA splicing, alternative splicing, RNA stability - cap structure and function, polyadenylation; translation, posttranslational modifications. Unit 5 Organellar Genomes 12 Lectures Endosymbiotic theory -Organization and function of mitochondrial and chloroplast genomes, diversity and evolution of organelle genomes. An over view of chloroplast and mitochondrial functions in cellular energetic - ATP synthase Chloroplast protein targeting to different compartments, mitochondrial DNA and male sterility, transfer of genes and gene products between nucleus and organelles. Suggested Readings CELL BIOLOGY Text Books 1. Gupta P.K. 2005. A textbook of Cell and Molecular Biology, RastogiPublications, Meerut. 2. Gupta P.K. 2005. Cytogenetics, Rastogi Publications, Meerut. 3. De Robertis E.D.P. and De Robertis E.M.P. 2010. Cell and Molecular Biology(8th edition), Lea and Febiger, Philadelphia, USA. 4. Kumar H.D. 1993. Molecular Biology and Biotechnology, Vikas Publishing House, New Delhi 5. Gupta P.K. 2005. Genetics. Rastogi Publications. Meerut. 6. Watson J.D, Baker T.A., Bell S.P., Gann A., Levine M., Losick R. 2014. Molecular Biology of the Gene (7 th edition), Pearson Press. Reference Books 1. Alberts B., Johnson A.D., Lewis J., Morgan D., Raff M.. 2018. Molecular Biology of the Cell, Academic Press, Garland Science. 2. Krebs J. E., Goldstein E. S. and Kilpatrick S. T. 2011. Lewin's Genes X (10 th ed.),Jones and Bartlett Publishers. MOLECULAR BIOLOGY Text Books 1. Allison L.A. 2007. Fundamental Molecular Biology. Blackwell Publishing. U.S.A. 2. Gupta P.K. 2005. A textbook of Cell and Molecular Biology, Rastogi Publications, Meerut 3. Henry R.J. 1997. Practical applications of Plant Molecular Biology, Chapman & Hall, London, UK. 4. Friefelder D. 1987. Molecular Biology (2nded.). Narosa Publishing House. New Delhi. 5. Kumar H.D.1993. Molecular Biology and Biotechnology, Vikas Publishing House, New Delhi. 6. Sheeler P. and Bianchi D.E. 2006. Cell and Molecular Biology (3rd edition). Wiley India (P.) Ltd. New Delhi. 7. Verma P.S. and Agarwal V.K. 2009. Molecular Biology. S.Chand & Company Ltd. New Delhi. 8. Watson J.D., Baker T.A., Bell S.P., Gann A., Levine M. and Losick R. 2004. Reference Books 1. Bruce Alberts, 2008. Molecular Biology of the Cell(5 th ed.), Garland Science 2. Becker W.M., Kleinsmith L.J., Hardin J. and Bertoni G. P. 2009. The World of theCell (7 th ed.). Pearson Benjamin Cummings Publishing. San Francisco. 3. Cooper G.M. and Hausman R.E. 2009. The Cell: A Molecular Approach (5 th ed). ASM Press & Sunderland, Washington, D.C.; Sinauer Associates, MA. 4. De Robertis E.D.P. and De Robertis E.M.F. 2006. Cell and Molecular Biology (8 th ed.). Lippincott Williams and Wilkins. Philadelphia. 5. Karp G. 2010. Cell and Molecular Biology: Concepts and Experiments (6 th ed.). John Wiley & Sons. Inc. New York. 6. Lodish H., Berk A., Kreiger C. A. Scott, M. P. A. Bretscher H., Ploegh P., Matsudaira.2008. Molecular Cell Biology(6 th ed.), W.H. Freeman. 7. Old R.W. and Primrose S.B. 2006. Principles of Gene Manipulation (7 th edition). Blackwell Scientific Publications, Oxford, UK. (Ebook: https://pdfs.semanticscholar.org/4263/86452b4eaac2f77324b6f70bfa78f7de70a7.pdf) 8. Smith- Keatry P. 1991. Molecular Genetics, MacMillan Publication Co. Ltd. London. HARD CORE –PAPER 4 I Semester PRACTICAL – I (PLANT DIVERSITY I) Practical (Credits: 2) Lecture: 30 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: * To make the learner locate and identify cryptogams and fungi * investigate the internal and external features of lower plants through a rounded handson experience Course outcome: * On successful completion of the course students will turn competent in identifying the lower life forms and primitive plant species by its morphological features and reproductive structures and shall effectively ad positively handle them in use for human welfare. SUGGESTED LABORATORY EXERCISES Algae Study of the morphology and internal structure of the algae with particular reference to the following forms, including locally available forms: Oscillatoria, Spirulina, Anabaena, Microcystis, Scytonema, Tolypothrix, Westiellopsis, Cylindrospermum, Chlorella, Desmids, Ulva, Caulerpa, Halimeda, Diatoms, Padina, Dictyota, Sargassum, Gracilaria. Isolation and culture of algae from fresh and marine water Fungi Isolation and identification of fungi from bread, soil, seed and dung. Identification ofthe following genera – Rhizopus, Pilobolus, Penicillium, Trichoderma, Fusarium, Curvularia and Alternaria. Sectioning of – Agaricus, Polyporus, Peziza & Xylaria Lichens Usnea, Parmelia thallus and Lichen Apothecium for sectioning. Suggested Readings 1. Kumar H.D. 1988. Introductory Phycology. Affiliated East-West Press Ltd, New Delhi. 2. Round F.E.1986. The Biology of Algae. Cambridge University Press, Cambridge. 3. Alexopoulus C.J., Mims C.W. and Blackwel M. 1996. Introductory Mycology, JohnWiley &Sons Inc. 4. Ahamadjan V. 1973. The Lichens. Academic Press. New Delhi. 5. Aneja, K.R. 1993. Experimens in Microbiology, Plant Pathology and Tissue Culture. New Age International Publishers. HARD CORE –PAPER 5 I Semester PRACTICAL – II (PLANT DIVERSITY II & CELL AND MOLECULAR BIOLOGY) Practical (Credits: 2) Course Code: 415 Lecture: 30 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: * To understand the morphological features of plant amphibians and primitive vascular terrestrial plants * To understand the growth, development of plant organs, somatic and reproductive cell division processes. * To inculcate the structure and functions of the cell and project it as a fundamental unit of life Course outcome: On successful completion of the course students will be able to identify major groups of bryophytes, pteridophytes and gymnosperms and know their academic and applied utility. * take up fossil collections to compare external and internal features of present day pteridophytes & gymnosperms and draw insights on past and present ecological crisis * The student will be able to identify the type of organelles and determine their functions that they may see the cell system as self contained entity. SUGGESTED LABORATORY EXERCISES Bryophytes Morphological and Anatomical studies of the following specimens – Marchantia, Targionia, Reboulia, Dumortiera, Pallavicinia. Porella, Anthoceros, Polytrichumand Sphagnum. Pteridophytes Study of morphology, anatomy and reproductive structures of Psilotum, Lycopodium, Selaginella, Equisetum, Isoetes, Lygodium, Gleichenia, Pteris, Ophioglossum, Ceratopteris, Marsilea, Azolla and Adiantum. Gymnnosperms Study of morphology, anatomy and reproductive structures of Cycas, Pinus, Araucaria, Ginkgo biloba, Podocarpus, Gnetum, Cupressus, Thuja. Paleobotany Study of important fossil forms from slides and specimens- Asteroxylon mackiei, Lepidocarpon lomaxi, Lyginopteris oldhamia, Cordaitesand Pentoxylon. Cell and Molecular Biology 1. Isolation and purification of nuclei and their staining with Feulgen stain or DAPI. 3. Isolation of chloroplasts 2. Isolation of mitochondria and their visualization with Janus green B 4. Comparing the effect of some physical and chemical factors on the efficiency of photosynthetic electron transport. 5. Study of different stages of mitosis in onion root tip tissues 7. To study the effect of inhibitors and uncouplers on the activity of succinic dehydrogenase, a marker enzyme of mitochondria. 6. Study of different stages of meiosis in anther. 8. Isolation of RNA, quantification and visualization on gel. In situ visualization of microfilaments and microtubules by fluorescent labeling. 9. In silico analysis (sequence comparison) of mitochondrial and chloroplast genes for identification of the loci for interspecific discrimination. 10. Multiple sequence alignment and ontology based database searches on selected plant cytoskeletal genes to deciphering the molecular phylogeny of cytoskeleton genes. 11. Immunostaining of nuclei, chloroplast and/or mitochondria. 13. Induction of polyploidy using colchicines 12. Feulgen staining of nucleic acids in onion root tissues Suggested Readings PLANT DIVERSITY II 1. Agrawal A. A text book of Botany (vol.III) (Diversity of Pteridophytes Gymnosperms & paleobotany) Theory & Practical. KNRN Publications, Meerut, U.P. 2. Sambamurty A.V.SS. 2005. A Text Book of Bryophytes, Pteridophytes, Gymnospermsand Paleobotany. I.K. International Pvt. Ltd. New Delhi. 3. Sporne, K.K. 1991. The Morphology of Pteridophytes. B.I. Publishing Pvt. Ltd. Bombay. 4. Sporne,K.R. 1974. Morphology of Gymnosperms. Hytchnson Univ. Library. London. 5. Vasishta B.R., Sinha A.K. and Anil Kumar. 2005. Pteridophyta. S. Chand & Co. Ltd. New Delhi.c CELL BIOLOGY 1. George M Malacinski . 2015. Freifelders Essentials Of Molecular Biology (4 th ed.). Jones & Bartlett. 2. De Robertis E.D.P. and De Robertis E.M.P. 2017. Cell and Molecular Biology (8 th ed.) (South Asian Edition), Lea and Febiger, Philadelphia, USA. 3. Gupta P.K. 2017. Cell and Molecular Biology (5 th ed.), Rastogi Publications, Meerut. 4. Gupta, P.K. 2018. Cytogenetics, Rastogi Publications, Meerut. 5. Gupta, P.K. 2012. Cell Biology and Genetics. Rastogi Publications. Meerut. 6. Kumar, H.D. 2007. Molecular Biology and Biotechnology, Vikas Publishing House, New Delhi. 7. Krebs J.E., Goldstein E.S. and Kilpatrick S.T. 2017. Lewin's GENES XII (12 th ed.). Jones & Bartlett Learning, ISBN-13: 978-1284104493, ISBN-10: 1284104494. MOLECULAR BIOLOGY 1. De Robertis E.D.P. and De Robertis E.M.P. 2017. Cell and Molecular Biology (8 th ed.) (South Asian Edition), Lea and Febiger, Philadelphia, USA. 2. Gelvin, S.B., Schilperoort, R.A. (Eds.). 2000. Plant Molecualr Biology Manual. 3. Gupta P.K. 2017. Cell and Molecular Biology (5 th ed.), Rastogi Publications, Meerut. 4. Henry, RJ 1997, Practical applications of plant molecular biology, Chapman & Hall, London. 5. Kumar H.D. 2007. Molecular Biology and Biotechnology (2 nd ed.), Vikas Publishing House, New Delhi 6. Krebs J.E., Goldstein E.S. and Kilpatrick S.T. 2017. Lewin's GENES XII (12 th ed.). Jones & Bartlett Learning. 7. Malacinski G.M. 2008. Freifelder's Essentials of Molecular Biology (4 th ed.), Narosa Publishing House, New Delhi. 8. Primrose S.B. and Twyman R.M. 2006. Principles of Gene Manipulation and Genomics. Blackwell Publishing, U.K. 9. Schuler M.A. and Zielinski R.E. 2012. Methods in Plant Molecular Biology. Academic Press. SOFT CORE –PAPER 1 I Semester PATHOGENS AND PESTS OF CROP PLANTS Theory (Credits: 3) Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: * To provide an exposure on the nature of diseases to crop plants. * To introduce the type of pathogens of plants. Course outcome: On successful completion of the course students will be able to * recognize and identify diseases using systems and find ways means to adopt control measures. * identify bacteria diseases and draw inferences on etymology and control * study fungal diseases interns of their causes , control and management * distinguish diseases and disorders caused by insects and nematodes and deal with them appropriately Unit 1 Plant pathogen: Viruses 12 Lectures General characteristics of plant pathogenic viruses with reference to the initiation, cause, control and spread of viral diseases, and deal with host specificity control mechanisms concerning genetics, chemical treatments and genetic engineering. Unit 2 Plant pathogen: Bacteria 12 Lectures General characteristics of plant pathogenic Bacteria with reference to the following: Life cycles, Nature of disease(s) and damage caused, Host range, Control mechanisms based on genetics, chemical treatments, biological control in the context of analyzing the disease triangle Unit 3 Plant pathogen: Fungi 12 Lectures General characteristics of phtyopathogenic Fungi pondering on life cycles of the germ, Nature of damage caused on host dealing with control strategies based on genetics, mechanicals, chemical and biological control and work hesitance mechanism Unit 4 Plant pathogen: Insects and Nematodes 12 Lectures General characteristics of plant pathogenic Insects and Nematodes with reference to the loss incurred in productivity and study the life cycles of pests, nature of disease(s), damage caused on host and explore the mechanism and management of select diseases Unit 5 Case studies of pathogens 12 Lectures Case studies of economically important causative agents with specific references to case studies on: 1. Plant-virus interactions with emphasis on potyviruses and horticultural crops. 2. Plant-bacterial interactions with emphasis on Erwinia sp. and potatoes. 3. Plant-fungus interactions with emphasis on Magnaporthe sp. and rice. 4. Plant-nematode interactions with emphasis on Meloidogyne sp. and tomato. 5. Plant-Insect interactions with emphasis on Pieris sp. and crucifers. Suggested Readings Text Books 1. Agrios G.N. 2005. Plant Pathology, 5 th edition. Vikas publications. New Delhi 2. Buchanan B., Gruissem G. and Jones R. 2000. Biochemistry and Molecular Biology ofPlants, American Society of Plant Physiologists, USA. 3. Roberts D.A. Boothroyd C.W.1984. Fundamentals of Plant Pathology (2 nd edition). CBCS Publishers & Distributors, Delhi. 4. Sethi I.K. and Walia S.K. 2011.Text book of Fungi & Their Allies, MacMillan PublishersPvt. Ltd. New Delhi. Reference Books 1. Burns R. (editor). 2009. Plant Pathology- Techniques and Protocols. Humana Press, LLC. 2. Talbot N.J. (editor). 2004. Plant–Pathogen Interactions. In: Annual Plant Reviews. Blackwell Publishing Ltd., UK. SOFT CORE –PAPER 1 I Semester APPLIATIONS OF ALGAE, ENVIRONMENT AND HUMAN WELFARE Theory (Credits: 3) Course Code: 416 Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: * This course is to provide a good working knowledge on organization, reproduction, classification and industrial applications of algae with reference their environment. * Also introduces the concept on algal cultures in laboratory and biofuel production. * The students would be introduced with the role of algae in combating global warming. Course outcome: * Students would be able to identify different algal forms by their external morphology. * Students could compare different algal groups based on their genetic makeup. * Many algal products and bioactive compounds could be isolated by the students. * Algal cells can be cultured through tissue culture and aquaculture procedures. * Algal cells could be used as biofuel producers and agent to reduce global warming. Unit 1 Diversity and distribution of the algae 8 Lectures Thallus organization, cell structure and reproduction in various groups. Chlamydomonas and Porphyra as model experimental systems. Unit 2 Classification of Algae 14 Lectures Molecular taxonomy – recent developments in algal classification, emerging trends in molecular phylogeny and inter relationship of principal groups of algae: Cyanophyta, Chlorophyta, Phaeophyta and Rhodophyta. Unit 3 Industrial Phycology 14 Lectures Products, processes and applications, seaweeds polysaccharides: Agar, Carrageenan and Alginates. Bioactive compounds from algae: Bio-fertilizers; Algae in bioengineering, photobioreactors and raceway ponds. Unit 4 Algal Biotechnology 12 Lectures Historical perspectives, algal culturing techniques in the laboratory, tissue and cell culture studies in seaweeds, cryopreservation, aquaculture (micro and macroalgae cultivation), bioremediation. Unit 5 Recent developments and future of algal biotechnology 12 Lectures Algal biofuels – algal biodiesel, bio-ethanol and biological hydrogen production; Algae in global warming – carbon capture by algae. Suggested Readings Text Books 1. Cole K.M. and Sheath RG. 1990. Biology of the Red Algae. Cambridge University Press, Cambridge. 2. Fritsch F.E. 1945. The Structure and Reproduction of Algae. Vol. II. Cambridge University Press. Cambridge, London. 3. Isabella A. Abbott, George J. and Hollenberg. 1993. Marine Algae of California. Stanford University Press. USA. 4. Lee R.E. 1989. Phycology (vol. II). Cambridge Univ. Press. Cambridge, USA. 5. Sahoo D. and Qasim S.Z. (Editors), 2002. Sustainable Aquaculture. APH Publishing Corporation, New Delhi, India. 6. South G.R. and Whittick A. 1987. Introduction to Phycology. Blackwell Scientific Publications. London. Reference Books 1. Andersen R.A. 2005. Algal Culturing Techniques. Physiological Society of America. Elsevier Academic Press, USA. 2. Lee R.E. 2008. Phycology (4 th ed.). Cambridge University Press, Cambridge. Journals Journal of Applied Phycology Journal of Phycology European Journal ofPhycology Phycologia Botanica Marina. SOFT CORE –PAPER 1 I Semester CAMPUS ECOLOGY Theory (Credits: 3) Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: * To present course aimed at giving quality education on the basics of ecosystem, in order to give a clean atmosphere within the campus. * To offer information and inspire learner with the information on uniqueness of the flora and fauna in the campus will tickle the young mind with a vision towards the biodiversity of the campus ecosystem. * To impress upon the student the need to be egocentric that after the completion of the course students will be able to understand, appreciate and conserve the nature. Course outcome: On successful completion of the course students will be able to * appreciate the history and establishment of the campus which is an important heritage marvel and the origin. * understand the biodiversity abode with reference to changes in seasonal variations of the flora, fauna and the risks related to spread of exotic plants * realize the ecoclimatic conditions prevailing in a campus in the context of preserving the serenity of the campus, and proactively take part in efforts taken by the administration to maintain the ecological harmony mainly concentrating on water crisis and conservation. * comprehend the reason behind the importance cleanliness of the campus by way of solid waste disposal and also to ensure the campus upkeep. Unit 1 Understanding the campus 12 Lectures Origin and history – departments – etymology – building designs – architecture – various facilities – organizational set up – satellite campus – origin and history – beneficiaries. Unit 2 Biodiversity 12 Lectures Flora and fauna – seasonal variations – exotic plants and weeds – horticultural species – arboretum – species of birds and animals – importance of flora and fauna Unit 3 Ecoclimate 12 Lectures Serenity of the campus – ecological factors – rainfall – temperature – altitude – impact of plants – campus as an ecosystem – litter fall – rain water harvesting – water crisis and conservation. Unit 4 Waste regulation 12 Lectures Waste disposal – litter vs solid waste – basics of solid waste management – pollution (air, water and environment) – ecological ethics – importance of diversity – atmospheric cleanliness – future scope. Unit 5 Eco-watching 12 Lectures Tree cover – qualitative and quantitative analysis: belt transect (density, abundance and frequency) – basics of bird watching – unique trees and animals – litter drop method – basics of aerobiology. Suggested Readings Text Books 1. Odum E. and Barrett G.W. 2005. Fundamentals of ecology. Cenage Learning India Private Limited. 2. Sharma, P. D. 2017. Ecology and Environment. Rastogi Publications. 3. Cokulraj, Uma, and Kadavul K. 2016. Flora of Tagore Arts College. B.Sc. Dissertation submitted to Pondicherry University. Reference Books 1. Anonymous 2005. The American college Commemoratory publication SCILET 2. Bor N. L.and Raizada M.B. 2000 Some Beautiful Indian Climbers and Shrubs, Bombay Natural History Society. Bombay 3. Mc Cann, C. 1966. 100 Beautiful trees of India – A descriptive and pictorial handbook. D.B. Taraporevala Sons & Co Private Ltd, Bombay. 4. Sahni K C. 1998. The Book of Indian Trees. Bombay Natural History Society. Bombay. 5. Santapau H. 1966. Common trees, India land and the people, National book Trust India New Delhi. HARD CORE –PAPER 6 II Semester PLANT MORPHOGENESIS Theory (Credits: 4) Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: * This course is to inculcate in students the appreciation of architectural marvel of plants and to explore the various developmental stages involved in it. * The types of building blocks and the engineering mechanisms involved in tissue assembly and organ development would be unraveled. * The vegetative growth and the reproductive ability of the immobile entity as plants would be studied at the experimental level. Course outcome: On successful completion of the course students will be able to * look at plant development from holistic view point and appreciate plans and the processes involved * know the types of tissues and find the importance of their form and functions in constituting the plant body. * probe the growth of plant cells and organs and identify the principles involved coordination specially with reference to plant growth substances. * profitably manipulate the process of reproduction in plants with a professional and entrepreneurial mindset. Unit 1 Organization of land plants 12 Lectures Exomorphic design – internal morphology and histological diversity – unique and general attributes of plant growth – plant structure viewed in terms of functions – cell as a building block – developmental potential of zygote, shoot and root meristem – embryogenic, somatic and reproductive phases of plant development. Unit 2 Developmental anatomy 12 Lectures Uniqueness of meristematic cell – Shoot Apical Meristem (SAM)– theories and contemporary views– parenchyma as a filler and feeder – wall thickening and cytological variations in collenchyma and sclerenchyma – axial and appendicular structures – shoots – leaf differentiation and leaf expansion – plastochron –phyllotaxy – mechanism of axial and radial growth – polarity – histogenesis – lateral meristem (vascular and cork cambium) – xylem – phloem – secondary growth and anomaly – environmental control – special structures (velamen, hydathodes and laticifers). Unit 3 Growth and Development 12 Lectures Mechanics of cell cycle and cell division – Growth curve and relative growth rate (RGR) – growth pattern – Plant Growth Regulators: bioassay and biosynthesis – mode of action of classical hormones, Brasinosteriods, Jasmonic Acid –Phytochromes and Photoperiodism – Biological Clock – Plant Movements – Biochemical and Hormonal Integration – Signal Transduction – Genetic Control – Growth Measurement – Aging – Senescence, Abscission – Dormancy – Programmed Cell Death(PCD). Unit 4 Reproductive Biology 12 Lectures Organization of floral meristem – protective and generative organs of a flower – floral evocation – Control of florogenesis: ABC model –microsporogenesis and pollen development – megasporogenesis and female gametophytes – genic and cytoplasmic male sterility – Floral and extrafloral nectories –Protection and pollination behavior – pollen – pistil interactions and sexual incompatibility– syngamy, post-fertilization changes (embryo, seed, fruit development). Unit 5 Experimental morphogenesis 12 Lectures Plant growing structures – controlled and precision farming. Nursery practices – propagation through cutting, layering, grafting – Seed science – traditional and hybrid seed production – grain filling – parthenocarpy and applications (seedless, shelf - life) – commercial dimensions of flower, seed, fruit and grain production – Case studies on rubber, tea 'banji' removal and Jasmine production. Suggested Readings Text Books 1. Burgess J. 1985. An Introduction to plant cell development. Cambridge University Press. ISBN 0 5213 0273 0. 2. Evert R.F. 2006. Esau's Plant Anatomy: Meristems, Cells, and Tissues of The Plant Body: Their Structure, Function, and Development (3 rd edition). John Wiley & Sons, Inc., Hoboken, New Jersey. 4. Fahn A 1989. Plant Anatomy. Pergamone Press. 5. Johri B. M. 1982. Experimental Embryology of Vascular Plants – Springer – Verlag. 6. Suárez M.F. and Bozhkov P.V. 2008. Plant Embryogenesis. Humana Press, LLC. Reference Books 1. Lyndon R. F. 1990 Plant development: The cellular basis Unwin Hyman Publication. ISBN00458 1032 X. 2. Maheshwari P. 1985. An introduction to the embryology of angiosperms, Tata McGraw Hill. 3. Raghavan V. 1986. Embryogenesis in Angiosperms, Cambridge University Press, 4. Raghavan V. 1997. Molecular Basis for Plant Development, Cambridge University Press. 5. Wardlaw C. W. 1952. Plant Morphogenesis. Mac Millan & Co Ltd. London. HARD CORE –PAPER 7 II Semester TAXONOMY OF ANGIOSPERMS Theory (Credits: 4) Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: * To introduce a help students understand the fundamental concepts of plant Ecology * To enhance the knowledge of the students in wide array of plant and their interaction with the environment. Course outcome: On successful completion of the course students will be able to * understand the underlying mechanism of using floral and somatic traits as vqlid basis for classifying plants * identify and name the plants and this would lead to documentation of floral wealth * Distinguish Dicot and Monocot families with specific examples and engage themselves scientifically evaluating nature and planet earth's treasures. Unit 1Plant Nomenclature 12Lectures Plant Species concept, Taxonomical Hierarchy, Salient features of ICBN, Typification, Priority, Homonyms and Tautonyms. Taxonomic evidences: Morphology, Anatomy, Palynology, Embryology, Cytology, Phyto-chemistry, Genome analysis and nucleic acid hybridization. Advanced Morphology: Origin and evolution of flower- Co- evolution of flower and pollinator; origin and evolution of polypetalae, sympetalae, stamens and carpels; Staminodia. Nectaries; types and evolution of ovaries, placenta. Unit 2 Classification of Angiosperms 12 Lectures System of angiosperm classification: phonetic versus phylogenetic systems; cladistics in taxonomy; relative merits and demerits of major systems of classification; Artificial (Linnaeus), Natural (Bentham and Hooker), Phylogenetic(Hutchinson) and Modern (Cronquist) systems, relevance of taxonomy to conservation. Unit 3 Polypetalae Families 12 Lectures Study of the following Polypetalae families and their economic importance: Nymphaeaceae, Papaveraceae, Brassicaceae, Caryophyllaceae, Tiliaceae, Menispermaceae, Portulacaceae, Meliaceae, Rosaceae, Myrtaceae, Passifloraceae, Apiaceae, Sapindaceae, Vitaceae. Unit 4 Gamopetalae Families 12 Lectures Investigation of the following Gamopetalae families and their economic importance: Sapotaceae, Gentianaceae, Boraginaceae, Bignoniaceae, Acanthaceae, Scrophulariaceae, Pedaliaceae, Verbanaceae. Unit 5 Monochlamydeae and Monocotyledonae 12 Lectures Evolution and study of selected Monochlamydeae & Monocotyledonae families and theireconomic importance of Moraceae, Nyctaginaceae, Loranthaceae, Casuarinaceae, Aristolochiaceae, Amarillidaceae, Orchidaceae, Commelinaceae, Araceae, and Cyperaceae, and study their economic and ecological importance. Suggested Readings Text Books 1. Cole A. J. 1969. Numerical Taxonomy, Academic Press, London. 2. Davis P. H. and Heywood, V.H. 1973. Principles of Angiosperms Taxonomy. Robert E. Kreiger Pub. Co. New York. 3. Grant V. 1971. Plant Speciation. Columbia University Press, New York. 4. Harrison H.J. 1971. New Concept in Flowering Plant Taxonomy. English Language Book Soc. & Edward Arnold Pub. Ltd., London. 5. Henry A.N, M. Chandrabose. 1980. An aid to International code of Botanical Nomenclature Today & Tomorrow's Printers and Publishers. New Delhi. . 6. Jain S.K. and Rao R.R. 1977. A Handbook of Field and Herbarium Methods. Today & Tomorrow's Printers and Publishers. New Delhi. 7. Jones S.B.Jr. and Luchsinger A.E. 1986. Plant Biosystematics (2 nd ed.).McGrew Hill Co., New York. 8. Kumaresan V. and Annie R. 2013. Taxonomy-Systematic Botany, Economic Botany, Ethnobotany. Saras Publication. Nagercoil. 9. Lawrence G.H.M. 1951. Taxonomy of Vascular Plants. Oxford & IBH Co. Pvt. Ltd. New Delhi. 10. Pandey B.P. 2005. Taxonomy of Angiosperms. S.Chand & Company Pvt. Ltd. New Delhi. 11. Pandey B.P. 2010. Modern Practical Botany (Vol. II). S.Chand & Company Ltd. New Delhi. 12. Pandey B.P. 2012. College Botany (Vol. II). S.Chand & Company Pvt. Ltd. New Delhi. 13. Singh G. 2012. Plant Systematics: Theory and Practice (3rded.). Oxford & IBH Pvt. Ltd. New Delhi. 14. Sivarajan V.V. 1991. Introduction to the principle of plant Taxonomy. Oxford IBH Publication Pvt Ltd, New Delhi. 15. Solbrig O.T. 1970. Principles and Methods of Plant Biosystematics. The MacMillan Co-CollerMacMillan Ltd., London. 17. Subramaniam, N.S. 1996. Laboratory Manual of Plant Taxonomy. Vikas Publishing House Pvt. Ltd., New Delhi. Reference Books 1. Grant, W.F. 1984. Plant Biosystematics. Academic Press, London. 2. Henry R.J. 2005. Plant Diversity and Evolution: Genotypic and Phenotypic Variation in Higher Plants. CABI Publishing, CAB International, UK. 3. Heywood, V.H. and Moore, D.M. 1984. Current Concept in Plant Taxonomy, Academic Press, London. 4. Hutchinson, J. 1973. The Families of Flowering Plants. 3rd Edition. Oxford University Press. Oxford. 5. Mathews, K.M. 1983. Flora of a Tamil Nadu Carnatic Vol I-VI. Rapinat Herbarium, Trichy. 6. Nordenstam,B., El Gazaly, G. and kassas, M. 2000. Plant Systematics for 21 st Century. Portland Press Ltd., London. 7. Rendle A.B. 1967, Classification of flowering plants, Cambridge University Press , Cambridge. 8. Simpson M.G. 2006. Plant Systematics. Elsevier Academic Press. San Diego, CA, U.S.A. 9. Takhtajan, A.L. 1997. Diversity and Classification of Flowering Plants. ColumbiaUniversity Press, New York. 10. Gamble JS (1935), Flora of Presidency of Madras, London. HARD CORE –PAPER 8 II Semester ECOLOGY AND BIODIVERSITY CONSERVATION Theory (Credits: 3) Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: * To examine and understand the basic concepts of plant ecology as e scientific study of environment * To enhance the knowledge of the students and equip them in assessing and protecting invaluable components of nature and the interactions in environment. Course outcome: On successful completion of the course students will be able to * Identify different plant communities, categorize plant biomes and identify threatened, endangered plant species. * Students will spot the sources and pollution and seek remedies to mitigate and rectify them. * Guard various plant resources that they may be effectively and sustainably utilized for human welfare. Unit 1 Vegetation organization and Development 12 Lectures Plant Community concepts and their characteristics, ecological succession, nutrient cycling, structure and function of ecosystem, biogeochemical cycle of C, N, P & S, population & the environment, ecads and ecotypes. Unit 2 Vegetation pattern and Biological diversity 12 Lectures Major biomes and vegetation, soil, concept of biodiversity, IUCN categories of threat, speciation and extinction, inventory, hot spots, endemism, plant introductions, biodiversity and ecosystem, local plant diversity and its socio– economic importance. Unit 3 Ecological Pollution and Management 12 Lectures Air Pollution, Water Pollution & Soil Pollution(sources, effects on plants and ecosystem, control measures), Climatic change, Green House Effect: Green House Gases, Global warming, Ozone layer depletion, UV radiation and their impacts on vegetation, Environmental Impact Assessment, Ecosystem restoration, Sustainable development. Unit 4 Plant resources 12 Lectures Plant resources – Global and national scenario (terrestrial and marine),various utility values of plant resources (food, fodder, timber, medicinal, aromatic, oil, ornamental, ethical, aesthetic and option values), Ecosystems in India with rich biological diversity (mangroves, coral reefs, wetlands and sub-tropical forests) and threats to these resources (natural and manmade). Unit 5 Conservation and Management of Biodiversity 12 Lectures Need for conserving the biodiversity, International and National aid, policies and legal assistance, detailed account on In-situ and Ex-situ conservation methods. Suggested Readings Text Books 1. Ambasht R. S. 1990. A Text Book of Ecology. Students Friends Publications,Varanasi. 2. Berlatsky (2013) Biodiversity – Global Viewpoints. Gale Cengage Publishers. 3. Krishnamurthy K.V. 2004. An Advanced Textbook on Biodiversity – Principles and Practice, Oxford and IBH Publishing, New Delhi. 4. Sharma P.D. 2011. Ecology and Environment. Rastogi Publications, Meerut. 5. Singh J.S., Singh S.P. and Gupta S.R. 2014. Ecology, Environmental Science and Conservation. 4 th Edition. S. Chand & Company Pvt. Ltd. 6. Stiling P. 2015. Ecology: Global Insights & Investigations (2 nd edition). McGraw-Hill international edition. Reference Books 1. Odum E.P. and Barrett G.W. 2018. Fundamentals of Ecology. JayPee Brothers Medical Publishers. HARD CORE –PAPER 9 II Semester PRACTICAL – III (PLANT MORPHOGENESIS) Practical (Credits: 2) Lecture: 30 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: To make learners understand the morphological features and help them appreciate the designs of plant growth and development To enable students understand the nitty-gritty of the development of plant organs and productive process conferring them their reliance in plant evolution Course outcome: On successful completion of the course students will be able to * identify the plant a composite being with a fine- tuned arrangement of development and functions * scientifically study contributions of cells, tissues and organs in the making somatic structures and flowers in a plant Suggested Laboratory Exercises 1. Morphology and adaptations of flowering plant. 2. Growth pattern. 3. Internal morphology of the monocot and dicot root and shoot. 4. Investigation of secondary growth and wood anatomy. 5. Anomalous secondary growth in selected plants. 6. Study on leaf: Anatomy, Trichomes, Phyllotaxy and Stomatal apparatus. 7. Plant organs of special purpose – Floral, extra floral nectaries, laticifers. 8. Observation on primary, secondary meristems and nodal anatomy. 9. Maceration techniques and study of plant tissues. 10. Types and variations in inflorescences and flowers, floral modification. 11. Organization of anther and pollen (pollen wall patterns, pollen germination) 12. Study on ovary, ovules and their modification. 13. Isolation of plant embryos and embryonal tissues. 14. Group work: a. Vegetative propagation techniques: Budding, Layering, Cuttage and Graftage: b. Microtomy and permanent slide preparations. 15. Submission: A minimum of 5 double stained permanent sections. b. Record and \ observation note book. Wax blocks and slides mounted with wax ribbons. 16. Group report on a ontogenetic change in selected plant. Suggested Readings 1. Esau K. 1977. Anatomy of seed plants. Wiley Eastern, Publ. ISBN 0 4712 45208. 2. Esau K. 2002. Plant anatomy, John Wiley and Sons. ISBN 9 8141 2649 7. 3. Fahn A. 1989. Plant Anatomy. Mac Millan Pub. New York. ISBN 008 028030 7 4. Johri B.M. 1982. Experimental Embryology of Vascular Plants – Springer – Verlag, Nerlin. ISBN 3 5401 0334 1. 5. Maheshwari P. 1985. An introduction to the embryology of angiosperms, Tata McGraw Hill, ISBN 0 0709 9434 X. 6. Raghavan V., 1986 Embryogenesis in angiosperms, Cambridge University Press. HARD CORE –PAPER 10 II Semester Practical- IV (TAXONOMY OF ANGIOSPERMS &ECOLOGY AND BIODIVERSITY CONSERVATION) Practical (Credits: 2) Course Code: 425 Lecture: 30 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: * This course will provide practical knowledge on how to prepare herbarium. * The lab exercise will facilitate the students to understand the characters of plant species. * Students will be given an opportunity to study a plant of his/her choice in detail that the patterns and designs of plant morphogenesis is followed and understood closely Course outcome: On successful completion of the course students will be able to * to independent identify and study plants at family, genus and species level. * get motivated to recognize and classify plants and preserve them as resources for posterity * study the plant communities at different localities of known and unknown destinations. Suggested Laboratory Exercises TAXONOMY OF ANGIOSPERMS 1. Description of specimens from representative, locally available families. 2. Description of various species of a genus; location of key characters and preparation of keys to generic level. Location of key characters and use of keys at family level. Training in using floras and herbaria for identification of specimens described in the class. 3. Demonstration of the utility of secondary metabolites in the taxonomy of some appropriate genera. 4. Comparison of different species of a genus and different genera of a family to calculate similarity coefficient and preparations of dendrograms. 5. A study tour under the supervision of lecturers to a place of botanical interest. Note: The students are required to prepare and submit a brief account of the field survey and 30 herbarium sheets of wild plants. ECOLOGY AND BIODIVERSITY CONSERVATION 1. To calculate mean, variance, deviation, standard error, students t- test, Chi squire testfor comparing two variables related to ecological data. 2. To find out relationship between two ecological variables using Correlation co-efficient and Regression equation. 3. To determine Minimum Size/ number of Quadrat required for the vegetation analysis in a given area. To estimate biomass in grassland ecosystem. 5. To study the Community by quadrat method by determining frequency, density, abundance and importance Value Index 6. To determine soil moisture, porosity and bulk density and water holding capacity ofsoil collected from varying depth at different locations. 7. To estimate chlorophyll content in SO2 fumigated and unfumigated plant leaves. 8. To estimate dissolved oxygen content in water samples collected from different sources. 9. To perform simple test for tannins/alkaloid/oil/Starch /Protein. 9. Primary productivity measurement using Light and Dark Bottle method. 10. Field visit to any of the protected habitat or ecosystem with rich biological diversity to assess and document the values and threats. 11. Scientific visit to institutes which are involved in conserving biological diversity to learn the conservation strategies. Suggested Readings TAXONOMY OF ANGIOSPERMS 1. Hutchinson, J. 1973. The Families of Flowering Plants. 3rd Edition. Oxford University Press Oxford. 2. Lawrence, G.H.M. 1951. Taxonomy of Vascular Plants. The Macmillan Company. New York. 3. Subramaniam, N.S. 1996. Laboratory Manual of Plant Taxonomy. Vikas Publishing House Pvt. Ltd., New Delhi. 4. Takhtajan, A.L. 1997. Diversity and Classification of Flowering Plants. Columbia University Press, New York. ECOLOGY AND BIODIVERSITY CONSERVATION 1. Groombridge B. (editor). 1987. Global Biodiversity: Status of Earths Living resources, Chapman & Hall, London. 2. Odum E.P. and Barrett G.W. 2018. Fundamentals of Ecology. JayPee Brothers Medical Publishers. 3. Sharma P. D.1988 Elements of Ecology, Rastogi Publications, Meerut. 4. Sharma P.D. 2011. Ecology and Environment. Rastogi Publications, Meerut. 5. Umar U and Asija M. 1997 Biodiversity: Principles and Conservation (2 nd edition), Agrobios, Jodhpur. SOFT CORE –PAPER 2 II Semester EVOLUTIONARY BIOLOGY Theory (Credits: 3) Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: This course will introduce the concept of evolutionary theories with examples to the students. It will provide the knowledge on how organisms evolved in this earth during the past. Course outcome: On successful completion of the course students will be able to * draw insights from the past to predict the trends and dangers of the present * appreciate evolution of pants animals and other biota in their niches, and see earth as potential ad fertile ground of opportunities confronted with vulnerability threats and risks Unit 1 Introduction 12 Lectures An overview of origin and evolution of life - chemical and structural changes- the abiogenesis and biogenesis debate - Evolutionary Biology pre and post Darwin era. History and land marks in evolutionary biology – the idea of extinction and speciation. Unit 2 Biological diversity 12 Lectures Species and classification. Phylogenetic trees, reading and using trees. Geological fundamentals. Phylogeny and the fossil record. Evolutionary trends. Rates of evolution. The geography of life. Major patterns of distribution. Historical biogeography, phylogeography. Genetic diversity: Genes, genomes, mutations, karyotypes. Sources of phenotypic variation. Genetic variation in populations. Unit 3 Microevolution 12 Lectures Genetic drift, sampling, coalescence. Founder effects. Neutral theory of molecular evolution. Natural selection. Adaptation in action. Experimental studies. Levels of selection. Genetical theory of natural selection. Fitness, modes and models of selection. Evolution of phenotypic traits, Conflict and co-operation. Species and speciation. Reproductive success. Co-evolution. Unit 4 Macroevolution 12 Lectures Inferring phylogenies. Gene trees, species trees. Patterns of evolutionary change. Adaptive radiation. Evolution and development. Unit 5 Biodiversity 12 Lectures Centers of origin and crop development – invasive species and dangers monocroppingvalues of biodiversity - Estimating changes and loss in biodiversity. Taxonomic diversity through the Phanerozoic. The future of biodiversity and conservation measures. Suggested Readings Text Books 1. Douglas J. Futuyma. 1998. Evolutionary Biology (3rd Edition), Sinauer Associates. 2. Mark Ridley. 2003. Evolution (3 rd ed.), Blackwell. 3. Roderic D. M. Page, Edward C. and Holmes. 1998. Molecular Evolution: A Phylogenetic Approach, Blackwell. 4. Scott R, Freeman and Jon C. Herron. 2003. Evolutionary Analysis, Prentice Hall. 5. Taylor T.N. and Taylor E.L. 2009. Paleobotany: The Biology and Evolution of Fossil Plants (2 nd edition). Academic Press, Amsterdam. Reference Books 1. David Briggs and Stuart Max Walters.1997. Plant Variation and Evolution, Cambridge University Press. 2. Pontarotti P. (editor). 2010. Evolutionary Biology –Concepts, Molecular and Morphological Evolution. Springer-Verlag, Berlin Heidelberg. SOFT CORE –PAPER 2 II Semester ECONOMIC BOTANY Theory (Credits: 3) Course Code: 526 Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: This course will introduce potential plants of livelihood and commercial interests. Intending to apprise students on utility value of selected speices , it will seek to prsnt the market and commercial value. It will also offer an idea on the processes concerning the cultivation of economically useful plants. Course outcome: On successful completion of the course students will be able to * Identify and recognize potential of food crops namely cereals, millets, pulses, sugar yielding plants, spices, condiments, tubers, fruits and medicinal plants * Venture into cultivation, process and harvest economically useful plants * Gain confidence in pursuing entrepreneurial projects. Unit 1 Cereals and Millets 12 Lectures Detailed study of occurrence, mode of cultivation, process, product, biochemical and nutritional values of the following crop plants with their botanical details of Cereals and Millets: Rice, Maize. Unit 2 Pulses and Sugar yielding plants 12 Lectures Detailed study of occurrence, mode of cultivation, process, product, biochemical and nutritional values of the following crop plants with their botanical details of Pulses: Soya bean, Winged bean, Sword bean; Sugar yielding plants: Sugarcane, Sugar beet. Unit 3 Plantation crops, Spices and Condiments 12 Lectures Detailed study of occurrence, mode of cultivation, process, product, biochemical and nutritional values of the following crop plants with their botanical details of Plantation crops: Coconut, Cocoa, Coffee and Tea; Spices and condiments: Pepper, Ginger, Turmeric, Cardamom, Nutmeg. Unit 4 Tuber crops, Fruits and Vegetables 12 Lectures Detailed study of occurrence, mode of cultivation, process, product, biochemical and nutritional values of the following crop plants with their botanical details of Tuber crops: Potato, Sweet potato and Tapioca; Fruits: Mango, Banana, Citrus, Guava, Grapes and Cashew nut; Vegetables: Tomato, Brinjal, Cucumber, Ash gourds and Bitter gourd. Unit 5 Medicinal plants, Narcotics and Timber yielding plants 12 Lectures Detailed study of occurrence, mode of cultivation, process, product, biochemical and nutritional values of the following crop plants with their botanical details of Medicinal plants: Sarpagandha, Belladonna, Cinchona, Vinca, Glycirrhiza; Narcotics: Cannabis, Opium; Timber yielding plants: Rose wood, Teak Wood. Suggested Readings Text books 1. Arora P.K. and Nayar E.K. 1984. Wild relatives of Crop plants in India, NBPGR Sci. Monograph No. 7 CSIR, The useful plants of India, Publication and Information Directorate, CSIR, New Delhi 2. Harris J.G. and Harris M.W. 2001. Plant Identification Terminology: An Illustrated Glossary (2 nd edition). Spring Lake Publishing, Utah. 3. Judd W.S., Campbell C.S., Kellog E.A. and Stevens P.F. 1999. Plant Systematics. Sinauer Associates, Inc., Massachusetts, USA 4. Kochar L.S. 1981. Economic Botany in the Tropics, Macmillan 5. Singh G. 2010. Plant Systematics: An Integrated Approach (3 rd Reference Books 1. Hill A.F. 1952, Economic Botany, Tata McGraw Hill 2. Hooker J.D. 1879. Flora of British India. Reeve &Co., London 3. Hutchinson J. 1959. Families of flowering plants, Cambridge University Press 4. Lawrence G.H.M. 1955. An Introduction to plant Taxonomy, Central Book Depot 5. Sen S. 1992. Economic Botany, New Central Book Agency, Calcutta 6. 1Sivarajan V.V. 1999. Principles of plat Taxonomy, Oxford and IBH Publishing Co. 7. Stace C. 1985. Plant Taxonomy and Biosystematics, London. 8. Takhtajan A.L. 1969 Flowering plants. Origin and Dispersal, Oliver and Boyed. ed.). Science Publishers, USA. SOFT CORE –PAPER 2 II Semester SECONDARY PLANT PRODUCTS AND METABOLIC ENGINEERING Theory (Credits: 3) Course Code: 426 Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: * This course will introduce basic concepts on plant secondary metabolites. * This course will provide knowledge on herbal insecticides, alternate sweeteners, plant poisons, polyamines and their metabolic engineering. Course outcome: On successful completion of the course students will be able to * identify different plant chemicals which have applications and utility * enlist phytochemicals and secondary metabolites of market and commercial significance * design and develop their own business prepositions such as theo in the preparation of herbal insecticides. Unit 1 Introduction to Secondary Metabolites 12 Lectures Introduction to Secondary Plant Products: Pathways andfunctions. Structure and biosynthesis of Nitrogenous compounds: alkaloids, seed proteins; Isoprenoids: terpenoids, carotenoids and steroids. Unit 2 Phenolics, Flavours, Volatiles and Colourants 12 Lectures Phenolics: cinnamates, coumarins, benzoates, Flavonoids, lignans, lignins, Tannins. Occurrence, biological and economic importance of Flavor substances, volatiles and colourants. Unit 3 Herbal Insecticides and Alternate Sweeteners 12 Lectures Medicinal plants Insecticidal compounds; Non-saccariferous sweeteners. Unit 4 Plant Poisons, Polyamines Plant toxins/poisons; Polyamines and non-protein amino-acids. Unit 5 Metabolic Engineering Metabolic Pathway Engineering plant phenolics and alternate sweeteners. Suggested Readings Text Books 1. Bob Buchanan, Gruissen W. and Jones R.L. 2015. Biochemistry and Molecular Biology of Plants (2 nd edition). Wiley. 2. Dey P.M. and Haroborne. J.B. 2000. Plant Biochemistry (Indian Edition), Academic Press. Reference Books 1. Leland J. Cseke. 2006. Natural Products from Plants, CRC Press. 2. Peter B. Kaufman et al. 1999. Natural Products from Plants. CRC Press LLC 3. N.J. Walton, Diane E. Brown. 1999. Chemicals from Plants: Perspectives on Plant Secondary Products. Imperial College Press and World Scientific Publishing Co. Ltd. 12 Lectures 12 Lectures Course objectives: 1. To understand the physiological processes in plants. 2. To understand the structure and function of the Bio-molecules. Course outcome: On successful completion of the course students will be able to * determine the functions of different organs of plants. * interpret the functional significance of molecules and metabolites which back plant processes. PLANT PHYSIOLOGY Unit 1 Plant water relations 12 Lectures Water absorption system in Plants – Mechanism of Ascent of Sap. Kinds of transpiration, Difference between Transpiration, Evaporation, Guttation and Exudation. Mechanism of stomatal movement. Mechanism of mineral absorption: Passive (Diffusion, Ion Exchange, Donnan Equilibrium and Mass Flow Hypothesis) and Active (Carrier Concept and Electro-Chemical) Theory. Difference between Chlorosis and Etiolation. Mechanism of Phloem translocation: Pressure flow mechanism, phloem loading and unloading. Root –Microbe interaction in facilitating nutrient uptake. Unit 2 Photosynthesis 12 Lectures Organization of Photosystem I and II, Quantosomes, Light Harvesting Chlorophyll Protein I (LHCPI)&Light Harvesting Chlorophyll Protein II (LHCPII), OEC, Absorption Spectrum, Action spectrum, Reddrop and Emerson effect. Fluorescence and Phosphorescene. – Hill reaction – Noncyclicand Cyclic Electron Transport, Photophosphorylation – C3 and C4 pathways, Kranz Anatomy of Leaves of C4 plants, Difference between C3 and C4 cycle. CAM pathway. Photorespiration and its significance. Mechanism of Aerobic respiration: Glycolysis and Krebs Cycle, Chemiosmotic theory, Oxidative phosphorylation, Cyanide Resistant Pathway. Difference between Oxidative and Photo phosphorylation. Factors affecting Photosynthesis and Respiration. Unit 3 Plant Hormones and Signal Transduction 12 Lectures Physiological role and mechanism of action of Auxins, Gibberellins, Cytokinins, Abscisic acid and Ethylene. Photoperiodism and Vernalization. Response of plants to salt, drought, freezing, heat, oxidative and UV stresses-mechanism of stress resistance. Circadian rhythm in plants. Signal transduction: receptors and G-Proteins, phospholipid signaling, calcium- calmodulin cascade, Seed dormancy – Hormonal regulation of dormancy and germination. Physiology of fruit ripening. BIOCHEMISTRY Unit 4 Carbohydrates, Lipids and Nitrate Assimilation 12 Lectures Structure of Monosaccharides, Oligosaccharides and Polysaccharides (Starch and Cellulose). Plant lipids: Fatty acids, Phospholipids, structure of Ergosterol and Cholesterol. Oxidation of fatty acids. General characters and classification of Vitamins and Alkaloids. Structure of Chlorophyll, Carotenoids, phycobilins, anthocyanins and betacyanins. Structure and properties of Cutins, Suberines and Waxes. Symbiotic and asymbiotic nitrogen fixation. Nitrate assimilation. HARD CORE –PAPER 11 III Semester PLANT PHYSIOLOGY AND BIOCHEMISTRY Theory (Credits: 4) Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Unit 5 Proteins and Enzymes 12 Lectures Protein and non-protein amino acids – reductive amination and transamination – glutamate pathway; biosynthesis of amino acids. Molecular configuration and conformation of proteins – primary, secondary, tertiary and quaternary structures (Ramachandran Plot) – properties and types of proteins –simple, complex and derived proteins. Enzymes: Classification, kinetics, mechanism of enzyme action – enzyme inhibition, enzyme regulation-allosteric enzymes-isoenzymes-coenzymes-ribozymes. Suggested Readings Text Books 1. Battacharya D. 1999. Experiments in Plant Physiology- A Laboratory Manual. NarosaPublishing House. New Delhi. 2. Kumar,A, and Purohit, S.S. 2005. Plant Physiology, Agrobios (India), Jodhpur. 3. Mukherji,S. and Ghosh,A.K. 2005. Plant Physiology. First Central Edition, New Central 4. Narayanan L.M., Meyyan R.P., Nallasingam K., Prasanna Kumar S., Arumugam N. and Fatima D. 2014. Biochemistry. Saras Publication. Nagercoil, Tamil Nadu. 5. Salisbury F.B. and Ross C.W. 1986. Plant Physiology (3 rd edition.). CBS Publishers & Distributors. New Delhi. 6. Lincoln Taiz, Eduardo Zeiger, Ian M. Møller, and Angus Murphy. 2015. Plant Physiology and Development (6 th edition). Sinauer Associates Inc. U.S.A. Reference Books 1. Bob B. Buchnan, Whilhelm Gruissem and Russel L. Jones. 2015. Biochemistry and Molecular Biology of Plants. I.K. International Pvt. Ltd. New Delhi. 2. Berg. J.M., Tymoczko, J.L. and Stryer, L. 2006. Biochemistry (6 th ed.), Freemanand co. New York. 3. Lea, P.l.J..and Leegood, R.C. 2001. Plant Biochemistry and Molecular Biology. JohnWiley and sons, New Yorlk. 4. Hopkins W.G. and Huner N.P. 2009. Introduction to Plant Physiology (4th ed.). JohnWiley & Sons. U.S.A. 5. Murray R.K., Granner D.K., Mayes P.A. and Rodwell V.W. 2000. Harper's Illustrated Biochemistry (26 th ed.). McGraw-Hill Company Inc. U.S.A. 6. Nelson D.L. and Cox M.M. 2017. Lehningers Principles of Biochemistry (7 th ed.). W.H.Freeman, London. 7. Rodwell V.W., Bender D., Botham K.M., Kennelly P.J. and Weil P.A. 2015.HarpersIllustrated Biochemistry (30 th ed.). The McGraw-Hill Education. USA. SOFT CORE –PAPER 12 III Semester MICROBIOLOGY AND IMMUNOLOGY Theory (Credits: 3) Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: 1. This course is introduced to make the students understand and appreciate the fundamental principles of basic and applied microbiology. 2. To provide students with knowledge on how the immune system works and understand immune response made in humans to foreign antigens including microbial pathogens. Course Outcome: On successful completion of the course students will be able to * know about microbes and their life to draw inspirations to hire them in applications * gain an understanding and foundation in immunological processes and use and interpret their significance in daily walks of life. Unit 1 Bacteria and Cyanobacteria 14 Lectures Outline classification based on Bergey's manual of systematic bacteriology (9 th edition), Morphology and ultrastructure of bacterial cell. Methods of genetic transfers in bacteria – transformation, conjugation, transduction and sexduction. General account of Mycoplasma and Actinomycetes. Salient features and biological importance of Cyanobacteria. General account, ultra-structure, nutrition, biology and economic importance of Archaebacteria, Molecular adaptation to extreme environment (thermophiles and halophiles). Unit 2 Viruses 10 Lectures General Characteristics, Structure of Virus, Classification (LHI System), Bacteriophage: Structure of T4 phage, Life cycles of temperate and lytic bacteriophages, Transmission of plant viruses, Structure and multiplication of TMV, Introduction to viroids, prions and interferon. Unit 3 Microbial nutrition, growth and Applied Microbiology 12 Lectures Nutritional types of microbes, Microbial growth kinetics, Environmental factors affecting growth, Bacterial chemotaxis and quorum sensing, Industrial microbes (isolation and strain improvement). Microbial fermentation- upstream and downstream processing, Fermented products- milk products, alcoholic beverages, organic acids and amino acids, Single cell protein, Microbes and bioremediation. Unit 4 Immunology I 12 Lectures Overview of the immune system, Innate and adaptive immune system - External defenses, Cells, organs and molecules involved in innate and adaptive immunity, Antigens, Antigenicity and Immunogenicity, Humoral and cell-mediated immunity, Primary and secondary immune response, B and T cell epitopes, Structure and function of antibody molecules, Generation of antibody diversity, Monoclonal antibodies. Unit 5 Immunology II 12 Lectures Antigen-antibody interactions, Major Histocompatibility Complex (MHC) molecules, Antigen processing and presentation, Activation and differentiation of B and T cells, B and T cell receptors, the Complement system, Toll-like receptors, Cell-mediated effector functions, Inflammation, Hypersensitivity and autoimmunity, Immune response during bacterial (tuberculosis), parasitic (malaria) and viral (HIV) infections, Congenital and acquired immunodeficiency diseases, Vaccines. Suggested Readings: MICROBIOLOGY Text Books 1. Wiley J.M., Sherwood L.M. Woolverton C.J. 2008. Prescott, Harley and Klein's Microbiology, McGraw-Hill. 7 th Edition 2. Singh R.P. 2018. Microbiology, Kalyani Publication, New Delhi. 3. Dube, R.C. and D.K.Maheshwari. 1999. A text Book of Microbiology, S.Chand & Co. Ltd. 4. Pelczar Jr. M.J., Chan E.C.S. and Krieg N.R. 2009. Microbiology: Application Based Approach. Tata McGraw-Hill Education. New Delhi. Reference Books 1. R. Y. Stanier, E. A. Adelberg, J. L. Ingraham. 2007. General Microbiology, MacMillan Press, 5th edition. 2. Pommerville JC. 2013. Alcamo's Fundamentals of Microbiology, Jones and Barnet Learning, 10th edition. 3. Tortora G.J., Funke B.R. and Case C.L. 2010. Microbiology: An Introduction (10thed.). Pearson Benjamin Cummings. U.S.A. 4. Madigan M.T. et al. Brock Biology of Microorganisms. 2010. Benjamin-Cummings Pub Co, 13th edition IMMUNOLOGY Text Books 1. Abbas A.K., Lichtman A.H. and Pillai S. 2017. Basic Immunology. Elsevier India. 2. KindtT., GoldsbyR., OsborneB. A. 2006. Kuby Immunology, W. H. Freeman, 6th ed 3. MurphyK. 2011. Janeway's Immunobiology, Garland Science, 8th ed. 4. Ramesh SR. 2017. Immunology. McGraw Hill Education India Pvt Ltd. 1 st ed Reference Books 1. DelvesJ., Martin S., Burton D. and Roitt I.M. 2011. Roitt's Essential Immunology(12 th ed). Wiley-Blackwell. 2. Khanna R. 2011. Immunology. Oxford Higher Education. SOFT CORE –PAPER 13 III Semester INSTRUMENTATION AND RESEARCH METHODOLOGY Theory (Credits: 3) Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: * To make students realize importance of research in knowledge acquisition * To train students to adapt to research methodology followed in the contemporary research * To equip students to scientifically collect, analyze and interpret data that they generate through their personal enquires. * To give an exposure to students on the types of field research different methods of data analysis * To provide an overview on modern instrumentation that they would help students gain confidence to instantly commence research career and/or start entrepreneurial ventures. Course outcome: On successful completion of the course students will be able to * Appropriately use instruments for specific research analysis. * Independently design and execute experiments, collect information and handle the data collected during research studies. * design their research studies using their own personal and community interests. Unit 1 Analytical and Separation techniques 12 Lectures Concept and working principle of pH meter–principle and protocols of centrifugation (differential, density gradient and ultra); Chromatography (TLC, Column, GLC, HPLC, HPTLC) Electrophoresis (Agarose Gel Electrophoresis, PAGE). Unit 2 Biophysical Methods 12 Lectures Spectroscopy (Visible/UV, IR, AAS) - Molecular structure analysis (mass spectrometry, X-ray diffraction, NMR) FTIR, MALDI-ToF, - detection using isotopes (measurement, radiolabelling, autoradiography), -Flow Cytometry. Unit 3 Materials and methods in Field study 12 Lectures Qualitative and quantitative parameters: plant study – (density, frequency, abundance, basal area, canopy cover and standing biomass by quadrat, transect and point frame methods); Meteorological studies (rain gauge, anemometer, windpane, psychrometer barometer, altimeter, thermometer, Stoke's sunshine recorder)- Aquatic studies (Secchi's disc, turbidometer)- field photography(DSLR, Aerial)and remote sensing(GPS,GIS, toposheet). Unit 4 Data Handling 12 Lectures Proposal of research- Hypothesis validation- Sampling (nature, design, size). Data sources (primary and secondary, electronic, library, database)- techniques in data collection (observation- interview- questionnaire- feedback- opinion poll) - quantification- classificationtabulation- diagrams (pictogram- cartogram- graphs- charts)- measures of central tendency (mean, median and mode) -standard deviation - Percentages and Ratios – f-test and t-tests ANOVA, AMOVA)-Data interpretation. Unit 5 Research design and Validation 12 Lectures Types of research publication (article, dissertation, research paper, peer- reviewed publication) - standards in publications- impact factor (SCOPUS and h-index)– plagiarismthesis guidelines (Title of the paper, declaration, certificates, acknowledgement, contents, abbreviations, measurements, introduction, review of literature, rationale, plan of work, methodology, results, discussion, conclusion, summary, bibliography and appendices)– Presentation (oral and poster). Suggested Readings Text Books 1. Datta A. K. 2006. Basic Biostatistics & Its Applications. New Central Book Agency. 2. Jeyaraman J. 1998. Laboratory Manual in Biochemistry, New Age International Publishers Ltd. 3. Kothari C. R. 2004. Research methodology: Methods and techniques. New Age International. 4. Mahajan B. K. 2002. Methods in biostatistics. Jaypee Brothers Publishers. 5. Nautiyal S., Bhaskar, K., and Khan, Y. D. 2016. Biodiversity of Semiarid Landscape. Springer International Publishing. 6. Palanivelu P. 2009. Analytical biochemistry and separation techniques –A laboratory manual for B.Sc. and M.Sc. students, 21 st Century Publications. Madurai. Reference Books 1. Habib M.M., Pathik B. B. and Maryam H. 2014. Research methodology-contemporary practices: guidelines for academic researchers. Cambridge Scholars Publishing. HARD CORE –PAPER 14 III Semester PRACTICAL V (PLANT PHYSIOLOGY AND BIOCHEMISTRY) Practical (Credits 2) Course Code: 514 Lecture: 30 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: The objective of this lab course is to make the students understand the various techniques of basic and applied microbiology and Plant Physiology. They will have exposure towards various immunological processes. They will visit leading laboratories and institutes to get exposed to various developments that take place in Plant Physiology and Biochemistry. Course outcome: On successful completion of the course students will be able to * determine the water and osmotic potential of plant cells * estimate the content of photosynthetic pigments there by determining the efficiency of plant cells in carbohydrate synthesis1 * estimation of nitrogen, starch, protein and amino acid contents in plants cells1 * identify the potential effects of UV-B on enzymes. Suggested Laboratory Exercises PLANT PHYSIOLOGY 1. Water potential by gravimetric and falling drop methods. 2. Osmotic potential by Plasmolytic method. 3. Quantitative estimation of total chlorophyll content and carotenoid contents in leaves. 4. Absorption spectrum of chlorophyll pigments by spectrophotometric method. 5. Differentiation of C3 and C4 plants by starch test. 6. Determination of nitrogen content in roots and root nodules. 7. Effect of temp., substrate conc., pH and inhibitor conc. on nitrate reductase activity. 8. UV-B effect on nitrate reductase. BIOCHEMISTRY 1. Preparation of titration curve and pKa value determination. 2. Determination of isoionic pH of amino acid. 3. Determination of isoelectric pH of Protein. 4. Estimation of Protein, free amino acids, carbohydrate contents in plant sources. 5. Estimation of Vitamin C in fruits – titrimetric method. 6. Paper chromatographic identification of plant pigments, sugars and amino acids. Suggested Readings 1. Kumar A, and Purohit S.S.2005. Plant Physiology, Agrobios (India), Jodhpur. 2. Mukherji S. and GhoshA.K. 2005. Plant Physiology. First Central Edition, New Central Book Agency (P) Ltd.,Kolkata. 3. Taiz L.and Zeiger E. 2010. Plant Physiology, 5th edition, Sinauer Associates. SOFT CORE –PAPER 3 III Semester BIOGEOGRAPHY Theory (Credits: 2) Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course Code: 515 Course objectives: The objective is to provide students with a general understanding of the current and historical components of biogeography, especially considering it's ecological, analytical, and conservation aspects. The course will have a dual focus on identifying principles and concepts of the distribution of plants and animals worldwide. Course Outcome: On successful completion of the course students will be able to * understand and participate in discussions regarding various aspects of biogeography on a broad as well as micro scale. * Identify, examine and assess the scientific literature relating to biogeography. Unit 1 Concepts in Biogeography 12 Lectures Introduction and history of biogeography - development of concepts (Linnaeus, Humboldt, Darwin, Wallace, Croizat), evolution and plate tectonics, ecological niche concepts, species distributions- species-area relationship, neutral theory, equilibrium. Unit 2 Biodiversity Hotspots 12 Lectures Eco-regions and major biomes, biogeographical zones in India, biodiversity hotspots, patterns of biodiversity- local gradients to global biodiversity hotspots, extinction hotspots, alpha & beta diversity, latitudinal gradient, altitude. (A study tour of maximum one week duration to a place of biogeographical interest within/outside the state is compulsory to understand the patterns of biodiversity (Submission of brief report. The duration for the study tour can be extended for the students studying in Andaman and Nicobar islands). Unit 3 Life Patterns on Earth 12 Lectures Distribution of life (plants & animals) on earth- role of biological processes (predation, competition, mutualism, parasitism and mimicry) in the distribution of life, Role of physical and biological disturbances (fire, wind, floods and pathogens) in the distribution of life on earth. Unit 4 Plant Conservation 12 Lectures Conservation biogeography and its importance, mega-extinctions and climate change, biogeographical patterns of endangered species, species richness and distribution of habitats in relation to the human density patterns. Unit 5 Island Biogeography 12 Lectures Theory of island biogeography, variety of island habitats, characteristics of island flora and fauna, endemism, nestedness, biogeography of human infectious diseases. Suggested Readings Text Books 1. Huggett R.J. 2004. Fundamentals of Biogeography, Routledge 2. Mathur H.S. 1998. Essentials of Biogeography, Pointer Publisher, Jaipur 3. Husain M. 1994. Biogeography, Anmol Publication, New Delhi. Reference Books 1. MacDonald G.M. 2003. Biogeography: Space, Time and Life. John Wiley & Sons 2. Lomolino M.V, Riddle BR and Brown JH. 2006.Biogeography, 4th Edition. Sinaur. 3. Cox C.D. and Moore P.D. 1993. Biogeography: An Ecological and Evolutionary Approach (5 th edition), Blackwell. SOFT CORE –PAPER 3 III Semester BIODIVERSITY AND CONSERVATION Theory (Credits: 3) Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: To inform students and make them understand the importance of vegetations. To introduce the concepts relating to the understanding biodiversity and provide insights on its management To provide knowledge hiring modern approaches in comprehending facts about past and present vegetation and discuss issues related. Course outcome: On successful completion of the course students will be able to * Draw a holistic idea on biodiversity management and adapt mechanisms to preserve biodiversity * Involve, participate and make meaningful and practical decisions concerning them ration utilization and presentation this valued inheritance * To purse conservation efforts in such way that the sensitivities and sensibilities can be sharpened and seasoned to preserve the livability on face of earth against the overdrive to exploit. Unit 1 Introduction 12 Lectures Definition, concepts and types of biodiversity, origin of new genetic material, isolation and origin of new species, Isolation mechanisms, Values of biodiversity, Ecosystem services, Megabiodiversity centres, Hotspots, Endemism. Unit 2 Status of Plants 12 Lectures IUCN- general account, categories of threat, Major drivers of biodiversity loss: demography pressures, over exploitation, deforestation, water dams and river valley projects, mines, grazing of grasslands. Biodiversity databases-Red data, Blue data and Green Book and community biodiversity registers. Coral Reefs – importance (role in ocean ecosystem) & conservation measures. Unit 3 Ex-situ Conservation 12 Lectures Ex-situ Conservation: Principles, seed banks, pollen storage, tissue culture, germplasm bank, vegetative propagation, cultivation involving local and tribal communities, botanical gardens. Unit 4 In-situ 12 Lectures In-situ Conservation: principles, biosphere reserves, protected areas network, national parks, sacred groves and wildlife sanctuaries. Indian case studies on conservation strategies (Project Tiger). Unit 5 Global Biodiversity 12 Lectures Global biodiversity information system – species 2000 and Tree of life – Millennium goals and charters – overview of the UNEP/GEF biodiversity data management project (BDM), CBDgeneral account, NBA. Suggested Readings Text Books 1. Primack, Richard B., and Sher A. 2016. Introduction to Conservation Biology. Sinauer Associates, Incorporated, Publishers. 2. Berlatsky. 2013. Biodiversity – Global Viewpoints. Gale Cengage Publishers. 3. Mittelbach G.G. 2012. Community Ecology. Sinauer Associates, Inc. 4. Krishnamurthy K.V. 2003. An Advanced Textbook on Biodiversity – Principles and Practice, Oxford and IBH Publishing, New Delhi. 5. Singh J.S., Singh S.P. and Gupta S.R. 2014. Ecology, Environmental Science and Conservation (4 th edition). S. Chand & Company Pvt. Ltd. 6. Primack R. B. 2012. A Primer of Conservation Biology (5 th edition). Sinauer Associates is an imprint of Oxford University Press. 7. Magurran A.E., McGill B.J. 2011. Biological Diversity: Frontiers in Measurement and Assessment. Oxford University Press. 8. Jase Fitzgerald . 2017. Biodiversity: An Introduction. Larsen and Keller Education. 9. Stiling P. 2015. Ecology: Global Insights & Investigations 2nd Edition. McGraw-Hill international edition. Reference Books 1. Groombridge B. (editor). 1994. Global Biodiversity: Status of Earths Living resources Chapman & Hall, London. , SOFT CORE –PAPER 3 III Semester AIR POLLUTION AND CLIMATE CHANGE Theory (Credits: 3) Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: This course will introduce concepts influencing and governing various strata and factors of environment, especially on that which pertains to air and atmosphere It intends provide a realistic picture on ongoing changes in climatic factors, resource utilization and the impact of environmental The experience gained in the study will help students to reflect and debate pollution and pollution control measures. Course outcome: On successful completion of the course students will be able to * assess the facets of pollution in the different various environment and their interconnectedness. * Suggest and bring out recommendations on sustainable schemes of development that will ensure minimal adversary * Offer solutions to deal with vexing problems and adopt specific control measures for environmental pollution in every possible way to restore and preserve the living conditions. Unit 1 Atmosphere and Climate 12 Lectures Atmospheric composition and climate; Gaseous and particulate pollutants, emission trends and scenarios; climate change, drivers of climate change, greenhouse gas emission scenarios; indoor air pollution. Unit 2 Elements of Air Pollution 12 Lectures Sulphur derivatives: Sources and cycling of sulphur, effects on plants, human health and ecosystems, mechanism of toxicity, resistance and buffering, sulphur metabolism, threshold and injury. Nitrogen derivatives: Formation and sources; deposition, uptake, metabolism, critical load; effects on plants, human health and ecosystems. Fluoride derivatives: Sources and cycling, bioaccumulation, threshold and injury; effects on plants, human health and ecosystems. Unit 3 Effect of Oxidants 12 Lectures Oxidants: Formation and sources, photochemical smog; effects on plants and human health, mechanism of toxicity, resistance, critical load. Stratospheric ozone depletion: Phenomenon, causes, irradiation scenarios; effects of enhanced UV-Bon plants, microbes and human health, biological action spectra. Unit 4 Green House Effect 12 Lectures Greenhouse effects: Process; consequences, global warming, sea level rise, albedo, oceanic influences, agriculture, natural vegetation; effects of increased CO2 on plants; effect on humans. Acid rain: Formation, dispersion and deposition, trends; consequences on soil fertility, rivers and lakes; effects on plants, leaf injury, buffering, reproduction; forest decline; effects on fisheries. Unit 5 Biomonitoring and Role of Plants in Air Pollution Control 12 Lectures Biomonitoring of air pollution: Concept, active and passive monitoring; bioindicator parameters; air pollution tolerance indices; control of air pollution by plants, green belt design. Suggested Readings Text Books 1. Ayres J., Maynard R. and Richards R. 2006. Air Pollution Reviews Vol. 3: Air Pollution and Health. Imperial College Press. London. (Ebook: https://epdf.pub/queue/air-pollution-and-health-air-pollution-reviews.html) 2. Boubel R.W., Fox D.L., Turner D.B. and Stern A. C. 1994. Fundamentals of Air Pollution (3 edition). Academic Press, San Diego. (Ebook: https://epdf.pub/fundamentals-of-air- pollution3faefc7af052f48603605ea4b7fc604666521.html ) 3. Neelin J.D. 2011. Climate Change and Climate Modeling. Cambridge University Press. Cambridge. (Ebook: https://epdf.pub/queue/climate-change-and-climate-modeling.html) 4. Sharma P. D.1988. Elements of Ecology, Rastogi Publications, Meerut. 5. Sharma P.D. 2011. Ecology and Environment. Rastogi Publications, Meerut. 6. Letcher T.M. (editor). 2009. Climate Change: Observed Impacts on Planet Earth . Elsevier, Amsterdam. (Ebook: https://epdf.pub/queue/climate- change3e413515009d0d47767aab87e6427a3133932.ht ml ) 7. Borrego C. A. and Brebbia C. A. (editors). 2007. Air Pollution XV. WIT Press, Southampton, Boston. (Ebook: https://epdf.pub/queue/air-pollution-xv.html) Reference Books 1. Odum E.P. and Barrett G.W. 2018. Fundamentals of Ecology. JayPee Brothers Medical Publishers. rd SOFT CORE –PAPER 4 III Semester MEDICINAL BOTANY AND DIETETICS Theory (Credits: 3) Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: To promote good health by teaching the students about diet and nutrition. To educate the science of nutrition in preventing development of disease. To educate on the nutritional standards and specifications for the healthy person and patient to ensure prevention of mortality due to malnourishment. Course outcome: On successful completion of the course students will be able to * Use the knowledge gained in deciding upon their food milieu and feeding habits * Design food recipes working on the nutritive value of diet prescribed for different age groups * Acquire knowledge about healthy food for normal person and patient and help the fight against hunger, mortality and malnutrition. MEDICINAL BOTANY Unit 1 Plant of Medicinal Interest 12 Lectures Study of the following plants with reference to their Habitat, Habit, Systematic position, Morphology of their useful parts and uses of: Tinospora cordifolia (Root), Acorus calamus(Rhizome), Tylophora asthmatica (leaf), Terminalia chebula (fruit), Plantago ovata (seed)and Holarrhena antidysenterica (bark). Unit 2 Plant Oils and their uses 12 Lectures Source, properties and medicinal uses of some plant oils resources -Olive oil, Castor oil, Neem oil, Mentha oil and Lavender oil. Unit 3 Indian Flora and Food 12 Lectures Therapeutic value of Indian plant foods- (a) rice (b) wheat; (c) green gram, black gram, soya bean (d) lemon, banana, Guava, (e) Ginger, Turmeric, Coriander, Garlic, Cumin and Clove. DIETETICS Unit 4 Plant Nutraceuticals 12 Lectures Definition and sources of plant nutraceuticals. Study of plant foods (food as medicine) in the treatment of some selected diseases – anorexia, arthritis, constipation, diarrhoea, diabetes, psoriasis, hypertension and memory loss. Unit 5 Plant Antioxidants 12 Lectures Plant foods as Antioxidants - Definition - types, PUFA, Probiotics, Prebiotics, Dietary fibers, Omega-3 fatty acids. Cosmeceuticals – Definition, Retinoic acid. Suggested Readings Text Books 1. Bhattachariya S.K. 2004. Handbook on medicinal plants, pointer publishers Jaipur. 2. Farooqi A. and Sreeramu B.S. 2001. Cultivation of medicinal and aromatic Crops, Universities Press. 3. John Shi. 2006. Functional Food Ingredients and Nutraceuticals Processing Technology, CRC Taylor and Francis Publishers. 4. Lagua R. T. and Claudio V.S. 1995. Nutrition and diet therapy Reference dictionary (4 th edition), Jones & Barlett Learning. 5. Purohit K. K. and Gokhale. 1999. Pharmacognacy, Nirali Publications. 6. Srilakshmi B. 2007. Dietetics, New Age International publishers. 7. Srivatsava A.K. 2006. Medicinal plants, International Book Distributors, Dehradun. 8. Yoganarashimman S.N., 2000. Medicinal Plants India, Vol.2 Tamil Nadu, Inderline Publishing Private Ltd., Bangalore. Reference Books 1. Joshi S.G. 2000. Medicinal plants, Oxford and IBH Company Private Ltd., New Delhi. 2. Raymond J.L. 2003. Krause's Food, Nutrition and Diet therapy. Saunders Publishers. 3. Thomas B. and Bishop J. 2007. Manual of Dietetic Practice (Jone Gandy, Editor), 4 th edition, Wiley Blackwell Publishing, Oxford, UK. 4. Vattem D.A. and Maitin V. 2016. Functional foods, Nutraceuticals and Natural Products. DEStech Publications, INC. SOFT CORE –PAPER 4 III Semester ETHNOBOTANY Theory (Credits: 3) Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: To introduce and appreciate India as land and home of multiple identities with diverse culture, tradition and lifestyles To bring the native wisdom to the mainstream not only our nation to gain from the indigenous knowledge but also and acknowledge the services of theses privileged and pursue benefit sharing with the communities that had been safe guarding the same To appraise learners on the steps needed to safeguard our rights in the copy right and intellectual property right regime. Course outcome: On successful completion of the course students will be able to * Explore use of plants for by people as practiced by ethnic communities dwelling in various regions of union territory. * understand and document information on hitherto unknown use of the plants, * make advocacies on copy right and ownership to help the ethnic people for what is due to them * present the traditional knowledge and use of plants for various purposes to stream line the use for the larger benefit of the nation. Unit 1 History and Traditional Systems of Medicine 12 Lectures Introduction, historical background, scope and objectives; Ethnobotany as an interdisciplinary science, brief outline on traditional systems of medicine-Ayurveda, Siddha, , Naturopathy, Unani and Homeopathy; the relevance of ethnobotany in present context; Major and minor ethnic groups or Tribals of India and their life styles. Unit 2 Methodologies of Ethnobotanical Studies 12 Lectures Field work; herbarium; Ancient Literature; Archaeological findings; Temples and sacred places; Anatomical and Histochemical methods; Some general principles of phytochemical analysis. Unit 3 Role of Ethnobotany in Modern Medicine 12 Lectures Medico-ethnobotanical sources in India; Plant secondary metabolites of medical importance; source, description of the products, chemical constituents, active principles and therapeutic uses of the following: i. Carbohydrates- Ispaghula (Plantago ovata) ii. Glycosides- Senna (Cassia sp.) iii. Tannins- Acacia sp. iv. Fixed oils-Ground nut oil (Arachis hypogea) v. Volatile oils- Clove vi. Resins-Asfoetida vii. Alkaloid-Cinchona, viii. Steroids-Solanum Unit 4 Conservation of Plant Genetic Resources 12 Lectures Role of ethnic group in conservation of plant genetic resources; rare, endangered and threatened (RET) taxa; forest management (Participatory forest management), sharing of wealth concept with examples from India. Unit 5 Ethnobotany and Legal Aspects 12 Lectures Ethnobotany as a tool to protect interests of ethnic group; Biopiracy, Intellectual Property Rights ; Issues pertaining to Traditional Knowledge Patent, Indian initiatives for Traditional Knowledge protection; Challenges in the promotion of alternative and complementary medicines. Suggested Readings Text Books 1. Colton C.M. 1997.Ethnobotany – Principles and applications. John Wiley and Sons. Lichester. 2. Gonsalves J. 2010. Economic Botany and Ethnobotany. International Scientific Publishing Academy. New Delhi. 3. Kocchar S.L. 2009. Economic Botany in The Tropics (3rded.), MacMillan Publishers India Ltd. New Delhi. 4. Jain S.K. 1995. Manual of Ethnobotany. Scientific Publishers. Jodhpur. 5. Jain S.K. (ed.). 1981. Glimpses of Indian Ethnobotany. Oxford and IBH. New Delhi. 6. Jain S.K. 1990. Contributions of Indian Ethnobotany. Scientific Publishers. Jodhpur. 7. Kumaresan V. and Annie R. 2013. Taxonomy-Systematic Botany, Economic Botany, Ethnobotany. Saras Publication. Nagercoil. 8. Pooja. 2005. Economic Botany. Discovery Publishing House. New Delhi. 9. Pullaiah T. and Krishnamurthy K.V. and Bahadur B. 2017. Ethnobotany of India: The IndoGangetic Region and Central India (Vol. 5). Apple Academic Press. USA. 10. Rama Ro N. and Henry A.N. 1996. The Ethnobotany of Eastern Ghats in Andhra Pradesh, India. Botanical Survey of India. Howrah. 11. Sambamurthy A.V.S.S. and Subramanyam N.S. 1989.A Textbook of Economic Botany. Wiley Eastern Ltd. New Delhi. 12. Sharma O.P. 1996. Hills Economic Botany. Tata McGraw Hill Co. Ltd. New Delhi. 13. Sinha R.K. 1969. Ethnobotany. The Renaissance of Traditional Herbal Medicine –INA – SHREE Publishers. Jaipur. 14. Verma V. 2009. Text Book of Economic Botany. Ane Books Pvt. Ltd. New Delhi Reference Books 1. Pullaiah T., Krishnamurthy K.V. and Bahadur B. 2017. Ethnobotany of India. The IndoGangetic Region and Central India (vol. 5). Apple Academic Press, USA. 2. Simpson B.B. and Conner-Ogorzaly M. 1986. Economic Botany- Plants in Our World. McGraw Hill. New York. SOFT CORE –PAPER 4 III Semester MOLECULAR PLANT BREEDING Theory (Credits: 3) Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: * This course is aimed at providing exposure modern and contemporary approaches in plant breeding * Learners will have an opportunity to blend the knowledge on convention methods followed by plant breeders with the improvisations brought in since the advemt of studies on polyploidy and mutagenesis * It specially seeks to focus on effective ways of pursuing plant breeding in the light of current advances made in gene technology Course outcome: On successful completion of the course students will be able to * Perform controlled pollinations and envisage on field selection looking for elite plants with desirable agronomic traits * produce new hybrids with desirable traits and assess their stability. * Use molecular markers and provide solution by developing crops that can to resist diseases, and otter biotic, cum / or biotic stresses. Unit 1 Introduction, Reproduction and Pollination Control 12 Lectures Introduction to Plant Breeding – genetic basis of Plant Breeding – creation of variability. Reproduction and pollination control – molecular mechanisms of self and cross fertilization, gametogenesis and embryogenesis, molecular basis of male sterility, self compatibility and apomixis. Unit 2 Plant Introduction 12 Lectures Domestication, plant introduction, acclimatization, genetic variation, crop genetic resources, germplasm conservation and molecular basis of varietal adaptation. Biometric techniques in Plant Breeding – assessment of variability, statistical tools in genetic analysis of variation. Unit 3 Genetic basis of Self- and Cross-Pollinated Crops 12 Lectures Genetic basis of self-pollinated crops- breeding procedures for self-pollinated crops – concepts and methods – case studies. Genetic basis of cross pollinated crops- breeding procedures for cross pollinated crops – concepts and methods – case studies. Unit 4 Breeding for Vegetatively Propagated Plants 12 Lectures Breeding for vegetatively propagated plants- clonal selection – distant hybridization and in vitro techniques. Genetic and molecular basis of heterosis and inbreeding depression- hybrids and synthetic production. Mutation breeding and selection of mutations for crop improvement. Unit 5 Crop Improvement 12 Lectures Innovative approaches in crop improvement – Molecular markers for tagging disease resistance, insect resistance, quality and special characteristics - gene transfer in crop breeding program through transgenic approach. Suggested Readings Text Books 1. Acquaah G. 2012. Principles of Plant Genetics and Breeding (2 nd edition). Wiley India Pvt Ltd. New Delhi. 2. Allard R.W. 1999. Principles of Plant Breeding. John Willey and Sons Inc., New York. 3. Chaudhari H.K. 1984. Elementary Principles of Plant Breeding (2 nd edition). Oxford – IBH. New Delhi. 4. Chopra V.L. 2005. Plant Breeding- Theory & Practice. Oxford & IBH Publishing Co. Pvt. Ltd., New Delhi, India. 5. Sharma J.R. 1994. Principles and Practices of Plant Breeding. Tata McGraw Hill Publishing Co.Ltd. New Delhi. 6. Shukla R.S and Chandel P.S. 1996. Cytogenetic, Evolution and Plant Breeding. S.Chand & Co., New Delhi. 7. Singh B.D. 2005. Plant Breeding: Principles and Methods (7 th ed.). Kalyani Publishers. New Delhi. References 1. Hartmann H.T., Kester D.E., Davies J.R F.T. and Geneve R.L. 2011. Hartmann & Kester's Plant Propagation: Principles and Practices (8 th ed.).PHI Learning Pvt. Ltd. , Delhi. 2. Stoskf N. C., Tomes D.T. and Christie B.R. 2019. Plant Breeding- Theory and Practice (First Indian Print), Scientific Publishers, India. 3. Vijendra Das L.D. 2006. Genetics and Plant Breeding, New Age International. New Delhi. Journals Crop Science Trends in Genetics Plant Breeding Max. Marks – 100 Course objectives: * To provide training in scientific skills. * To prepare students for professional training programmes or entry level jobs in any area of Botany Course outcome: At the end of the project, students should have acquired capabilities to * think critically in acquiring knowledge surveying literature * collect information and be familiar with methods in designing and executing experiments * pursue data collection and entrain themselves in interpreting of data of from their scientific experiments and * would have grown in their ability to design, analyze and execute an experiment and eventually * brim with confidence and ability in communication skills, both in writing and in articulation. Assessment: Dissertation submitted by the students would be assessed both by external and internal examiner during end semester university practical examinations. HARD CORE –PAPER 15 IV Semester PROJECT (Credits: 6) Lectures: 60 (ICA = 40 + ESE = 60) Max. Marks – 100 Lectures: 60 (ICA = 40 + ESE = 60) Course Objectives: * This course will provide knowledge for determining the genetic basis of plant characters and their inheritance, and mutations * This course will present the fundamentals for pursuing independent investigation to procure a detailed knowledge on plant genomics using Bioinformatics tools * A broader introduction on the contributions of the premier institutions that are engaged in developing and maintaining data bases to support contemporary reading and research in biological data sconces will be introduced Course outcome: On successful completion of the course students will be able to * Access knowledge available in the various databases for carrying out genomic and proteomic research * Understand the role played by mutations in plant and would be in a position to put the accrued knowledge for use * Genomics will provide the way for the students to take up in silico investigations towards assisting work in manipulating genes to produce plants with desired characters. Unit 1 Mendelian Genetics 12 Lectures Laws of inheritance, modified Mendelian ratios, complementary and supplementary genes. Lethal genes, multiple alleles - Polygenic inheritance (kernel colour in wheat, ear head length in maize). Extra-chromosomal or Cytoplasmic inheritance: genetics of chloroplasts and mitochondria. Behavior of chromosomes during meiosis, nondisjunction, chiasma formation, linkage and crossing over – theories. Ploidy types and significance - haploids, aneuploids and euploids, auto and allopolyploids. Cytoplasmic male sterility. Self-incompatibility in Nicotiana. Population genetics; Hardy-Weinberg Equilibrium. Unit 2 Mutations 8 Lectures Types of mutations, methods of detection of mutations, CIB method and attached-X method, Molecular mechanism of spontaneous and induced mutations, site directed mutagenesis. Homeotic mutants in Arabidopsis and Antirrhinum. Mutagenic effects of food additives and drugs. Ames test. DNA damage and repair. Unit 3 Genomics and Proteomics 14 Lectures Genomes: definition, size, approximate number of genes in sequenced organisms (viral, bacterial, fungal, plant, animal, and human genomes). Genome map, genome sequence differences. EST maps and markers. Identification of protein-coding genes, determining gene functions from gene sequence; introns and exons, repetitive sequences; Accessing and annotating genomes; The Bio Project; Specialized genomic data bases: BOLD,GOLD, Arabidopsis Information Resource. Outlines on metagenomics, functional genomics, comparative genomics, and proteomes. Practical applications of genomics. Next (2 nd , 3 rd ) Generation sequencing. Proteomes: deducing proteome from genome sequence, post-translation modification prediction. SOFT CORE –PAPER 16 IV Semester GENOMICS AND BIOINFORMATICS Theory (Credits: 3) Unit 4 Bioinformatics 12 Lectures History, introduction and scope; role of computers in biology. Search and Retrieval in literature databases (Pubmed). Bioinformatics Workstations. Biological databases; types: sequence, structures, genome and organism-specific databases; open source and web services. Data warehousing, data capture, data mining, data analysis. Unit 5 Biological Databases 14 Lectures Primary nucleotide sequence databases: Genbank, European Nucleotide Archive, DDBJ. Primary protein sequence databases: NCBI, PIR, EMBL, ExPAsy, Uniprot, signal peptide data bank. Data submission and retrieval with: Entrez, DBGET/Link, and SRS. Sequence Analysis: Pairwise alignment (Smith-Waterman similarity searches); BLAST & FASTA types and algorithms; Multiple sequence alignment (CLUSTAL: V, W, X, Omega; T-Coffee); gene and protein families, motif finding. Structural databases (PDB, CSD). Gene expression databases and transcriptomes, DNA microarray. Molecular modeling and visualization tools; docking and drug designing. Metabolic and signalling pathways databases. Phylogenetics: phylogenetic trees and clades, software and online tools; inference methods (UPGMA). Biodiversity informatics: introduction, global (GBIF, ITIS, Plant List, BHL, RBG, Kew) and national databases, standards, and protocols. Suggested Readings Text Books 1. Acquaah G. 2010. Principles of Plant Genetics and Breeding. Wiley India Pvt. Ltd. New Delhi. 2. Brown T. A. 2002. Genomes. Wiley-Liss Publications. 3. Campell and Heyer. 2003. Discovering Genomics, Proteomics and Bioinformatics. Cold Spring Harbor Laboratory. 4. Gardner E.J., Simons M.J., Snustard D.P. 2006. Principles of Genetics. John Wiley and Sons Inc. 5. Krane, et al. 2002. Fundamental Concepts of Bioinformatics. Benjamin Cummings. Learning. U.K. 6. Pierce B.A. 2011. Genetics: A Conceptual Approach (4thed.). Macmillan Higher Education. 7. Sinnott E.W., Dunn L.C. and Dobzhansky T. 2004. Principles of Genetics. Tata Mc Graw Hill. 8. Snustad D.P. and Simmons M.J. 2010. Principles of Genetics (5 th edition).John Wiley & Sons Inc. India. 9. Snustad D. P. and Simmons M. J. 2000. Principles of Genetics (2nd edition). John Wiley & Sons, Inc. References Books 1. Griffiths A.J.F., Wessler S.R., Carroll S.B. and Doebley J. 2010. Introduction to Genetic Analysis (10 th edition). W. H. Freeman and Co. U.S.A. 2. Guttman B., Griffiths A., Suzuki D. and Cullis T. 2011. Genetics: The Code of Life. Rosen Publishing, New York. 3. Herron J.C. and Freeman, S. 2014. Evolutionary Analysis (5 th edition). Pearson. 4. Jolles O. and H. Jornvall (editors). 2000. Proteomics in Functional Genomes. Birk hauser Verlag, Basel, Switzerland. 5. Lesk AM. 2002. Introduction to Bioinformatics. Oxford University Press. 6. Liebler. 2001. Introduction to Proteomics: Tools for the new biology. Humana Press. 7. Mount D. 2004. Sequence and Analysis. Cold Spring Harbor Laboratory Press. New York. 8. Pennington S. and Dunn MJ. 2001. Proteomics: From protein sequence to function (2 nd edition). Bios Scientific Publications Ltd. 9. Primrose SB.1995. Principles of Genome Analysis. Blackwell Science, Oxford. SOFT CORE –PAPER 17 IV Semester PLANT BIOTECHNOLOGY Theory (Credits: 3) Course Code: 523 Lecture:60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: To enable students understand and appreciate the fundamental principles that sustain biotechnology as an interdisciplinary domain of learning and research. To provide details about three major domains of application namely fermentation biology, rDNA technology and plant tissue culture and find their specific applications. Course outcome: On successful completion of the course students will be able to * understand and apply the principles of fermentation technology to produce consumable an marketable fermented products * acquire hands-on experience and knowledge in handling molecular tools to manipulate plant genes * produce plants through tissue culture methods and exploit the various options vested with this procedure. Unit 1 Fermentation Technology 10 Lectures Historical developments – fermentor (construction, components, types, basic functions) – media formulation – sterilization and culture methods (batch, continuous and fed–batch systems) – industrial microbes (isolation and strain improvement) – inoculums development – fermentation kinetics – fermentation scale–up , upstream and downstream processing – fermented products (milk products, alcoholic beverages, organic acids and amino acids) – single cell proteins (bacteria, algae and fungi). Unit 2 Gene Manipulation 12 Lectures Scope - cloning strategies – restriction endonucleases, modifying enzymes (ligases, phosphatases, kinases) – gene cloning vectors (plasmid vectors, phage vectors, expression vectors – binary vectors – shuttle vectors) – DNA library – poly nucleotide probe – cDNA cloning – Ti plasmids – transformation (Agrobacterium mediated and biolistics method) –marker and reporter genes. Unit 3 Molecular Tools and Techniques 12 Lectures Promoters – open reading frames – linkers and adaptors – fusion protein – DNA amplification (principle and applications) – RtPCR –blotting techniques (Southern, Northern and Western blotting) – nonradioactive probe – DNA diagnostics (RFLP, AFLP, RAPD, SNP) – gene chip – DNA sequencing – restriction mapping - online resources (NCBI and EBI) – softwares (Bioedit, ClustalW, NJplot). Unit 4 Fundamentals of Plant Tissue Culture 12 Lectures Founding Principles – rationale for in vitro culture – techniques of asepsis –patterns of regeneration– bud and meristem culture – genetic stability and variability - suspension culture; batch and continuous – mericloning, micropropagation and disease eliminationcryopreservation of elite germplasm. Unit 5 In vitro applications 12 Lectures In vitro mutagenesis (physical and chemical) – protoplast culture and somatic cell fusion – somaclonal variations - cell line selection – triploids, haploids – advantages of polyploidy – as an adjunct to plant breeding (embryo rescue and embryo culture) – limitations and break even. Suggested Readings Text Books 1. Bhojwani S.S. and Razdan M.K. 1996. Plant Tissue Culture: Theory and Practice. Elsevier Science Amsterdam. The Netherlands. 2. Das H.K. 2010. Textbook of Biotechnology (4 th edition). Wiley India Pvt. Ltd. New Delhi. 3. Glick, B.R. & J.J. Pasternak. 2009. Molecular biotechnology, Panima Publishing Co. 4. Kumar H.D. 1998. Modern Concepts of Biotechnology. Vikas Publishing House Pvt. Ltd. New Delhi. 5. Kumaresan V. 2010. Biotechnology. Saras Publication. Nagercoil. Tamil Nadu. 6. Narayanasamy S. 1994. Plant Cell and Tissue Culture. Tata McGraw-Hill Publishing Company Ltd. New Delhi. 7. Pelczar Jr. M.J., Chan E.C.S. and Krieg N.R. 2009. Microbiology: Application Based Approach. Tata McGraw-Hill Education. New Delhi. 8. Tortora G.J., Funke B.R. and Case C.L. 2010. Microbiology: An Introduction (10 th edition). Pearson Benjamin Cummings. U.S.A. 9. Verma P.S. and Agarwal V.K. 2009. Genetic Engineering. S.Chand & Co. Ltd. New Delhi. Reference Books 1. Brown T.A. 2001. Gene Cloning and DNA Analysis- An Introduction (4 th edition). Blackwell Science. Oxford. 2. Clark D.P. and Pazdernik N.J. 2009. Biotechnology- Applying the Genetic Revolution. Elsevier Academic Press. USA. 3. Desmond S.T. Nicholl. 2010. An Introduction to Genetic Engineering. Cambridge University Press. New Delhi. 4. Dods J.H. and Robers L.W. 1995. Experiments in Plant Tissue Culture (3 rd edition).Cambridge University Press. Cambridge. 5. Glick B.R. and J. J. Pasternak. 2009. Molecular Biotechnology, Panima Publication Co. 6. Harisha S. 2007. Biotechnology Procedures and Experiments Handbook. Infinity Science Press Llc. Hingham. MA. 7. Madigan M.T., Martinko J. M. and Parker J. 2003. Brook Biology of Microorganisms. Prentice Hall. 8. Mosier N.S. and Ladisch M.R. 2009. Modern Biotechnology- Connecting Innovations in Microbiology and Biochemistry to Engineering Fundamentals. John Wiley & Sons Inc. New Jersey. 9. Primrose S., Twyman R. and Old B. 2001. Principles of Gene Manipulation (6th ed.).Blackwell Science. Oxford. SOFT CORE- PAPER 18 IV Semester PRACTICAL VI- (GENOMICS AND BIOINFORMATICS & PLANT BIOTECHNOLOGY) Practical (Credits 2) Course Code: 514 Lecture: 30 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: * This course will provide knowledge on how to isolate nucleic acids and quantify them. * This will provide knowledge on nucleic acid staining and sequencing of plant DNA * This course is teach and train students on plants in tissue culture Course outcome: On successful completion of the course students will be able to * isolate, quantify and identify nucleic acids of plant tissues * align a gene sequence and study gene identity using bioinformatics * produce genetically uniform plants and raise useful variants as well. SUGGESTED LABORATORY EXERCISES GENETICS 1. Colorimetric estimation of DNA using diphenylamine 2. Colorimetric estimation of RNA using Orcinol 3. Estimation of total RNA from plant tissues and its colorimetric estimation 4. Study of cytological cell division stages in onion root tip tissues 5. Feulgen staining of nucleic acids in onion root tissues 6. Induction of polyploidy using colchicines BIOINFORMATICS 1. Biological sequence (Nucleic acids and Protein) searching using appropriate Software. PLANT BIOTECHNOLOGY 1. Production of ethanol using yeast 2. Sterilization of glass wares 3. Preparation of plant tissue culture media 4. Callus induction and maintenance in vitro 5. Cell suspension culture initiation 6. Micropropagation of plants using nodal explants and shoot apex 7. Culture of ovary and ovule in vitro. 8. Construction of a recombinant DNA using a gene of interest and bacterial plasmid vector. 9. Bacterial transformation using recombinant DNA. 10. Selection of recombinant DNA by X-gal/IPTG method. 11. Isolation of bacterial plasmids. 12. Confirmation of recombinant DNA by restriction digestion. 13. Agarose gel electrophoresis. Suggested Readings GENETICS 1. David Freifelder. 2004. Essentials of Molecular Biology (4 th edition), Narosa Publishing House, New Delhi. 2. De Robertis, E.D.P. and De Robertis, E.M.P. 1987. Cell and Molecular Biology, Lea and Febiger, Philadelphia, USA. 3. Gardener, J, Simmons, H.J and Snustad, D.P. 2006. Principle of Genetics, John Wiley & Sons, New York. 4. Gupta, P.K. 2005. A Textbook of Cell and Molecular Biology, Rastogi Publications, Meerut. 5. Gupta, P.K. 2007. Cytogenetics, Rastogi Publications, Meerut. 6. Dnyansagar, V.R. 1986. Cytology and Genetics. Tata McGraw Hill Publishing Co.Ltd., New Delhi. 7. Sharma, J.R. 1994. Principles and Practices of Plant Breeding. Tata McGraw Hill Publishing Co.Ltd., New Delhi. BIOINFORMATICS 1. Henry, R.J. 1997. Practical applications of Plant Molecular Biology, Chapman & Hall, London, UK. 2. De Robertis, E.D.P. and De Robertis, E.M.F. 1987. Cell and Molecular Biology, Lea and Febiger, Philadelphia, USA. 3. Old, R.W. and Primrose, S.B. 2006. Principle of Gene Manipulation (7 th edition). Blackwell Scientific Publications, Oxford, UK. 4. Lewin, B. 2017. Genes XII, Oxford Univ., Press, New York. SOFT CORE –PAPER 5 IV Semester NANOBIOLOGY Theory (Credits: 2) Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: * To introduces the learners to the basic concepts in the emerging frontiers of nanotechnology. * To provide the know-how on the most recent molecular diagnostic and therapeutic tools used for various diseases. Course outcome: On successful completion of the course students will be able to formulate procedures for the synthesis of nanoparticles which are of medical importance which could be used to treat specific diseases. * characterize the various types of nano particle synthesis and advocate promote the use of nano materials and anno composites. Unit 1 Basic concepts in Nanobiology 12 Lectures Social background, definition –nanobiotechnology- timeline of nanotechnology - types, magnitude of particles, shape and phase of molecules – Moore's law - top down and bottom up approaches, delivery systems – liposome, Blood Brain Barrier. Unit 2 Diversity in Nanosystems 12 Lectures Carbon based nanostructures - fullerences, nanotubes, nanoshells, buckyballs – biomolecules and nanoparticles, nanosensors, nanomaterials -Classification based on dimensionalityquantum dots, wells and wires – metal based nano materials (gold, silver and oxides) Nanocomposites- Nanopolymers – Nanoglasses–Nano ceramics. Unit 3 Fabrication of Nanostructures 12 Lectures Photolithography and its limitation-Electron beam lithography (EBL)- Nanoimprint – Soft lithography patterning, optical lithography –characterization – Bionanostructures and their properties - DNA nanowires, Peptide nanowires and nanotubes - Protein nanoparticles Bioinspired nanomaterials – DNA as a nano structure – silk protein - biomineralisation (diatoms) - lotus effect – nanomotors (ATPase, flagella). Unit 4 Nanobiotechnology 12 Lectures Nanodevices and nanomachines based on biological nanostructures - Protein and DNA nanoarrays, tissue engineering - medical applications -nanotechnology for reducing energy consumption and pollution. Unit 5 Biophysical Applications 12 Lectures Solar energy conversion and catalysis, biosensors –Nanomedicine - Nanoparticles in bone substitutes and dentistry. Nanotoxicology -challenges. Nanotechnology in agriculture (fertilizer, pesticides and food), cosmetics (gels, sun-screen, shampoos and hair conditioners) – dispersions for UV protection using titanium oxide – color cosmetics - commercial exploration. Biosafety and bioethics. Suggested Readings Text Books 1. Kohler M. and Fritzsche W. 2004. Nanotechnology- An Introduction to Nanostructuring Techniques. Wiley-VCH Verlag GmbH & Co. KGaA, Weinheim. 2. Nalwa H. S. 2002. Nanostructured Materials and Nanotechnology, Academic Press. 3. Niemeyer C. M. and Mirkin C. A. 2004. Nanobiotechnology: Concepts, Applications, and Perspectives, Wiley-VCH, Weinheim, Germany. 4. Pradeep T. 2012. A Textbook of Nanoscience and Nanotechnology, Tata McGraw Hill Education Pvt. Ltd. 5. Ratner M. A. and Ratner D. 2003. Nanotechnology: A Gentle Introduction to the Next Big Idea. Prentice Hall Professional, New York. Reference Books 1. Boisseau P. and Lahmani M. 2009. Nanoscience: Nanobiotechnology and Nanobiology, Springer, UK. 2. Dupas C., Houdy P., Lahmani M. 2007. Nanoscience: Nanotechnologies and Nanophysics, Springer-Verlag Berlin Heidelberg. 3. Nabok A. 2005. Organic and Inorganic Nanostructures, Artech House. 4. Nicolini C. 2008. Nanobiotechnology and Nanobiosciences, Pan Stanford Publishing, Singapore. 5. Zelkowitz M.V. (editor). 2007. Advances in Computers (vol. 71)- Nanotechnology. Elsevier, Amsterdam. SOFT CORE –PAPER 5 IV Semester IN VITRO TECHNOLOGIES AND INDUSTRIAL APPLICATIONS Theory (Credits: 2) Course Code: 525 Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: To provide students with an overview of plant tissue culture techniques, To equip learners with a potential to take entrepreneurial assignments or help them secure positions as technician and scientist in research firms aiming at the production of preparative material To entrain students to liaison and interact with industries and small business houses that is involved in plant trade. Course outcome: On successful completion of the course students will be able to * Design their own laboratories to pursue plant tissue culture * Raise clonal populations * Pursue callus cultures and produce useful genetic variants Unit 1 Introduction to culture media 12 Lectures Culture systems: Differentiated, undifferentiated, physiological, biochemical and molecular role of minerals and growth regulators in understanding differentiation of organs under in vitro conditions. Unit 2 Micropropagation 12 Lectures Micropropagation (via organogenesis and embryogenesis) of floricultural, agricultural and pharmaceutical crops: Orchids, Chrysanthemum, Gerbera, Carnation, Anthurium, Bamboos, Spilanthes, Stevia, Psoralea, Chickpea and elite tree species of national importance. Production of virus free plants through meristem culture in orchids and fruit trees. Germplasm conservation in vitro. Variations: Somaclonal and gameto clonal variations, spontaneous, genetic and epigenetic variations. Unit 3 Problems encountered cultures 12 Lectures Problems in Plant Tissue Culture: contamination, phenolics, recalcitrance. Problems in establishment of regenerated plants in nature: hardening, association of mycorrhiza and rhizobia. Factors responsible for in vitro and ex vitro hardening. Unit 4 Secondary Metabolites production 12 Lectures Use of bioreactors in secondary metabolite production and scale up automation of plant tissue culture. Unit 5 Applications 12 Lectures Recent applications of tissue culture techniques and biotechnology in the introduction of economically important traits in horticultural, agricultural and medicinal plants. Interactions, training and workshops in Biotech industries and placements. Suggested Readings Text Books 1. Bhojwani S.S. and Razdan M.K. 1996. Plant Tissue Culture: Theory and Practice. Elsevier Science Amsterdam. The Netherlands. 2. Chawla H.C. 2003. Plant Biotechnology- Laboratory Manual for Plant Biotechnology. Oxford& IBH Publishing Co. Pvt. Ltd. New Delhi. 3. Gamborg O.L. and Philip G.C. 1995. Plant Cell, Tissue and Organ Culture. Narosa Publishing House. New Delhi. 4. Gupta P.K. 1995. Elements of Biotechnology. Rastogi Publication. Meerut. 5. Harisha S. 2007. Biotechnology Procedures and Experiments Handbook. Infinity Science Press Llc. Hingham. MA. 6. Keshavachandran R. and Peter K.V. 2008. Plant Biotechnology: Methods in Tissue Culture and Gene Transfer. Universities Press (India) Pvt. Ltd. Hyderabad. 7. Kumaresan V. 2015. Plant Biotechnology. Saras Publication. Nagercoil. 8. Misra S.P. 2015. Plant Tissue Culture (2nded.). Ane Book Pvt. Ltd. Chennai. 9. Narayanasamy S. 1994. Plant Cell and Tissue Culture. Tata McGraw-Hill Publishing Company Ltd. New Delhi. 10. Prakash J. and Pierik R.L.M. 1991. Horticulture - New Technologies and Applications (Current Plant Science and Biotechnology in Agriculture). Kluwer Academic Publishers. Reference Books 1. Dods J.H. and Robers L.W. 1995. Experiments in Plant Tissue Culture ((3 rd edition). Cambridge University Press. Cambridge. 2. George E.F., Hall M.A. and De Klerk G.-J. 2008. Plant Propagation by Tissue Culture (3 rd edition), Springer, Netherlands. 3. Herman E.B. 2008. Media and Techniques for Growth, Regeneration and Storage 20052008. Agritech Publications, New York, USA. 4. Pierik R.L.M. 1999.In Vitro Culture of Higher Plants. Kluwer Academic Publishers. Journals Plant Cell, Tissue and Organ Culture Plant Cell Reports SOFT CORE –PAPER 5 IV Semester MOLECULAR INTERACTIONS OF PLANTS WITH MICROBES Theory (Credits: 2) Course Code: 525 Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: * Aim of this course is to introduce various aspects of molecular and biochemical interactions of plants with symbionts, pathogens and pests at an advanced level. Course outcome: * Students will understand the intricacies of the relationship of plants with microbes. Unit 1 Introduction 8 Lectures Introduction to biotic interactions with plants. Unit 2 Plant Pathogen Interactions 16 Lectures Recent advances in plant-fungi, plant-insect and plant-nematode interactions: Stages of pathogenesis, Structural and biochemical host defense mechanisms against pathogens and pests, Basal resistance, Systemic acquired resistance (SAR), Induced systemic resistance (ISR), Unit 3 Gene Cloning for Disease Resistance 16 Lectures Gene-for-gene concept, Cloning of resistance genes (R genes) and avirulence genes (Avr genes) from plants and pathogens, Induced responses to herbivory, Genetic engineering for the production of resistance plants to pathogens and pests. Unit 4 Plant Interaction with Mycorrhiza 12 Lectures Recent advances in symbiotic interaction with plant with special references to mycorrhiza and plant interaction. Unit 5 Parasitic interactions 8 Lectures Recent advances in parasitic interaction between plants and parasitic plants. Suggested Readings Text Books 1. Perry and Moens (Editors). 2006. Plant Nematology. CABI. 2. Karban R. and Baldwin I.T. 1997. Induced Responses to Herbivory. Chicago University Press. 3. Roger Hull. 2001. Mathew's Plant Virology. Academic Press, NY. 4. Strange R.N. 2003. Plant Resistance Mechanisms (SAR, ISR). Introduction to Plant Pathology, John Wiley & Sons, USA. Reference Books: 5. Dickinson M. 2003. Signal transduction; Molecular diagnostics; Transgenic approaches for crop protection -Molecular Plant Pathology, Bios Scientific Publishers, London. Research Papers: 6. Davis E.L., Hussey R.S. and Baum T.J. 2004. Getting to the roots of parasitism by nematodes. Trends in Parasitology 20: 134–141. 7. Williamson V.M.and Kumar A.2006. Nematode resistance in plants: the battle underground.Trends in Genetics 22: 396–403. SOFT CORE –PAPER – 6 IV Semester PLANTS AND PEOPLE Theory (Credits: 2) Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: * The objective of the course is to highlight the importance of plants in our different facetsof life. The contents are divided to give an overview of plants in different aspects of human being. * References of plants in scriptures and Sangam literature will be cited and relevance atthe context will be discussed. Cultures are identified based on their food and dressing habits, an overview of history of Indian cuisine will be traced specially with references to south India. Course outcome: * At the end of the semester, the students will be able to Spot the major events that shaped up the modern society by taking into consideration the changes adopted in terms of vocation life styles. Get a glimpse of major religions and faith component of India with a special mention about the significance of plants in each system. Develop a wholistic appreciation of plant references made in Tamil and western literature that the learner would develop a sense of tolerance and mutual respect all faiths. Food as basic necessity and composite and complementary amalgamations ofinputs that are geographically relevant to health, culture and practices. Accept and adopt the Indian and indigenous systems of medicines (AYUSH) as available better alternative to allopathic practices. Unit 1 Prehistorical evidences 12 Lectures Unraveling ancient civilization using plant based prehistoric evidences – cotton fabrics and dyes of prehistoric period – plants in ancient funerary rituals – pollen and paleoclimates Unit 2 Scriptures 12 Lectures Forest and trees associated with Lord Buddha – plants in Bible and Quran – temple trees and sacred plants of India – sacred oil and fragrances used across the religious barriers. Unit 3 Plants in literature 12 Lectures Cultural and biological diversity – Sangam landscape – Thinai concept – early livelihood strategies in Sangam literature – western literature. Unit 4 History of Indian cuisine 12 Lectures Social history of food – dietary beliefs and cooking patterns of Indians – minor millets, spices and sweeteners of Indian origin. Unit 5 Indian System of Medicine 12 Lectures Indian system of medicine – Siddha, Ayurveda and Unani –revitalization of indigenous medicinal practices and knowledge in south India. Suggested Readings Text Books 1. Acharya K. T. 1998. Indian food: A Historical Companion, Oxford University Press. 2. Ahluwalia S. 2017. Holy Herbs: Modern Connections to Ancient Plants, Fingerprint Publishers. 3. Haberman D. L. 2013. People Trees – Worship of trees in North India Oxford University Press. 4. Nanditha K. and Amirthalingam. 2014. Sacred plants of India, Penguin Books Limited. Reference Books 1. Hart G. L. 2015. The Four Hundred Songs of Love- An Anthology of Poems from Classical Tamil The Akananuru. Institut Francais de Pondicherry, Puducherry. 2. Hart G. L. 1999. The Four Hundred Songs of War and Wisdom- The Purananuru. Columbia University Press, New York. 3. Schmithausen L. 2009. Plants in Early Buddhism and the Far Eastern idea of the BuddhaNature of Grasses and Trees Published by Lumbini International Research Institute. 4. Srinivasan K. Sanga Ilakkiya Thaavarangal. Tamil University, Tanjore, Tamil Nadu (சீனிவாசன், கு. .சங்க இலக்கிய தாவரங்கள், தமிழ் பல்கலலக்கழகம், தஞ்சாவுர், தமிழ்நாடு) SOFT CORE –PAPER 6 IV Semester AGRICULTURAL ECOLOGY Theory (Credits: 2) Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: * This will introduce the concept on different agricultural ecosystems. * This will provide knowledge on agricultural weeds, plant diseases. * Help students observe and follow the cultivation practices of different crops Course outcome: On successful completion of the course students will be able to * grow right plant in a right place and control the weeds and pests. Unit 1 Carbon Cycle and Energy Flow 12 Lectures Ecological experimentation in agriculture; basic chemical process-carbon cycle; Climate and adaptation of agricultural crops; Physical factors affecting crop-water; Energy flow in agroecosystems; Soil type and classification; soil properties and environmental factors. Unit 2 Importance of Nitrogen 12 Lectures Nitrogen in agroecosystems; fertilizer elements in the environment; Macro and micronutrients and their availability to crops; Decomposition: beneficial soil organisms; Plant succession and competition. Unit 3 Weed ecology and management 12 Lectures Distribution and sampling of agricultural pests; introduction to insects; Population dynamics; pesticides and the environment; Traditional knowledge systems and agrodiversity management. Unit 4 Plant disease and environment 12 Lectures Integrated pest management; plant-parasitic nematodes; Host plant resistance and conservation of genetic resources. Cropping systems and agroecosystems in the landscape; crop rotation and cover crops, Intercropping; conservation tillage; Mulches and organic amendments; Dry-land agriculture, irrigation and salinity. Unit 5 Agro-Ecosystems 12 Lectures Tropical agro-ecosystems; intensive agriculture; Impact of GMOs on crop biodiversity and agroecology; Impact of agricultural policies on crop biodiversity and agroecology; Human population growth; sustainable agriculture; Agroecology: the future perspective. Suggested Readings Text Books 1. Gliesmann S.R. 2006. Agroecology: The Ecology of Sustainable Food Systems. Technology & Engineering. 2. Gliesmann S.R. 2006. Field and Laboratory Investigations in Agroecology. Technology & Engineering. 3. Wojtkowski, P.A. 2004. Landscape Agroecology, Haworth Press, Inc., New York. Reference Books 1. Warner, K.D. 2007. Agroecology in Action: Extending Alternative Agriculture Through Social Networks. The MIT Press, Cambridge, Massachusetts, USA. SOFT CORE –PAPER 6 IV Semester SYSTEMS BIOLOGY Theory (Credits: 2) Lecture: 60 Max. Marks – 100 (ICA = 40 + ESE = 60) Course objectives: Systems biology had emerged as a field of biology in the post-genomic era due to availability of omics data. This fundamental course in system biology will introduce the concepts pertaining to use of technology and computational data of biological sample materials that provides for systems biology. Course outcome: On successful completion of the course students will be able to * work parallel with the experimental, computational and theoretical research in different aspects of biology. Unit 1 Trends in biological research 12 Lectures Cell – a basic unit of life – molecules involved in cellular processes - cell to organism level process in biological system – paradigm in biological research – reductionism and holistic approach–Systems biology theories and time line –challenges and future perspectives. Unit 2 Facets of Systems approach 12 Lectures Hierarchies in biological system: gene, molecular, cellular and organ levels and interactions. High throughput experimental techniques -post-genomic era - omics technologies – whole genome sequences - big data -interactome. Properties of biological system – system dynamics and control -experimental and computational biology - emergent properties. Unit 3 Network biology and their applications 12 Lectures Cell as an integrated device – molecular interactions – network analytic methods – Gene, transcription and regulatory network – Biochemical reactions and metabolic pathway systems – disease pathway analysis - Signal transduction network. Unit 4 System biology models and approaches 12 Lectures Genome to life – data integration and modeling process – hypothesis testing - flux balance analysis and applications. Cell cycle models – Microbial models (Bacterial chemotaxis and Yeast) – Plant based models (plant development and plant defense system) - Ecological models (energy flow and population dynamics). Unit 5 Databases and Software for Systems Biology 12 Lectures Omics databases in plants – Software packages – Cytoscape, Cell designer, Virtual cell. MetaCyc, BioCyc, KEGG pathway, Pathguide. Features of System Biology Markup Language and PYTHON. Suggested Readings Text Books 1. ChoiS. 2007. Introduction to Systems Biology. Humana Press Inc., New Jersey. 2. Klipp E., Liebermeister W., Wierling C. and Kowald A. 2016.Systems Biology – A Textbook (2 nd edition). Wiley-VCH, Germany. 3. Kitano H. 2001. Foundations of System Biology. MIT Press, Cambridge. Reference Books 1. Alon U. 2006. An Introduction To Systems Biology: Design Principles of Biological Circuits. Chapman and Hall /CRC, London, UK. 2. Baginsky S. and Fernie A.R. 2007. Plant Systems Biology. Birkhäuser Verlag, Berlin. 3. Coruzzi G.M. and Gutierrez R.A. 2009. Plant Systems Biology. Annual Plant Reviews.Vol.35. Wiley-Blackwell Publishing Ltd. UK. 4. Voit E.O. 2016. The Inner Workings of Life. Vignettes in Systems Biology. Cambridge University Press. 1. Unit I 2. Unit I 3. Unit II 4. Unit II 5. Unit III 6. Unit III 7. Unit IV 8. Unit IV 9. Unit V 10. Unit V 11. Unit I 12. Unit II 13. Unit III 14. Unit IV 15. Unit V 16. Any unit 17. Any unit 18. Unit I 19. Unit II 20. Unit III 21. Unit IV 22. Unit V PONDICHERRY UNIVERSITY BLUE PRINT OF THEORY QUESTION PAPER FOR M.Sc. BOTANY (Choice Based Credit System) (Effective from the academic year 2020-2021) Course Code: Time: 3 hrs Maximum Marks: 60 Section- A Answer ALL the questions. Each answer should not exceed 15 words. (10 x 1 = 10 marks) Section- B Answer any FIVE questions. Each answer should not exceed 200 words. (5 x 4 = 20 marks) Section- C Answer any THREE questions. Each answer should not exceed 600 words. (3 x 10 = 30 marks) PONDICHERRY UNIVERSITY BLUE PRINT OF PRACTICAL QUESTION PAPER FOR M.Sc. BOTANY (Choice Based Credit System) (Effective from the academic year 2020-2021) PRACTICAL – I (PLANT DIVERSITY I) Course Code: 414 Time – 3 Hrs. Max. Marks –60 1. Make a suitable micropreparation of the plant specimen A. Draw labelled sketches and identify it giving reasons. Leave the slide for valuation. (Slide-2 marks, Identification-1 marks, Sketch-1 marks, Notes-2 marks) 1X6=6 marks 2. Make a suitable micropreparation of the plant specimen B. Draw labelled sketches and identify it giving reasons. Leave the slide for valuation. (Slide-2 marks, Identification-1 marks, Sketch-1 marks, Notes-2 marks) 1X6=6 marks 3. Make a suitable micropreparation of the plant specimen C. Draw labelled sketches and identify them giving reasons. Leave the slide for valuation. (Slide-2 marks, Identification-1 marks, Sketch-1 marks, Notes-2 marks) 1X6=6 marks 4. Identify, draw and write notes on plant specimens D, E & F (Identification-1 mark, Sketch-2 marks, Notes-2 marks) 3X5= 15 marks 5. Identify the Genus of the given algal herbarium G. Write down the systematic position. (Genus-1 mark, systematic position 2 marks, 1 mark diagram) 1X4=4 marks 6. Comment onH&I. (Identification-1 mark, Notes-3 marks) 2x4=8 marks Total =45marks Record=10 marks Submission of Algal herbarium =5 marks Grand total=60 marks KEY \| A \| ALGAE \| SECTION \| \|---\|---\|---\| \| B \| FUNGI \| SECTION \| \| C \| LICHEN APOTHECIA \| SECTION \| \| D \| ALGAE \| SLIDE/SPECIMEN \| \| E \| FUNGI \| SLIDE/SPECIMEN \| \| F \| LICHEN \| SLIDE/SPECIMEN \| \| G \| ALGAE \| HERBARIUM \| \| H \| FUNGI \| SLIDE/SPECIMEN/PHOTOGRAPH \| \| I \| LICHEN \| SLIDE/SPECIMEN/ PHOTOGRAPH \| PONDICHERRY UNIVERSITY BLUE PRINT OF PRACTICAL QUESTION PAPER FOR M.Sc. BOTANY (Choice Based Credit System) (Effective from the academic year 2020-2021) PRACTICAL – II (PLANT DIVERSITY II & CELL AND MOLECULAR BIOLOGY) Course Code: 415 Time – 3 Hrs. Max. Marks –60 1. Make a suitable micro preparations of A, B & C. Draw labelled sketches and identify them giving reasons. Leave the slide for valuation. (Slide-2 marks, Identification-1 marks, Sketch-1 marks, Notes-1 marks) 3X5=15 marks 2. Make a suitable micro preparation/ staining of nucleus of specimen D. Identify giving reasons. Draw labelled sketches. Leave the slide for valuation. (Slide-2 marks, Identification-1 mark, Sketch-1 mark, Notes-1 mark) 1x5= 5 marks 3. Make a T.S of anther of the given specimen E. Identify the stages giving reasons. Draw labelled sketches. Leave the slide for valuation. (Slide-1 marks, Identification-1 mark, Sketch-1 mark, Notes-1 mark) 1x4= 5 marks 4. Dissect and mount the Embryo of the given specimen F (Two stages- heart shaped- 1 marks, globular shaped-1 mark) 2x1= 2 marks 5. Macerate the given specimen G and identify the plant tissues (Maceration technique 1 marks, Sketch-1, Notes-1) 1X3= 3 marks 6. Comment on H, I, J, K & L (Identification-1 mark, Sketch-1 Notes-1 mark) 5x3= 15 marks Total =45 marks Record=10 marks Permanent slide=5 marks Grand total=60 marks KEY \| A \| BRYOPHYTE \| SECTION \| \|---\|---\|---\| \| B \| PTERIDOPHYTE \| SECTION \| \| C \| GYMNOSPERM \| SECTION \| \| D \| CELL BIOLOGY \| SECTION \| \| E \| MOLECULAR BIOLOGY \| SECTION \| \| F \| CELL BIOLOGY \| DISSECTION \| \| G \| MOLECULAR BIOLOGY \| MACERATION \| \| H \| BRYOPHYTE \| SLIDE/SPECIMEN/PHOTOGRAPH \| \| I \| PTERIDOPHYTE \| SLIDE/SPECIMEN/PHOTOGRAPH \| \| J \| GYMNOSPERMS/ PALEOBOTANY \| SLIDE/SPECIMEN/PHOTOGRAPH \| \| K \| CELL BIOLOGY \| SLIDE/SPECIMEN/PHOTOGRAPH \| \| L \| MOLECULAR BIOLOGY \| SLIDE/SPECIMEN/PHOTOGRAPH \| PONDICHERRY UNIVERSITY BLUE PRINT OF PRACTICAL QUESTION PAPER FOR M.Sc. BOTANY (Choice Based Credit System) (Effective from the academic year 2020-2021) PRACTICAL –III (PLANT MORPHOGENESIS) Course Code: 424 Time – 3 Hrs. Max. Marks –60 1. Make a suitable micropreparations of A, B & C. Draw labelled sketches and identify them giving reasons. Leave the slide for valuation. (Slide-2 marks, Identification-1 marks, Sketch-1 marks, Notes-1 marks) 3X5=15 marks 2. Make a suitable micro preparation of specimen D. Identify giving reasons. Draw labeled sketches. Leave the slide for valuation. (Slide-2 marks, Identification-1 mark, Sketch-1 mark, Notes-1 mark) 1x5=5 marks 3. Make a T.S of anther of the given specimen E. Identify the stages giving reasons. Draw labeled sketches. Leave the slide for valuation. (Slide-1 marks, Identification-1 mark, Sketch-1 mark, Notes-1 mark) 1x4=05 marks 4. Dissect and mount the Embryo of the given specimen F (Two stages- heart shaped- 1 marks, globular shaped-1 mark) 2x1=02 marks 5. Macerate the given specimen G and identify the plant tissues (Maceration technique 1marks, Sketch-1, Notes-1) 1X3=3marks 6. Comment onH, I, J, K&L. (Identification-1 mark, Sketch-1 Notes-1 mark) 5x3=15 marks Total =45 marks Record=10 marks Permanent slide=5 marks Grand total=60 marks KEY \| A \| ANATOMY \| SECTION \| \|---\|---\|---\| \| B \| EMBRYOLOGY \| SECTION \| \| C \| ANATOMY \| SECTION \| \| D \| EMBRYOLOGY \| SECTION \| \| E \| EMBRYOLOGY-ANTHER \| SECTION \| \| F \| ANATOMY \| DISSECTION \| \| G \| ANATOMY \| MACERATION \| \| H \| EMBRYOLOGY \| SLIDE/SPECIMEN/PHOTOGRAPH \| \| I \| ANATOMY \| SLIDE/SPECIMEN/PHOTOGRAPH \| \| J \| EMBRYOLOGY \| SLIDE/SPECIMEN/PHOTOGRAPH \| \| K \| ANATOMY/ ANOMALOUS SECONDORY GROWTH \| SLIDE/SPECIMEN/PHOTOGRAPH \| \| L \| EMBRYOLOGY \| SLIDE/SPECIMEN/PHOTOGRAPH \| PONDICHERRY UNIVERSITY BLUE PRINT OF PRACTICAL QUESTION PAPER FOR M.Sc. BOTANY (Choice Based Credit System) (Effective from the academic year 2020-2021) PRACTICAL –IV (TAXONOMY OF ANGIOSPERMS &ECOLOGY AND BIODIVERSITY CONSERVATION) Course Code: 425 Time – 3 Hrs. Max. Marks –60 1. Describe the given specimens A in technical terms and assign them to their respective families giving reasons. Draw flower. L.S, & Floral diagram. Write floral formula. (Identification-1, Technical description-2, Flower L.S-1, Floral diagram-1, Floral formula1, Reasons-1) 1x7=7 marks 2. Using the given plant specimens B prepare a taxonomic key for Identification. 1x5= 5 marks 3. Determine frequency, abundance and density of the given vegetation in C by using quadrate method. Estimate Importance Value Index. (Frequency-2, Abundance-2, Density-2, IVI-2) 1x8=8 marks 4. Identify D using internal features. Draw a diagram, write notes and leave the slide for valuation (Identification -1, Diagram -2, Notes -2). 1x5= 5 marks 5. Estimate the phytoplankton density microscopically by concentrating the given Water sampleE. Leave the wet mount for the valuation. (Procedure-3, Slide mount-2, Result-1) 5. Identify the given spotter F & G and write down the salient features. (Identification-1, Notes-2) 6. Identify, draw and write notes on H & I (Identification -1, Diagram -1, Notes -2). 1x6=6 marks 2x3=6marks 2x4=8 marks Total =45 marks Record=10 marks Submission of herbarium sheets and field note= 5 marks Grand Total =60 marks KEY \| A \| TAXONOMY \| SPECIMEN \| \|---\|---\|---\| \| B \| TAXONOMY \| SPECIMEN \| \| C \| ECOLOGY \| SPECIMEN \| \| D \| ECOLOGY \| SPECIMEN \| \| E \| BIODIVERSITY \| SPECIMEN \| \| F \| ECOLOGY \| SPECIMENT/ PHOTOGRAPH \| \| G \| BIODIVERSITY \| ESTIMATION \| \| H \| TAXONOMY \| HERBARIUM SHEET \| PONDICHERRY UNIVERSITY BLUE PRINT OF PRACTICAL QUESTION PAPER FOR M.Sc. BOTANY (Choice Based Credit System) (Effective from the academic year 2020-2021) PRACTICAL PAPER –V (PLANT PHYSIOLOGY AND BIOCHEMISTRY) Course Code: 514 Time – 3 Hrs. Max. Marks –60 1. Estimate the starch content of the specimenA . Write the procedure, tabulate and infer the results. (Set up -3, Procedure – 2, Results - 2, Sketch/graph-1). 1x8=8 marks 2. Set up the experiment B. Write the procedure, tabulate and infer the results (Set up -3, Procedure - 2, Results 2, Sketch/graph-1). 1x8=8 marks 3. Set up the experiment C. Write the procedure, tabulate and infer the results. (Slide - 3, Procedure - 2, Identification -1, Diagram -1). 1x7=7 marks 4. Estimate the starch content of the specimenD . Write the procedure, tabulate and infer the results. (Procedure-2, Diagram-1, Calculation-1, Results-1) 1x5=5 marks 5. Set up the experiment E. Write the procedure, tabulate and infer the results. (Procedure -3, Diagram- 1, Result-2) 1x6= 6 marks 4. Identify, draw and write notes onF&G. (Identification -1, diagram-1, Notes-2) 5. Write critical notes of H & I. (Identification -1, diagram-1, Notes-2) 2x4=8 marks 2X4=8 marks Total =50 marks Record=10 marks Grand Total =60 marks KEY \| A \| PHYSIOLOGY \| ESTIMATION \| \|---\|---\|---\| \| B \| BIOCHEMISTRY \| EXPERIMENT \| \| C \| PHYSIOLOGY \| EXPERIMENT \| \| D \| BIOCHEMISTRY \| ESTIMATION \| \| E \| PHYSIOLOGY/ BIOCHEMISTRY \| EXPERIMENT \| \| F \| PHYSIOLOGY \| SPOTTER/ /PHOTOGRAPH \| \| G \| BIOCHEMISTRY \| SPOTTER/ /PHOTOGRAPH \| \| H \| PHYSIOLOGY \| SPOTTER/ /PHOTOGRAPH \| PONDICHERRY UNIVERSITY BLUE PRINT OF PRACTICAL QUESTION PAPER FOR M.Sc. BOTANY (Choice Based Credit System) (Effective from the academic year 2020-2021) PRACTICAL PAPER –VI (GENOMICS AND BIOINFORMATICS & PLANT BIOTECHNOLOGY) Course Code: 524 Time – 3 Hrs. Max. Marks –60 1. Determine the biological sequence search using BLAST X for DNA/ protein sequence A. 1x10=10 marks 2. Prepare Plant Tissue Culture medium/ Inoculate given explants on Plant Tissue Culture Medium B. 1x10=10 marks 3. Construct a phylogenetic tree for the given gene sequence C. 1X5=5 marks 4. Isolation of plasmid/restriction digestion of the given plasmid. Confirm it using agarose gel electrophoresis D. 1x5= 5 marks 4. Identify, draw and write notes on E & F. (Identification -1, diagram-2, notes-2) 2x5=10 marks 5. Write critical notes of G & H. (Identification -1, diagram-2, notes-2) 2X5=10 marks Total =50 marks Record=10 marks Grand Total =60 marks KEY \| A \| GENOMICS \| PROBLEM \| \|---\|---\|---\| \| B \| PLANT BIOTECHNLOGY \| GENE SEQUENCING- BLAST X \| \| C \| BIOINFORMATICS \| PHYLOGENETIC TREE \| \| D \| PLANT BIOTECHNOLOGY \| EXPERIMENT \| \| E \| GENOMICS \| SPOTTER/ /PHOTOGRAPH \| \| F \| PLANT BIOTECHNOLOGY \| SPOTTER/ /PHOTOGRAPH \| \| G \| BIOINFORMATICS \| SPOTTER/ /PHOTOGRAPH \|
April www.montrose.co.lwvnet.org LEAGUE OF WOMEN VOTERS® Serving Montrose and Delta Counties Follow us o n Facebook: https://www.facebook.com/VoteMontrose SOMETHING FRESH TO CONSIDER IN OUR SERIES ON ELECTIONS AND VOTING "EQUALITY FOR WASHINGTON, D.C. FIXING THE HOLE IN OUR DEMOCRACY" Thursday, April 5 at 12:30 Montrose Library Community Room Bring a Friend---or two! Tressa Guynes, Montrose County Clerk and Recorder, will present information on the June 26 primary election too! LOCAL LEAGUE NEWS LOCAL LEAGUE NEWS GENERAL MEMBERSHIP MEETING OF MARCH 13 Though the number of attendees was small, the meeting was very productive because the nine really stepped up with meaningful input and volunteerism to turn the wheels of our organization. Regarding leadership for next year, Nancy Ball, Caroline Evans and Barb Krebs will personally call members in order to fill the jobs of treasurer and spokesperson/coordinator. Nancy has agreed to remain as Voter newsletter editor, Jan Edwards as secretary, Tanya Ishikawa as our webmaster and Facebook manager, and Gretchen as LWVCO liaison. As always, a vote on officers---and a budget--- will be held at the annual meeting. Speaking of which, thanks to Barb, our annual meeting will be held at Vista Charter School on May 10 at 11:45 am. Committees for important upcoming projects were established as follows: EZ Grant Committee: Gretchen Nicholoff, Caroline Evans, Robin Flom, Suze Gingery and Paul Janzen. The mission of this group is to engage with eligible 18-35 year old residents of our communities, encouraging them to register to vote, to educate themselves about the candidates and issues, and to vote in our June primaries and the November general elections. Our work couldn't come at a better time what with the courageous willpower and determination currently demonstrated by high school students across the nation. Voter Service Committee: Barb Krebs and Jan Edwards. With the passage of Props. 107 and 108, there are two elections on the horizon as noted above, so this committee will be quite busy with Vote411.org, candidate forums, ballot issues forums, voter registration, etc. Needless to say, Barb and Jan will need help from League members, so please consider assisting them, especially come late summer. Fundraising was also a topic of discussion as funding will be needed for ballot issues pamphlets and LWVCO events such as Council and League Day. Barb and Nancy will work on this, and they need suggestions as to the names of local businesses and organizations to which to appeal. We have been asked by D.M.E.A. to host their candidate forums for board seats on May 15 and 17, and Tanya Ishikawa has agreed to act as moderator. A hearty thank-you to all who attended. For those of you who were unable to be at the meeting, this year your assistance is needed more than ever due to two elections and the LWVCO EZ Grant award, so please do consider volunteering in some way! PACKET RECEIVED FROM THE LWV OF THE DISTRICT OF COLUMBIA A surprise package found in our post office box has resulted in an interesting topic for our April program! In the box was all that was needed for a presentation, including an introductory letter explaining the project of self-determination, statehood and voting rights, along with support from the LWVUS, a PowerPoint presentation, and a petition to be signed by supporters. The LWV has supported self-determination for Washington, D.C. since 1938, and the delegates to the LWVUS Biennial Convention in 2016 voted overwhelmingly to support statehood for our nation's capitol. With the League's motto of "Making Democracy Work" and our local League's focus this past year on all things election and voting, this topic seems to perfect way to end our 2017-2018 community programming. What can state and local Leagues do to help? Lots of options for little effort. Include a box in every newsletter "We support statehood for DC residents." Appoint a liaison to the DC League to get updates. Like our Tweets—respond to them. Like our Facebook postings. Post one of our samples on your Facebook page. Hold a community program and get supporters of our cause to sign the petition provided. Request from the DC League: Please help us educate your representatives so they will understand the need to give DC the same rights the people of your state have. * Contact members of Congress asking them to support the New Columbia Admission Act Keys to Statehood Movement: Educate - Organize – Act and Believe in What's Possible! EZ Grant Committee With such tremendous momentum under way because of determined and motivated students across our nation (see below), our outreach to Millennials (18-35) grant from LWVCO could not have come at a more opportune time. The committee (see Page 2) will be needing volunteers to help with various voter registration events that will take place in the coming months prior to the June 26 primary and up through the November 6 elections. These efforts will go a long way toward our "Making Democracy Work---for All" motto! Please contact one of the committee members if you are able to assist in any way---ideas, publicity, being on hand at a registration event, attending meetings hosting local youths and/or young businesspeople, working with high school officials in Ridgway, Montrose, Olathe, Delta and other cities in Delta County, and C.M.U., working with young women's clubs, through the Chamber of Commerce, etc. and whatever… LWVUS encourages all Leagues to continue to support and provide voter registration assistance to this incredible student-led grassroots movement. LEAGUE OF WOMEN VOTERS OF COLORADO and Other Leagues Across the Country DEMOCRACY IN ACTION! Tolga Akmen, AFP/Getty Students in Phoenix, AZ On March 24, the date of #MarchforOurLives across the country, the League of Women Voters marched with students, parents and concerned Americans in Washington D.C., and other cities across our nation, to urge Congress to enact common-sense solutions to the gun violence plaguing our nation so that their lives and safety become a priority and hopefully to finally put an end to the epidemic of mass school shootings. Leagues also set up voter registration tables to ensure those speaking out are heard at the ballot box this year. Students in Arizona (see above) demonstrate the future! Educate, Advocate, Impact! LEAGUE OF WOMEN VOTERS OF THE U.S. Empowering Voters. Defending Democracy. Credit: Vox Yesterday (March 19), in a victory for Pennsylvania voters, the U.S. Supreme Court declined to block the recently redrawn Pennsylvania congressional district from moving forward. This is a huge victory for Pennsylvanians. Moving forward, the votes of Pennsylvanians will not be diluted by the unconstitutional extreme partisan gerrymandering of its congressional districts. In the 2018 election, voters will be voting under new, fairer maps. Yesterday's decision was also a huge victory for the League of Women Voters. The League in Pennsylvania initiated this lawsuit in the summer of 2017 because voters deserve the right for their voices to be heard regardless of party affiliation or address. This victory is an important first step toward slaying the gerrymander. This success is just one of the many steps that are being taken in Pennsylvania and in other states across the country in our work to reform redistricting. The League will continue to fight for fair maps by passing legislation and supporting citizen reforms to implement an independent redistricting process. Sincerely, Chris Carson President, LWVUS Update: Unfortunately, 12 Pennsylvania Republicans have introduced legislation to impeach four of the state Supreme Court justices who struck down the GOP's congressional gerrymander. Republican leaders in the state legislature are now considering whether to support this push for impeachment. Due to their gerrymandered legislative maps, Republicans hold just enough seats in both branches of the state legislature--including the required two thirds majority in the state senate--to impeach the justices if they all support it. Republicans hold the bare minimum two-thirds majority in the state Senate to remove the justices, so it would only take a single Republican senator to block an impeachment effort. Looks as though the PA League may have more legal work ahead! Contact info for the Colorado U.S. Congressional Delegation Sen. Cory Gardner \| 303-391-5777 https://www.gardner.senate.gov/contact-cory/email-cory Sen. Michael Bennet \| 303-455-7600 / 866-455-9866 https://www.bennet.senate.gov/?p=contact Rep. Diana DeGette (CO District 1) \| 303-844-4988 https://degette.house.gov/contact/send-mean-email/email-me Rep. Jared Polis (CO District 2) \| 303-484-9596 https://polis.house.gov/forms/writeyourrep/ Rep. Scott Tipton (CO District 3) \| 970-241-2499 https://tipton.house.gov/contact/email Rep. Ken Buck (CO District 4) \| 970-702-2136 https://buck.house.gov/contact/email Rep. Doug Lamborn (CO District 5) \| 719-520-0055 https://lamborn.house.gov/contact/leave-acomment.htm Rep. Mike Coffman (CO District 6) \| 720-748-7514 https://coffman.house.gov/contact/ Rep. Ed Perlmutter (CO District 7) \| 303-274-7944 https://perlmutter.house.gov/forms/writeyourrep/ Contact Info for Colorado General Assembly Rep. Marc Catlin (CO House District 58) 303-866-2955 firstname.lastname@example.org Sen. Don Coram (CO Senate District 6) 303-866-4884 email@example.com MAKE YOUR VOICE HEARD! 2017-2018 LWV Community Support The League of Women Voters of Montrose County, serving Montrose and Delta counties, thanks these local businesses, organizations and individuals who have donated financial and in-kind support. Please add your thank you when you patronize these businesses or visit with these individuals. Alpine Archeological Alpine Bank Horsefly Brewing Company La Voz del Pueblo The Montrose Mirror Dennis Olmstead Ron Britten Karen and Bob Nicholson Judy Kittson Local League Calendar Mark Yours! Community Program "Equality for Washington, D.C." Thursday, April 5 12:30 – 1:30 Montrose Library Community Room Annual Meeting Thursday, May 10 11:45 – 1:30 Vista Charter School Check out our Website: www.montrose.co.lwvnet.org Our new webmaster, Tanya Ishikawa, will keep us updated on and linked to local, state and national activities, issues and websites. 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Mail to P.O. Box 3321, Montrose, CO 81402 Membership information is available at http://montrose.co.lwvnet.org/join form.html THE LEAGUE OF WOMEN VOTERS OF MONTROSE COUNTY SERVING MONTROSE AND DELTA COUNTIES P.O. BOX 3321, MONTROSE, CO 81402 The League of Women Voters, a non-partisan political organization, encourages informed and active participation in government, works to increase understanding of major public policy issues and influences public policy through education and advocacy. 2017-2018 Administrative Team Gretchen Nicholoff, LWVCO liaison 970-525-3997, firstname.lastname@example.org Jan Edwards, Secretary 1-832-754-6302 email@example.com Nancy Ball, Treasurer, Voter editor 249-8963, firstname.lastname@example.org Tanya Ishikawa, Communications 1-303-819-7784 email@example.com Susan Chandler-Reed, At Large 249-1076, firstname.lastname@example.org Barb Krebs, At Large 249-3989, email@example.com Suze Gingery, At Large 970-258-4067, firstname.lastname@example.org
The Sodium/Iodide Symporter, Nitrate, and Dental Caries: A Perspective from a Review of the Literature Kenneth Brossel DDS Private Practice Federal Way, Washington USA Key Words Sodium/iodide Symporter, Dental Caries, Nitrate Abstract: Nitrates have been used as an antimicrobial agent in foods for hundreds of years. As a result there is extensive literature on their mode of activity in the food sciences and other such diverse fields as gastroenterology, the pulmonary sciences, and cancer research but minimal research exists in the dental sciences. This manuscript will describe how nitrate present in green leafy vegetables is absorbed and concentrated in saliva. Through the intervention of facultative anaerobes in the oral cavity inert nitrate is converted to nitrite which through acidification becomes a potent nitrosating agent. The sodium/iodide symporter is responsible for the transport of nitrate from serum to saliva and agents that inhibit this process, goitrogens, will be shown to have an impact on caries rates. It is the nitrosation of critical sulfhydryl groups in glycolytic enzymes and carrier molecules that is responsible for the suppression of acid production and therefore the reduced cariogenicity of lactic acid bacteria. The difficulty in identifying nitrites behavior as an anticariogenic agent may stem from its cyclic nature due to its reliance on dietary intake. ______________________________________________________________________________ The sodium/iodide symporter,NIS, is a glycoprotein comprised of 618 amino acids.(1,2,3). It has the ability to concentrate iodide in thyroid cells, thyrocytes, against its electrochemical gradient by a factor of from 20 to 40 with respect to plasma, noted as T/P or T/S, thyroid to serum.(4,5). Two Na+ ions are transported with each anion and the energy released by the translocation down its electrochemical gradient is coupled to the transport of iodide uphill against its electochemical and concentration gradient. The energy needed for this process is derived from Na+/K+ ATPase.(1,5,6). The iodide is incorporated into the thyroid hormones T3, triiodotyrosine, and T4, thyroxine, in a process termed organification. The NIS is present not only in the thyroid but also a number of extrathyroidal tissues. These include the salivary glands, gastric mucosa, lactating mammary glands, chroid plexus, placenta, and kidney tubules.(1,4,7). All these tissues exhibit a number of similarities which include, 1) the ability to concentrate iodide by a factor of 20 to 40, 2) antagonistic inhibition of this concentrating mechanism by anions such as thiocyanate, SCN , perchlorate, ClO4 , nitrate, NO3 , and selenocyanate, SeCN - , and 3) concentration of a number of anions other than iodide.(1). TSH, thyroid stimulating hormone, produced in the pituitary gland serves as a regulator by stimulating NIS gene and protein activity in thyrocytes which increases iodide uptake by the thyroid gland.(3). An important difference between the thyroid and salivary glands is that TSH has no impact on the activity of the salivary glands.(4,7,8,9). The function of the thyroid, whether it is hypothyroid, euthyroid, or hyperthyroid, also appears to have no influence on the salivary NIS in its anion transporting capabilities.(10). In addition, non-thyroidal tissues do not have the ability to produce T3 or T4. Also the salivary glands can concentrate thiocyanate by a factor of 20 unlike the thyroid where it is oxidized.(1,11). In spite of these differences the close association of the salivary and thyroid NIS is indicated by the fact that an autosomal recessive genetic defect, Congenital Iodide Transporter Defect, ITD, expresses itself concurrently in both glands.(2,3,7,12). The character of the NIS in the thyroid and salivary glands has been claimed to be very similar if not identical. Evidence for the association between the Na/I Symporter and Dental Caries involving cationic amino acid transport. A study was conducted by B.C. VanWuyckhuyse et al. analyzing the association between free amino acids with caries experience. Adults are grouped as being caries susceptible,(CS), or caries free,(CF). There was a positive relationship between a reduced caries rate and the cationic amino acids arginine and lysine in parotid saliva. The p value for histidine is just beyond statistical significance. Table 1 (Modified from table 2, ref.13) CS adults vs. CF adults, Bonferroni constant, p/20 \| asp \| 0.109 \| gln \| 0.215 \| ala \| 0.555 \| met \| 0.052 \| leu \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| glu \| 0.009 \| his \| 0.009 \| arg \| 0.0006 \| trp \| 0.126 \| lys \| \| asn \| 0.482 \| gly \| 0.8 \| tyr \| 0.169 \| phe \| 0.164 \| hyp \| \| ser \| 0.757 \| thr \| 0.673 \| val \| 0.448 \| ile \| 0.646 \| pro \| These are the three cationic, positively charged, amino acids with magnitude of positive charge being arginine, pKr =12.5, lysine, pKr =10.5, and histidine, pKr = 6.0. The reason given in the study for the cariostatic effect of arginine is that bacteria can produce NH4 + by way of the arginine deiminase system, ADS, and that this increases the oral pH in caries free individuals.(13). In rebuke of this hypothesis Calandra and Fosdick determined that the separate addition of a wide range of amino acids including arginine, lysine, and histidine did not increase the pH in a mixture with saliva and glucose at physiological concentrations.(14). The justification for lysine activity is that it has a cariostatic effect when delivered systemically.(15,16). In a study by L. Vranic et al. significantly lower levels of arginine were found in children with caries and there was a complete lack of histidine when compared with a control group. Concentrations of lysine were not examined.(17). In an additional study by W. Giebel et al. only amino acids with non-polar residues occurred in all samples,(n=17), of amino acids collected from parotid saliva making cationic amino acids the most variable in terms of concentrations in saliva.(18). There is another possible pathway which explains cationic amino acids relationship to dental caries and which involves the NIS. The two primary transport systems for cationic amino acids are the y+,"classic", system and the y+L system.(19,20). In the presence of an inwardly directed negative diffusion potential as can be created by the inwardly directed gradient of anions such as thiocyanate, SCN , the influx of lysine increases. A number of studies have demonstrated an increased influx of arginine and lysine in the presence of membrane hyperpolarization that can be induced by the transport of anions.(21,22,23). The increased influx is thought to be due to conformational changes in the y+ carrier and increased negative surface membrane potential in the y+L carrier.(24,25). , Having identified a mechanism to explain an increase in the concentration of cationic amino acids in saliva it is important to also identify those anions other than SCN which have the ability to hyperpolarize the cell membrane during transport. S. Eskandari et al. have shown that I , SCN SeCN , ClO3 , and NO3 are all preferentially transported by the NIS. These anions are concentrated by the salivary gland in a S/P ratio much greater than unity. They also all have the ability to hyperpolarize the cell membrane, creating a negative membrane potential and that this can result in an increased transport of the cationic amino acids, arginine and lysine.(26). Again in the human placental membrane Boyd and Vatish have shown that anions create an inside negative potential with an increased influx of lysine and it is proportional to their relative permeability's with SCN > I > NO3 .(27). From the results of the study by B.C. VanWuyckhuyse et al. and L. Vranic et al. we may infer that one or more of these anions has cariostatic capabilities. The NIS has been demonstrated in ductal cells by its immunoreactivity to anti-NIS antibodies.(28). In immunohistochemical studies of the human NIS, hNIS proteins were detected in the ductal cells.(29,30). The duct system of the salivary glands progresses from the acinar lumen to the intercalated ducts, the intralobular striated ducts, and last we have the interlobular ducts which empty into the oral cavity. The striated ducts are the most vascularized of all the ducts. The NIS has been identified in the striated duct and is in close proximity to the cationic amino acid transporters. The parotid gland contains the most extensive striated duct system of all the major salivary glands.(31,32). This along with the previously presented information supports the theory that 1) the NIS plays a key role in determining an individual's susceptibility to caries and 2) that one of the anions, I ,ClO3 ,NO3 ,SCN ,SeCN , transported by the NIS or a combination of them are factors in this process. It appears that the levels of free arginine and lysine in saliva may serve as markers for the transport of these cariostatic anions by the NIS and for an individual's susceptibility to caries. Sexual Dimorphism, the NIS, and Dental Caries Another indication of the role of the NIS in dental caries is the well documented sexual dimorphism of dental caries. Females have a much greater caries experience than males in permanent teeth. In studies conducted prior to the fluoridation of community water supplies we find 24 studies involving the sexual dimorphism of dental caries. 21 studies or 87.5% support the concept of increased caries in females, two studies, 8.3%. found no difference between the two sexes, and only one study indicated a higher rate for males, 4.2%.(33). In an analysis of caries experience among 12 to 17 year olds covering the years 1946 to 1959 encompassing 9 studies it was determined that females had a decay rate 16.8% higher than for males. It was also determined in 9 studies of 12 to 17 year olds in the years from 1983 to 1993 that the rate of caries was 13.7% higher in females.(34). In addition the rate of caries increase with age is greater with females than with males.(35,36,37). Anthropologists will generally attribute these differences to behavioral factors and variation of roles such as food preparation as having an impact on caries rates. Dental anthropologist J. Lukacs has suggested that biological factors including sex hormones, estrogens, particularly estradiol, play a key role in these differences although specific mechanisms are not described.(33,35,38). Estradiol also known as oestradiol, E2 or 17 b-estradiol is the major sex hormone found in females. It can be found in males as a metabolic product of testosterone. It along with estrone, E1, and estriol, E3, comprise the three major estrogens produced by the follicular cells in the ovaries, corpus luteum, and the placenta. Serum levels of estradiol reflect the activities of the ovaries. Throughout puberty there are significant increases in the serum levels of estradiol in girls. These increases continue on through adulthood. Table 2 demonstrates this trend with estradiol levels divided into Tanner stages to quantify sexual development. We see a significant increase in E2 production, especially from stage V to adulthood.(39,40). In examining the levels of serum E2 in boys the rise of serum levels is steady and much less dramatic than that seen in girls, Table 3. The adult levels in males, avg. 68 pmol/L, (n=18), is very similar to those seen in level V.(41). Table 2 (Modified from table 1, ref. 39) \| Tanner Stage \| I \| II \| III \| IV \| V \| Adult \| \|---\|---\|---\|---\|---\|---\|---\| \| Age(yr) \| 9.1 \| 11.4 \| 12.2 \| 14.5 \| 16.8 \| 26.6 \| \| Estradiol(pmol/L) \| 22 \| 40.5 \| 128.5 \| 162 \| 182 \| 289 \| Girls and women Table 3 (Modified from table 1, ref. 41) \| Tanner Stage \| I \| II \| III \| IV \| V \| Adult \| \|---\|---\|---\|---\|---\|---\|---\| \| Age(yr) \| 9.7 \| 12.6 \| 13.6 \| 15.7 \| 17.3 \| 25-‐60 \| \| Estradiol(pmol/L) \| <18 \| 21 \| 36 \| 59 \| 71 \| 68 \| ‐ Boys and men This reflects the pattern described earlier in the increasing divergence of caries rates in females over males. Because E2 serum levels reflect the activity of the ovaries we see a dramatic increase in activity in the menstrual cycle. It acts as a growth hormone for the female reproductive organs.(39). Table 4 (Modified from table 2, ref. 39) ‐ ‐ ‐ Pregnancy brings about marked increases in estradiol levels, there is a steady increase in serum levels throughout pregnancy. As a reference, by the eighth week of pregnancy estradiol levels are two to three times the highest concentrations seen in the normal menstrual cycle.(42). Similar results were found in a longitudinal study of selected individuals with E2 levels at the 6 th week twice those found at the mid-luteal phase of the menstrual cycle. There is a rapid increase at the 8 th week due to the initiation of placental production of the hormone.(43). A proverb in Germany, Russia, Denmark, and Japan states, "for each child a tooth". A study in Denmark of 34 pairs of identical females twins compared tooth loss with children borne. Regardless of social status the number of missing teeth increased with number of children.(44). A study conducted of women in Gothenburg, Sweden compared number of children with remaining teeth. There was an increased risk of being edentulous with increased number of children.(45). These studies do not differentiate tooth loss from periodontal disease or dental caries. A study conducted comparing pregnant with non-pregnant women in Chaing Mai, Thailand found that there was a significant difference, (p<0.001), in dental caries.(46). An interest in estradiols effect on the NIS has stemmed from the sexual dimorphism exhibited by thyroidal goiters. In a 1977 survey of Whickham, England overt hypothyroidism was present in 14/1000 females compared with 1/1000 in males. Goiters were four times more common in females than males, more prevalent in younger than older women.(47). In a 20 year follow up of the original study new cases of spontaneous hypothyroidism were 3.5/1000/year in females but only 0.6/1000/year for men.(48). Another study indicates 16% of young women had sporadic diffuse goiters and states the peak occurrence of this condition occurs during pregnancy, possibly reflecting an iodide deficiency.(49). As early as 1917 D. Marine stated, " the periods when thyroid enlargements most frequently occur are at puberty, during menstruation, and during pregnancy".(50,51). The clinical expression of a state of hypothyroidism due to decreases in iodide transport is a goiter. A goiter is defined in clinical terms as an enlargement of the thyroid gland by a factor of from 4 to 5. The main cause of goiters is a lack of iodide in the diet which may be aggravated by goitrogens, medications or substances that inhibit iodide uptake or metabolism. Even in areas where there is the prophylactic use of iodine there is a persistence of goiters suggesting the role of goitrogens. Goiters are more prevalent in females than males even when there is adequate iodine in the diet.(52). Research on estradiol's direct effect as a goitrogen on thyroid follicular cells has been conducted by T.W. Furlanetto et al.(1999), with the use of FRTL-5 cells, Fisher rat thyroid cell line. It was demonstrated that E2 has the ability to inhibit the TSH stimulated expression of the NIS gene. This may explain the effect of E2 on the thyroid but as mentioned previously the salivary glands are not under the influence of TSH. (53). In a second study by T. Furlanetto et al.(2000) it was determined that E2 decreased iodide uptake by the FRTL-5 cells in the presence and absence of TSH. The direct effect of E2 on the thyroid cells was expected as estrogen receptors have been identified on thyroid follicular cells, Figure 7 .(54). This data would support the increased presence of goiters in females. Also, if as already presented we accept the fact that the NIS is responsible for the transport of cariostatic substrates into the saliva this data supporting estradiols role as an NIS inhibitor explains the sexual dimorphism of dental caries rates in females. There are papers that take the point of view that systemic diseases and conditions such as pregnancy have no impact on dental caries.(55). Nitrosation There is a chemical process which can take place in saliva that involves at least three of the anions transported by the NIS. Nitrosation is a process that involves the formation of nitrosocompounds symbolized as R-NO. Nitrosation has been studied intensely as it is thought by some that the formation of N-nitrosocompounds may result in cancer. Cortas and Wakid have demonstrated that there is a direct correlation between serum levels of nitrate, NO3 , and salivary nitrate and nitrite, NO2 , levels. Serum nitrate was shown to be concentrated by a factor of 9 by the NIS in saliva. Nitrate is detected in salivary gland secretions but nitrite is not. Nitrite in the oral cavity is the result of the reduction of nitrate by oral bacteria, facultative anaerobes, that reside on the posterior dorsal surface of the tongue and bacteria in saliva.(56,57). In addition reduction of nitrate to nitrite has been shown to occur in plaque.(58). Nitrate is a relatively stable anion with a low degree of reactivity but nitrite has the ability to react with weak acids forming nitrous acid which can play a role in a number of reactions including nitrosation and the formation of nitric oxide.(59,60,61). Nitrite in the presence of a mild acid such as lactic acid forms nitrous acid, HNO2. Nitrous acid is a weak acid with a pKa of 3.14 but is responsible for numerous nitrosation reactions. Bacteria that have been implicated in causing dental caries include S. salivarius, S. mitis, S. sanguis, and S. mutans which colonize pits and fissures first. The more virulent cariogenic bacteria, S. mutans, Lactobacillus including L. casei which can decrease the pH to as low as 3.2 and possibly actinomycetes are later colonizers and thought to be the bacteria mainly responsible for caries.(62,63,64). Jensen and Wefel have demonstrated in vivo that the interproximal plaque pH can reach a level as low as 3.69 +/- 0.12 after a meal of fermentable carbohydrates.(65). HNO2 exists in aqueous solution in equilibrium with N2O3, dinitrogen trioxide, that can act as a nitrosating agent: The active agent in nitrosation reactions is the nitrosonium ion, NO + . NO + is an active agent mainly through the activity of carrier molecules such as dinitrogen trioxide, N2O3 which can be depicted as NO2 NO + , dinitrogen tetraoxide, N2O4 depicted as NO3 NO + , nitrosothiocyanate, ONSCN depicted as SCN NO + , or S-nitrosoglutathione, GSNO depicted as GS NO + . N2O3 may react with a number of substrates, the most researched being secondary amines and amides. This process of nitrosation has been shown to be present in whole saliva. Nitrosamines were formed when the secondary amine morpholine was added to saliva even at neutral pH and the process increased as the pH decreased. Nitrite was shown to be present in the saliva taken from subjects and salivary catalysts were implicated in this process.(66). G. Rao points out that even though the formation of nitrosamines is unlikely at neutral pH there are local conditions in plaque where the pH may be lower and anions such as thiocyanate may contribute to the process of nitrosation.(67). Other substrates include the amino acids cysteine and proline. Nitrosation may proceed by an electrophilic attack by the nitrosating agent on N,O,C, or S compounds. Those compounds that contain a sulfhydryl group, -SH, are known as thiols and the products of their nitrosation are termed S-nitrosothiols. Of these nucleophilic centers protein sulfhydryl groups have been shown to be the most reactive and will be preferentially nitrosated.(68). Snitrosation has been shown to take precedence over N-nitrosation when both amines, amides and sulfhydryl groups are exposed to nitrosating agents.(69,70). The sulfhydryl group of cysteine plays a key role in the catalytic process of many enzymes due to its electron donating capabilities. The bacteriostatic effect of acidified nitrite involves the nitrosation of sulfhydryl, -SH residues in enzymes or carrier proteins. Once nitrosated these enzymes reversibly or irreversibly lose their catalytic capabilities.(71). The reaction of N2O3 with substrates(S) is given as: Because the substrates in the caries models which will be examined later are very reactive their reaction with N2O3 will be faster than its hydrolysis to nitrous acid, the second order rate limiting step becomes the formation of N2O3 or: There are other nitrosating agents besides N2O3. Many of these reactants may be formed from nitrous acid and act as catalysts in this process. Nitrosyl halides can be formed from chloride, bromide, iodide, but fluoride has not been found to be involved. As with the nitrosation reaction of N2O3 their formation becomes the rate limiting step in their action as catalysts. Nitrosyl iodide is a very effective nitrosating agent compared with either chloride or bromide based on the nucleophilicity of the agents. The most effective catalyst is thiocyanate, SCN - . The ratio of reactivity for the representative substrate morpholine is 1:30:15,000 for chloride, bromide, and thiocyanate respectively.(59). ONSCN has been shown to be formed rapidly in acidified saliva, pH 5.2, from NaNO2, (0.2 mM), and NaSCN,(1 mM), all parameters well within physiologic limits.(72). Studies have compared the nitrosation of the amino acids analine, glycine, and valine by various nitrosating agents. These agents were N2O3, ONCl, ONBr, ONSCN, and thiourea,SC(NH2) 2 . Nitrosothiocyanate, ONSCN, was an effective nitrosating agent with the half-life for the reaction dropping from 4000 sec. for N2O3 to approximately 5 sec. with the addition of SCN .(73). This paper will demonstrate a strong connection between the process of nitrosation and dental caries. It appears that nitrous acid, a product of nitrate, plays a key role in the process. Also nitrosation proceeds in the second order in nitrous acid and nitrite concentrations. Of the catalytic anions thiocyanate has been identified as the most effective followed by iodide, bromide, and chloride. Because the catalyzed pathway is first order in nitrite and thiocyanate concentrations nitrosation will be proportional to their concentrations. In the uncatalyzed pathway N2O3 is related to the square of the nitrite concentration therefore ONSCN may have a greater impact at lower nitrite concentrations, N2O3 at higher nitrite concentrations.(74). Nitrate, Thiocyanate, and Iodide Concentrations in Saliva Both nitrate and thiocyanate are present in millimolar concentrations in saliva. Approximately 85% of nitrate acquired by the body is from vegetables, specifically those categorized as green, leafy vegetables.(75). Nitrate from beverages contribute approximately 13% of dietary nitrate most coming from the nitrate levels in water. The remainder may result from the addition of nitrate to foods, specifically processed meats, as an antibacterial agent against Clostridium botulinum.(76). There can be considerable variations in these figures, especially in regions where there are high nitrate levels in water supplies resulting in its contribution increasing to as much as 50% of the total.(77). The dietary nitrate is absorbed in the proximal small intestines and at least 25% is transported into saliva by the NIS. Nitrate is absorbed very efficiently resulting in a 100% bioavailability.(78). Approximately 20% of the nitrate is reduced to nitrite by facultative anaerobes involving nitrate reductase in the anoxic environment on the posterior dorsal surface of the tongue, dental plaque, and in saliva. There can be as much as a three fold variation in individuals conversion abilities.(79). A paper by J. Doel et al. that first focused my attention on nitrate and caries analyzes individuals nitrate reductase abilities as it relates to DMFT. In 209 children it was determined that those with higher nitrate/nitrite reduction capacity had a significantly lower caries experience.(80). This process results in approximately 5 to 7% of ingested nitrate being converted to nitrite but can be as high as 20% for some individuals.(81,82,83,84). Approximately 80% of salivary nitrite is derived from the process of nitrate reduction in the oral cavity, the other 20% being ingested in foods and beverages.(85). Nitrate once ingested will reach a peak level in approximately 1 hour if in a liquid form, such as vegetable juice, and from 2-3 hours if in a solid form as in vegetables. Nitrate not converted in the oral cavity will recirculate resulting in a second or even third maxima of salivary nitrite before finally being excreted.(81). The half-life of nitrate in the serum is estimated at 12 hours by S.R.Tannenbaum et al. but as short as 5 to 8 hours by M.Tonacchera et al.(79,86). Thiocyanate originates from either smoking or particular vegetables. Cigarette smoke is detoxified in a process in which cyanide reacts with thiosulfate to form thiocyanate, the reaction is catalyzed by thio-sulfate-cyanide sulfurtransferase,(Rhodanese). Smokers will have a 3 times greater concentration of thiocyanate in their saliva. A few plants such as cassava, lima beans, sweet potatoes, maize, and sorghum contain cyanogenetic glucosides which is then detoxified to thiocyanate. The Brassicaceae; cabbage, cauliflower, turnips, broccoli, brussel sprouts, and rutabaga, follow a different metabolic pathway and are hydrolyzed to isothiocyanate, nitriles, and thiocyanate.(87,88). Thiocyanate in saliva has a more consistent concentration than nitrite due to its longer serum and salivary half- life which can be 10 to 14 days.(89,90,91). Iodide may have a minimal impact on the process of nitrosation in the oral cavity. A comparison of thiocyanate and iodide shows a thousand fold greater concentration of thiocyanate in saliva versus iodide on an eqimolar basis, 1.2 +/- 0.7 mM and 1.8 +/- 1.1 X 10 -3 mM respectively in non-smokers.(92). Another study found the salivary molar iodine ion concentration to be .7 X 10 -3 mM.(93). Cationic amino acids in saliva will reflect increases in the passage of not only larger amounts of nitrates but also thiocyanate, both of which play an active role in nitrosation. Nitrate has been shown as being a necessary component in nitrosation, with thiocyanate an important factor in the role as catalyst. Although the elevated level of thiocyanate in smokers might appear to be a benefit to the process of nitrosation we will find that due to its competitive antagonism with nitrate in their transport by the NIS smokers will have lower levels of nitrate and nitrite in saliva. This will inhibit the nitrosation process in these individuals and be reflected in their higher caries rates, a process that will be discussed later. Hormonal control of the NIS may be reflected in lower concentrations of nitrate and thiocyanate in the saliva of women as well as lower nitrite concentrations. A study by S.S. Mirvish et al. found women to have a lower nitrate concentration in their saliva, 23 mg/l, versus men, 35 mg/l. In addition women also had a lower salivary nitrite concentration, 7.5 mg/l versus men, 9.9 mg/l.(94). In a study with 100 participants, 50 men and 50 women, salivary nitrite levels were less for females than for males, 28 +/- 4 mg/L versus 33 +/- 5 mg/L although not of statistical significance.(95). Tenovuo and Makinen found a higher concentration of thiocyanate in the saliva of male nonsmokers versus female nonsmokers, 91.8 +/- 43.7 mg/L and 61.7 +/- 31.6 mg/L respectively. The same pattern held for smokers who have a higher thiocyanate concentration, 210 +/- 75.0 mg/L and 124 +/- 46.3 mg/L respectively.(92). Chronic Renal Failure and Nitrates In a review of the literature there is a connection between two of the NIS anions and a disease process. The involvement of these anions is reflected in a decreased rate of caries in Chronic Renal Failure,CRF, patients. M. Chow et al. (1979) reported on a case study of an 8 year old with CRF. It was recognized that the child had an extremely low rate of dental caries in spite of the fact that he was on a high carbohydrate diet to supplement a required low protein diet. The low rate of caries was attributed to an elevated level of urea seen in the saliva of patients with CRF.(96). In 1985 there are three studies on children with CRF, all displayed a significant reduction in caries rates when compared with controls with the results attributed to elevated urea levels.(97-99). Additional studies on CRF patients have all demonstrated a reduction in caries rates.(100-104). These studies on CRF patients are often referenced in other studies on the cariostatic capabilities of urea. Of the nitrogenous compounds in saliva arginine and urea are considered the main sources of ammonia, which is in turn credited with creating a more alkaline environment. Free arginine is catabolized by the arginine deiminase system, ADS, resulting in ornithine, carbon dioxide, and ammonia. The study by VanWuyckhuyse et al. is often referenced in association and justification of the concept that free arginine levels are factors in certain individuals caries resistance.(105). Urea which is present in salivary levels that reflect serum levels is hydrolyzed by bacterial ureases to carbon dioxide and ammonia. In CRF patients there are elevated levels of two of the cariostatic anions identified earlier. In a study on hypotensive episodes during hemodialysis M. Nishimura et al. identified elevated levels of nitrate in the serum of CRF patients. We see in CRF a disease process in which, due to a decrease in renal clearance, there is an increase in serum nitrate levels. This circulating NO3 can only be removed from the serum of CRF patients by dialysis. The study shows pre-dialysis levels of NO3 as avg. 307 umol/L versus avg. 133 umol/L following treatment.(106). This elevated nitrate level in the serum will be reflected in an elevated salivary nitrite level. T. Blicharz et al. researched the possibility of using colorimetric test strips to monitor a patient's progress while on dialysis. It was discovered that the two analytes that decreased significantly during dialysis in terms of salivary concentrations were uric acid and nitrite. Test strip measurements showed a decrease of 39% for uric acid and 86% for nitrite during the course of treatment.(107). K. Koyama et al. have also shown elevated serum SCN levels in preterminal chronic renal failure patients, (PCRF), and also those on dialysis. PCRF patients and pre-dialysis patients had SCN levels approximately double those of the controls.(109). In a study by A. Cailleux et al. serum levels of thiocyanate, SCN , were determined in controls and CRF patients. The controls were divided into smokers and non-smokers as serum thiocyanate levels are higher in smokers. The SCN levels of smokers were 206+/-74 umol/L, very close to 3 times the level of non-smokers, 74+/-19 umol/L. Non-smoking CRF patients had levels of 91+/-24 umol/L prior to dialysis and 62+/-21 umol/L following treatment. The elevated levels of SCN in CRF is again due to impaired renal clearance as with nitrates.(108). Sjogren"s Syndrome, Nitrates, and Xerostomia There is a disease process which may reflect an increase in caries in conjunction with a decrease in salivary nitrite and xerostomia. Numerous studies have found a higher caries rate in Sjogren's Syndrome, (S.S.), patients when compared with controls.(110-113). S.S. is an autoimmune disease affecting the salivary and lacrimal glands, is present in from 1% to 3% of the population and affects nine times more females than males.(114). In S.S. there is a lymphocytic infiltrate of the salivary and lacrimal ducts with a pronounced alteration in the functioning of the striated salivary ducts involving hyperplasia of the basal cells and aberrant differentiation into stratified and reticulated epithelium.(115). Another important symptom is a dry mouth or xerostomia which only becomes evident when salivary flow drops below 50%. (116). Also the saliva in S.S. patients has a more viscous and foamy nature as opposed to the serous consistency of the healthy controls. D. Xia et al. studied nitrate and nitrite concentrations in parotid and whole saliva in S.S. patients and controls.(117). Table 5 (Modified from table 2, ref. 117) Sjogren's Syndrome ‐ Control ‐ \| Parotid saliva \| 53 +/-‐ 34 \| \|---\|---\| \| Whole saliva \| 24 +/-‐ 15 \| \| Parotid saliva \| Undetectable \| Concentration (mg/L) nitrate Concentration (mg/L) nitrite ‐ The nitrate concentration in whole saliva is significantly less than the controls leading to a decreased concentration of nitrite in whole saliva. T. Granli et al. have shown that nitrate concentrations in saliva are inversely proportional to salivary flow.(118). In S.S. we find a significant decrease in the concentration of nitrate in whole saliva in spite of a decreased salivary flow. This is in conflict with the results of Granli indicating an impairment of the transport of nitrate by the cells of the striated duct. This is also indicated by a study where some S.S. patients show a lower saliva/plasma iodide ratio at given flow rates compared with normal subjects. These same individuals exhibit the most severe radiological changes on sialographys.(119). The increase in caries rates in S.S. patients may be due to the combination of a decrease in nitrate and nitrite concentrations in saliva combined with a decreased salivary flow rate. The exposure to the cariostatic agent can be given as mg/min. We reach this number by multiplying concentration, (mg/l), by flow rate,(ml/min.). The exposure of nitrite for the controls is 31 +/- 17 mg/min. and for the S.S. patients, 7 +/- 4 mg/min. in whole saliva. B. Zeldow discovered that the antimicrobial activity of parotid saliva was greater than that of the submandibular gland in 24 of 25 patients.(120). According to Granli et al. the nitrate concentration of unstimulated parotid saliva is 2.8 times greater than the concentration of nitrate plus nitrite found in unstimulated whole saliva. Following the bilateral ablation of the parotid glands in miniature pigs D. Xia et al. determined that the background concentration of nitrate was approximately 3 times greater in the controls than the test subjects. Also the concentration of nitrate following a nitrate load was significantly less in the test subjects indicating the parotid glands importance in the transport of nitrate from serum to saliva.(121). SCN has also been determined to be more concentrated in parotid saliva versus the submandibular gland at flow rates between 0.1 and 1.0 ml/min.(122). R. Harden et al. have shown that the iodide clearance is greater in the parotid gland, 5.7+/- 0.50 ml/min., than submandibular gland, 3.4+/- 0.50 ml/min.(123). Harden et al. found more iodide was excreted by the parotid than submandibular gland, 0.62 +/- 0.115 ug/hr versus 0.27 +/- 0.051 ug/hr respectively.(8). A more foamy and viscous saliva has been associated observationally if not scientifically with dental caries. Because the parotid gland produces a more serous saliva as opposed to the other glands which have a more mucous component any decrease in the capability due to damage of the parotid gland will result in this more viscous and foamy saliva, most likely with a decreased nitrate component. Radiation Therapy, Nitrates, and Xerostomia Radiation therapy creates another situation involving an increase in caries rates similar to that seen in S.S. Caries rates increase with the initiation of radiation therapy, R.T.(124-126). Radiation caries only occurs when the salivary glands are within the path of the radiation and do not occur if it is only the teeth that are exposed. As with S.S. patients there is a significant decrease in salivary flow. S. Dreizen et al. documents a decrease from an unstimulated flow rate of 1.1 mL/min. to 0.47 mL/min. within the first week of therapy. The flow rate declined gradually after this to .05 mL/min. over the next 3 years. The loss of the ability to produce saliva is progressive and non-reversible. This loss parallels the nonregenerative destruction of the acinar cells of the gland.(127). Exposure of minipig salivary glands, chosen because of their physiological and histologic similarities with human salivary glands, to 70 Gy of ionizing radiation promotes a specific form of destruction of the glands. The parotid gland following irradiation was approximately half the size of a normal gland. There is acinar atrophy with striated duct dilation and an infiltration of lymphocytes and plasma cells denoting chronic inflammation.(128). In a study involving 207 head and neck cancer patients xerostomia was considered the most common oral sequele with up to 80% of patients complaining of a dry mouth.(129). C. Chen et al. monitored 15 patients undergoing radiation therapy for nasopharyngeal carcinoma. Again as with S.S. the salivary flow rates decreased significantly from 4 ml/min. at baseline to 1.7 +/- 0.7 at 10 treatments,RT10, 1.3 +/- 1.0 at 20 treatments,RT20, and 1.1 +/- 1.2 at the endpoint. There was not only a decrease in the nitrate concentrations in saliva but also a decrease in salivary nitrite concentration. Table 6 (Modified from table 2, ref.130) Baseline ‐ Endpoint ‐ \| 1.11 +/-‐ 1.32 \| 0.31 +/-‐ 0.36 \| \|---\|---\| \| 0.17 +/-‐ 0.14 \| 0.13 +/-‐ 0.17 \| Again as with S.S. the decrease in salivary flow should lead to an increase in nitrate concentrations but instead there was an overall decrease indicating damage to the secretion process in the salivary glands, all the major glands were involved.(130). The Effect of Smoking on the NIS and Dental Caries In 1951 Ludwick and Massler conducted a study on naval enlistees to determine the relationship of caries to smoking. They were expecting to achieve the same results as those of H.J. Schmidt,(1951), who reported that increases in tobacco smoking led to a decrease in caries rates. Instead they found that in all age groups there was a statistically significant increase in caries rates with cigarette consumption.(131). This positive correlation between increased cigarette consumption and caries rates has been demonstrated in a number of studies.(132-135). Having identified smokers as being at risk for developing dental caries we will discuss these results in terms of the cariostatic anions identified earlier. Smoking leads to increased levels of thiocyanate in serum and in saliva. Tenovuo and Makmen recorded thiocyanate in the saliva of smokers and non-smokers. Smokers had whole saliva concentrations of 2.6+/- 1.3 mM/L whereas non-smokers had 1.2+/- 0.7 mM/L. The concentrations in whole saliva varied by cigarette consumption per day.(92). Table 7 - (mg/L) >10 194 N. Haley et al. document plasma SCN concentrations of smokers at 157+/- 34 uM/L and nonsmokers at 57+/- 22 uM/L. Whole saliva concentrations were 3.339 +/- 1.117 mM/L and 1.293 +/- 652 mM/L respectively indicating that SCN is concentrated by a factor of 21 and 22 through the activity of the NIS in the salivary gland in this study.(89). Thiocyanate plays a dual role in the dental caries process. At higher concentrations it has the ability to competitively inhibit the transport by the NIS of other anions such as nitrate and iodide from serum to saliva. At lower concentrations of SCN it may act as a catalyst in the process of nitrosation. Smoking has been shown to inhibit the transport of iodide by the NIS in various in vivo studies. L. Hegedus et al. conducted a study to determine smoking's impact on the frequency of goiters. The incidence of goiters was higher in smokers, 30% versus 3% among non-smoking participants.(136). Thiocyanates ability to inhibit the transport of iodide is demonstrated by decreasing concentrations of iodide in saliva as the SCN concentration increases in smokers versus non-smokers.(92). In a similar manner thiocyanate has the ability to inhibit nitrate transport by the NIS. In a study by Ladd and Archer it was found that as salivary levels of SCN increased in smokers the levels of salivary nitrite decreased. The participants were divided into three groups, non-smokers, light smokers,(<30 cigarettes/day), and heavy smokers,(>30 cigarettes/day). Heavy smokers exhibited less than half the salivary nitrite concentration of nonsmokers.(137,138). C. Cingli et al. in a study with 100 participants found that the nitrite levels in whole saliva was greater in nonsmokers, 35 +/- 5 mg/L, compared with smokers, 21 +/- 4 mg/L.(p<0.001).(95). D. Forman et al. compared the nitrate and nitrite levels in populations with a low and high risk of developing gastric cancer in Great Britian. They found lower levels of nitrate in the saliva of smokers, 135.7 nmol/ml versus 172.0 nmol/ml in non-smokers in the low risk population. In the high risk population smokers had a salivary level of nitrate that was 85.8 nmol/L versus 116.6 nmol/L in the non-smokers. Salivary nitrite levels in the low risk category followed this same pattern with 87.9 nmol/ml in smokers and 104.6 nmol/ml in non-smokers. In the high risk population smokers had a level of 53.7 nmol/ml nitrite while non-smokers had 73.6 nmol/ml. These results were not expected if we are to assume that nitrates contribute to the formation of carcinogens in the form of N-nitrosocompounds as smokers have an elevated risk of gastric cancer.(139). The Effect of Secondhand Smoke on the NIS and Dental Caries Not only smoking but secondhand smoke appears to have an impact on caries rates. Various studies have demonstrated a dose dependent relationship between increased exposure to environmental tobacco smoke,ETS, and increased caries rates.(140-142). It is well documented that there is an increased level of SCN in the saliva of smokers versus non-smokers. L. Krebs undertook the task of identifying these levels in individuals exposed to secondhand smoke. Table 8 (Modified from ref. 143) ‐ \| Smoke Exposure \| SCN-‐ in saliva (mM) \| \|---\|---\| \| Nonsmoker lives with nonsmoker \| 1.16 \| \| Nonsmoker lives with nonsmoker \| 1.24 \| \| Nonsmoker lives with nonsmoker \| 1.27 \| \| Nonsmoker works with smokers \| 1.71 \| \| Nonsmoker lives with smoker \| 1.83 \| \| Nonsmoker lives with smoker \| 2.3 \| \| Nonsmoker lives with two smokers \| 4.34 \| \| Smoker (1/2 pack a day) \| 2.12 \| \| Smoker (1/2 pack a day) \| 2.14 \| From Table 8 we see that there are progressively greater levels of SCN with exposure to secondhand smoke from non-smoker, ( lives with non-smoker), to non-smokers,( works with smokers), to non-smokers,( lives with two smokers ). The level of SCN in the saliva of the last individual is greater than that of a 1 ¼ pack a day smoker.(143). The increased levels of SCN in those exposed to secondhand smoke would explain the increase in caries rates when placed in the context of its inhibitory capability on the transport of nitrate by the NIS. Lithium, the NIS, and Dental Caries Another documented goitrogen besides thiocyanate and estradiol is lithium. It may be that lithium, Li + , substitutes for the Na + in the Na/I symporter although it is not nearly as effective as the sodium ion in this role.(26). Lithium salts have been used since the 1960's for the treatment of bipolar or manic depressive disorders. The usual regiment is a daily dose of from 0.6 to 2.4 gm of lithium carbonate. It is concentrated in saliva by a factor of from 3 to 5 over serum levels. Approximately 20% to 30% of patients develop hypothyroidism. The caries rates in these individuals are elevated although poor home care and xerostomia caused by medications become confounding factors.(144,145). Thiocyanate The first indication of thiocyanates role in caries reduction was presented by J.W. Beach in 1908 based on salivary analysis for sulfocyanate, an early term for thiocyanate. A Point of Care test for caries susceptibility was proposed to determine thiocyanate levels in saliva.(146). Research conducted in the 1960's identified what was termed a bactericidin system in saliva which was active against L. acidophilus ATCC 4357. Of the anions iodide, chloride, bromide, sulfate, thiosulfate, thiocyanate, nitrate, and phosphate, only iodide and thiocyanate reinstated bactericidal action to dialyzed saliva. Only concentrations of iodide,( > 0.175 mg/100ml), greater than that found in normal saliva,(0.0035-0.024 mg/100ml), were effective and salivary levels of iodide did not potentiate thiocyanates capability. Thiocyanate in concentrations found in saliva,(1-27 mg/100ml), had a dose dependent ability to restore the antimicrobial system in dialyzed saliva. Concentrations of thiocyanate that were eight times that found in saliva were toxic to bacteria without other salivary components. Patients were given 500 mg potassium perchlorate, a potent NIS antagonistic inhibitor, and the saliva that was collected one hour later showed a decrease in antimicrobial activity demonstrating the importance of the NIS in the system. In addition patients given 500 mg potassium thiocyanate exhibited an increase in thiocyanate levels in their saliva one hour later compared with levels one hour prior to administration, with a corresponding elevation of antimicrobial activity. The inability of nitrate to potentiate the system is understandable as Lactobacillus lack the ability to reduce nitrate to nitrite.(147). Similar results were found in a study involving L. casei with thiocyanate at salivary concentrations reinstating the antibacterial effect of dialyzed saliva but iodide was ineffective at normal salivary concentrations.(148). Not only thiocyanate but also isothiocyanate may act as a catalyst in the nitrosative process. Isothiocyanate, ITC, has the chemical structure, S=C=N-R. Miswak is included in a list of 18 natural substances that have anticariogenic properties although its mode of activity is noted as unknown.(149). It is an ancient form of a toothbrush known as a cleaning stick dating back to the Babylonians. Roots of the Salvadora Persica, a small tree or shrub are soaked and chewed, shredding the tip to form a rudimentary toothbrush. Miswak is currently used from Africa through the Middle East and Asia.(150,151). The essential oil from the root is 90% benzyl isothiocyanate,(BITC), according to one report.(152). Another reported levels of 69.5%.(153). Wasabi is known as Japanese horseradish. In literature for public consumption that highlights foods that protect the teeth wasabi is generally included. Isothiocyanates are the main volatile component of wasabi and contribute to its distinct pungent odor and taste.(154). In a study examining its impact on dental caries Wistar rats were fed a diet which included isothiocyanate,(50 ppm). The effect was antibacterial against mutans streptococci and the inhibitory action increased with longer side chains, R , on the thiocyanate ion.(155). ITCs may also be released from raw cruciferous vegetables when chewed, the action catalyzed by the enzyme myrosinase contained in the vegetables. The enzyme converts glucosinolates in the vegetables through hydrolysis to ITCs. These vegetables include broccoli, Brussel sprouts, cabbage, cauliflower, collard greens, kale, and turnips.(156). In a study by S. Morris et al. it was shown that the addition of the R moiety to nitrosothiols structure has a positive impact on the effectiveness of the nitrosating agent. The addition of an electron withdrawing group contributes to the nucleophilicity of the sulfur atom. Effectiveness of S-nitrosothiols, RSN=O, on the nitrosation of sulfhydryl groups of Bacillus cereus during germination, causing an inhibition of spore outgrowth, increased as the electron-withdrawing nature of the R group increased.(157). Oxidative/Nitrosative Stress Klebanoff and Luebke identified salivary peroxidase and thiocyanate as components in what was termed the antibacillus system.(158). The lactoperoxidase-thiocyanate-H2O2, LP-complex, was found to be operative in milk and saliva.(159,160). The major oxidizing agents at the cellular level include hydrogen peroxide,(H2O2), the superoxide radical,(O2 . -.), and the hydroxide radical,(OH . ). Research has included the food sciences as starter cultures of lactic acid bacteria are instrumental in dairy products and their inhibition by the LP-complex was an issue. The LPcomplex is analogous to the process of nitrosation, the difference being one involves oxidative stress on sulfhydryl,-SH, residues in enzymatic proteins whereas the other involves nitrosative stress. Oxidation of sulfhydryl groups in bacteria has been directly linked with a loss of viability.(161). The term nitrosative stress was coined by J.S. Stamler (1999), to denote products of oxidative stress formed by reactive nitrogen species,(RNS), i.e. N2O3, N2O4, NO . , and NO2 .(162). Both nitrosative and oxidative stress use reversible 2 electron oxidation reactions with: ``` Protein-SH + N2O3 -----------> Protein-SNO + HNO2 Nitrosation Which results in S-nitrosothiols peroxidase Protein-SH + H2O2 -------------> Protein-SOH + H2O LP-complex Resulting in sulfenic acids. (163,164) ``` In the progression from nitrosative to oxidative stress an increasing progression develops involving S-nitrosothiol, SNO, sulfenic acid, SOH, disulfide bonds, -S-S-, sulfinic acid, SO2H, to sulfonic acid, SO3H with the first three stages being reversible and the last two being irreversible.(165). This manuscript, although a review of nitrosative stress due to reactive nitrogen species, (RNS), NO . , NO + , NO , N2O3, or RSNOs ONSCN, GSNO…and their impact on bacteriostasis will include and draw inferences from oxidative stress by reactive oxygen species, (ROS), O2, H2O2, OH . , or O2 .. This is possible as nitrosation is a form of oxidative modification of reactive sulfhydryl groups. The oxidating agent in the LP-complex has been identified as OSCN as opposed to ONSCN formed from HNO2/N2O3 in the nitrosative process.(166,167). Thiocyanate serves as a cofactor and catalyst in both reactions as H2O2 and HNO2 can directly inhibit bacteria but only at larger concentrations than in its presence.(168). Although the LP-complex in theory should function as an antimicrobial system in vivo studies have resulted in mixed results. Numerous studies have failed to show an impact of the LPcomplex on caries, possibly due to inadequate concentrations of H2O2 in saliva. (169-172). In addition in one study the mean salivary OSCN concentrations were greater for smokers due to increased levels of thiocyanate in their saliva. This is in conflict with the fact that smokers have a higher caries rate than non-smokers.(173). The bacteriostatic and bactericidal properties of the LP-complex will be illustrated in order to describe the effect of oxidative stress on lactic acid bacteria. Nitrosative stress involving N2O3, N2O4, GSNO, and ONSCN will proceed by a similar pathway, involving inactivation of glycolytic enzymes and glucose transport systems through interactions with reactive sulfhydryl residues. The analogous oxidation process has been utilized as this has provided addition data on the inhibitory effect of these systems. Glycolytic enzyme inhibition through the oxidation of sulfhydryl groups have been identified in a number of studies. These enzymes have included aldolase, glyceraldehyde-3-phosphate dehydrogenase, GAPDH, and lactate dehydrogenase, LDH. Included is the inhibition of glucose transport into the cell by the PEP-dependent phosphotransferase system, PTS, and the Proton Motive Force, PMF system.(174). Of the glycolytic enzymes GAPDH is preferentially inactivated due to the low pKa, 5.5, of its reactive cysteine residue, Cys-149. As a result this reactive cysteine resides as a thiolate anion,(Cys-S ), at physiologic pH and is more reactive to the nitrosonium ion, NO+.(175-177). GAPDH is 100 times more susceptible to inactivation compared with LDH.(178). C. Schachtele has demonstrated in S. mutans that the membrane bound Enzymes II of the PTS is susceptible to N-ethylmaleimide,NEM, p-Chloromercuribenzoic acid, pCMB, and iodoacetic acid, IAA, inactivation, all sulfhydryl oxidizing agents.(179). In addition studies have shown a loss of the proton motive force in the PMF, possible due to an increase in cell wall permeability with efflux of K+ when bacteria are exposed to acidified nitrite or NEM.(180,181). OSCN generated by the LP-complex also inactivates the PMF uptake of glucose.(182). In a study of oxidative stress induced by H2O2 on S. mutans, without the other constituents of the LP-complex, the main site of inhibition was the glycolytic process. The most sensitive glycolytic enzyme was GAPDH with an IC50 of 2.2 mmol/L after 15 min. The next most prevalent site of inhibition was the PEP-dependent PTS with an IC50 of 10 mmol/L. Aldolase was not inhibited at bacteriostatic concentrations.(183). Another bacteria with connections to the dairy process is Strep. agalactiae. When exposed to the LP-complex there was a strong inhibition of the transport of glucose into the cells with a complete inhibition of glycolysis. The inhibition of the PEP-dependent phosphotransferase system was deemed responsible for the lack of glucose transport. Glycolytic inhibition was expressed as a decrease in lactic acid production from 0.338 umol in controls to 0.099 in LPcomplex exposed cells. The addition of dithiothreitol,DTT, a reducing agent, reversed the production to 0.402 umol.(184,185). Hoogendoorn et al. demonstrated the effectiveness of the LP-complex against S. mutans as reflected in a decrease in acid production. The controls were able to decrease the pH from 6.8 to 5.9. The S. mutans cells remained at the 6.8 pH after inhibition with the LP-complex and the inhibition was reversed by glutathione, a low molecular weight thiol.(186). In a study of the LP-complex inhibitory impact on S. mutans, S. salivarius, S. sanguis, and S. mitis GAPDH was identified as the glycolytic enzyme most affected. Intermediates in the pathway preceding GAPDH, glucose 6-phosphate, fructose 6-phosphate, and fructose 1,6-bisphosphate increased significantly. In addition intermediates following GAPDH, 3phosphoglycerate, 2-phosphoglycerate, and phosphoenolpyruvate, PEP decreased. Inhibition of PEP could in turn affect the transport of glucose by the PEP- dependant PTS.(187). The process of glycolytic inhibition and glucose transport introduces an important topic of consideration. As enzymes associated with glycolysis are cytoplasmic we must consider how oxidative agents can transverse the cell membrane. Being a phospholipid the cell membrane is considered impermeable to charged particles. The pKa of OSCN is 5.3 and it has been shown that at low pH it is in acid-base equilibrium with hypothiocyanous acid, HOSCN, which being uncharged may penetrate the cell membrane.(188). In both systems the pH plays a critical role. In the nitrate system the pH is critical for the production of nitrous acid from nitrite. Castellani and Niven found that the bacteriostatic effect of nitrite on a variety of bacteria increased 10 fold when the pH dropped one unit due to the increased production of nitrous acid.(189). It was demonstrated that HNO2 may rapidly diffuse across the cell membrane into the cell and this occurred even at a pH of 7.( HNO2 pKa = 3.14). In the cytoplasm nitrosative stress may also then result from N2O3 which is in equilibrium with HNO2.(190). Although it is doubtful that RSNOs such as NOSCN may transverse cell membranes GSNO and other S-nitrosothiols were able to exert intracellular activity in epithelial cells, possibly through the release of free NO which is able to permeate the membrane. On the intracellular level NO . could auto-oxidize to N2O3. NOSCN may also have an effect on extracellular sugar transport systems.(191,192). In Vitro Acidified Nitrite Studies We will next review literature based on nitrates bacteriostatic effect, information originating from food sciences, gastroenterology, pulmonary research, and the dental sciences. Sodium nitrite has been used as a food preservative for centuries. A complete review of nitrites antimicrobial activity and use in the food sciences was compiled by B. Tompkin.(193). Acidified nitrite has been shown to be effective against many food borne pathogens. Tarr et al.(1940), determined that sodium nitrite was bacteriostatic in as low a concentration as 0.02% at a pH of 6 but showed no inhibitory activity at pH7. This was the first study to demonstrate the dependence of nitrites bacteriostatic activity on pH.(194). Later studies proved sodium nitrites inhibitory activity against the food borne pathogen Clostridium perfringens and again the dependence on the pH. The concentration of nitrite required for inhibition of growth decreased as the pH increased, 3.8 to 15 times more sodium nitrite was required at a pH of 7.2 versus 6.3.(195). The inhibition was demonstrated by O'Leary and Solberg to be due to nitrites interaction with the sulfhydryl groups on glycolytic enzymes. There was a 91% decrease in the concentration of cystolic free sulfhydryl groups with a complete loss of GAPDH activity and a 67% decrease in aldolase activity.(196). It was thought that this same agent, NO . contributed to nitrites antibacterial properties. It was determined by J. Shank et al. that NO . was inactive against Pseudomonas fluorescens, Staph. aureus, Strep. durans, Lactobacillus, and Clostridium. There was a significant increase in bactericidal and bacteriostatic activity when NO . was combined with NO2. This can be explained by the equation: Nitric oxide, NO . , reacts with heme pigments to give cured meats their characteristic reddish color. Sodium nitrite is added to sausage in a fermentative process that involves the lactic acid bacteria Pediococcus cerevisiae. With the addition of sugar the lactic acid produced by the bacteria converts nitrite to nitrous acid. One role of the nitrous acid is to provide free NO . which produces the pink pigment in processed meats.(197). In addition nitrous acid was demonstrated to have bactericidal and bacteriostatic effects. The optimal pH was between 4.5 and 5.5 for bactericidal activity which became bacteriostatic between pH 5.6 and 5.8.(198). Pseudomonas aeruginosa is a pathogen that forms mucoid biofilms in cystic fibrosis, CF, patients. The biofilms are resistant to antibiotics but a novel treatment proposal is the use of aerosol nitrite. S. Yoon et al. report the killing of P. aeruginosa in an anaerobic biofilm analogous to plaque through exposure to acidified nitrite, 15 mM. There was no killing at pH 7.5 but nearly complete death of biofilm organisms at pH 6.5 implicating HNO2 or its intermediate N2O3 as the active agent. The equilibrium concentration of HNO2 would increase with increasing acidities, pKa = 3.14, and under two conditions that create a similar HNO2 concentration, 10 uM, ( pH 6.5 and 15 mM or pH 5.5 and 1.5 mM NO2 ), killing was the same.(199). This demonstrates the antilog relationship of pH to nitrite concentration. Conditions of pH 5.5 and 1.5 mM NO2 - replicate physiological conditions in the oral cavity. A study was conducted by Fite et al. on the effects of ascorbic acid, glutathione, thiocyanate, and iodide on the antimicrobial activity of acidified nitrite against the G.I. tract pathogen Yersinia enterocolitica at pH 2. Thiocyanate in concentrations from 0 to 500 uM was added to acidifed nitrite, pH2, in concentrations from 0 to 1000 uM. There was a decrease in the Minimum Bactericidal Concentration, MBC,( > 99.99% of cells killed), at increasing thiocyanate concentrations and also iodide concentrations. Thiocyanate proved to be a more effective antimicrobial cofactor than iodide at equimolar concentrations. It was thought that ascorbic acid and glutathione, both being reducing agents, would potentiate the antimicrobial effect through the reduction of nitrous acid to NO . . 2HNO2 + ascorbic acid <====> 2NO . + 2H2O + dehydroascorbic acid Instead the IC50,( 50% inhibitory concentration), and the MBC increased for both agents. This indicated that NO . was not the active antimicrobial agent. Y. Bayindir determined that subjects with higher DMFT displayed greater concentrations of NO . , more so in plaque than saliva. This would be in conflict with the theory that nitric oxide is the bacteriostatic agent and might indicate a protective mechanism in the survival of cariogenic bacteria through the reduction of HNO2 or nitrosating agents to NO . by reducing agents/antioxidants in saliva.(200). Studies have shown a correlation between an increase in antioxidant/reducing capacity in saliva and increased caries rates.(201-205). D.L.H. Williams analyzed the decomposition of ONSCN in the presence of ascorbic acid. At low acidity, 0.5 M H2SO4, in the presence of excess N-methyl-N-nitrosoaniline as a nitrosating agent with thiocyanate at salivary concentrations ONSCN was formed and decomposed by 2.2 X 10 -3 M ascorbic acid. (206). Ascorbic acid also acts as an inhibitor of the nitrosation process by decomposing HNO2 to NO . as demonstrated above. Glutathione appears to play a protective role as a reducing agent in situations of oxidative and nitrosative stress. It is the largest non-protein thiol and antioxidant constituent in bacteria and mammalian cells. As evidenced in many studies it has the ability to reverse oxidative/nitrosative inhibition of critical sulfhydryl groups in enzymes or act as a scavenger of nitrosating agents through transnitrosation.(207,208). ENZYME-SNO + GSH -----------> ENZYME-SH + GSNO ``` RSNO + GSH <========> RSH + GSNO ``` Generally GSH is found in higher concentrations in gram negative bacteria due to their ability to produce the tripeptide versus gram positive bacteria which must import it from the surrounding media. Exceptions to this occur with Strep. agalactiae and L. lactis which can produce GSH.(209). Agents which can decompose S-nitrosothiols include photolytic lyse, transition metals, l.m.w. thiols, antioxidants such as ascorbic acid, and enzymes specific to this activity. These enzymes include glutathione peroxidase,(210), xanthine oxidase,(211), the thioredoxin system,(212), and GSH-dependent formaldehyde dehydrogenase, GS-FDH, also identified as alcohol dehydrogenase III, ADH III, also known as bacterial GSNO reductase, GSNOR. Of these systems Xanthine oxidase may offer the least protection due to the low affinity for the substrate. FDH/ADH is specific to GSNO and is conserved from bacteria to yeasts, plants and animals. As GSNO is in equilibrium with S-nitrosothiols the enzyme has an impact on intracellular enzyme nitrosated thiols.(213). In the thioredoxin system reducing equivalents are transferred from NADPH through thioredoxin reductase to thioredoxin which decomposes nitrosothiols. Lactic acid bacteria do not have the ability to produce glutathione and can only import it from their medium. The FDH/ADH and Trx systems have therefore been proposed as major contributors to protection from oxidative/nitrosative stress. Both systems not only act as GSNO scavengers but also can denitrosate nitrosothiols in proteins.(214 -216). Acidified Nitrite and Oral Lactic Acid Bacteria We will next review studies that analyze nitrites impact on oral lactic acid bacteria. Xia et al. conducted research on acidifies nitrates and nitrites effect on 6 oral pathogens, S. mutans, L. acidophilus, Porphyromonas gingivalis, Capnocytophaga gingivalis, Fusobacterium nucleatum, and Candida Albicans. Nitrite in concentrations from .5 to 10 mmol/l had an inhibitory effect on all bacteria, the effect increasing with acidity. Strep. mutans was highly sensitive with Lactobacillus being more resistant. Acidifed nitrate had no inhibitory effect. As low a concentration as 2 mmol/L nitrite, inhibited the growth of Strep. mutans at a pH of 7. At a pH of 6, 1 mM of nitrite was required and at a pH of 5 only .5 mM was necessary. A pH of 4.5 and 2 mmol/L was required for the same response by L. acidophilus.(217). Normal salivary nitrite concentrations are .27 but rise to 1.2 mmol/L one hour following a high nitrate meal, reaching 1.8 mmol/L at two hours and maintaining this concentration for 5 hours.(218). Consumption of 100200 grams of green leafy vegetables results in salivary nitrite concentrations of 1-2 mM. Consumption of a 100 g mixed salad has resulted in salivary levels of 1.19 mM NO2 , well above levels proven to be bacteriostatic with in vitro experiments.(219). Mendez et al. demonstrated similar results in a study of acidified nitrites effect on S. mutans, Lactobacillus casei, and Actinomyces naeslundii. At pH 4.5 to 7 there was a dose dependent reduction in bacterial counts for all species with .2 mM showing bacteriostatic capabilities in S. mutans at all pH values. Not only viability but also recovery from nitrite exposure was dose and pH dependent.(220). Radcliffe et al. conducted similar tests on S. mutans , A. naeslandii, and L. casei. They determined that there was a minimal drop in the pH of the acid produced by the bacteria at .2 or 2.0 mM nitrite but a significant reduction in acid production at 20 and 200 mM. This larger concentration of nitrite, a level in excess of physiologic levels, necessary in this study versus studies previously discussed may be related to the addition of 1.0% m/v excess glucose in the growth medium. This may have allowed the increased production of NADPH by the Pentose Phosphate Pathway and used as a reducing cofactor in the Trx system.(221). These studies demonstrate the antimicrobial capabilities of acidified nitrite on food borne pathogens, G.I. tract pathogens, and cariogenic bacteria. They substantiate the possible baseline capabilities of acidified nitrite which can be potentiated with the addition of thiocyanate in saliva. Epidemiologic Surveys We will examine data, some presented as a meta-analysis from epidemiologic surveys. The first two studies will compare green leafy vegetable consumption on a continent and countrywide basis with caries prevalence. Another two studies will compare nitrate ingestion derived from water supplies. World Health Organization Surveys As already stated approximately 85% of ingested nitrates in the diet are derived from vegetables. Those vegetables containing nitrate have been categorized into 5 groups by Corre and Breimer. Those vegetables in Group 5, with the highest nitrate content include beets, celery, lettuce, spinach, and radishes with greater than 2500 mg NO3 /kg. The description of green leafy vegetables is generally given to those plants with the greatest nitrate content. Although all these vegetables are being grouped according to predetermined mean values for nitrate concentrations the ranges of these figures vary widely. For instance the nitrate content of spinach was shown to vary from 2 to 6700 mg NO3 /kg in samples.(222). The WHO developed a food monitoring program known as GEMS/Food. In 2008 a report from the European Food Safely Authority, EFSA, details nitrate consumption in a number of European and Eurasian countries in 2006.(84). In Table 9 countries are divided into clusters based upon common dietary patterns, this report deals with estimated vegetable consumption. Countries are categorized into 4 clusters, B, D, E, and F, based on nitrate consumption, B having the largest consumption, F being the least. Besides each country is either an H,(high), L,(low), or ND,(no data). This information is derived from the WHO Global Oral Health Data Bank, WHO Oral Health Country/ Area Profile Programme and scientific reports. It reflects the oral health defined as DMFT for the listed countries with : Low 5.0 - 13.9 DMFT High > 13.9 DMFT Table 9 The data is for 35 to 44 year olds in 2004.(223). There is a pattern with the highest DMFT category being correlated with the lowest nitrate consumption and conversely the low DMFT category being associated with the highest nitrate consumption. The data presents a case for nitrates having a major impact on caries rates. Table 9 also shows the nitrate levels for each cluster group. This data is based on a concentration of 392 mg NO3 /kg for a diet consisting of a variety of vegetables. We see that nitrate consumption increases to 204 mg/day nitrate for Cluster B. Cluster D has an estimated nitrate intake of 106 mg/day, Cluster E is 98 and Cluster F is 78 mg/day. Cluster B has the lowest rate of caries indicating a level of nitrate where the cariostatic benefit of nitrate becomes most apparent. Cluster D represents the reported average nitrate intake estimates for the U.S., 106 mg/d.(75). At this level we see an increase in nitrates impact on caries. The reason for the dramatic decrease between Cluster E and D may be due to nitrites antimicrobial activity being influenced by second order, exponential factors. Intake of 5.24 mM, 324 mg nitrate, results in salivary nitrite levels of 1.3 mM. There is approximately a 20 mg/L,(.44 mM), rise in salivary nitrite for every 100 mg nitrate ingested.(224). Another factor of vegetable consumption is its possible relationship to socioeconomic status, SES. Dental caries has been recognized to be predicted by very few factors. Among them are previous dental treatment and SES, studies have shown an inverse relationship between SES and dental caries.(225-229). In a study by D. Forman et al. it was determined that those in the highest SES, class I and II, in the UK had a higher level of both nitrate and nitrite in their saliva than those in class III, which in turn had a higher level than those in class IV and V, the lowest SES class. This trend held for three different regions examined in the study and reflects a higher rate of vegetable consumption by higher SES individuals.(230). It would seem logical to assume that the caries rates for vegetarians or vegans would be lower than for the general population due to a higher intake of vegetables. It is estimated that these individuals comprise 5 % of the population. A number of studies have shown a lower caries rate in these individuals.(231-234). Studies have also shown no difference in caries rates.(235). According to a UK study, MAFF 2000, the dietary nitrate intake of vegetarians and vegans does not exceed the ADI of 400 gr. vegetables and fruit requirement as cereals and nuts which are low in nitrate content tend to be substituted for the lack of protein products of animal origin.(84). Others have determined that vegetarians have a 2 to 4 fold higher average intake of nitrate than non-vegetarians.(236). It is common knowledge that children and adolescents do not consume the recommended amounts of fruits and vegetables. This amounts to five servings of fruits and vegetables per person per day. Whereas adults consume 4.3 servings per day those ages 2-18 consume only 3.6 (0.10) with only .2 (0.02) servings out of a recommendation of 1 in the category of green/yellow vegetables. Only 12% of adolescents report eating three or more servings of vegetables with one being deep yellow or green in color. Household income was again identified as a positive influence in increasing the consumption of fruits and vegetables. Those not meeting vegetable intake requirements increased with age from 78.3% of 2-5 year olds, 83.8% of 6-11 years olds, to 89.5% of 12-18 year olds.(237-239). In a study of children comparing salivary nitrite levels with caries, ages 6-12, it was determined that the control individuals had nitrite levels of 75.0 uM/L while those with Rampant Caries,RC, had levels of 32.4 uM/L. In a second age group, 71 months and younger, the control group had nitrite levels of 57.4 uM/L while those with Early Childhood Caries, ECC, had levels of 34.9 uM/L. In both groups of caries prone individuals the salivary nitrite levels were significantly lower than the control groups.(240). M. Cingi et al. compared the salivary nitrite levels in 100 individuals by age a statistical difference was found in those 10-30, 12 +/- 2 mg/L versus those 31-60, 41 +/-5.(95). Increasing levels of salivary nitrate and nitrite with age were also found by Forman et al.,(139), and also in a study by Eisenbrand et al.(82). Japan Japan was affected by the scarcity of sugar during WWII with a decrease in per capita consumption from 15 kg/yr/person in 1938 to nearly zero in 1946. There was a steady increase in sugar consumption from 1947 through 1973 with a gradual decline after this date. C.E. Renson has charted sugar consumption versus a rapid rise in DMFT and demonstrates the close correlation of the two factors in Figure 1. Of the 20 industrialized countries analyzed in the study only Japan showed an increase in caries rates after the war. This was attributed to the lack of fluoridation by Japan but others have demonstrated a decrease in caries rates in unfluoridated countries during the same time period.(241,242). Following WWII there was a major change in the traditional Japanese diet with the introduction of western style foods. Some of this influence came from the necessity to provide food in an emergency situation for a starving nation following a devastating war. In 1954 a program was instituted, PL480, whereby surplus grains from the US were shipped to Japan.(243). Along with this change came a decrease in a traditional diet rich in vegetables and fish. Among those vegetables were the green, leafy varieties, along with mushrooms and seaweed, all high in nitrate content. In a study by T. Sobko et al. the levels of plasma and salivary nitrates and nitrites were determined for a control diet typical of western style foods compared with a traditional Japanese diet. The western style diet included foods such as cornflakes, muesli, yogurt, and sandwiches. Salivary nitrate levels were 569 uM/L versus 199.7uM/L in the Japanese diet compared with the western style control diet and 134.2 uM/L nitrite versus 71.9 uM/L respectively. Although the Japanese diet has what might be considered a higher than normal nitrate concentration being 4 times the E.U. ADI for nitrates it reflects the Japanese peoples diet prior to WWII.(244). Following the war a National Nutrition Survey was undertaken in Japan and has been conducted every year since then. According to the survey sugar consumption has increased from .5 gr/day/person in 1946 to a high of 19.9 gr/day/person in 1971. Concurrently the consumption of green and yellow vegetables has decreased from a high of 98.2 gr/person/day following WWII to a low of 38.6 gr/person/day in 1962. This trend is charted in inverse relationship in Figure 2. Outliers for 1972 and 1973 have been excluded.(245). We may infer that nitrates cariostatic effect decreased from 1945 onward with the replacement of the traditional Japanese diet with western style foods consisting of grains and meat products. It is the influence of both the increased consumption of sugar and the reduction of green vegetables in the diet that may have contributed to the rapid rise in caries. Chile Folklore has it that a handful of nitrate crystals were thrown on some growing plants which resulted in remarkable growth. The Atacama Desert of northern Chile contains the world's only commercially mineable resources of nitrate. There were 171 commercial open-pit nitrate mines in northern Chile, most of which closed by the 1950's. The Tarapaca Region of Northern Chile had the greatest number of mines and nitrate production. The towns in the region were closely associated with the nitrate mines and their survival was directly tied to the nitrate industry. Nitrate is deposited in layers of mineral conglomerates of salts called caliche. It forms layers from 1 to 6 feet thick near the surface so it is recovered by open-pit mining.(246). Despite the arid nature of northern Chile water supplies tends to lie very close to the surface throughout the nitrate fields.(247). Drinking water will be the main source of nitrate exposure as vegetables have to be imported to the region and are considered a luxury. They are difficult to grow not only due to the arid climate but also the high salt content of the soil.(248). Minimal data exists on nitrate levels in water supplies in northern Chile.(249). Studies have been conducted on arsenic, perchlorate, and cyanide levels in drinking waters but nitrates have traditionally not been considered a pollutant or health concern until recently, especially in a region which prospered from the proceeds of nitrate mining. A study by R. Armijo in 1981 examines nitrate exposure as it relates to stomach cancer rates in various regions of Chile. Nitrate levels were analyzed in the urine of 11-13 year olds from 4 regions of Chile. Those children from a city in the north, Antofagasta, had urinary nitrate levels higher than those of the central cities of Chillan and Linares or those from the city of Punta Arenas in the south.(250). In 1945 a report was issued by the Chilean Ministry of Health. It details caries experience in 37,051 12 to 14 year olds and indicates an influence of geographical location on caries rates. Chile lends itself to geographical surveys. It is 2,625 miles long with an average width of less than 100 miles, isolated by the Andes Mountains on the east and the Pacific Ocean on the west. Chile was divided into three regions for the study. The northern region includes the provinces from Tarapaca to Coquimbo, the central from Aconcagua to Valdivia, and the southern from Osorno to Magallanes. The northern children had 46% less caries experience compared with the central region, 57% less compared with the southern region. In 1960 a nutritional survey of Chile was conducted that included oral health. In a comparison of 902 military personnel the caries recorded as DMF were again lower for those individuals originating from the northern region as defined earlier, 8.9. The rate of caries was similar and higher in the central, 12.0, and southern regions, 11.1. A study conducted in the same survey with 665 women participants from the three regions found significantly less caries rates for those of the northern region, 9.9, than those of the central, 13.9, or southern regions, 11.9. Sugar intake was assessed and consumption/person/day was highest in the northern region with 61 gm/day versus 47 gm/day in the central region and 37 gm in the south. In 1960 a follow-up study was conducted involving 12 to 14 year olds involving 104 children. Again children from the north had a 59.1% lower DMF than the central and southern regions.(251). Oregon The Cascade Mountain Range runs in a north to south direction and divides Oregon into a western one-third and an eastern two-thirds. This mountain chain is the dominant factor in creating diverse and differing climactic conditions in the two regions of the state. Warm moist air off the Pacific Ocean is blocked by the Cascade Mountains resulting in an increased rainfall in the western portion of the state. The semi-arid climate and geography of Oregon adapts it well to agricultural practices in the eastern region. An additional region, the Willamette Valley, lies in western Oregon between a coastal range of mountains and Cascades and is a major agricultural area in the state. Generally private wells provide drinking water in the eastern region with community water supplies in the western region as this is where a majority of the urban centers are located. It has been determined that 22% of domestic wells exceed the U.S. MCL of 45mg/L nitrate while only 5% of public water supplies exceed this limit.(252,253). In a study by C. Chilvers et al. it was determined that when the waterborne nitrate concentration is below the EU limit of 50 mg/L nitrate, 30% of ingested nitrate comes from water. When the concentration increases to a level between 50 and 100 mg/L, 70% of daily intake is from water. Above 100 mg/L, 80% of ingested nitrate is waterborne.(254). Due to an increased concentration of agriculture and farming in the eastern region there are increased concentrations of nitrates in their drinking water. A number of studies have demonstrated that groundwater nitrate contamination is directly linked with agricultural and farming practices.(255-260). In addition the increased rainfall in the western regions contributes to the dilution of nitrates as they are leached into the groundwater.(77). The largest anthropogenic source is the application of fertilizers in addition to the agricultural process of ploughing fields and allowing them to lay fallow, ploughed but unseeded, following this activity. According to the nitrogen cycle in soils nitrogenous materials from decaying matter are decomposed to amino acids by bacteria, protozoa, yeasts, fungi, etc. and then deaminated to ammonia. The ammonia is then oxidized to nitrite by the bacteria Nitrosomonas and then nitrate by Nitrobacter in the soil. A major source of nitrates is in the form of fertilizer applications. Fertilizer use increased dramatically following WW II with the conversion of munitions factories to fertilizer production. It increased from 5 pounds/acre in 1940 to 60 lbs/acre by 1960. By the 1980's fertilizer use per acre in this region exceeded 105 lb/acre and has stabilized at this point due to diminishing returns and better use, timing its application with growth cycles of the crops.(261). Still, the practice of overuse persists with some farmers applying more than recommended amounts. Winter wheat, a major crop in eastern Oregon is efficient in it uptake of nitrate but when too much fertilizer is applied or applied prior to precipitation there is increased leaching. Also, crops are rotated and many such as potatoes and sugar beets are not as effective at nitrate uptake, although the proper ordering of crops has been shown to decrease nitrate leaching.(262,263). Surveys have been conducted to determine the population's exposure to nitrates in drinking water in eastern Oregon and the Willamette Valley in western Oregon. In 1996 a study of rural northeastern Oregon, the Lower Umatilla Basin of Umatilla and Morrow counties, determined that 25% of the wells had nitrate concentrations exceeding the US EPA limit of 10 mg/L nitrateN,(45 mg/L NO2). This resulted in 23% of the population being exposed to these concentrations. The region's main sources were identified as agriculture and farming, nitrogenous waste from a food processing plant, and septic systems. A 1990 study of another county in eastern Oregon, Malheur, identified 30% of the well water sites exceeding the 10 mg/L nitrate-N limit.(264). In 1993-95 a study was conducted on nitrates in the Willamette Valley. In this case 9% of the wells sampled, (n=70), had concentrations in excess of the EPA limit of 10 mg/L nitrate-N.(265). An additional study in 2000-2001 in the southern Willamette Valley found similar results with 7% of the wells exceeding the limit. The differences in nitrate concentrations assuming fertilizer use and applications being similar may result from two sources. The increased rainfall in the Willamette Valley will lead to a dilution of the leached nitrate. There may also be differences in soil quality, more porous soil lending itself to nitrate leaching.(266). In 1959 a nutritional study of five western states included a caries rate survey in Oregon. Oregon was divided on a geographical basis into the eastern or 'central region' as defined by the study, the Willamette Valley, and the coastal region. The survey recognized a geographical influence on caries rates. Eastern Oregon exhibited a DMFT of 9.7. In the Willamette Valley the DMFT was 12.1 and on the coast it was 13.4. According to the model proposed for nitrates impact on caries this reflects the greater presence of agricultural practices in eastern Oregon with a minimal dilution of leached nitrate in the water supply, the region having annual precipitation of 12.8 inches at the time. Next in order is the Willamette Valley, again an agricultural region but with a greater dilution of leached nitrate with annual precipitation of 41.13 inches. Lastly we have the coastal region with minimal agricultural impact but maximum rainfall with annual precipitation of 70.23 inches per year and as much as 200 inches in some areas. This is reflected in the nitrate concentrations in well water presented earlier. These differences could not be attributed to diet or fluoride in the drinking water.(267). Washington State has similar geographic and agricultural conditions and demonstrates the same distribution of caries rates. An empirical model developed by the USGS has determined that the southeast portion of the state will have higher nitrate concentrations in drinking water then the western portion of the state.(268). A study comparing bone density with caries rates found that those individuals that grew up in Yakama County located in the southeast region had lower caries rates then those from Snohomish County in the western portion of the state. According to the authors no apparent reason could be provided for the difference including fluoride in the water or dietary factors.(269). Selenium The data from Oregon has in large part come from research on the connection of selenium and dental caries. It was believed that selenium contributed to the development of caries as higher concentrations were found in the soil and urine of those living in the higher caries rate regions, western Oregon. Extensive studies were conducted by D.M. Hadjimarkos from the University of Oregon. Selenium was implicated as being a causative factor in dental caries as the result of two studies done in the 1930's. It was noted that individuals living in seleniferous regions of rural Nebraska, Wyoming, and South Dakota had higher rates of caries.(270). These were followed by studies on dietary selenium intake and caries rates in children as it was thought selenium had a detrimental effect on enamel formation.(271). Higher caries rates have also been positively related to higher selenium concentrations in the urine of 14 to 16 year olds in Oregon.(272,273). A study in Wyoming of 10 to 18 year olds related an increased or decreased caries rate to living in high or low selenium regions, those living in high selenium regions had a caries rate 41% greater than those in a low selenium region in spite of a higher fluoride concentration in the drinking water. The intake of selenium from drinking water is negligible, nearly all of its intake is from food sources. A study in Montana, Oregon, and South Dakota related caries positively to selenium in the soil and forage plants resulting in increased levels in milk. No justification for seleniums activity could be provided although some thought it interacted with the enamel matrix inhibiting mineralization.(270,274). "Bad teeth" are one of the common symptoms seen in selenium toxicity.(275). Selenium (Se) is an essential microelement for human health. It is incorporated into human selenoprotein enzymes such as glutathione peroxidase (GPx), 5'-iodothyronine deiodinase (ID), and thioredoxin reductase (TR). There is an explanation for seleniums impact on caries rates in the Nitrate/Caries Model. Selenium in saliva has been shown to be closely associated with glutathione peroxidase, GPx. 81% of salivary Se is bound to GPx with another 19% bound to salivary proteins or enzymes. This characteristic is unique to saliva as other body fluids such as erythrocytes,(66%), plasma,(6%), and breast milk,(23%), show lower levels of GPx bound Se.(276). There are agents which can reverse the nitrosation of the sulfhydryl group. One of these is glutathione peroxidase which has been shown to decompose S-nitrosothiols.(210). Following the decomposition there is a release of nitric oxide, NO . . GPx could also be a factor in resistance to nitrosative stress due to its ability to decompose RSNO's in saliva. Incubation of GSNO with GPx for 1 minute results in a 48.5% decrease in GSNO concentrations with the liberation of free NO . . This same reaction was seen with CysNO.(277). When selenium was incorporated into the diets of Wistar rats there was an inhibition of the endogenous nitrosative process. Nitrosoproline, NPRO synthesis in the stomachs in the presence of nitrite and proline without selenium supplementation was 581.2 +/- 113.3 mg/kg body weight. With organic dietary Se supplementation there was a 54.5% decrease in NPRO production. Likewise without supplementation the addition of nitrite and diethylamine resulted in 29.8 +/- 3.0 mg/kg body weight N-diethylamine, NDEA production and a 54.7% reduction with selenium supplementation.(278). The four nutritional sources of Se include the inorganic sources selenite,(SeO3) 2and selenate,(SeO4) 2for animals and plants and the organic sources selenocysteine,(SeCys) and selenomethionine,(SeMet) for animals. They are metabolized to a common intermediate, selenide which is incorporated into seleno-proteins as a selenol group, RSeH.(279). Another seleno-compound that may be capable of decomposition is selenocyanate. As mentioned earlier in this paper SeCN may be transported by the NIS in the same manner as SCN ,I , and NO3 . It has antagonistic capabilities similar to thiocyanates.(7). SeCN may react with free thiols, RSH, in saliva to produce a selenol, RSeH. In a case history when large concentrations of selenite,(2500 mg over seven days), were administered to a patient they developed a severe case of hypothyroidism with iodide deficiency. SeCN has a greater affinity for the NIS than SCN .(280). In toxic doses selenium may function not only in the role of decomposing nitrosocompounds but also as a goitrogen in the form of SeCN .(282). As mentioned earlier selenium is incorporated into 5'-iodotyronine iododinase which is responsible for the conversion of T4 to T3. Individuals, especially the elderly with low selenium status display a reduced T3/T4 ratio with selenium supplementation reversing the impairment. This demonstrates again how selenium status has an effect on selenoenzymes in the body.(282-284). The selenol produced from this reaction can then react with an S-nitrosothiol resulting in the release of NO . and the formation of a disulfide bond.(285). 2RS-NO + CNSeH ---------> RS-SR + 2NO. Molybdenum Ludwig, Healy, and Losee found a lower caries rate for the town of Napier versus Hastings, New Zealand. The average DMFT for 6-10 year olds was 2.86 versus 3.56 respectively. New Zealand has always suffered from acidic soil, pH 5-7, which has a tendency to bind with molybdenum limiting its uptake by plants.(286). The inland agricultural town of Napier demonstrated a non-existent molybdate content in vegetables which is the main source of the trace element whereas the coastal town of Hastings demonstrated a molybdate content in vegetables .(287). A study by R. Anderson in England found a DMFT of 4.59 in 12 year olds,(n=682), from an area described as a molybdenum area versus 5.71 from a control area.(288). The possible mechanisms involved in molybdenums impact have usually involved the incorporation of the element into the enamel matrix in a manner similar to fluoride.(289,290). Molybdenum is required as a cofactor by over 40 different, mostly bacterial, enzymes. It is an important cofactor in two enzymes responsible for anaerobic reduction of nitrate to nitrite, formate dehydrogenase and nitrate reductase.(291). Molybdate, MoO4 2, is the cofactor, the soluble form of molybdenum available to plants and bacteria, that is combined with a pterin compound to form molybdopterin.(292). Formate is an efficient electron donor through the activity of formate dehydrogenase N.(293). Molybdate is required at a concentration of at least 10 -6 M for nitrate reductase and the enzyme is not produced in its absence.(294). Conclusion If we are to believe that nitrate has an impact on caries rates than there are a number of factors that have an effect on this process. First and foremost is the ingestion of the nitrate itself, generally through a diet high in green, leafy vegetables. Added to this is the variable factors of absorption rates in the G.I. tract, concentration by the NIS, and conversion of nitrate to nitrite in the mouth. Additional factors include the catalytic effect of thiocyanate in the process and the particular bacteria impacted by the antimicrobial nitrosative process. Many of these factors are difficult to quantify. J. Dwyer et al. and H. Smiciklas-Wright state that food questionnaires used to gauge nitrate intake are inaccurate or at the least compromised.(295,296). Also due to the dependence of nitrate and nitrite concentrations in saliva on length of time after ingestion P. Packer et al. feels the only accurate measurement is a 24 hour urine analysis.(297). In spite of this nitrate or nitrite levels in saliva may serve as useful markers for an individuals predisposition for caries. This paper has also proposed as an alternative the use of cationic amino acids in saliva as a marker not only for nitrate ingestion but for caries rates as a whole. This proposal is based not only on nitrates impact on caries rates but also the catalytic impact of thiocyanate and to a lesser degree iodide levels all of which are reflected in cationic amino acid concentrations in saliva. It may be that due to a latency period of the cationic amino acids in the salivary gland their concentration in saliva may be less variable than nitrate/nitrite levels. Of course additional studies would be necessary to verify this concept. Because the sodium/iodide symporter is instrumental in the transport of nitrate and thiocyanate from serum to saliva any factor that affects it will also effect caries rates. A connection between hormonal inhibition in females has been made as well as the goitrogenic activity of lithium and elevated thiocyanate levels in smokers. Disease processes such as chronic renal failure have demonstrated that higher nitrate/nitrite levels in saliva may be reflected in decreased caries rates. Sjogrens Syndrome and radiation therapy have given insight into how decreased nitrate/nitrite levels in the context of decreased salivary flow may contribute to caries. An effort has been made to demonstrate how nitrate may have a bacteriostatic effect through the process of nitrosation resulting in oxidative/nitrosative stress. It has been demonstrated that this process may not only be detrimental to the growth and survival of the bacteria but may also specifically impact acid production through inhibition of glycolytic enzymes and sugar transport systems. Liberty has been taken in relying on studies from such varied fields as the food sciences and gastroenterology but much of the research in nitrosative reactions has been conducted outside the field of dental research. It has been documented that as low a nitrite concentration as 0.2 mM is bacteriostatic towards S. mutans. This concentration in saliva is easily obtainable with the ingestion of a 100 gr. mixed green salad. In addition a daily intake of 106 mg of nitrate appears to impart a beneficial effect on caries reduction. This may result in an estimated nitrite concentration of .44 mM in saliva which due to its half life may remain above 0.2 mM for up to 8 hours. Unfortunately due to the variability of nitrate in vegetables and drinking water it is difficult to quantify nitrate ingestion. What can be stated is that green leafy vegetables provide some protection against caries. As stated early in the paper much of the research on nitrosation has evolved from a concern that N-nitrosamines may cause cancer. Although over 300 of these agents have been identified as carcinogens in rat studies none have been directly implicated in human studies. In a comprehensive review of nitrate and cancer D. Forman comes to the conclusion that a cause and effect association has not been demonstrated.(298). Numerous studies have come to the conclusion that there is inconclusive evidence for a harmful effect from nitrates in terms of carcinogenesis in a normal diet.(146,299,300). In fact dietary levels of nitrate extend from 174 to 1222 mg in the DASH, Dietary Approaches to Stop Hypertension, diet which is recommended by the American Heart Association.(301). This paper is not advocating a dramatic increase in nitrate intake, as small a daily intake as 106 mg appears to have a positive impact on decreasing caries rates. This computes as the maximum recommended nitrate ingestion for a 63 lb. individual based upon the European Union A.D.I. of 0-3.7 mg/kg/d. A 121 lb. individual could likewise consume enough nitrate to safely attain the highest level of 204 mg/d found in Cluster B. In order to localize the cariostatic activity it may be that a dentifrice with nitrite and thiocyanate may be beneficial in reducing dental caries. The conclusion that nitrates may have a role in the caries process is not to detract from sugars major impact. 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Legal briefing Number 73 3 November 2004 Determining whether government agencies are subject to the Trade Practices Act The High Court has allowed an appeal that will assist government departments, agencies and authorities to decide whether their activities could involve carrying on a business and are subject to the provisions of the Trade Practices Act 1974 (Cth) (TPA). In NT Power Generation Pty Ltd v Power and Water Authority [2004] HCA 48, 6 October 2004,,,,, the High Court considered s 46 of the TPA (misuse of market power) in the context of dealings between a government-owned power company and a potential competitor. The Court has clarified the scope of s 2B of the TPA introduced in 1995, in the context of the introduction of National Competition Policy. That section abolished Crown immunity defences by applying the TPA to state and territory governments and their agencies 'so far as' they carry on a business. The majority justices in the High Court (McHugh ACJ, Gummow, Callinan and Heydon JJ) upheld the s 46 claim against Power and Water Authority (PAWA). They held that PAWA's refusal to enable NT Power Generation Pty Ltd (NT Power) to distribute and sell electricity using its transmission and distribution network was a misuse of power in the market for the supply of services for the transport of electricity along PAWA's infrastructure and in the electricity supply/sale market in the Northern Territory [63]. Kirby J in dissent dismissed the s 46 claim. He did not regard the conduct engaged in as involving a 'taking advantage of' for a purpose which contravened the Act as it arose for 'governmental reasons' [202]. He also did not accept that the conduct was anti-competitive within s 46 [203]. The majority judgment deals with: — The phrase 'carrying on a business' in s 2B of the TPA. This was construed broadly. The Court considered that s 2B required an answer to the question 'what business was PAWA carrying on?' So far as PAWA was carrying on that business, s 46 applied to it [70]. — Whether Gasgo, a wholly owned subsidiary of PAWA was 'the Crown'. The majority concluded that Gasgo was not. The reasoning on that issue is likely to be of broader interest to the Commonwealth and Commonwealth authorities because legislative obligations may not apply or may be different if the entity concerned is not 'the Crown' [161–165]. — The scope of 'derivative Crown immunity'. That is, the extension of Crown immunity to third parties who are dealing with the Crown. Sydney Marcus Bezzi Senior Executive Lawyer T 02 9581 7470 F 02 9581 7413 firstname.lastname@example.org Adelaide Emma Gill Senior Lawyer T 08 8205 4265 F 08 8205 4499 email@example.com 1 The majority concluded that this immunity applies when application of a law would cause some impairment to proprietary, contractual and other legal rights and interests of the government and not otherwise [170]. Prejudice to the financial, economic or commercial interests of the Crown alone would be insufficient to give rise to immunity [170–173]. The ACCC and the Attorneys-General for New South Wales, Western Australia and South Australia intervened in the proceedings because of the wide impact expected of a High Court determination on the issues relating to the scope of the application of the TPA to activities of government entities and 'Crown immunity'. The facts NT Power, generated electricity at a plant which was built to supply a mine in the Northern Territory. It wished to sell power to consumers within the Northern Territory. It could not sell power without access to the existing electricity transmission and distribution infrastructure in and around Darwin and Katherine. That infrastructure was owned by PAWA. PAWA is a body corporate constituted under s 4 of the Power and Water Authority Act (NT), and is subject to the directions of the Minister for Essential Services for the Northern Territory (under s 16 of that Act). NT Power requested that PAWA supply the electricity transmission and distribution infrastructure services needed for its plan to sell electricity to consumers in competition with PAWA. PAWA rejected the request. NT Power sought to obtain gas to power its power station. Gasgo had a long-term contract with local NT gas suppliers (the Mereenie suppliers) which gave it the right to purchase Mereenie gas before it was offered to others. NT Power asked Gasgo for an undertaking that it would not use this right to stop NT Power being supplied with gas. Gasgo refused to give the undertaking. The orders In summary: — the High Court allowed the appeal from the Full Court of the Federal Court; — the orders of the Full Federal Court made on 2 October 2002 were set aside; and — the matter was remitted to Mansfield J, the judge at first instance, for determination of the claim against the second respondent and consideration of the quantum of damages, costs of the trial, and the form of other relief. The section 2B issue The majority found one matter was not controversial – PAWA was carrying on a very substantial business [52]. The Court found there were many references in PAWA's internal documents revealing that its officers perceived it to be carrying on a business. This was also found in the content of PAWA's 1998 Annual Report. The annual report used words and phrases such as 'core business', 'commercialisation', 'commercial services' and 'in a commercial manner' [53], [54]. 2 The majority found that PAWA was carrying on a very substantial business. The Court found that these statements in the annual report amounted to 'informal admissions', and that, as they were made in a document produced under a statutory duty, were of the 'utmost solemnity' [55]. Carrying on a business – the correct construction of section 2B The construction of s 2B proposed by PAWA was that it was not 'carrying on a business' in denying access to its infrastructure. The majority stated [67]: PAWA proceeded on an erroneous construction of s 2B. It may be accepted that the conduct proscribed by the Act, if it is to fall within s 2B, must be engaged in in the course of PAWA carrying on a business. But the conduct need not itself be the actual business engaged in. … But where such an authority 'carries on a business' this removes the governmental obstacle to curial examination of its conduct in order to see whether s 46 has been contravened. The majority continued [68]: The Act is seeking to advance the broad goal of promoting competition. Certain provisions of the Act, particularly Pt IV, necessarily turn to a significant degree on expressions which are not precise or formally exact. One example is "market": there can be overlapping markets with blurred limits and disagreements between bona fide and reasonable experts about their definition, as in this case. Other examples are "substantial", "competition", "arrangement", "understanding", "purpose" and "reason" (which need only be a "substantial" purpose or reason: s 4F). It is not appropriate to subject the application of this type of legislation to a process of anatomising, filleting and dissecting in the fashion advocated by PAWA. Examining the meaning of the term 'business', the Court stated [69]: Nothing in the Act limits the meaning of "business" by reference to the criteria for market definition. Businesses often operate across the boundaries of separate markets. PAWA's use of its infrastructure assets was a part of its carrying on of a business, whether or not it was in a market for their acquisition, sale or hire. … Further, s 2A, which uses substantially the same language as s 2B, applies the Act as a whole to Commonwealth businesses. The majority held that the conduct of PAWA in denying access to its infrastructure, simply in order to protect its revenue position, was conduct designed to secure PAWA's position as part of its carrying on of a business [72]. Section 46 can interfere with property rights and be an alternative access regime In the context of discussing whether s 46 is an alternative access regime to that found in Pt IIIA of the Act, the Court rejected an argument that s 46 should not be permitted to interfere with property rights [85]: … Lee J, who was of the opinion that s 46 'does not purport to interfere with the due exercise of rights of property per se', gave various examples of the supposed inability of one competitor to obtain access to the real or personal property of another. However, private traders could be obliged to supply goods or services against their will before s 2B was enacted, provided the preconditions to s 46 liability were satisfied. Lee J accepted that this was so for intellectual property rights … The fact that s 46 can apply to intellectual property rights, and hence to the market power which they can give, suggests that it can apply to the use of market power derived from other property rights not specifically mentioned in the Act. Businesses often operate across the boundaries of separate markets. PAWA's use of infrastructure assets was a part of its carrying on of a business. 3 4 It follows that, provided the notoriously difficult task of satisfying the criteria of liability can be carried out, s 46 can be used to create access regimes, and that s 2B is not to be read down as if it could not. PAWA's refusal to supply did not involve the granting, refusing to grant, revoking, suspending or varying of licences within s 2C(1)(b) of the TPA PAWA would have a defence to an allegation of contravention of s 46 if it could demonstrate that its conduct was within the scope of s 2C (activities that are not business) and specifically s 2C(1)(b) of the TPA. The majority found that PAWA would fail for two reasons [100], [101]: — Section 2C(1)(b) only applies to the mere doing of the acts relating to licences. If the only basis on which PAWA had been said to carry on a business was that it entered into agreements with persons whom it then appointed as licensees to generate, store, reticulate and sell electricity within the meaning of s 25(1) of the Electricity Act, it would fall within the exception in s 2C(1)(b). But PAWA was said to carry on a business for other, quite different reasons. Hence, it is irrelevant whether PAWA's refusal to make infrastructure services available to NT Power was a refusal to grant a licence. — A 'licence' in s 2C(3) means a licence that 'allows the licensee to supply goods or services'. In discussing the definition of 'licence' the majority stated that [102]: NT Power had been authorised or allowed to supply goods (namely electricity) by the licence of 26 June 1998. If NT Power had not received that licence, s 27(1) of the Electricity Act would have made it unlawful for NT Power to supply electricity; however, with the licence it was entirely lawful for it to do so, since the licence gave it an excuse or authority to do so. NT Power's difficulty thereafter was not that it was not allowed to supply electricity. Rather its difficulty was that it could not supply it. It could not take advantage of its pre-existing licence to supply electricity unless PAWA provided it with transmission and distribution services that only PAWA could provide. In conclusion, the majority said that PAWA could not rely on s 2C(1)(b), as PAWA's carrying on of a business did not rest only on the grant of licences and the permission NT Power sought from PAWA was not a permission to sell goods or services [103]. Contravention of section 46 Was there an electricity infrastructure market or an electricity carriage market? NT Power's allegation that these two markets existed was put in issue by PAWA. However, PAWA admitted the existence of the electricity transmission market and the electricity distribution market. PAWA's submission that there could not be a market for electricity infrastructure and electricity carriage, because there had not been any transactions in those markets was not accepted by the majority. The majority affirmed the High Court's decision in Queensland Wire (1989) 167 CLR 177 in this regard, and further stated that there was 'the potential' for dealings in transmission and distribution services [109], [110]. The majority also rejected PAWA's contention that the absence of a direction from the Minister for Essential Services under s 16 of the PAWA Act precluded the existence of a market [111]. The majority held that markets cannot appear and disappear at the whim of a minister. PAWA's carrying on of a business did not rest only on the grant of licences and the permission NT Power sought from PAWA was not a permission to sell goods or services. Section 46(4)(c) and market power PAWA submitted that it could not breach s 46 as it lacked market power. The majority also rejected this point. They stated [114]: PAWA's conduct can be analysed as taking advantage of market power in the market for the sale of electricity which arose from its control of the infrastructure for the purpose of injuring NT Power in that market. When considering s 46(4)(c), the majority stated that the reference in the section to 'conduct', could not assist in the construction of s 46(1), which is focused on the 'power' of the defendant [115]. The majority also stated that the reference to 'power' in s 46(4)(c) does not require that a corporation be an active supplier to have market power. Taking advantage of proprietary rights, not market power? PAWA submitted that it was entitled, as owner of the infrastructure assets, to decline to consent to the use of them by others. In considering and distinguishing Dowling v Dalgety Australia Ltd (1992) 34 FCR 109, the majority stated at [124]: …PAWA did take advantage of market power, because it was only by virtue of its control of the market or markets for the supply of services for the transport of electricity along its infrastructure, including its transmission and distribution network, and the absence of other suppliers, that PAWA could in a commercial sense withhold access to its infrastructure; if PAWA had been operating in a competitive market for the supply of access services, it would be very unlikely that it would have been able to stand by and allow a competitor to supply access services. and at [125] Further, to suggest that there is a distinction between taking advantage of market power and taking advantage of property rights is to suggest a false dichotomy, which lacks any basis in the language of s 46. As already discussed, property rights can be a source of market power attracting liability under s 46 and intellectual property rights are often a very clear source of market power. Conclusions on section 46 The majority found that a direction had not been given by the minister that NT Power be refused access to the PAWA infrastructure [127]–[132]. The majority stated that [153]: [D]espite the fact that PAWA did not supply access to its infrastructure to others, that there were transmission/distribution markets and that PAWA had a substantial degree of power in them; that the Minister did not give any s 16 direction to refuse NT Power access on 26 August 1998; that even if he had, that does not prevent a finding that PAWA took advantage of its market power for proscribed purposes; that the trial judge did not err in applying s 46 to the facts he found; and that any adverse consequences caused by the application of s 46 to PAWA are not reasons for adopting a narrower construction of the section. Section 46 and Gasgo Gasgo's role in the trial Gasgo is a company in which PAWA beneficially holds all the issued shares. The major issue at the trial for Gasgo was whether it was a part of the NT Government and therefore an 'emanation of the Crown' or entitled to 'derivative Crown immunity'. ... property rights can be a source of market power attracting liability under s 46. 5 6 Is Gasgo part of the NT Government? In examining whether Gasgo was an 'emanation of the Crown' [161]–[165], the majority looked towards the articles of Gasgo, and commented that 'it is unsatisfactory that an inquiry into whether a corporation is 'an emanation of the Crown' should have to be undertaken in such circumstances where its status does not depend on any specific statute.' They further said that [164]: Although acquired specifically for the purpose of entering the Mereenie Agreement and others like it, Gasgo was a trading corporation. Its articles of association took the form, apparently, of standard trading company articles. Its shares were owned by PAWA. It sold gas to NT Gas, the largest shareholder in which was AGL Pipelines (NT) Pty Ltd. NT Gas, which constructed and has a lease over the relevant gas pipeline from its owners, a bank consortium, in turn sold gas to PAWA. ... The interpolation of nongovernmental entities in this contractual and physical chain of supply undermines the characterisation of the trading corporation Gasgo as part of the Northern Territory Government. There is nothing to suggest that the directors of Gasgo do not have the usual duties and functions of directors. Is Gasgo protected by 'derivative Crown immunity'? In considering whether its refusal to permit NT Power to source gas from the Mereenie suppliers was protected by 'derivative Crown immunity', the majority referred to Wynyard Investments Pty Ltd v Commissioner for Railways (NSW) (1955) 93 CLR 376 and Bradken Consolidated Ltd v Broken Hill Proprietary Co Ltd (1979) 145 CLR 107 at 137. These cases had dealt with the various classes of derivative Crown immunity and its scope. The class of derivative immunity involved in this matter arises when a provision, if applied to a particular individual or corporation, would adversely affect a proprietary right or interest or legal, equitable or statutory interest of the Crown. In considering this class of immunity, the majority stated [170]: The object, to adapt what was said by Kitto J [in Wynyard], is to ascertain whether the application of s 46 to Gasgo "would be, for a legal reason, an interference with some right, interest, power, authority, privilege, immunity or purpose belonging or pertaining" to the Government. More recently, this Court said that the interference to be looked for is a "divesting" of "property, rights, interests or prerogatives" belonging to the government. The majority found that no proprietary right or interest or contractual right or prerogative of the NT Government would be affected, for neither PAWA nor any other part of the NT Government have any such rights, interests or prerogatives as against the Mereenie suppliers under the Mereenie agreement [172]. Gasgo acknowledged that no legally enforceable right was prejudiced, and that the prejudice arising from the application of the TPA was financial [173]. The Court refused to extend the law regarding derivative Crown immunity to cover such interests [173]. The majority concluded that since Gasgo was not part of the NT Government, and since it could not claim derivative Crown immunity before 19 August 1994, its reliance on cl 2.26 of the Mereenie agreement was open to scrutiny under s 46 of the TPA [190]. Kirby J's dissenting judgment 'Take advantage' and 'purpose' In Kirby J's view, the appeal should have been dismissed. He approached the case as a 'comparatively simple one' which 'turns essentially on the statutory notions of 'take advantage of' and 'purpose' [202]. The Court refused to extend the law regarding derivative Crown immunity to cover financial interests of the Crown. Kirby J did not accept that it was not open to the governmental authorities in the Northern Territory, and the first respondent, acting under the territory legislation, to delay the immediate commencement of a regime affording unimpeded access to the first respondent's electricity supply infrastructure [202]. He stated that [202]: [T]his was a governmental decision concerning the use of the infrastructure of a public agency based on governmental reasons. It was informed by governmental conclusions about the gradual implementation of a new competition policy in public business-type authorities and the use of publicly funded resources for overall public benefit. It was not a purely commercial or business decision attracting the operation of the TPA. Kirby J went on to state [203]: Even more importantly, I do not accept that the conduct of the appellant was anti-competitive within s 46 of the TPA. It is one thing, under that section, to redress the misuse of market power, including by the use of the resources and the property of a corporation to the marketing disadvantage of a would-be competitor. But s 46 of the TPA does not give the would-be competitor the right to demand and use, as its own, the property of another corporation. It merely prevents that other corporation from misuse of its power to prevent the entry of the other into the market. In considering the United States Supreme Court authority of Verizon Communications Inc v Law Offices of Curtis V Trinko, LLP 72 USLW 4114 at 4119 (2004), which held that the US Sherman Act did not give judges carte blanche to insist that a monopolist alter its way of doing business whenever some other approach might yield greater competition, Kirby J stated [204]: No doubt others will contrast the energetic deployment of trade practices law in the circumstances of this case, affecting a governmental corporation having governmental obligations to the public welfare, with the repeated refusal of this Court in recent times to do the same thing where the corporation concerned was private, successfully defending its market power against smaller private would-be competitors. Text of the decision is available at <http://www.austlii.edu.au/au/cases/ cth/high_ct/2004/48.html> Marcus Bezzi is a Senior Executive Lawyer based in Sydney. He is one of our most experienced trade practices lawyers and leads our Trade Practices team. Marcus has had conduct of a number of significant trade practices matters including Universal Music, Fila and the Qantas/Air New Zealand merger. He recently assisted the ACCC in its intervention in the High Court proceedings NT Power v PAWA. Marcus has significant experience in handling matters arising under the Trade Practices Act and advising government departments and agencies on these issues. Emma Gill is a Senior Lawyer based in Adelaide. She has specialised in the area of trade practices for over two years and spent the first three months of 2004 working in the AGS Legal Unit at the ACCC's office in Canberra. Emma has been involved in a number of trade practices matters for the ACCC including the recent Boral/Adelaide Brighton takeover bid. She worked with Marcus Bezzi in assisting the ACCC in its intervention in the High Court proceedings in NT Power v PAWA. It was not a purely commercial or business decision attracting the operation of the TPA. Kirby J 7 AGS contacts For further information please contact any of our national team of specialist competition and trade practices lawyers: For enquiries regarding supply of issues, change of address details etc. T 02 6253 7052 F 02 6253 7313 E firstname.lastname@example.org Offices Canberra 50 Blackall Street Barton ACT 2600 Sydney Level 23, Piccadilly Tower, 133 Castlereagh Street Sydney NSW 2000 Melbourne Level 21, 200 Queen Street Melbourne VIC 3000 Brisbane Level 12, Samuel Griffith Place, 340 Adelaide Street Brisbane QLD 4000 Perth Level 19, Exchange Plaza, 2 The Esplanade Perth WA 6000 Adelaide Level 20, 25 Grenfell Street Adelaide SA 5000 Hobart Level 8, 188 Collins Street Hobart TAS 7000 Darwin Level 3, 9–11 Cavenagh Street Darwin NT 0800 8 Web site For a full review of AGS services, visit <www.ags.gov.au> Electronic versions of AGS newsletters are available for clients who prefer to receive issues in this form. 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Bingham Presents 2013: Asset Management September 12, 2013 ARTHUR LABY: Good afternoon and welcome to, Bingham Presents 2013: Asset Management, broadcast live from Bingham McCutchen LLP's offices in New York and online at www.sechistorical.org. I am Arthur Laby, Professor of Law at Rutgers University School of Law, and moderator for this program. This event is the fifth in the Bingham Presents series and it is made possible through a partnership between Bingham McCutchen and the SEC Historical Society. With close to 1,000 lawyers and offices on three continents, anchored by major commitments in the world's key financial centers, Bingham McCutchen offers marketleading practices focused on the financial services industry. Bingham lawyers provide global intelligence to help clients understand how capital markets fit together. The SEC Historical Society through its virtual museum and archive at www.sechistorical.org, shares, preserves and advances knowledge of the history of financial regulation. I am a member of the Society's Board of Advisors and serve on the Museum Committee, advising on the growth and outreach of the virtual museum and archive. Since the inaugural Bingham Presents broadcast in 2009, this series has examined such issues as criminal enforcement of the securities laws, harmonization of the regulation of investment advisors and broker-dealers, and enforcement after the Dodd-Frank Act. All of the previous Bingham Presents broadcasts are available in both audio and edited transcripts formats in the Bingham Presents section under Programs in the virtual museum and archive. I encourage you to check them out at the end of this broadcast. The SEC Historical Society is grateful for the continuing generous sponsorship of Bingham for this Series. This evening we will be examining asset management. Joining me are three distinguished panelists: Andrew "Buddy" Donohue, Managing Director at Goldman Sachs and a former Director of the SEC's Division of Investment Management; Tom Harman, a partner here at Bingham and formerly Chief Counsel and Associate Director in the SEC's Division of Investment Management; and Nancy Morris, Chief Compliance Officer at Wellington Management Company, and formerly Secretary of the SEC and Deputy Chief Counsel in the Division of Investment Management. I wanted to start off our discussion with what is perhaps on everyone's mind, and that is the emphasis on enforcement. It seems like we are seeing more enforcement activity particularly in the asset management area. I would like to get our panelists' views on some the recent enforcement cases that have grabbed headlines. What do they represent? Is there anything new or different here? So why don't we start with Tom, and of course we will hear from the others soon. TOM HARMAN: Thank you, Arthur. It's a pleasure to be here. I would say that there is something new, there is something old here in terms of maybe what's not new. I think the continued emphasis in cases like Steven Cohen on insider trading is a persistent theme and thread throughout the SEC's activities in the last 30 years. The names and perhaps some of the details will change from case to case. This shows to me there is all in the determination of the staff and the Commissioners, in particular the Enforcement division, to continue to pursue insider trading as it manifests itself. But something that's clearly new is the emphasis on what I would call structured securities' cases, whether they are CLOs, CVOs, CDOs or swaps, whether a security present. I think the other case involves a determination by the SEC to leave its mark on some of these complex securities in the ways in which they were both assembled and marketed. So that's the way I would take a first stab at it at high level. ARTHUR LABY: Tom, let me ask you a follow-up question before any of the others may respond as well. You mentioned one example, which is insider trading. Do you think advisory firms should be reconsidering their approach to some of the old problems like insider trading or should they be looking at this the way they have in the past. Does this new emphasis on enforcement indicates that perhaps they need to rethink the way they address those problems? TOM HARMAN: I think that they should be, and in fact they are continuing to think through what they are doing, how they do it today against the backdrop of concerns that are out there, in the area of expert networks, for example, asset management firms, whether they are mutual fund shops or whether they are hedge fund shops. The use of expert networks is something that they need to be thinking about, and thinking about the law of insider trading as those two overlap. ARTHUR LABY: Nancy, do you have any views on this? NANCY MORRIS: I am looking at the enforcement. There is nothing really all that new in my view about insider trading cases. It's always been the predominant case that the SEC has brought. But what is a little bit new, I think, are the aggressive techniques that are being used now to investigate insider trading. We have all heard of things like wiretapping, deep photo shoots from afar showing cash exchanging hands, et cetera. I think there's a renewed emphasis, which makes it important when you are in-house and certainly when you are chief compliance officer. I am focusing on what should I be doing as a CCO in terms of compliance. There's a whole new area of political intelligence that we really haven't seen much of before. The expert network area, and what are the things that I can do in-house, for example SMS, that manage to make sure that my firm stays on the right side of that line. Those things can include negotiating with your third-party service providers to ensure that they understand what your position is. I sit back and look at the Steve Cohen and SAC Capital case and so I wrote some notes down on this. I think for me in-house and talking with the people that I work with and others in the industry, I have two main lessons out of this already and the case has just been brought. A firm's success or survival really depends on the integrity of its personnel, in that the gains associated with insider trading are quite fleeting, but the damage done to a firm's reputation is permanent. Clients will not take a chance on an investment manager whose ethical integrity is called into question. The other thing is that there is no room in the business for a 'see no evil, hear no evil, speak no evil' approach. Investment advisers are fiduciaries and as such their case tells me we have to speak up if we see something going on. BUDDY DONOHUE: How about a nuance to some of the cases. Others on the panel may have greater insight to this but the case against Cohen is a supervisory case, a failure to supervise. For the firm, their responsibility under the Advisers Act is to have policy and procedures specifically to address insider trading, to help prevent it and detect it. It should be a wake-up call to everyone, I think which is, this isn't just the guy who did it is going to get hit, and that the firm might have some responsibility relative to the gains that might have come from that. But individuals may have responsibility because they failed to carry out their duties in terms of supervising the people that actually engaged in the insider trading. I thought that was some of the significance that came out of the Cohen case. You also could say, I guess that's all they could get him on, even though there seems to have been several significant insider trading cases within the same firm. That was one of the takeaways that I had which was that they are looking at the structure that's there, and whose responsible for overseeing to make sure these things don't happen. Did they ignore red flags? Did they do the things that one would expect they should do or that they had to do really under their policies? NANCY MORRIS: I would agree with you on that, Buddy. In the context of supervision this is going to be a very powerful case you will really drive home to managers in the industry that they have to know what their people are doing and that they have to supervise them properly. Are they complying with your code of ethics? Are they complying with your insider trading policies, let alone doing their job that they are supposed to be doing? So I agree with you there. TOM HARMAN: The supervisor became the all-purpose tool in a toolkit in the last 20 or 30 years. I would say large number of the SEC enforcement actions over the last 25 or 30 years included failure to supervise. There are a variety of reasons for it. I think, because as a former SEC person, it just sounds good that you are able to say, this is what we are sanctioning them for. From a standpoint of flexibility, I think there are a number of reasons why the offer of the tool and toolkit but it's something that everyone should keep in mind because it is sometimes the only charge that may be left at the end of the day when the settlement is signed. BUDDY DONOHUE: Tom, it has been less frequent in the advisor space then obviously in the broker-dealer space that has more structured rule-based responsibility of supervisors supervising those directly under them. Many asset managers are not set up in a way that you could immediately identify who is the supervisor, particularly in the portfolio management area where they are collaborative. It doesn't mean that it doesn't apply. I think it's been less on top of mind on the asset management side of the business, certainly than it is on the broker-dealer side. TOM HARMAN: I agree with you that the whole duty to supervise is in the Advisers Act because it's literally carved out of the '34 Act and dropped into the Advisers Act. But if you look at a lot of pricing cases, in particular of 22(c)1 cases where portfolio managers corrupted or came at the system by which securities were valued every day, there's oftentimes failure to supervise in the litany of things that the settlement is eventually wrapped around. ARTHUR LABY: Let me ask one follow-up question about supervisory responsibility. It's a very important topic and I am glad that we are focusing on it. Regulators have always relied on a firm's own in-house supervisory system, as we said it's a critical part of the regulatory system. I was wondering if each of you could just reflect for a moment on whether you think that system is really working, whereby firms are the first level supervisors of their own conduct. Is that a system that is working well, and of course I am asking that just on the heels of our prior discussion about enforcement. I would like to get each of your perspectives on whether this system more generally is working well. NANCY MORRIS: Your suggestion would be that perhaps some sort of external supervision would be appropriate. I think it can totally work in-house at a firm. I think it just depends on the size of the firm; it has to be structured appropriately. I think it's important for people to understand if they are a supervisor, it's important for them to understand what it is they are supervising. It's important for them to document what their supervisory role is and to document what it is that they have to do in order to meet that. But that's a first line function. I think firms have multiple layers of supervision including committees that oversee activities. Those committees are oftentimes independent from the area that they are looking at or certainly cross departmental sort of committees that can I think recognize and appropriately curb behavior that they think is perhaps moving in the wrong direction. So if the inference is that we have to go to an external source to oversee it, I am not sure I agree with that. The other alternative would be some sort of a self regulatory organization to oversee the industry and that's also something that I am not entirely keen about. I think it would create enormous additional cost without necessarily having great benefit. I would argue the SEC could do more in this area to provide greater guidance on what they expect. ARTHUR LABY: Any other views on that topic? BUDDY DONOHUE: I echo that point. I think it has to be in-house. Compliance is owned by the firm, and the sense that somehow you could take the regulatory requirements and outsource them really says that that function is owned by someone else. I think that the more systems you use in order to try and ensure compliance and more people think of it as being compliance's responsibility for making sure bad things don't happen, when the reality is, it's the business' responsibility to make sure bad things don't happen and compliance has some tools to help the business do that. So I think it has to be part of the business and it would anyway even you said you have to outsource it. You don't want someone else finding that you are having problems and internally that's the only way you can identify conflict. It's the only way you can deal with the issues that you need to deal with. The solutions to those are not easy and are different for different firms based on the structure of the firm. TOM HARMAN: I would agree emphatically with that, Buddy and Nancy. I think that in fact with some clients we have seen the key compliance personnel imbedded in each of the different segments of the business as opposed to being a separate office of compliance. I think that's really taken the notion who owns it to its logical conclusion, which is every different business segment within an advisor firm or a broker-dealer firm should have its own compliance experts with their boots on the ground handling the questions in real time. Otherwise, everyone else is coming in after the fact, sweeping it up and trying to fix it, and that's oftentimes far more expensive than catching it more or less in real time. ARTHUR LABY: Thanks, Tom. We have been talking about this emphasis on enforcement and I would like to ask about the other side of the coin of that emphasis on enforcement. It seems that the emphasis on enforcement might mean a de-emphasis on the Division of Investment Management and other operating divisions at the SEC. I wanted to see if I could get your comments on whether you think that's right. Is the role of the Division changing as a result of the emphasis on enforcement? What do you envision in the next several years, two, three, five years or longer for the Division in light of recent events in the enforcement area? Buddy, do you want to start on this one? BUDDY DONOHUE: I would like to start. My sense was that there's a significant increase in the relative resource of the Commission that was devoted to enforcement and to OCIE relative to other divisions. I said okay, that's an interesting thesis. What are the facts? So I went back and looked and in 2004, 54% of the people that worked in the SEC worked in either OCIE or in Enforcement. And in the budget for 2014, ten years later, resources for the people inside the SEC: 54% are in OCIE and Enforcement. Now I would have lost a lot of money on a bet. What you don't see coming through is actually the amount of resources that would then split between OCIE and Enforcement. Enforcement went down from in 2004 to 2014; they originally had 32% and are now down to 29% of the staff. OCIE went from 22% of the staff up to 25%. So my instinct was wrong. Now maybe if I picked different periods, but I figured ten years is a fair period to pick in. I didn't feel like doing a lot of research on it but I liked to test what my instincts are and I really like it when I get borne out. I am not so happy if I am not borne out. But I think what we are feeling is what's happening in the asset management area, in terms of the devotion of the resources, particularly in Enforcement to the asset management industry. And therefore our perception is driven by that, not by actually the head count that exists inside the Commission. We could talk later if you want of that and what some of the drivers might be and what some of the facts might be. But it actually is an allocation of resources by the SEC. In fact they decreased relatively the human part of the allocation of resources from Enforcement and OCIE, which is one way to look at it. ARTHUR LABY: Nancy, Tom, can you see that in your practices? NANCY MORRIS: I guess that's interesting. I think the number game is interesting although I don't know if that necessarily translates into an emphasis or de-emphasis, one way or the other. I think those priorities ultimately are set by the Chairman. BUDDY DONOHUE: Well, it is true Enforcement guys only do enforcement. NANCY MORRIS: Correct. But I think where I see sort of an emphasis or de-emphasis; Dodd-Frank regulation has really required the Division of Investment Management to devote the vast majority of its resources to trying to get those rules and regulation out the door. It's going to be that way for a few years. I think other areas might feel or suffer from some neglect, absent some other kind of scandal coming to the forefront which would then re-prioritize division resources. TOM HARMAN: By the way, on the metrics that I had just given, the Investment Management division went from 4.6% of the number of people down to 3.9%. So there was a relative decrease in terms of the number of the amount of resources from the SEC devoted to investment management. ARTHUR LABY: But you mentioned Chair White… TOM HARMAN: And by the way that’s probably the end of my stance. ARTHUR LABY: We won't call on you for more stance. You mentioned that Chair White, and as you know she was confirmed for a second term -- to 2019. I wanted to ask each of you if you have seen changes at the Commission since April 2013 that reflects her arrival. I'm wondering if you could just comment briefly on how her background might influence her tenure in what you have seen so far. Tom, have you seen anything yet that you could point out to us? TOM HARMAN: It's not clear to me, six months in, what her Chairmanship is going to be remembered for, but my guess is that, given her incredibly strong experience, she already feels very comfortable with, and probably continue to feel very comfortable in the enforcement realm, and one could reasonably presume that she will leave a strong footprint there. ARTHUR LABY: Nancy, Buddy? NANCY MORRIS: I would agree. I don't think I have much more to offer there. I think it is just too early in the term other than as Tom said she has a very strong enforcement background. I would expect to see that manifest itself certainly. There is no question she's extraordinarily energetic and a real quick learner and really focused on the business of the Commission. So it will be interesting to see. BUDDY DONOHUE: I think early signs are good, if you look at some of the things that she's already gotten down, things that had been difficult prior to her arrival. Whether you like it or not the money market front also did get out and it got out with pretty strong support. Now she has two new Commissioners. I think that's a big challenge that she has. It is too early to tell except that I think early signs are that and from what little I have heard, it seems like there is some pretty good cooperation among the Commissioners which really is a key to whether or not she will be successful. ARTHUR LABY: Nancy, you mentioned Dodd-Frank just a few moments ago. This week marks the anniversary of the collapse of Lehman. Dodd-Frank is just over three years old. The focus was not primarily on asset managers in Dodd-Frank, but there are plenty of issues relevant to funds and advisors. I would ask each of you, if you could comment on your view of the law and what effect you think it's having on the operating divisions at the SEC as far as you know. Nancy, you alluded to this earlier. Could we start with you and then invite the others to comment as well? NANCY MORRIS: Sure. One, it's not only the SEC, it's the CFTC, it's the other agencies in government that are still quite mired down in trying to get Dodd-Frank implemented. On balance, I hope we will be better off when everything is said and done, but to be honest there's still just so much that has yet to be done that it's hard to say. It is what it is whether it's going to be good or bad; we certainly have to live with it. I think it is creating huge operational issues for in-house investment managers. These rules and regulations are coming fast and furious, and they keep coming and coming and coming. It's not only in the US, it's in Europe and in Asia as well, and so synthesizing everything, getting it right, making sure you understand the nuances of these new regulations coming out will require a lot of in-house resources for the next several years. One of the concerns I would have is that all these new regulations will obviously be a source for potential enforcement action, and I would hope that's not the case. But given the volume of regulations, you can certainly see it happening. BUDDY DONOHUE: A couple of observations from my perspective. At a macro level, I think that Dodd-Frank, in its emphasis on making changes in the derivatives and swaps and futures markets, may bring certain greater transparency and safety to that world. Insofar as money managers and their pooled funds of varying source are in those markets, that might be a better thing, although there will certainly be a cost to all those improvements at a more granular level. I think that the staff of the Division of Investment Management has spent a lot of time drafting and the SEC Commissioners spent a lot of time adopting various rules for investment advisors, drawing lines here, drawing lines there, new disclosure forms. It creates all of these new regulations for investment managers. It has soaked up a huge chunk of Investment Management staff time. I felt really proud of the division. They pretty much got all the work done on time. Short time frames for some of those studies they had to complete, which were not easy. They had certain rule-making they had to do and pretty much they got it done very quickly. I don't think that's a drag on them anymore. I think there's some residual from that. But there's a drag in the whole Commission. If you think about, in your own experience, if you have a board of directors, you only have so much time. And you have something important that needs to get done but they have stuff that's urgent. In the SEC's case that might be certain actions that they have to take that are mandated by law. You have to have something really important and urgent in order to get time on the agenda. So no matter how much the division works on something that's really important, maybe it won't be important long term; unless it's on that agenda, it's not going to get done. When you talk about taking up staff time, I think that is one of the impacts that's going to be felt for a long time, which is the backlog of important things that the divisions have been working on, that would improve the situation but they are not going to be acted on because they don't have the priority, however important they might be. I think that really is a shame. These are my personal views on Dodd-Frank. I worry about the amount of power that's been given to the Fed. The fact that you are going to wind up with potentially all the big banks moving in the same direction at the same time. I do worry about their increased involvement in many areas that they had not been before. I do worry that there is a view of many, I don't know that they are necessarily stated this way, but it's about reducing risk and I fear that actually just moved it. TOM HARMAN: I don't have the statistics, Buddy, but I think that statistics ought to have been generated to date to make sure that they are too big to fail so, even greater fear because there are fewer and larger banks today. So if that was one of the chief goals of Dodd-Frank, it's not exactly been achieved. BUDDY DONOHUE: The idea that somehow you take risk out of marketplaces. I mean that's where you get your returns. The questions of people taking the risks -- do they have the wherewithal to deal with that? I worry about whether what liquidity is going to be really about the marketplaces, whether or not there's only big dealers out there that have the capability of making markets in the markets that are necessary and will they have the capital and will they be permitted to use the capital at the time that the financial markets really need it. NANCY MORRIS: It’s already affecting the markets right now. And it’s very tough. BUDDY DONOHUE: Some of that may be a reflection of Dodd-Frank. Some of it may have occurred in any event as others who might not have some of the regulatory requirements jumping in and taking the easy trades, even the more difficult trades. I look at the impact on investments. Many of the advisers that had previously been eligible for an exclusion now came within the purview of registering with the SEC. I think that having had the job I had and I am sure the jobs you had, there was always a gap that we thought when we were there. ARTHUR LABY: Let me ask the panel about that; I think that's an important point. BUDDY DONOHUE: I'll take over asking the questions so that you can answer them for me. ARTHUR LABY: That's not the way it works today but good try. So as you know the SEC now oversees private fund advisors that register with the SEC as a result of DoddFrank. As you say, it is a major change and I wonder if you could each reflect for a second on what you think of that. Will registration really make a difference? And how is it going? Is the industry to the extent that you know transitioning well to a regulated industry? This is a major change as a result of the Dodd-Frank. NANCY MORRIS: I have some numbers, Buddy. BUDDY DONOHUE: You each did your homework. NANCY MORRIS: I did a little homework. More than 1350 new registrants have come in and have registered with the SEC as an investment advisor. There are more than 30,000 private funds with total assets in excess of 8 trillion dollars. So has it made a difference? What we obviously have a whole lot more investment advisors that are registered with the SEC. Do I think it will make a difference? I do. BUDDY DONOHUE: We have a lot more, just different based on practice. NANCY MORRIS: There's a whole group that went to the states, but in terms of private funds, under the SEC's purview, certainly under their ability to gain access to information about those funds and how they manage and what their risk profile are. They obviously have the information that they have never had before. I think it will be interesting to see how they slice and dice that information. It's a lot of information, if you look at the ADV Part I, in particular, they have ballooned for private fund managers. They are thousands of pages long now. Assuming you can even pull it up because they are so big it's hard to actually even pull them up. But will it make a difference? I think so. I think there is a discipline associated with registration. I think the requirement to have a chief compliance officer and a code of ethics begins to introduce advisors to that culture, that you certainly hope they will have a fiduciary. I just think it's a more disciplined approach to how you look at your business from a fiduciary and compliance point of view. So in the long run, yes. I also think enforcement will make a big difference as well. TOM HARMAN: I'll agree with all that but personally I am still scratching my head. We are talking about a credited investor, a qualified purchaser or whatever the institutional type of investor is that typically predominates these funds and you can scratch your head and say, well, I thought the SEC should be spending the vast majority of its budget reviewing, inspecting, enforcing against more retail products whose investors can't protect themselves. There are a lot of sophisticated… NANCY MORRIS: TOM HARMAN: Were you there for Madoff? NANCY MORRIS: Yes. TOM HARMAN: I was. ARTHUR LABY: Tom, that's actually a great point. If you are willing to do it, I might ask the panelists if they might reflect on that for a second. You raised a very fundamental question of the role of regulation and the role of the SEC; there are many who take that view that, with respect to the qualified purchasers or accredited investors, perhaps the SEC ought to forbear and not be as involved, and spend much more of their resources protecting individual investors, smaller investors. That's certainly a reasonable approach to take. BUDDY DONOHUE: It's not protecting dentists or doctors. ARTHUR LABY: Tom, is your point that if you are an advisor to rich people, you shouldn't have to register? Because that was never the rule. So it's not the advisor registration that's the driving point. Is it the collection of the data? TOM HARMAN: Let me through for a little finer point on that. To the extent that we are worried about unregulated and opaque pools of capital such as hedge funds swinging around into the markets, and disrupting things, Form PF gives the SEC some information about what those hitherto unregistered advisors are doing. So that's probably a good thing from a macro level. But the whole notion of the SEC spending lots of taxpayer dollars to make certain that, for all of the rich doctors and dentists, that the advisor of their funds will do exactly what he or she said they were going to do in the offering memorandum and that sort of stuff just leaves me thinking … somewhere along the line I miss something because I am not sure this makes a whole lot of sense. When Nancy and I were Chief Counsel and Deputy Chief Counsel, back when dinosaurs roamed the earth, people came in asking about the 100% fund exemption. I was, let's just get this letter out because this isn't where America is investing. So there were interesting letters but I am not sure that was the essential mission of the SEC. These private funds are premised in part on private offerings under the '33 Act, for sophisticated investors who can fend for themselves and don't need the protection of the SEC. It just seems to me somewhere along the line, the message has gotten a little mixed up. If it's these professional money managers who have a huge impact on the capital markets, I get that part. BUDDY DONOHUE: There was a disconnect there in terms of potential use of resources. The Advisors Act then doesn't apply here in a private fund or is your point more which I think is probably obvious that if you have limited resources then you got to be devoted to protecting those people that can't afford… TOM HARMAN: That's my point and to the extent that you got 1300 new registered advisors who are coming in because they are managing an accredited investor's money or more robust, and the SEC OCIE is going to be examining a certain number of them. They can't just ignore them because they are on their rolls. So at the end of the day those hedge funds are going to be occupying a certain percentage of the SEC's brain space. Those aren't the mutual funds and the ETF's and the other things that the retailers and Americans are investing either their pension assets or their discretionary assets. BUDDY DONOHUE: Tom, to your point, OCIE is going to spend a disproportion of its resources because of their risk based approach. TOM HARMAN: Right. Because they are interesting and because the OCIE people will be concerned that they will be called for to produce a letter to Congressman so and so or report to so and so on this new segment of the industry that they now have responsibility over. It is inevitable that these advisors and their hedge funds will take up more space where previously they occupied a very little space. And of course the proud traditions continue to apply whether ARTHUR LABY: somebody is or not. Nancy, I am sorry. NANCY MORRIS: I was just going to say they have certainly accounted for, potentially I could be wrong this, but disproportionate number of cases involving insider trading fraud on the market. BUDDY DONOHUE: The other fear may be inside is that if you have data then don't use it. NANCY MORRIS: Yes. BUDDY DONOHUE: You may not have known but you could have known because the data was there. ARTHUR LABY: So I wanted to change gear slightly and drill down a little bit deeper on a couple of other issues. One question that I wanted to ask you about is innovation. Any time new rules are passed, one worries about the effects of those rules on Innovation. You three are very experienced; somebody earlier on this panel mentioned ETFs. I am wondering if you could reflect for a second on that idea. What does it take to launch a new product? Do new rules in some cases -- do they act as an impediment in some respects to launching new products? Tom, do you want to start us on this one? TOM HARMAN: I think ETFs are an interesting example because I was at the Commission when some of the first ETF's passed through the portals and that was some 20 years ago. You still need a series of start-up exemptions to get up and running as an ETF. So there has been innovation and there has been more ETF's over these last 20 years and they have gone from being fairly an equity product to fixed income as well. We are poised on the cusp of potential rules in the next couple of years that will do away with the need for all these start up exemptions. But it just feels like it takes a long time. NANCY MORRIS: Interesting. I agree with you, Tom, I do think that innovation continues regardless. People adapt to whatever it is that ultimately comes out in the form of rules and regulations. I have seen people pull back from product developments. And the perfect area is the CFTC mutual funds CPO registration. A lot of funds are pulling back and don't even want to get close. Because they don't want to trigger the CFTC registration and so they are specifically making products that are going to fit within a strict mold; they will not in anyway, shape or form sort of go over into that CFTC space. We are probably not going to see some innovative products that we might have otherwise have seen from some of those entities. I am sure about the uncertainties of how the regulatory frameworks are going to interact with each other although that is becoming a bit clearer now but I thought that was interesting to see a lot of people just pull back and say, don't even go close. BUDDY DONOHUE: And probably I would have a different perspective, the biggest impediment that I see in innovation is uncertainty. NANCY MORRIS: Yes. BUDDY DONOHUE: It's not even where you know what it says, you know how it applies, it's rather the uncertainty about how something is going to be viewed, particularly where you have grave concerns about how OCIE might be viewed or how the Enforcement asset management unit might view it. It's not that you don't think that what you are proposing is grounded in the law. You may never get to make the argument. That may be irrelevant by the time that it comes up, unless you are willing to add on something. What I see is in coming up with new product development, that the uncertainties that are out there have been impediments to developing many new products. The uncertainties of derivatives, when you put them into new products, and exactly how it's going to be viewed going on. It is an impediment to many of the newer products that where people have been trying to move over some good products that exist in private funds and put them in the registered fund arena so that they can make them more readily available to other investors or also to the same investors but built with protections That's where I have seen many of the biggest challenges which is how do we make sure that in fact what OCIE when viewed with hindsight 10 years from now, we are going to say, that was okay, as opposed to, you should have known that on a principal basis that somehow that is not appropriate. That's the way a lot is being viewed in terms of what happened. ARTHUR LABY: How do we address that? It is apparent that innovation can lead to uncertainty. What are some possible ways that we can address that uncertainty or is it just inherent in innovating new products, and there's no way around it? BUDDY DONOHUE: I think the way that in the past many have addressed that is that they would have come to Investment Management, gone to Tom and Nancy, and said listen, here's the issue I am facing, what is the guidance you have and to the extent that you requested some no action, relief, that might be provided, and provide clarity, not just to you but to your competitors also in terms of what the rules of the road are at least in terms of how Investment Management thinks about the issue. I don't know do you see it that much and I think many have a reluctance to go in and ask the questions, even when you are pretty sure you are right and for fear not just that they might have a different view, but now they have put it up as item of interest or whatever they are calling that, so that without a full hearing it's up with some of the analysis done without anybody really abdicating. TOM HARMAN: I am struck by your point, Buddy, about uncertainty and I think it's a terrific one and in fact it seems like over the last five years, there have been so many moving regulations, not just the SEC is changing its rulebook and the CFTC is changing its rulebook, but the Europeans are changing their rulebooks and the accounting boards and panels are changing the way they look at certain derivatives and other certain issues. I think it's a very good point because instead of here's what a single issue I go in and I see the Chief Counsel in the Investment Management division and I persuade him or her. That's only the start of the whole thing because now you got to figure out all these other regulatory bodies, legal and accounting, domestic and global. ARTHUR LABY: I said I wanted to drill down a little deeper on a couple of issues. I have to ask you about valuation, and fund boards' oversight of valuation of portfolio securities. What do you think the impact is of the Morgan Keegan case? What has changed if anything regarding valuation? I imagine one or more of you might have views on this one. TOM HARMAN: I advise a number of boards, so I am happy to take the first shot at this, and that is I think the first thing that I have personally seen and talked to other board counsel about is that, every board is going back and looking at their mutual funds existing valuation policies and then they are comparing what they think the Morgan Keegan case is about their own policies to see whether there is any gaps. Everyone's doing that, from as far as I can tell, but after that I think a lot of people are then sort of taking a stop, wait, let's look around and I don't know of any firms offhand that are rushing to tweak their evaluation policies. I think the securities in question were the hardest of the hard to price part of the market. They were mortgage backed securities within the fixed income space. It was sort of the perfect storm in terms of a regime that counts on mark to market daily current valuation. BUDDY DONOHUE: If you have the view that those facts were compelling to bring a case. Why would you ever sell for essentially causing a violation of Rule 38(a)1? That was the violation. The violation was policies and procedures. You could read the lines and say, okay fine. What's the most they can do? I'm going to not do this again. There is a lot of dicta in there about all the bad things that you did, but none of them led to anything other than, you got to follow the procedures, you got to have good procedures. Is that a fair reading of it? I was embarrassed that that was the final outcome of that case. TOM HARMAN: When you look at all the briefs that were filed and just weigh them, all the different excerpts that were used, and then you look at the final settlement, which as you said was a finding that the compliance policies around valuation were not up to the snuff. It's a message case, you know. Beware directors, you can't fall asleep when facts really jump out at you that don't make sense. BUDDY DONOHUE: Now let's talk about message case. I find them difficult, in the sense that, yes, they are a wake-up call to everyone, and to the extent that behavior might have been way beyond the line. It doesn't help to know where the line is. It doesn't give clarity. For books and records, in policies and procedures case, that certainly doesn't give clarity other than go back and look at your policies and procedures and we all should do that. I would have found more compelling where there could have been just a reminder of things you needed to do as opposed to an enforcement case. Now, enforcement cases do get everybody's attention. But then you have to do with all the dicta that's in the enforcement case. ARTHUR LABY: What do you all think of that? We talked earlier about supervisory responsibility; I would like to see if we can marry this discussion with that one from earlier today. Is that really the point of some of these cases, to encourage firms, much the way a speech would, but in a more robust manner, to encourage firms to go back and look at their procedures in a given area? Is that the point of the matter? NANCY MORRIS: It certainly has that effect. And certainly in the evaluation in the Morgan Keegan case, everyone did go back and look at their procedures. Everybody did go back and start questioning, who's making the final decision? What are the triggers that they are pressing? How often are stale prices reviewed? I am also a sub advisor to a lot of mutual funds saying, even though we don't price the funds, we oftentimes can provide input on a fair value securities. So we may get a call saying what are you doing for your accounts? A lot of due diligence focused on what we are doing, how we are doing it and I think it ties in some respects, just the whole supervisory control, the theme that seems to be emanating from a lot of these cases that you have to have oversight and supervision and you have to have due diligence and you have to make sure you know what it is that you are doing on an ongoing basis and be involved. TOM HARMAN: I would say firms supervise their employees and their officers, boards oversight the firms and this is an oversight case where the SEC said this oversight in our view is not enough. BUDDY DONOHUE: Was the CCO…? TOM HARMAN: CCO was not. BUDDY DONOHUE: So you skip a level? ARTHUR LABY: Yet another interesting aspect. NANCY MORRIS: I am in the favor of not bringing cases against CCOs. BUDDY DONOHUE: I probably am too. NANCY MORRIS: Thank you, Buddy. BUDDY DONOHUE: Most of them are in favor of skipping a level but there's a control that the board should be able to rely on in terms of someone else doing. NANCY MORRIS: They were trolling for a case to bring against directors and this seems to be the one they brought first and foremost. ARTHUR LABY: Buddy, earlier in the evening, you mentioned money market fund regulations. Without delving deeply into the substance, do you think the proposal establishes the SEC as the primary regulator of money market funds? And do you think the adoption is likely? I would ask each of the panelists to give a view. BUDDY DONOHUE: I am very concerned about the unintended consequences of the proposal. The view is that the next problem we have is going to be exactly like the problem we had before, and therefore this solution would have worked without maybe anticipating that once you set out certain rules out there people would change them based on what the rule is, and you may now have created another issue. My own sense is that some of the other regulators would have preferred some form of capital in one way or another to have them involved. But I think certainly if the SEC had not acted they would have prompted the regulators to have to consider what they could do. Remember FSOC had identified this as one of the major systemic risks they had to deal with. And so if the SEC didn't have that capability of dealing with it then I think FSOC, whether or not it wanted to, would have been compelled to do something. So, yes, in that regard I think they re-established it. This is not an easy question and is one that people who I highly respect have very different views about what the problem is, and then if there is that problem what solution should be and then what other problems have been created by that solution. I think if you take time and go and read many of the comment letters, you will see that there is a wide range of views people have about the industry, about what the issues were, what they could be and then about what the solution should be. So a long way of saying that I think it does re-establish the SEC's primary role overseeing money market funds. ARTHUR LABY: Tom, your views? TOM HARMAN: It's interesting because it's an industry that worked very, very well for a long period of time and now you see that it's changed tremendously in the last five years because of not necessarily regulatory issues but because the business just didn't make any sense any more with all the subsidization it yields and what not is going on. In response to your question, I do think that the SEC proposal keeps the SEC as the primary regulator of money funds. I think that's an important thing for the SEC to do. I also agree that it's a tremendously complicated issue because you have different types of money funds within different sub-species of money funds. They are very different from other ones and they are used in different ways. Some are used in trust departments where principal has to be inviolate. So for a variety of reasons it's a very complicated product but one that for years was an essential component of a successful money management firm, so it's an important product to get right. ARTHUR LABY: Thanks, Tom. Our time's getting short. Let me ask one quick question that I think is a big theme. We can't spend a lot of time on it because we have to close soon. Could you comment briefly on technology and on the dimensions of technology? Nancy, I think you have thought about this a bit. You don't have much time left but if you are willing to give us a quick view on technology, that could be very interesting. NANCY MORRIS: I am sure everyone agrees technology is a big issue in the sense of somewhat of a lack of guidance coming out from the regulators, SEC, let's put it that way in terms of what they are expecting of investment advisors in connection with investment models they use that are proprietary models that they lease and are using, what kind of due diligence should they be doing with respect to those models when they are dealing with brokers, what algorithms are they using, and what kind of oversight should they have of those algorithms. I think there is guidance out there from other regulators and I think if you look at the Rosenburg case, it was really a disclosure case with a lot of dicta on what people should be doing or thinking about in connection with their models. So I think it's an area that investment advisors are trying to grapple with because technology is everywhere and you have to step back and think about what you have to prioritize and what you have to focus on. But I think it's a huge resource right now in terms of managers that use any of these kinds of models. The other thing that just if I look even across the ocean at the SFC in Asia just has a proposal out that's requiring investment managers who utilize algorithms or brokers that they deal with to actually implement an appropriate due diligence oversight with respect to those algorithms and interestingly enough they didn't put that burden on the broker-dealers, they put it on the advisors. But we know it's here, we know it's going to actually focus and garner a lot of attention mostly because the failure that occurred on a number of the exchanges faced with being one of the big issues but just stale data, accepted that just shut down the exchanges. So I think there's a lot more to come in this area, there's a lot more that's going to develop from a SEC perspective. ARTHUR LABY: Nancy, thank you very much. I think that has to be the final word. Nancy, Buddy and Tom, thank you very much for sharing your insights and experiences. I hope everyone found this to be an informative discussion on current issues in asset management. Today's program will be a valuable addition to the body of knowledge in the Bingham Presents series. An audio of the broadcast will be available soon in the virtual museum and archive at www.sechistorical.org, and an edited transcript will be added later. Bingham's website will also have a transcript of today's discussion. On behalf of the SEC Historical Society I would like to thank Bingham for their sponsorship and hospitality in making today's program possible. Thanks also to our audiences who have gathered here in Bingham's offices in New York and have joined us online. Good evening and goodbye for now.
Available online at http://www.anpad.org.br/bar BAR, Rio de Janeiro, v. 9, n. 2, art. 6, pp. 229-245, Apr./June 2012 Assessment of Market Efficiency in Argentina, Brazil and Chile: an Event Study of Mergers and Acquisitions Mario Domingues Simões * E-mail address: firstname.lastname@example.org Pontifícia Universidade Católica do Rio de Janeiro – IAG/PUC-Rio Rio de Janeiro, RJ, Brazil. T. Diana L. van Aduard de Macedo-Soares E-mail address: email@example.com Pontifícia Universidade Católica do Rio de Janeiro – IAG/PUC-Rio Rio de Janeiro, RJ, Brazil. Marcelo Cabus Klotzle E-mail address: firstname.lastname@example.org Pontifícia Universidade Católica do Rio de Janeiro – IAG/PUC-Rio Rio de Janeiro, RJ, Brazil. Antonio Carlos Figueiredo Pinto E-mail address: email@example.com Pontifícia Universidade Católica do Rio de Janeiro – IAG/PUC-Rio Rio de Janeiro, RJ, Brazil. * Corresponding author: Mario Domingues Simões Rua Visconde de Pirajá, 220/701, Rio de Janeiro, RJ, 22410-000, Brazil. Copyright © 2012 Brazilian Administration Review. All rights reserved, including rights for translation. Parts of this work may be quoted without prior knowledge on the condition that the source is identified. Abstract This paper presents an investigation into the relationship between the announcement of mergers and acquisitions, the existence of positive abnormal returns for shares of these firms, and market efficiency in Argentina, Brazil and Chile. Statistically significant Standardized Abnormal Returns were present in the event announcement and the following days in Argentina and Chile and on the event day in Brazil, confirming value creation signaling. Furthermore, the significance of abnormal returns in the event window, namely in the 5 days following the event in Argentina and Chile and the absence of such in Brazil suggests a more efficient market exists in Brazil, in keeping with the semi-strong market efficiency hypothesis. The absence of semi-strong efficient market behavior could prove valuable to investors who could use a window of a few days after the event announcement to accumulate abnormal returns, provided the appropriate research into news of possible mergers or acquisitions has been made. Key words: market efficiency; mergers and acquisitions; value creation; abnormal returns; event study. Introduction As the world becomes increasingly globalized, firms are establishing strategic linkages – alliances and mergers and acquisitions (M&A) – in order to improve their ability to meet the many challenges they are constantly encountering in the course of doing business. In the literature, many studies have addressed the problem of news about alliances and the creation of value for M&A participants, and adopted abnormal stock returns for the firm over the announcement period window as a proxy (Brito, Batistella, & Fama, 2005; Brooke & Oliver, 2005; Chan, Kensinger, Keown, & Martin, 1997; Rochman & Arbeleche, 2009; Swaminathan & Moorman, 2009). Although the evidence found in many of these studies indicates that value is indeed created, this is not absolutely certain in all cases. In Brazil for example, many studies that focused on specific industrial areas provided evidence that such abnormal returns were not present (Brito et al., 2005; Rochman & Arbeleche, 2009). At the same time, the news conveyed by such M&A activities present a good opportunity for assessing the efficiency of the markets where these take place. The aim of this article is to share the results of an investigation that addressed the following question on whether the news of M&A undertaken by firms in Latin America generate abnormal returns, as indicated by an increase in the company stock prices. An indication of the efficiency of these markets will be provided from the speed and completeness with which these markets absorb such news. Different from past research, our investigation did not attempt to segregate the deals into different industries or areas of activity due to the small amount of information available regarding markets in Latin America. In fact, although we used all available data in aggregate form for each country, this study was forced to limit itself to Argentina, Brazil, and Chile in order to obtain statistically acceptable results. This paper is organized as follows: the first section presents a brief literature review and is followed by a description of the methodology adopted for our investigation. The results obtained are presented in the following section with a discussion of the results and final considerations in the last two sections. Literature Review This work presents the result of an event study around M&As. As such, we identify two different theoretical aspects that should be addressed, these being that (a) the fact that the news regarding Mergers and Acquisitions signal value creation to the market, and (b) an observation of the market reaction to such news can be used to measure market efficiency. In sequence, we present a brief literature review of each of the aspects mentioned above. Value creation A good way of understanding the rationale underlying strategic linkages, such as strategic alliances and M&A, is to define them as a sharing of capabilities between two or more parties with the goal of enhancing their competitive advantages or creating a new business (Nohria & Garcia-Pont, 1991; Richardson, 1972). The strategic factor derives from the sharing of capabilities that affect the parties' long-term competitiveness, thus requiring some kind of long term commitment on their part (Nohria & Garcia-Pont, 1991; Richardson, 1972). It is important to emphasize here that, as Nohria and Garcia-Pont (1991) noted, strategic linkages include not just strategic alliances (e.g. joint ventures or equity partnerships), but also M&As. Drawing on Contractor and Lorange (1988) as well as Nohria and Garcia-Pont (1991), Macedo-Soares and Mendonça (2010) adopted a typology of linkages based on the degree of relationship interdependence/intensity of the linkage and where M&A correspond to the highest degree of relationship dependence. This typology was considered relevant for our investigation because increasing interorganizational dependence is generally correlated with strategic impact (Pfeffer & Nowak, 1976); in other words, the higher the degree of interdependence/intensity the greater the impact of the linkage upon the firms´ performance in terms of their competitiveness. Indeed, it is therefore fair to assume that M&A would have the potential for creating more strategic value for the firms involved than linkages with a lesser degree of dependence. Also, one can assume that this value would be reflected in the firms´ respective stock prices (Brito et al., 2005; Brooke & Oliver, 2005; Chan et al., 1997; Rochman & Arbeleche, 2009; Swaminathan & Moorman, 2009). The problem that was addressed in the investigation at issue in this article was to find evidence that stock prices of companies that have been involved in M&A activity do indeed generate positive abnormal returns, over a certain period. It has been shown that takeover targets are not necessarily underperforming firms (Agrawal & Jaffe, 2003), and the evidence of positive abnormal returns provided by the observation of stock price behavior as related to abnormal returns, or rather the lack of such evidence, could indicate many different possibilities: (a) the merger or acquisition was not successful; (b) the market did not consider it to be a good option; (c) the targeted firm was an underperforming one and therefore no opportunities for improvement were believed to exist; (d) the merger or acquisition itself would probably be unsuccessful; (e) the alternatives for value creation were not perceived or were simply ignored (Bieshaar, Knight, & Wasenaer, 2001; Ederington & Guan, 2005; Lasserre, 2002). Therefore, the results we are looking for in the present work are those indicating abnormal returns greater than zero at the event date: this indicates that the market considered the M&A news as advertising good value bearing surprises. In general, a positive abnormal return will indicate value increase, having been the result of price increases of the stocks connected to the M&A news; the contrary meaning the news is value destroying. However, one must bear in mind that the present work concerns itself to the study of short-term abnormal returns. As such, these cannot produce evidence about the long-term results of a M&A, which may not always be good (in the sense of value creation) as discussed above. Market efficiency The Efficient Market Hypothesis (EMH) is based on the assumption that, in efficient markets, asset prices fully reflect all available information. Thus, any change in equilibrium prices will be due to the flow of information available to market participants. Therefore, if one accepts that market equilibrium conditions are translated into expected returns and that these are formed on the basis of the available information, no system could be devised to enable abnormal returns (i.e. returns in excess of expected market returns) to be obtained (Malkiel, 2003). Another way of looking at this issue is that if any form of regularity could possibly be detected in the market, it would indicate inefficient information flow and in this case a system could be devised to enable someone to obtain abnormal gains. Fama (1970) identifies three forms of market efficiency; (a) weak form, when only historical price information is available; (b) semi-strong form, when recent and obvious publicly available information is added to the previous set; (c) strong form, when information held by private groups, and which is not publicly available, is considered. Fama (1970) also identifies sufficient (but not necessary) conditions for capital market efficiency (Montibeller, Belton, Ackermann, & Ensslin, 2007), as follows: . absence of transaction costs; . all information is available at no cost to all market participants; . all market participants agree on the meaning and implications of the available information. As regards the gathering of evidence for testing the semi-strong form of market efficiency, the literature is basically concerned with measuring the speed with which market prices adjust to new information (Dimson & Mussavian, 1998). The most important research tool in this area is the so called event study (Camargos & Barbosa, 2003; MacKinlay, 1997). This kind of methodology tries to gather statistical evidence that market prices do not immediately adjust to new information, and helps to identify clusters of abnormal returns close to the event (M&A, stock splits, change in interest rates, announcement of changes in major macro-economic indicators, etc.) (Gersdorff & Bacon, 2009; Seiler, 2003; Wong, 2002). Even if the value of the evidence provided by these so-called market models is debatable, it is generally accepted that the market model methodology can improve the available knowledge regarding markets (MacKinlay, 1997). In general, significant positive TSARs (Total Standardized Abnormal Returns) after the event date indicate that the market was not efficient enough in absorbing the good news that was released. On its part, significant positive CTSARs (Cumulative Total Standardized Abnormal returns) after the event date would mean that value was still being created through price increases, thus pointing towards market inefficiency in terms of complete assimilation of the good news bearing surprises (Fama, 1970). Additionally, if such positive and significant TSARs results are not connected to the event date, that is, the date when the merger news is supposed to be released, a positive significant TSAR will indicate some kind of information leakage and gains related to market inefficiency in terms of the gains not being the result of the action of the market on public news, since the information about the merger would not yet be public at the time (Fama, 1970). Methodology The main two research questions regard (a) whether the announcement of M&A is perceived as unexpected good news by the market, and (b) whether the market reacts in an efficient way to such events. Since we do not try to establish the size of eventual abnormal returns for any announcement day, but only whether such abnormal returns actually exist, we chose to use the event study method, in order to measure the reaction of stock prices to the announcement of M&A (Chan et al., 1997; Dodd & Warner, 1983). Specifically, the goal of the research is to find if statistically significant evidence of abnormal returns are present close to the dates of M&A news disclosure to the market and whether these abnormal returns accumulate or are readily absorbed by the market. Following the general practice revealed by the literature review, we conducted event studies for M&A news as described below. We adopted a significance level of 95% for our statistical results, in accordance with usual practice (Almeida, Bueno, & Braga, 1999; Beesley, 1965; Belton & Stewart, 2002; Brito et al., 2005; Carvalho, 2007; Seiler, 2003). This method requires eight steps (Seiler, 2003): 1. Identification of the event date. 2. Definition of the event window. 3. Definition of the estimation period. 4. Selection of the sample. 5. Calculation of normal returns. 6. Calculation of abnormal returns (ARs). 7. Calculation of cumulative abnormal returns (CARs) 8. Determination of the statistical significance of the ARs and CARs. In the case at issue here, the event date is that on which the merger or acquisition is announced, as listed in Standard & Poor´s database Capital-IQ (Standard & Poor [S&P], 2009). An event window and an estimation period window then have to be defined. This was undertaken by following a previously used method, with the event date defined above as day 0, the estimation period starting on day -170 and ending on day -21 and the event window going from day -20 until day + 5 (Chan et al., 1997). The length of the event window is indeed much shorter than that of the estimation one, with some variation as to the chosen intervals, in line with the practice pursued in the literature (Brown & Warner, 1985; Chan et al., 1997; MacKinlay, 1997; Park, 2004). According to the methodology adopted, abnormal returns are calculated by taking the actual returns from the stock sample and subtracting predicted normal returns for each day of the event period (Seiler, 2003). The challenge was to assemble datasets with stock prices for the relevant dates, for each of the countries to be studied. In our research, we started with the event dates obtained from the CapitalIQ database, as described above, and proceeded to gather the necessary stock price data using the Economatica database (Arrow, 1963), which contains stock price data for Latin American countries. The base data for this research were stock prices obtained as described above for the period starting on October, 1995 through August, 2008. We decided to avoid extending the data gathering period further, because a very recent study indicates a structural break on the Brazilian stock market on September, 2008 (Faria, Ness, Klotzle, & Pinto, 2011). Initially, it was our goal to study data from all Latin American countries, except Mexico, but the lack of pertinent information, due to the fact that stock markets in many of these countries are relatively underdeveloped, obliged us to use data solely from Argentina, Brazil and Chile. Even so, the liquidity criterion used, that is, for the trading frequency of each of the stocks, was a minimum of 80% available stock price data on the dates when the respective trading market operated during the relevant period for each stock. Naturally this introduces a limitation to the study in terms of the available sample size. This reduced our sample size to 14, 28 and 11 companies, respectively, in each of the three countries selected - Argentina, Brazil and Chile. A list of these companies can be seen in Tables A1, A2 and A3 (see Appendix). Having thus fulfilled the four initial steps of the methodology adopted, we started calculating the required returns. The market returns, in this case, were proxied by the MERVAL, IBOVESPA and IPSA stock market indexes, for Argentina, Brazil and Chile, respectively. The returns themselves were calculated according to the usual practice in the literature, that is, log returns were used according to the formula below: where Pt is the observed price; subscript t refers to time t. Abnormal returns were calculated using the approach known as risk-adjusted return (as opposed to market return), which were defined as the difference between the actual observed return and the expected return, the latter being predicted, in the event window, by using a regression, where the parameters are defined in the estimation window, consistent with the market model procedure (MacKinlay, 1997). Using the sample data gathered as described above, we regressed the observed stock returns against the appropriate market returns for each country, thus obtaining predicted returns for the event window. Having obtained the predicted stock values for each day in the event window, the subtraction of the predicted value from the actual observed return for each day in the event window should produce the abnormal return (Seiler, 2003). In a nutshell, the whole procedure can be expressed by Formulas (2) and (3). where . [ ] is the expected return; . is the market return; . subscript t refers to time t. After calculating the ARs (abnormal returns), these were standardized in order to establish a comparison unit. Next, they were summed across each day and for all companies (each country analysis was carried out separately). Finally CTSARs (cumulative total standard abnormal returns) were calculated for each of the days in the event window, starting with the first day. where . [ ] is the expected return; . is the return; . subscript o refers to observed; . subscript t refers to time t. The procedure that we followed is described in greater detail in Seiler (2003). Results and Discussion The results are presented and discussed separately for each of the three countries investigated. Argentina The results obtained for the sample of firms in Argentina are summarized in Table 1. The table presents data as captioned in the column headings and each row represents a day in the event window, from the first day (event date – 20) to the last one (event date + 5) with the event date (day 0) shown in darker grey. Statistically significant data within 5% are shown in bold italics and the variables considered are: . TSAR – total standard abnormal returns . CTSAR – cumulative total standard abnormal returns When one observes the calculations for TSARs and CTSARs for the duration of the observed event window, one can find significance in the value of the TSAR on days -15, -11, -6, -2 and 1 with significant positive figures for all days except day -6, as well as for the event day itself. There is thus evidence that a belief about value creation occurred on these days. When considered together with the event day, that shows the largest TSAR, the data strongly suggests that the M&A news indeed signaled value creation for these stocks, in the Argentinean market. Table 1 Results for Argentina 1 Continues Table 1 (continued) Note. 1 total data for 14 companies. On the other hand, the significance of the values scattered about the event window days before the event date seems to indicate that the market was prone to leakage of information or use of the latter by groups that attempted to extract returns from the market for no apparent reason. A verification of the situation for the CTSARs showed significant positive levels of abnormal returns accumulation for days -9, -8, -2 and -1, as well as from day 0 to +5, in the observed event window. All these values were positive, though not monotonous in size, leading us to believe that this market was indeed not efficient as per the Efficient Market (semi-strong) Hypothesis, rather it was trying to adjust itself to a proper price level. The figures indicate an accumulation of gains during a short time frame after the announcement date. However, rather than efficiently reaching a stable price level, there appears to have been some oscillation around a certain point, indicating the possibility of the market having overshot the proper price level but then striving to achieve stability. Though such a behavior is not unexpected, it does indicate the failure of the market functioning in an entirely efficient way, as per the semi-strong form Efficient Market Hypothesis (Fama, 1970). Brazil The results obtained for the sample of firms in Brazil are presented in Table 2. Data is presented in a similar fashion to Argentina's, with the exception of the sample size, as we noted above. Different from the previous case, the event window for the Brazilian stock market only indicated significance for the positive TSARs on the event day. This leads us to believe that M&A news indeed pointed to the possibility of value creation for the stocks observed, and that the market's behavior was consistent with the semi-strong Efficient Market Hypothesis, as expected. Furthermore, the absence of any other significant observations on any of the event window days, supports the assertion that the market was indeed efficient: the value indicating news was promptly absorbed by the market, with only event day abnormal gains occurring, and this is due to the possibility of value creation, but there was no evidence of accumulated abnormal gains that could only be possible in the case of an inefficient market. Table 2 Results for Brazil 1 \| \| \| \| Total SAR \| Total SAR p- \| Cumulative \| CTSAR \| \| CTSAR \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| day \| Total SAR \| \| \| \| \| \| \| \| \| \| \| z-statistic \| value \| TSAR \| z-statistic \| \| p-value \| \| -20 -2,837 -0,533 59% -2,837 \| \| \| \| \| \| -0,087 \| 93% \| \| \| \| -19 \| -8,998 \| -1,689 \| 9% \| -11,835 \| -0,363 \| \| 72% \| \| -18 -6,099 -1,145 25% -17,934 \| \| \| \| \| \| -0,550 \| \| 58% \| \| \| -17 \| 5,820 \| 1,092 \| 27% \| -12,114 \| -0,371 \| \| 71% \| \| -16 -9,910 -1,860 6% -22,024 \| \| \| \| \| \| -0,675 \| \| 50% \| \| \| -15 \| -3,947 \| -0,741 \| 46% \| -25,971 \| -0,796 \| \| 43% \| \| -14 0,051 0,010 99% -25,920 \| \| \| \| \| \| -0,795 \| \| 43% \| \| \| -13 \| -1,719 \| -0,323 \| 75% \| -27,640 \| -0,847 \| \| 40% \| \| -12 -4,898 -0,919 36% -32,538 \| \| \| \| \| \| -0,998 \| \| 32% \| \| \| -11 \| -0,066 \| -0,012 \| 99% \| -32,604 \| -1,000 \| \| 32% \| \| -10 -3,492 -0,655 51% -36,096 \| \| \| \| \| \| -1,107 \| \| 27% \| \| \| -9 \| 6,614 \| 1,241 \| 21% \| -29,482 \| -0,904 \| \| 37% \| \| -8 3,031 0,569 57% -26,451 \| \| \| \| \| \| -0,811 \| \| 42% \| \| \| -7 \| 0,759 \| 0,143 \| 89% \| -25,692 \| -0,788 \| \| 43% \| \| -6 -0,342 -0,064 95% -26,035 \| \| \| \| \| \| -0,798 \| \| 42% \| \| \| -5 \| -6,680 \| -1,254 \| 21% \| -32,714 \| -1,003 \| \| 32% \| \| -4 5,525 1,037 30% -27,189 \| \| \| \| \| \| -0,834 \| \| 40% \| \| \| -3 \| -3,497 \| -0,656 \| 51% \| -30,685 \| -0,941 \| \| 35% \| \| -2 4,037 0,758 45% -26,648 \| \| \| \| \| \| -0,817 \| \| 41% \| \| \| -1 \| 1,150 \| 0,216 \| 83% \| -25,498 \| -0,782 \| \| 43% \| \| \| 0 \| 16,740 \| 3,142 \| 0% \| -8,758 \| -0,269 \| \| 79% \| \| \| 1 \| -5,527 \| -1,037 \| 30% \| -14,285 \| -0,438 \| \| 66% \| \| 2 -4,503 -0,845 40% -18,788 \| \| \| \| \| \| -0,576 \| \| 56% \| \| \| 3 \| -1,779 \| -0,334 \| 74% \| -20,567 \| -0,631 \| \| 53% \| \| 4 -6,036 -1,133 26% -26,603 \| \| \| \| \| \| -0,816 \| \| 41% \| \| \| 5 \| -1,577 \| -0,296 \| 77% \| -28,180 \| -0,864 \| \| 39% \| Note. 1 total data for 28 companies. These results corroborate the findings of a study recently conducted in Brazil (Camargos & Barbosa, 2007), which concluded that "the market, in terms of information availability, behaved in a semi-strong efficient manner". Chile The results of the calculations made in the case of Chile are presented in Table 3, using the same format as for the other two countries. Table 3 Results for Chile 1 \| \| \| \| Total SAR z- \| Total SAR p- \| Cumulative \| CTSAR z- \| CTSAR \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| day \| Total SAR \| \| \| \| \| \| \| \| \| \| statistic \| value \| TSAR \| statistic \| p-value \| \| -20 1,305 0,391 70% 1,305 \| \| \| \| \| \| 0,114 \| \| \| \| -19 \| 2,710 \| 0,812 \| 42% \| 4,015 \| 0,349 \| 73% \| \| -18 6,467 1,937 5% 10,482 \| \| \| \| \| \| 0,912 \| 36% \| \| \| -17 \| 0,319 \| 0,095 \| 92% \| 10,800 \| 0,940 \| 35% \| \| -16 -1,850 -0,554 58% 8,951 \| \| \| \| \| \| 0,779 \| 44% \| \| \| -15 \| 1,387 \| 0,415 \| 68% \| 10,338 \| 0,900 \| 37% \| \| -14 -3,253 -0,974 33% 7,085 \| \| \| \| \| \| 0,617 \| 54% \| \| \| -13 \| 0,229 \| 0,069 \| 95% \| 7,315 \| 0,637 \| 52% \| \| -12 1,927 0,577 56% 9,242 \| \| \| \| \| \| 0,804 \| 42% \| \| \| -11 \| -0,870 \| -0,260 \| 79% \| 8,372 \| 0,729 \| 47% \| \| -10 -1,621 -0,485 63% 6,751 \| \| \| \| \| \| 0,588 \| 56% \| \| \| -9 \| -1,262 \| -0,378 \| 71% \| 5,489 \| 0,478 \| 63% \| \| -8 7,524 2,253 2% 13,013 \| \| \| \| \| \| 1,133 \| 26% \| \| \| -7 \| 2,263 \| 0,678 \| 50% \| 15,276 \| 1,330 \| 18% \| \| -6 3,682 1,103 27% 18,958 \| \| \| \| \| \| 1,650 \| 10% \| \| \| -5 \| 0,609 \| 0,182 \| 86% \| 19,567 \| 1,703 \| 9% \| \| -4 -0,534 -0,160 87% 19,033 \| \| \| \| \| \| 1,657 \| 10% \| \| \| -3 \| 9,246 \| 2,769 \| 1% \| 28,279 \| 2,461 \| 1% \| \| -2 -4,724 -1,414 16% 23,555 \| \| \| \| \| \| 2,050 \| 4% \| \| \| -1 \| -1,847 \| -0,553 \| 58% \| 21,708 \| 1,889 \| 6% \| \| \| 0 \| 10,239 \| 3,066 \| 0% \| 31,947 \| 2,781 \| 1% \| \| \| 1 \| 3,244 \| 0,971 \| 33% \| 35,190 \| 3,063 \| 0% \| \| 2 3,046 0,912 36% 38,236 \| \| \| \| \| \| 3,328 \| 0% \| \| \| 3 \| -2,429 \| -0,727 \| 47% \| 35,807 \| 3,117 \| 0% \| \| 4 -1,837 -0,550 58% 33,970 \| \| \| \| \| \| 2,957 \| 0% \| \| \| 5 \| -1,542 \| -0,462 \| 64% \| 32,428 \| 2,823 \| 0% \| Note. 1 total data for 11 companies. In the case of the Chilean stock market it was possible to observe significant positive TSARs figures on days -8, -3 and the event date itself. This observation is in agreement with the possibility of some kind of news leakage being used by individuals to obtain abnormal gains. CTSARs, on the other hand, were significant on days -3 and -2, and from day 0 through day +5. However, different from the Argentinean case, the TSAR values were positive for days 0, 1 and 2 and negative for days 3, 4 and 5. This seems to indicate that although there may have been some leakage of the value creating news before the M&A announcement date, the market did behave as expected, attempting to absorb the news. Moreover, abnormal returns slowly diminished from the day after the event date onwards, further suggesting that an equilibrium price point was surpassed and a reversal of the process was at work; that is, the market was striving to adjust itself to a proper level, having overshot the appropriate stability point as the news was released. It is true that the accumulation of abnormal returns observed does indicate the existence of an inefficient market according to the semi-strong EMH. However, the CTSAR pattern suggests that the market was behaving as expected, albeit more slowly – at least in comparison to the Brazilian one. Final Considerations In this article we attempted to provide evidence that M&A in the three Latin American countries Argentina, Brazil and Chile indicate the possibility of value creation, by conveying new information to the market in the form of the announcement of the merger or acquisition. On the basis of the data collected in our research, we achieved this objective in that it provided evidence that M&A news does signal value in the case of all three countries at issue, with statistically significant results at a 95% level. Indeed, we further found evidence that the market appeared to behave in an efficient way, according to the semi-strong Efficient Market Hypothesis in the case of Brazil, but not in the case of Argentina or Chile. Our results confirmed the findings of recent studies (Camargos & Barbosa, 2006, 2007; Camargos & Romero, 2006) and are consistent with the expected behavior of the stock market in an increasingly regulated environment. Moreover, the Chilean market appeared to behave more efficiently than the Argentinean one, in keeping with the semi-strong Efficient Market Hypothesis, even though it appeared to be rather slow where the absorption of news regarding the event was concerned. As to the limitations of our research, the choice of the observation and event windows may have hampered the ability to further observe market behavior in the case of Chile and Argentina. We indeed believe that an expanded event window including a few more days might have provided insights into the direction of the market, especially in the case of Chile. Thus, we suggest that future research be carried out with the purpose of determining the timing involved in semi-strong market behavior in both Argentina and Chile. Although our study was unable to conclude that these countries have semi-strong efficient markets there is evidence pointing in that direction, although the time factor at issue needs to be better understood. There is also an important limitation on the part of market representativeness, both in terms of firm activity (industrial or services) and market segment. This is a definite limitation, mainly in countries where markets are extremely dependent on a few companies; however, the largest problem by far in dealing with such limitations is related to the available sample size. However, in spite of the above mentioned limitations, we believe that our study provided valuable evidence of possible earnings by stock market investors who could bet on the apparent inefficiency of the Argentinean and the Chilean stock markets, regarding the absorption of merger or acquisition announcements. This could prove valuable to investors who could use a window of a few days after the event announcement to accumulate abnormal returns, provided the appropriate research into news of possible mergers or acquisitions has been made. Additionally, it is well known that the efficiency of a certain market is directly connected to that market's ability to absorb and quantify any surprises as fast as possible. As the evidence presented above points to the fact that news is not promptly absorbed in some of the markets studied, some effort should be made so as to try and correct those shortcomings where they still exist. By the same token, care should be taken by the managers involved in any M&A efforts that no leaks of this news happen prior to the determined date of the announcement, so that the market is allowed to behave in an efficient way. Received 27 November 2010; received in revised form 24 October 2011. References Agrawal, A., & Jaffe, J. F. (2003). Do takeover targets underperform? Evidence from operating and stock returns. Journal of Financial & Quantitative Analysis, 38(4), 721-746. doi: 10.2307/4126741 Almeida, R. J. de, Bueno, A. F., & Braga, R. F. R. de (1999, October). Teste sobre a eficiência informacional do mercado brasileiro em relação ao anúncio ou divulgação de fusões/aquisições no período entre maio/1995 e janeiro/1998. 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Journal of Marketing, 73(5), 52-69. doi: 10.1509/jmkg.73.5.52 Wong, E. (2002). Investigation of market efficiency: an event study of insider trading in the stock exchange of Hong Kong. Stanford: Stanford University. APPENDIX Table A1 Sample in Argentina (14 Companies) \| \| \| Announced/Initial Filing \| \|---\|---\|---\| \| Geographical Locations \| \| \| \| \| Target/Issuer \| Date (Including Bids \| \| [Target/Issuer] \| \| \| \| \| \| and Letters of Intent) \| Table A2 Sample in Chile (11 Companies) \| \| \| Announced/Initial Filing \| \|---\|---\|---\| \| Geographical Locations \| \| \| \| \| Target/Issuer \| Date (Including Bids \| \| [Target/Issuer] \| \| \| \| \| \| and Letters of Intent) \| Table A3 Sample in Brazil (28 Companies) \| Geographical Locations \| Target/Issuer \| \|---\|---\| \| [Target/Issuer] \| \| \| Brazil; South America \| Abyara Planejamento Imobiliario SA (BOVESPA:ABYA3) \| \| Brazil; South America \| Banco Bradesco S.A. (BOVESPA:BBDC4) \| \| Brazil; South America \| Brasmotor S.A. (BOVESPA:BMTO4) \| \| Brazil; South America \| Companhia Brasileira de Distribuicao (BOVESPA:PCAR5) \| \| Brazil; South America \| Companhia Brasileira de Distribuicao (BOVESPA:PCAR5) \| \| Brazil; South America \| Companhia de Gas de Sao Paulo (BOVESPA:CGAS5) \| \| Brazil; South America \| Companhia De Transmissao De Energia Eletrica Paulista \| \| \| (BOVESPA:TRPL4) \| \| Brazil; South America \| Datasul S/A \| \| Brazil; South America \| ELETROPAULO-Metropolitana Eletricidade de Sao Paulo \| \| \| SA (BOVESPA:ELPL5) \| \| Brazil; South America \| Embratel Participacoes S.A. (BOVESPA:EBTP4) \| \| Brazil; South America \| Embratel Participacoes S.A. (BOVESPA:EBTP4) \| \| Brazil; South America \| Gafisa S.A. (BOVESPA:GFSA3) \| \| Brazil; South America \| Industrias Romi SA (BOVESPA:ROMI3) \| \| Brazil; South America \| Light SA (BOVESPA:LIGT3) \| \| Brazil; South America \| Light SA (BOVESPA:LIGT3) \| \| Brazil; South America \| M&G Poliester S.A. (BOVESPA:RHDS3) \| \| Brazil; South America \| Net Serviços de Comunicação (BOVESPA:NETC4) \| \| Brazil; South America \| Petroleo Brasileiro (BOVESPA:PETR4) \| \| Brazil; South America \| Quattor Petroquimica SA (BOVESPA:SZPQ4) \| \| Brazil; South America \| Telecomunicacoes de Sao Paulo S.A. - TELESP \| \| \| (BOVESPA:TLPP4) \| \| Brazil; South America \| Telecomunicacoes de Sao Paulo S.A. - TELESP \| \| \| (BOVESPA:TLPP4) \| \| Brazil; South America \| Usinas Siderúrgicas de Minas Gerais S.A. \| \| \| (BOVESPA:USIM5) \| \| Brazil; South America \| Usinas Siderúrgicas de Minas Gerais S.A. \| \| \| (BOVESPA:USIM5) \| \| Brazil; South America \| Vivo Participacoes S.A. (BOVESPA:VIVO4) \| \| Brazil; South America \| Vivo Participacoes S.A. (BOVESPA:VIVO4) \| \| Brazil; South America \| Vivo Participacoes S.A. (BOVESPA:VIVO4) \| \| Brazil; South America \| Vivo Participacoes S.A. (BOVESPA:VIVO4) \| \| Brazil; South America \| Whirlpool S.A. (BOVESPA:WHRL4) \|
Number 72 29 October 2004 After the election – what happens? Significant administrative rearrangements concerning ministers, departments and other Commonwealth bodies, and APS employees and other Commonwealth officials, often follow a general election. The purpose of this briefing is to assist those affected by these rearrangements to better understand the constitutional and statutory framework that governs action taken to ensure the successful implementation of the proposed changes. The briefing also outlines the impact that the prorogation of the Parliament and the dissolution of the House of Representatives has had on particular parliamentary business. The matters discussed in this briefing often involve government practice, as well as law. This briefing is only an introduction and is structured on the basis of a legal analysis, not the order in which events occur. Contacts for further information and advice are set out at the end. Ministers Sections 64 and 65 of the Constitution provide: 64 Ministers of State The Governor-General may appoint officers to administer such departments of State of the Commonwealth as the Governor-General in Council may establish. Such officers shall hold office during the pleasure of the GovernorGeneral. They shall be members of the Federal Executive Council, and shall be the Queen's Ministers of State for the Commonwealth. Ministers to sit in Parliament After the first general election no Minister of State shall hold office for a longer period than three months unless he is or becomes a senator or a member of the House of Representatives. 65 Number of Ministers Until the Parliament otherwise provides, the Ministers of State shall not exceed seven in number, and shall hold such offices as the Parliament prescribes, or, in the absence of provision, as the Governor-General directs. After a general election, the Governor-General appoints as Prime Minister the person who can form a ministry that has the confidence of the House of Representatives. Other ministers are appointed by the Governor-General on the advice of the Prime Minister. Canberra Margaret Byrne Senior General Counsel Australian Government Solicitor T 02 6253 7098 F 02 6253 7304 firstname.lastname@example.org Canberra Legal briefing The resignation of the existing Prime Minister following a general election for the House of Representatives terminates the commissions of all other ministers in that ministry. Even where the same party or parties are returned to power, the resignation of the old ministry, followed by the appointment of a new ministry, is now accepted as the appropriate course to follow. Ministers must be members of the Federal Executive Council Section 64 of the Constitution requires ministers to be members of the Federal Executive Council. Proposed ministers who are not already members are ordinarily appointed by the Governor-General under section 62 as Executive Councillors before being appointed as ministers. Number of ministers Under the Ministers of State Act 1952 the number of ministers is not to exceed 42 (section 4). Up to 12 may be designated as parliamentary secretary. Up to 30 may be designated as other than parliamentary secretary. At present, that is the maximum possible number of ministers. But fewer ministers could be appointed. At 31 August 2004 when Parliament was prorogued and the House of Representatives was dissolved the Third Howard Ministry had 42 ministerial offices. Ministers administer a department A minister is appointed to administer a department. This requirement, when joined with the disqualification provisions in section 44 of the Constitution relating to the holding of offices of profit under the Crown, has in effect ruled out the practice followed in other jurisdictions of appointing Ministers of State without portfolio. A minister may be appointed to administer more than one department. At present, for example, the Minister for Veterans' Affairs administers both the Department of Defence and the Department of Veterans' Affairs. Multiple ministers for a department There is no constitutional objection to the appointment of more than one minister to administer a department of State, where each minister is appointed to administer the department. In practice, this allows for a 'senior' minister and a 'junior' minister or ministers to distribute amongst themselves the administrative workload within a particular portfolio. This has been a common practice of the Third Howard Government. For example, the Minister for Employment and Workplace Relations and the Minister for Employment Services were each appointed to administer the Department of Employment and Workplace Relations. Thus, where portfolio legislation confers a particular power on 'the Minister', each of the administering ministers is able to exercise that power (see section 19A of the Acts Interpretation Act 1901). The validity of this practice adopted by successive governments since 1987 was upheld by the High Court of Australia in Re Patterson; Ex parte Taylor (2001) 207 CLR 391. On some occasions the practice of having a minister authorised to assist another minister in the latter's performance of statutory powers and functions has continued. In so assisting, the minister authorised acts for or on behalf of the latter minister. In relation to statutory powers and functions, this is made possible by sections 18C and 19 of the Acts Interpretation Act. 2 There is no constitutional objection to the appointment of more than one minister to administer a department of State ... More detailed information about sections 18C and 19 of the Acts Interpretation Act is contained in Legal Briefing No. 44 'Ministerial Authorisations: Foster and Beyond' which can be accessed through the AGS web site at <www.ags.gov.au>. Parliamentary secretaries Parliamentary secretaries are ministers. Prior to 2000, parliamentary secretaries were appointed to statutory offices under the Parliamentary Secretaries Act 1980. They were not ministers and were not remunerated because of the office of profit disqualification provisions in section 44 of the Constitution. They received reimbursement for reasonable expenses. However, the responsibilities of parliamentary secretaries have increased over time. In early 2000 the Parliamentary Secretaries Act was repealed by the Ministers of State and Other Legislation Amendment Act 2000. This Act amended the Ministers of State Act to increase the number of ministers to a maximum of 42. Twelve of these may have the title 'Parliamentary Secretary'. These changes to the Ministers of State Act, including providing for the designation of some ministerial offices as 'Parliamentary Secretary', were also upheld by the High Court in Re Patterson. Accordingly, like other ministers, parliamentary secretaries are appointed under section 64 of the Constitution to administer departments and are remunerated. Eleven individuals in the Third Howard Ministry held offices designated as parliamentary secretary at 31 August 2004. Commission The form of commission now in use does two things. It provides for a person who is an Executive Councillor to hold a particular office; in the case of a parliamentary secretary he or she is directed to hold the office of parliamentary secretary to a particular minister. It also directs the person to administer a particular department. Thus, at the one stroke, there is a designation of an Executive Councillor as a minister and an identification of the department he or she is to administer. Administrative Arrangements Order In addition to the Governor-General directing and appointing a minister to administer a department, the Governor-General makes a new Administrative Arrangements Order. The Order provides a detailed description of each department's and minister's responsibilities. This Order sets out for each department: — the matters to be dealt with by the department (and provides that the department also deals with matters arising under legislation administered by the department's minister); and — legislation to be administered by the minister for that department (and provides that the minister administers legislation, passed before or after, that relates to a matter dealt with by the minister's department). Where there is more than one minister administering a department, the Order operates so that each minister administers all the legislation relevant to that department. Arrangements for the allocation of responsibilities between the ministers are made at the political level. The current Order can be accessed through the web site of the Department of the Prime Minister and Cabinet at <www.pmc.gov.au>. ... like other ministers, parliamentary secretaries are appointed under section 64 of the Constitution to administer departments ... 4 Departments The departments are such as the Governor-General in Council establishes from time to time under section 64 of the Constitution. This authority to establish departments carries with it the power to abolish existing departments, and to alter existing departments by changing their names. The power to establish departments, to abolish existing departments and to alter existing departments by changing their names is often exercised immediately after a general election. For example, after the 2001 general election the name of the Department of Health and Aged Care was changed to the Department of Health and Ageing. As at 31 August 2004 there were 17 departments of State. APS employees The Public Service Act 1999 makes provision for the movement of APS employees associated with machinery of government changes which usually occur following an election (see section 72). In particular, the Public Service Commissioner is able to move APS employees from one agency to another without anyone's consent if the Commissioner is satisfied that it is necessary or desirable in order to give effect to an administrative rearrangement. The term 'administrative re-arrangement' is defined in section 72(6) to mean any increase, reduction or reorganisation in Commonwealth functions, including one that results from an order made by the GovernorGeneral. This would include the Administrative Arrangements Order referred to above. 'Agencies' for the purposes of the Public Service Act are staffed by persons employed under that Act. A department established by the GovernorGeneral (see above), excluding any part that is itself an Executive Agency or Statutory Agency, is an agency. Executive Agencies (established under section 65 of the Public Service Act) and Statutory Agencies (established under other legislation) are also agencies. Terms and conditions of employment Where an APS employee is moved from one APS agency to another under section 72 of the Public Service Act, he or she will usually be covered by the certified agreement of the agency into which they are moved. However, the terms and conditions of employment for these employees can be affected by the Public Service Regulations. The regulations ensure that an employee's salary on the day when the move occurs will be the greater of the salary that applied immediately before the move or the salary to which the employee would be entitled after the move. The regulations thus ensure that an employee who is moved between APS agencies will not suffer any disadvantage in terms of salary as a result of an administrative rearrangement. With respect to terms and conditions other than salary, the Public Service Regulations allow for the making of a determination preserving some or all of the employee's existing conditions of employment. Such a determination prevails, to the extent of any inconsistency, over any award, certified agreement or AWA that would otherwise apply. The regulations thus provide a means for preserving an employee's status quo where this is considered necessary or desirable after an administrative rearrangement. However, conditions that applied in the losing agency cannot be preserved where that would involve a reduction of any individual term or condition applicable to the employee under a certified agreement that applies to the employee in the gaining agency. The regulations thus ensure that an employee who is moved between APS agencies will not suffer any disadvantage in terms of salary as a result of an administrative rearrangement. Sometimes new departments are created after an election to carry out functions that were previously the responsibility of existing APS agencies. In these cases there will be no existing certified agreement that could apply to transferred employees. A determination made in accordance with the Public Service Regulations will be needed to ensure that appropriate terms and conditions exist for the transferred employees until a new certified agreement and/or AWAs are made. A determination made in accordance with the Public Service Regulations only applies to an employee until a new award, certified agreement or AWA that applies to the employee starts operating. Thus if an employee who is covered by a determination makes an AWA after the move, the determination will cease applying to that employee even though it may continue applying to other employees who were subject to the section 72 transfer. APS employees who are parties to AWAs will usually continue to be covered by their AWAs if they are moved into a different agency, unless express provision is made in the AWA to prevent this occurring. Consequently, any determinations made in accordance with the Public Service Regulations to preserve pre-transfer terms and conditions of employment will typically be expressed as not applying to employees who are parties to AWAs. In most circumstances the AWA will operate to the exclusion of the gaining agency's certified agreement. Also in most circumstances, the salary of the employee immediately after the move will be their AWA salary, even if it is lower than the salary that would have applied to the employee under the certified agreement if they were not party to an AWA. As well as administrative rearrangements where functions are moved between APS agencies, functions may be moved from APS agencies to nonAPS bodies and vice versa. These types of rearrangements tend to be less common immediately after an election than moves between APS agencies, but when they occur, affected employees are usually moved under section 72 of the Public Service Act. Section 72 ensures that the salary and other conditions of an employee who is moved out of the APS into a non-APS Commonwealth body are not less favourable than those the employee enjoyed as an APS employee. This protection continues until the next occasion when an award, certified agreement or AWA is made or varied that applies to the transferred employee. When employees are moved from a non-APS body into an APS agency, the Public Service Regulations provide for the making of determinations to preserve the pre-transfer terms and conditions. However, unlike employees who are moved between APS agencies, no provision is made for the higher of the pre-transfer and post-transfer salaries to apply automatically. Transmission of business issues Where functions are moved between APS agencies, there is no 'new employer' for the purposes of the transmission of business provisions of the Workplace Relations Act 1996. The Commonwealth is the employer of all APS employees. This means that a certified agreement that applies in the losing agency will not 'transmit' to the gaining agency by virtue of section 170MB of the Workplace Relations Act. However, when there is a transfer of functions between an APS agency and a statutory body that employs employees on its own behalf (rather than on behalf of the Commonwealth) there will usually be a transmission APS employees who are parties to AWAs will usually continue to be covered by their AWAs if they are moved into a different agency ... 6 of business. This means that following the transfer of the function, section 170MB will apply and the certified agreement of the losing agency will 'transmit' to the gaining agency. Sometimes this will mean that transferred employees are within the coverage of two certified agreements, one applying by transmission and the other applying on its face to employees in the gaining agency. Where this occurs, section 170LY of the Workplace Relations Act sorts out the interaction between the agreements. Where neither certified agreement has passed its nominal expiry date, the agreement certified first will prevail over a later-certified agreement. However, this relationship may be affected by section 72 of the Public Service Act (where employees are moved out of the APS) or a determination made in accordance with regulation 8.2 of the Public Service Regulations (where employees are moved into the APS). Section 170MBA of the Workplace Relations Act gives power to the Australian Industrial Relations Commission to make orders that will stop a new employer being bound by a certified agreement because of a transmission of business. Where the outcomes under section 170MB following an administrative rearrangement are inequitable, inappropriate or uncertain, and are unable to be resolved by section 72 of the Public Service Act or action under the Public Service Regulations, consideration could be given to applying for an order under section 170MBA. Appointment of secretaries When a new department is established, the office of secretary of that department is also established (section 56(1) of the Public Service Act). When a department is abolished, the office of secretary is also abolished (section 56(2)). The Prime Minister may appoint a person to be the secretary of a department for a period up to five years (section 58(1)) and may, having received a relevant report about a proposed termination, also terminate the appointment of a secretary at any time (section 59(1)). 19B and 19BA orders A general reference to 'the Minister' in legislation means the ministers administering the legislation under the Administrative Arrangements Order (section 19A of the Acts Interpretation Act). A reference to a particular minister in legislation generally means all the ministers administering the legislation. Where Acts, and instruments made under Acts, refer to specific ministers, departments and secretaries of departments, these specific references may need to be altered to reflect the changes in ministers, departments and secretaries which, as discussed above, commonly result from a new Administrative Arrangements Order. It is not, however, necessary to amend each and every reference to a specific minister, department or secretary contained in an Act or instrument. Rather, sections 19B and 19BA of the Acts Interpretation Act confer on the Governor-General powers to make orders which appropriately alter all specific references contained in Acts and instruments. Section 19B orders Subsection 19B(1) of the Acts Interpretation Act provides that the Governor-General can make an order altering a reference in a provision of an Act to a particular minister if there is no longer any such minister. The changes in ministers, departments and secretaries which are made following an election generally necessitate the making of orders under section 19B. Subsection 19B(2) provides that the Governor-General can make an order altering a reference in a provision of an Act to a particular department if that department has been abolished or the name of the department has been changed. Similarly, subsection 19B(3) provides that the GovernorGeneral can make an order altering a reference in a provision of an Act to a particular secretary of a department if that office of secretary has been abolished or the name of that office has been changed. The changes in ministers, departments and secretaries which are made following an election generally necessitate the making of orders under section 19B. Section 19BA Section 19BA of the Acts Interpretation Act provides an additional power for the Governor-General to alter references in Acts to specific ministers, departments and secretaries. In particular, in some cases the name of a minister, department and secretary will stay the same but a specific reference in a provision of an Act will nevertheless need to be changed because the administration of that provision has been changed by the Administrative Arrangements Order made by the Governor-General. The changes in the administrative arrangements which are made following an election sometimes, but not often, necessitate the making of orders under section 19BA. Instruments under Acts The powers conferred on the Governor-General by sections 19B and 19BA of the Acts Interpretation Act may, by virtue of paragraph 46(1)(a) of that Act, also be exercised to change specific references to ministers, departments and secretaries which are contained in instruments made under Acts. The Attorney-General's Department contacts all departments for the purposes of determining the references to specific ministers, departments and secretaries which will need to be changed by orders made under sections 19B and 19BA. A copy of the Acts Interpretation (Substituted References – Section 19B) Order 1997 can be accessed on the web at <http://scaleplus.law.gov.au/html/instruments/0/27/top.htm>. That Order contains a running list of substitutions that have been made in respect of ministers, departments and secretaries since 1997. Delegations and authorisations The changes in ministers, departments and secretaries which occur following an election make it essential that each department review its instruments of delegation and authorisation. There are three kinds of instrument which departments will need to review following an election: — An instrument of delegation made under an express statutory power of delegation ('instruments of delegation'). A person to whom a power is delegated in accordance with an instrument of delegation exercises the delegated power in their own right. — An instrument made in accordance with an express statutory provision which enables a person to be designated as the recipient of a statutory function or power ('statutory authorisations'). For example, legislation sometimes expressly confers functions and powers on an 'authorised Changes in ministers, departments and secretaries following an election make it essential that each department review its instruments of delegation and authorisation. officer' and provides for the making of an instrument which designates an identified person or persons as an 'authorised officer'. As is the case with a person acting pursuant to an instrument of delegation, a person acting pursuant to a statutory authorisation performs the relevant function or exercises the relevant power in their own right. — An instrument made by a person ('the first person') in whom a statutory power is vested authorising another person to exercise that power for and on behalf of the first person ('Carltona authorisations'). In contrast to a person acting pursuant to an instrument of delegation or a statutory authorisation, a person acting pursuant to a Carltona authorisation does not act in their own right but, rather, as the 'alter ego' or agent of the first person. The power to make an authorisation of this kind is, in most cases, implied from the terms of the statute which confers the relevant power on the first person. Occasionally, however, the first person's power to authorise another to act for and on the first person's behalf is conferred expressly by legislation. Instruments of delegation An instrument of delegation made by a minister or a secretary will continue to have effect following a general election if the only substantive administrative change is the person who holds the office of minister or secretary of the department. Similarly, a delegation continues in effect where there has simply been a change in the designation of a minister, secretary or department. However, in both cases, it is clearly good administrative practice to provide new office-holders with the opportunity to reconsider arrangements for delegated decision-making, and issue new instruments of delegation. In the case of a transfer of functions from one department (the old department) to another department, delegations of power to persons within the old department who are responsible for performing those functions will cease to have effect at the time the functions, together with relevant staff, are transferred. New delegations will need to be made in favour of persons performing the relevant functions. Similar considerations apply in the case of departments which are abolished. Delegations of power to persons within that department will cease to have effect at the time of the department's abolition. New instruments of delegation should be made without delay in favour of persons performing the relevant functions in any department which takes over the functions of the abolished department. Statutory authorisations What is said in relation to delegations applies equally to statutory authorisations. Carltona authorisations The position is less clear in relation to instruments of authorisation which provide for specified persons to exercise relevant powers for and on behalf of an office-holder. On one view, authorisations of that kind cease to have effect when the person holding the relevant office changes, and must be re-made. However, the recent Full Federal Court decision in Commissioner of Taxation v Mochkin (2003) 127 FCR 185 indicated that such steps are not necessary in the context of particular powers in the Income Tax Assessment Act 1936. The ramifications of this decision in the context of other legislation and other powers is not clear. The safest course is for departments to ensure that Carltona authorisations are re-made without 8 The safest course is for departments to ensure that Carltona authorisations are re-made without delay where the person holding the relevant office has changed ... delay where the person holding the relevant office has changed as a result of the election and the changes in the administrative arrangements. For example, an authorisation by a secretary for another person to enter into AWAs under section 170WK of the Workplace Relations Act on his or her behalf should be reviewed. More detailed information about delegations and authorisations is contained in Legal Practice Briefing Number 24 'Devolution of Power within Government' which can be accessed through the AGS web site <http://www.ags.gov.au>. This briefing is being updated to take account, for example, of the decision of the Federal Court in Mochkin. Availability of appropriations Orders under the Acts Interpretation Act There are two ways in which appropriations can continue to be available after a change in departments. Where an applicable order under section 19B or 19BA of the Acts Interpretation Act has been made, a reference in an Appropriation Act to the former department is to be read as a reference to the new department translated in accordance with the order. This follows from the terms of sections 19B and 19BA themselves. Financial Management and Accountability Act Section 32 of the Financial Management and Accountability Act 1997 applies if a function of a department (the old department) becomes a function of another department (the new department) either because the old department was abolished or for any other reason. The section provides that the minister administering the Financial Management and Accountability Act or his or her delegate may issue directions to transfer from the old department to the new department some or all of an amount that has been appropriated for the performance of the function by the old department. Under this section the minister can make an early, interim response and transfer an amount. If it appears that the amount needs to be adjusted, the minister is given power to transfer an amount back to the old department. However, the minister cannot issue directions that transfer amounts between parliamentary departments except in accordance with a written recommendation of the presiding officers. Guidance on financial framework issues can also be accessed through the Financial Management Guidelines No. 5 – Guidelines for Implementation of Administrative Arrangements Orders and Other Machinery of Government Changes, September 2003 – published by the Department of Finance and Administration. Status of Bills Under section 5 of the Constitution, the Governor-General may, by proclamation or otherwise, prorogue the Parliament. Under section 5 the Governor-General may also dissolve the House of Representatives. For the purpose of the 1996, 1998 and 2001 general elections Parliament was prorogued and the House of Representatives was dissolved. This practice was also adopted for the 2004 general election. Prorogation terminates a session of Parliament. Dissolution terminates the House of Representatives and therefore there must be a general election. The Finance Minister is able to adjust amounts being transferred between departments. 'Prorogation has the effect of terminating all business pending before the Houses and Parliament does not meet again until the date specified in the proroguing proclamation or until the Houses are summoned to meet again by the Governor-General' (Odgers' Australian Senate Practice, 10th edition at 168). Where Parliament is prorogued all bills before either House lapse. Where prorogation of Parliament is not followed by a general election, a bill which has lapsed before it has been finally passed by a House may be revived in the following session, under certain conditions. That is, it may be proceeded with in the next session at the stage it had reached in the preceding session (House of Representatives Standing Order 264, Senate Standing Order 136). However, where there has been a prorogation followed by a dissolution and general election then a bill may not be revived. 'The rationale of this rule is that a bill which has been agreed to by one House should not be taken to have been passed again by that House if the membership of that House has changed' (Australian Senate Practice at 282). However, Senate procedures do allow for some bills to be restored to the Notice Paper after an election. This option has not been utilised by the Government after previous elections as the House of Representatives will not accept any bills restored by the Senate. Hence all bills that are still required will need to be reintroduced and proceeded with in the ordinary manner. 'Bills agreed to by both Houses during a session are in practice assented to prior to the signing of the prorogation proclamation' (House of Representatives Practice, 4th edition at 227). However, if a bill had been passed by both Houses and was awaiting Royal Assent at the time Parliament was prorogued and the House of Representatives dissolved for the purpose of a general election, the accepted view is that it would nevertheless be possible for the GovernorGeneral to give his assent to the bill (House of Representatives Practice at 221 and 227). Questions on Notice House of Representatives Any unanswered questions that are still on the Notice Paper at prorogation of the Parliament or the dissolution of the House lapse and answers received by the Clerk of the House after that time cannot be accepted (House of Representatives Practice at 537 and 541). Senate In the Senate, prorogation has the consequence 'that all business on the Notice Paper lapses on the day before the next sitting' (Australian Senate Practice at 506) (emphasis added). It appears that if answers are not given before the next sitting day the Department of the Senate would inquire of Senators whether they wish to 'renew the questions when the Senate resumes'. 'Ministerial departments are advised to answer questions outstanding at prorogation' (Australian Senate Practice at 506). 10 ... all bills that are still required will need to be reintroduced and proceeded with in the ordinary manner. Inquiries by parliamentary committees House of Representatives Where the House of Representatives has been dissolved committees of the House and joint committees appointed by standing order or by resolution cease to exist (House of Representatives Practice at 221). A committee appointed by the House in the next Parliament to inquire into the same matter as that inquired into by a previous committee is nevertheless a different committee. However, Standing Order 341 empowers committees to consider and make use of the evidence and records of similar committees appointed during previous Parliaments. Joint committees established by legislation, for example, the Joint Committee of Public Accounts and Audit and the Parliamentary Standing Committee on Public Works, also cease to exist. The Acts establishing those committees provide that members cease to hold office when the House is dissolved. The constituting legislation of joint statutory committees also commonly provides for the new committee to be able to consider evidence taken by the previous committee as if it had taken that evidence (see, for example, section 24 of the Public Works Committee Act 1969). Senate While the position in relation to committees of the House of Representatives is clear the position in relation to Senate committees is not completely settled. Questions have been raised whether Senate committees have power to meet in the period following prorogation and dissolution of the House of Representatives and the next meeting of Parliament following a general election (Australian Senate Practice at 515 and following). The Senate 'has not asserted its right to meet after a prorogation but has regularly authorised its committees to do so' (Australian Senate Practice at 517). Consistently with this, Senate committees were active in the period after the prorogation of Parliament and dissolution of the House of Representatives for the purpose of the 1993, 1996 and 2001 general elections (Australian Senate Practice at 521–522). Margaret Byrne is a Senior General Counsel who is expert in industrial relations and employment law, especially in relation to agreement-making, termination of employment and issues arising from administrative rearrangements. She also advises on constitutional aspects of industrial relations and employment law. Sam Rosewarne is a Counsel who specialises in matters of statutory interpretation and public law generally. He has provided advice across a range of industrial relations and employment law matters, with a particular focus upon issues arising in the context of the Public Service Act 1999. House committees are able to make use of evidence taken by similar committees appointed during previous Parliaments. 11 Contacts For general information please contact: Department of the Prime Minister and Cabinet Anne Dowd (02) 6271 5535 (Administrative Arrangements Order, ministers, departments and secretaries) Henry Thomson (02) 6271 5787 (Legislation) For general information about section 19B and section 19BA orders under the Acts Interpretation Act please contact: Attorney-General's Department, Civil Justice Division Amanda Davies (02) 6250 6370 Jonathon Meredith (02) 6250 6351 For legal advice please contact: Australian Government Solicitor, Office of General Counsel Robert Orr QC (02) 6253 7129 Peter Lahy (02) 6253 7085 Margaret Byrne (02) 6253 7098 Sam Rosewarne (02) 6253 7081 Leo Hardiman (02) 6253 7074 Offices Canberra 50 Blackall Street Barton ACT 2600 Sydney Level 23, Piccadilly Tower, 133 Castlereagh Street Sydney NSW 2000 Melbourne Level 21, 200 Queen Street Melbourne VIC 3000 Brisbane Level 12, Samuel Griffith Place, 340 Adelaide Street Brisbane QLD 4000 Perth Level 19, Exchange Plaza, 2 The Esplanade Perth WA 6000 Adelaide Level 20, 25 Grenfell Street Adelaide SA 5000 Hobart Level 8, 188 Collins Street Hobart TAS 7000 Darwin Level 3, 9–11 Cavenagh Street Darwin NT 0800 12 Web site For a full review of AGS services, visit <www.ags.gov.au> Electronic versions of AGS newsletters are available for clients who prefer to receive issues in this form. Please contact 02 6253 7052 or email email@example.com to arrange supply. ISSN 1448-4803 Approved Postage PP 233744/00042
Väljaandja: Teksti liik: Vabariigi Valitsus välisleping algtekst RT II 1999, 9, 60 Akti liik: Avaldamismärge: Ratassõidukile ning sellel kasutatava ja/või sellele paigaldatava varustuse ja osade ühtlustatud tehnonõuete vastuvõtmise ning nende nõuete alusel väljastatud kinnituste vastastikuse tunnustamise kokkulepe Eesti Vabariik ühines 1958. a Genfis sõlmitud «Mootorsõidukite varustuse ja osade kinnitamise ühtsete nõuete vastuvõtmise ja kinnitamise vastastikuse tunnustamise kokkuleppega» 18.01.1995, kokkulepe jõustus Eesti suhtes 01.05.1995. 16.10.1995 jõustusid kõigi lepingupoolte suhtes kokkuleppe muudatused, sh pealkiri. Käesolev tekst sisaldab nimetatud parandusi. 28.10.2020 13:30 Veaparandus - Parandatud ilmne ebatäpsus välislepingu pealkirja esimeses sõnas „Mootorsõidukite" Riigi Teataja seaduse § 10 lõike 2 alusel. Preambul Lepingupooled, olles otsustanud parandada mootorsõiduki varustuse ja osade ametliku kinnitamise ühtsete tingimuste vastuvõtmise ja vastastikuse tunnustamise kokkulepet, mis on sõlmitud 20. märtsil 1958 Genfis; ja soovides kindlaks määrata ratassõidukite, nende varustuse ja osade ühtlustatud tehnonõuded, mis neis riikides kasutusele võetaks; soovides need nõuded neis riikides kehtestada esimesel võimalusel; ja soovides lihtsustada teise lepinguosalise pädevates asutustes nimetatud nõuete järgi heaks kiidetud sõidukite, varustuse ja osade kasutust oma riikides, leppisid kokku järgnevas: Artikkel 1 1. Koosõlas lisas 1 toodud protseduurireeglitega ning järgnevate artiklite ja lõigete põhjal kehtestavad lepingupooled kõigist lepingupooltest moodustatud administratiivkomitee kaudu eeskirjad ratassõidukitele ja nende varustusele ja osadele, mida võib neile paigaldada ja/või kasutada. Vajaduse korral sisaldavad tehnonõuded alternatiive, on võimalusel orienteeritud täitmisele ja hõlmavad katsemeetodeid. Lepingupoole jaoks, kes eelistab eeskirja rakendada tüübikinnituse kaudu, lisatakse tüübikinnituse andmise ja selle vastastikuse tunnustamise tingimused. Käesolevas kokkuleppes on terminitel järgmine tähendus: termin «ratassõiduk, selle varustus ja osad» tähendab mis tahes ratassõidukit ning selle varustust ja osi, mille omadused on liiklusohutuse, keskkonnakaitse ja energiasäästu seisukohast olulised; termin «eeskirjale vastav tüübikinnitus» tähistab haldustoimingut, mille tulemusel ühe lepingupoole pädev asutus pärast kontrollimist kinnitab,et tootja esitatud sõiduk, selle varustus või osad vastavad eeskirja nõuetele. Peale seda tagab tootja, et iga turustatav sõiduk, selle varustus või osad oleksid sarnased kinnitatud tootega. Lisaks tüübikinnitusele võib eeskirja rakendada ka muude haldustoimingute kaudu. Ainus üldtuntud alternatiivne toiming, mida rakendavad mõned Euroopa Majanduskomisjoni liikmesriigid, on tootjapoolne sertifitseerimine. Selle tulemusel tõendab tootja, et iga turustatav toode vastab eeskirjale. Sellele ei eelne mingit halduskontrolli. Pädevad asutused võivad turu pistelise kontrolliga teha kindlaks, kas tootja sertifitseeritud tooted vastavad eeskirja nõuetele. 2. Administratiivkomitee moodustatakse kõigist lepingupooltest vastavalt lisas 1 toodud protseduurireeglitele. Vastavalt lisas 1 ette nähtud protseduurile kehtestatud eeskirja edastab administratiivkomitee ÜRO peasekretärile (edaspidi peasekretär). Seejärel teatab peasekretär esimesel võimalusel sellest eeskirjast lepingupooltele. Eeskiri loetakse vastuvõetuks, kui kuue kuu jooksul peasekretärilt sellekohase teate saamisest ei ole üle 1/3 teatamise ajal lepingupooleks olnud riikidest peasekretärile teatanud eeskirjaga mittenõustumisest. Eeskirja sisu: 2) tehnonõuded, mis vajaduse korral sisaldavad alternatiive; 1) asjassepuutuvad ratassõidukid, nende varustus või osad; 3) katsemeetodid, mille abil on võimalik tõendada tehnonõuetele vastavust; 5) kuupäev(ad), millal see eeskiri jõustub. 4) tüübikinnituse andmise ja nende vastastikuse tunnustamise tingimused, sealhulgas tüübikinnitusmärgistused ja toodangu vastavuse tagamise tingimused; Vajaduse korral võib eeskirjas loetleda pädevate asutuste üldtunnustatud laboratooriume, kus katsetatakse esitatud ratassõidukite, nende varustuse või osade tüüpide sobivust kinnituse andmiseks. 3. Kui eeskiri on vastu võetud, teatab peasekretär sellest esimesel võimalusel lepingupooltele, täpsustades, millised lepingupooled olid selle vastu ja kelle suhtes eeskiri ei kehti. 4. Vastuvõetud eeskiri jõustub käesoleva lepingu lisana eeskirjas kindlaks määratud kuupäeva(de)l kõigi lepingupoolte suhtes, kes ei teatanud oma mittenõustumisest. 5. Ühinemisdokumendi deponeerimisel võib uus lepingupool deklareerida, et ta ei ole seotud mõne või mitte ühegi eeskirjaga, mis on sel ajal käesoleva lepingu lisa. Kui samal ajal menetletakse eeskirjaprojekti või vastuvõetud eeskirja vastavalt käesoleva artikli lõigetes 2, 3 ja 4 toodud protseduurile, teatab peasekretär sellest projektist või vastuvõetud eeskirjast uuele lepingupoolele ning see jõustub uue lepingupoole suhtes käesoleva artikli lõikes 4 määratud tingimustel. Peasekretär teatab lepingupooltele sellise jõustumise kuupäeva. Samuti edastab peasekretär lepingupooltele kõik käesoleva lõike tingimustele vastavad deklaratsioonid mõnede eeskirjade rakendamata jätmise kohta. 6. Eeskirja rakendav lepingupool võib alati peasekretärile teatada, et tema valitsus kavatseb selle rakendamise lõpetada. Etteteatamistähtaeg on üks aasta. Peasekretär edastab sellise teate teistele lepingupooltele. Tüübikinnitus kehtib selle tühistamiseni; Kui lepingupool lõpetab mingile eeskirjale vastava tüübikinnituse väljastamise, peab ta: – tegutsema vastavalt artiklis 4 ettenähtule, kui mõni lepingupool, kes jätkab eeskirja rakendamist, on teatanud toote mittevastavusest; – jätkama vastavuse järelevalvet nende toodete tootmise üle, millele ta on eelnevalt andnud tüübikinnituse; – vastavalt artiklile 5 jätkuvalt teatama teiste lepingupoolte pädevatele asutustele tüübikinnituste tühistamisest; – jätkama olemasolevate tüübikinnituste kehtivuse pikendamist. 7. Lepingupool, kes veel ei rakenda mingit eeskirja, võib alati peasekretärile teatada, et ta kavatseb seda edaspidi rakendada. Eeskiri jõustub selle lepingupoole suhtes kuuekümnendal päeval teatamisest arvates. Peasekretär teatab lepingupooltele igast eeskirja käesoleva lõike kohasest jõustumisest uue lepingupoole suhtes. 8. Lepingupooli, kelle suhtes mingi eeskiri kehtib, nimetatakse edaspidi eeskirja rakendavateks lepingupoolteks. Artikkel 2 Lepingupool, kes rakendab eeskirju peamiselt tüübikinnituse kaudu, annab tüübikinnitusi ja kinnitusmärgiseid, mida kirjeldatakse konkreetses eeskirjas ratassõidukite, nende varustuse või osade tüüpide kohta. Selleks peab tal olema tehniline kompetents ja ta peab olema rahul lisas 2 ettenähtud korraldusega, millega tagatakse toote vastavus kinnitatud tüübile. Lepingupool, kes rakendab mingit eeskirja tüübikinnituse kaudu, ei anna selle eeskirjaga hõlmatud tüübikinnitusi ega tüübikinnitusmärgiseid, kui eeltoodud tingimused ei ole täidetud. Artikkel 3 Ratassõiduk, selle varustus või osad, millele lepingupooled on andnud tüübikinnituse vastavalt käesoleva kokkuleppe artiklile 2, ja mis on toodetud kas eeskirja rakendava lepingupoole territooriumil või mõnes teises riigis, mille on määranud asjaomasele ratassõidukile, selle varustusele või osadele tüübikinnituse andnud lepingupool, loetakse vastavaks nõuetele, mis tulenevad nimetatud eeskirja tüübikinnituse kaudu rakendavate lepingupoolte õigusaktidest. Artikkel 4 Kui eeskirja tüübikinnituse kaudu rakendava lepingupoole pädevad asutused leiavad, et ratassõiduk, selle varustus või osad, mis kannavad mõne lepingupoole antud ja käesoleva eeskirja kohast tüübikinnitusmärgistust, ei ole kooskõlas kinnitatud tüüpidega, teatavad nad sellest tüübikinnituse andnud lepingupoole pädevale asutusele. See lepingupool peab astuma vajalikud sammud, et viia nende tootjate tooted vastavusse kinnitatud tüüpidega, ning teatama võetud meetmetest teistele lepingupooltele, kes rakendavad eeskirja tüübikinnituse kaudu. Vajaduse korral võivad need meetmed hõlmata tüübikinnituse tühistamist. Kui ohustada võidakse liiklust või keskkonda, peab kinnituse väljastanud lepingupool, kes on saanud informatsiooni kinnitatud tüübi (tüüpide) mittevastavuse kohta, teatama olukorrast kõikidele teistele lepingupooltele. Lepingupooled võivad keelata sellise ratassõiduki, selle varustuse või osade müügi oma territooriumil. Artikkel 5 Eeskirja tüübikinnituse kaudu rakendava lepingupoole pädev asutus saadab kord kuus teiste lepingupoolte pädevatele asutustele nimekirja ratassõidukite, nende varustuse ja osade kohta, millele ta on selle kuu jooksul keeldunud kinnitust andmast või mille kinnituse ta on tühistanud. Lisaks saadab ta eeskirja tüübikinnituse kaudu rakendava lepingupoole pädeva asutuse taotlusel viimasele koopia asjassepuutuvast informatsioonist, mille alusel ta otsustas vastavalt käesolevale eeskirjale ratassõiduki, selle varustuse või osade tüübikinnituse anda, mitte anda või tühistada. Artikkel 6 1. Käesoleva kokkuleppe pooleks võivad saada Euroopa Majanduskomisjoni liikmesriigid, vastavalt komisjoni tegutsemisjuhendi lõikele 8 komisjonis nõuandvat staatust omavad riigid ja Euroopa Majanduskomisjoni liikmesriikide loodud regionaalsed majandusintegratsiooni organisatsioonid, millele nende liikmesriigid on andnud volitused käesoleva kokkuleppega hõlmatud valdkondades, sealhulgas volituse võtta vastu liikmesriikidele kohustuslikke otsuseid. Artikli 1 lõikes 2 ja artikli 12 lõikes 2 viidatud häältearvu määramisel on regionaalsel majandusintegratsiooni organisatsioonil sama palju hääli, kui on tema liikmesriike Euroopa Majanduskomisjonis. 2. ÜRO liikmesriigid võivad osaleda Euroopa Majanduskomisjoni mõnes ettevõtmises vastavalt komisjoni tegutsemisjuhendi lõikele 11. Käesoleva kokkuleppe pooleks võivad saada selliste ÜRO liikmesriikide regionaalsed majandusintegratsiooni organisatsioonid, kellele liikmesriigid on andnud volitused käesoleva kokkuleppega hõlmatud valdkondades, sealhulgas volituse võtta vastu liikmesriikidele kohustuslikke otsuseid. Artikli 1 lõikes 2 ja artikli 12 lõikes 2 viidatud häältearvu määramisel on regionaalsel majandusintegratsiooni organisatsioonil sama palju hääli, kui on tema liikmesriike ÜRO-s. 3. Pärast muudetud kokkuleppe jõustumist võib 1958. a kokkuleppega mitteühinenud lepingupool sellega ühineda, deponeerides sellekohase dokumendi peasekretäri juurde. Artikkel 7 1. Muudetud kokkulepe loetakse jõustunuks 9 kuu möödumisel päevast, mil peasekretär edastas selle kõigile 1958. a kokkuleppe pooltele. 2. Muudetud kokkulepe ei jõustu, kui 1958. a kokkuleppe pooled on esitanud selle suhtes vastuväiteid kuue kuu jooksul pärast kuupäeva, mil peasekretär kokkuleppe neile edastas. 3. Muudetud kokkuleppega ühineva uue lepingupoole suhtes jõustub see 60ndal päeval tema ühinemisdokumendi deponeerimisest arvates. Artikkel 8 1. Lepingupool võib käesoleva kokkuleppe denonsseerida, teatades sellest peasekretärile. 2. Denonsseerimine jõustub 12 kuu möödumisel teate peasekretärile laekumisest. Artikkel 9 1. Käesoleva kokkuleppe artiklis 6 määratletud uus lepingupool võib kokkuleppega ühinedes või pärast seda peasekretärile saadetava teatega deklareerida, et ta kehtestab käesoleva kokkuleppe kõigil või mõnel territooriumil, mille rahvusvaheliste suhete eest ta vastutab. Käesolevat kokkulepet hakatakse teates nimetatud territooriumi või territooriumide suhtes rakendama kuuekümne päeva möödumisel teate peasekretärile laekumisest. 2. Käesoleva kokkuleppe artiklis 6 määratletud uus lepingupool, kes on vastavalt käesoleva artikli lõikele 1 deklareerinud käesoleva kokkuleppe kehtestamist mõnel territooriumil, mille rahvusvaheliste suhete eest ta vastutab, võib kokkuleppe selle territooriumi suhtes denonsseerida vastavalt artiklile 8. Artikkel 10 1. Kahe või enama lepingupoole vahelised vaidlused käesoleva kokkuleppe tõlgendamise või rakendamise üle lahendatakse võimaluse korral nendevaheliste läbirääkimiste teel. 2. Kui üks vaidlev lepingupool seda nõuab, esitatakse läbirääkimistel lahendamata jäänud vaidlus arbitraaþile. Sellest teatatakse vastavalt ühele või mitmele arbiterile, kelle valivad vaidlevad osapooled kokkuleppel. Kui vaidlevad osapooled ei suuda arbitraaþi algatamisest kolme kuu jooksul arbiteri või arbiteride valikus kokku leppida, võib igaüks neist taotleda, et peasekretär nimetaks arbiteri, kellele usaldatakse vaidluse lahendamine. 3. Vastavalt lõikele 2 määratud arbiteri või arbiteride otsus on vaidlevatele lepingupooltele kohustuslik. Artikkel 11 1. Uus lepingupool võib käesoleva kokkuleppega ühinemisel deklareerida, et ta ei loe artiklit 10 endale siduvaks. Ka teised lepingupooled ei ole seotud artikliga 10 oma suhetes sellise reservatsiooni teinud uue lepingupoolega. 2. Lepingupool, kes on teinud lõikes 1 nimetatud reservatsiooni, võib sellest alati loobuda, teatades sellest peasekretärile. 3. Käesolevale kokkuleppele ega sellele lisatud eeskirjadele ei saa teha muid reservatsioone, ent iga lepingupool võib artiklis 1 sätestatud tingimustel deklareerida, et ta ei kavatse rakendada mõnda või mitte ühtegi eeskirja. Artikkel 12 Käesolevale kokkuleppele lisatud eeskirju võib parandada järgnevalt: 1. Vastavalt artikli 1 lõikele 2 kehtestab eeskirjade parandused administratiivkomitee, järgides lisas 1 toodud protseduuri. Vajaduse korral võib parandus sisaldada ka kehtivaid nõudeid kui alternatiivi. Lepingupool täpsustab, milliseid eeskirjas ettenähtud alternatiive ta rakendab. Lepingupool, kes rakendab eeskirja üht või mitut alternatiivi, pole kohustatud tunnustama sama eeskirja eelmiste alternatiivide järgi antud tüübikinnitusi. Lepingupool, kes rakendab ainult kõige viimaseid parandusi, pole kohustatud tunnustama eelnevate paranduste või parandamata eeskirjade põhjal antud kinnitusi. Lepingupool, kes rakendab varasemat parandusteseeriat või parandamata eeskirja, tunnustab hilisema parandusteseeria põhjal antud kinnitusi. Administratiivkomitee teatab paranduse kehtestamise järel sellest peasekretärile. Peasekretär teatab sellest parandusest võimalikult kiiresti kõnesolevat eeskirja rakendatavatele lepingupooltele. 2. Eeskirja parandus loetakse vastuvõetuks, kui peasekretäri sellekohasest teatest arvates kuue kuu jooksul ei ole üle ühe kolmandiku lepingupooltest, kes teatamise ajal eeskirja rakendasid, peasekretärile teatanud parandusega mittenõustumisest. Kui selle ajavahemiku jooksul on peasekretärile mittenõustumisest teatanud alla ühe kolmandiku eeskirja rakendavatest lepingupooltest, kuulutab peasekretär võimalikult kiiresti paranduse vastuvõetuks ja kohustuslikuks eeskirja rakendavaile lepingupooltele, kes ei ole olnud paranduse vastu. Kui peale eeskirja parandamist teatab vähemalt üks viiendik parandmata eeskirja rakendanud lepingupooltest, et nad soovivad jätkata parandmata eeskirja rakendamist, loetakse parandmata eeskiri parandatud eeskirja alternatiiviks, mis liidetakse vormiliselt eeskirjale ja mis hakkab kehtima paranduse vastuvõtmise või selle jõustumise päevast. Sel juhul on eeskirja rakendavatel lepingupooltel lõikes 1 toodud kohustused. 3. Kui mõni uus lepingupool ühineb käesoleva kokkuleppega ajal, mis jääb eeskirja parandusest teatamise ja paranduse jõustumise vahele, jõustub kõnesolev eeskiri selle lepingupoole suhtes kahe kuu möödudes paranduse ametlikust vastuvõtmisest või kaks kuud pärast kuuekuise perioodi möödumist sellele lepingupoolele parandusest teatamisest. Artikkel 13 Kokkuleppe teksti ja selle lisasid võib parandada järgmiselt: 1. Lepingupool võib teha ühe või mitu ettepanekut käesoleva kokkuleppe ja selle lisade parandamiseks. Kokkuleppe ja selle lisade kohta tehtud parandusettepanekute tekst edastatakse peasekretärile, kes edastab selle kõigile lepingupooltele ja informeerib teisi artikli 6 lõikes 1 nimetatud riike. 2. Vastavalt käesoleva artikli lõikele 1 edastatud parandusettepanek loetakse vastuvõetuks, kui ükski lepingupool ei ole esitanud selle kohta vastuväiteid kuue kuu jooksul pärast kuupäeva, mil peasekretär parandusettepaneku edastatas. 3. Kui parandusettepaneku kohta on esitatud vastuväiteid, teatab peasekretär võimalikult kiiresti kõigile lepingupooltele, et parandust ei ole vastu võetud ja et see ei jõustu. Kui vastuväiteid pole, jõustub parandus kõigi lepingupoolte suhtes käesoleva artikli lõikes 2 nimetatud kuuekuise perioodi lõppemisest kolme kuu möödumisel. Artikkel 14 Lisaks käesoleva kokkuleppe artiklites 1, 12 ja 13 nimetatud teadetele teatab peasekretär lepingupooltele: 1) ühinemistest artikli 6 järgi; 2) käesoleva kokkuleppe jõustumise kuupäevad artikli 7 järgi; 4) teadetest artikli 9 järgi; 3) denonsseerimistest artikli 8 järgi; 5) deklaratsioonidest ja teadetest artikli 11 lõigete 1 ja 2 järgi; 7) paranduste jõustumisest artikli 13 lõike 3 järgi. 6) paranduste jõustumisest artikli 12 lõigete 1 ja 2 järgi; Artikkel 15 1. Kui eelnevate sätete jõustumise kuupäeval menetletakse uut eeskirja parandamata kokkuleppe artikli 1 lõigete 3 ja 4 järgi, siis jõustub uus eeskiri vastavalt nimetatud artikli lõikele 5. 2. Kui eelnevate sätete jõustumise kuupäeval menetletakse mõne eeskirja parandust parandamata kokkuleppe artikli 12 lõike 1 järgi, jõustub see parandus vastavalt nimetatud artiklile. 3. Kui kõik lepingupooled nõustuvad, võib parandamata kokkuleppe järgi vastuvõetud eeskirja kohelda samamoodi nagu eelnevate sätete järgi vastu võetud eeskirja. Lisa 1 Administratiivkomitee koosseis ja protseduurieeskirjad Artikkel 1 Administratiivkomitee liikmed on parandatud kokkuleppe kõik pooled. Artikkel 2 ÜRO Euroopa Majanduskomisjoni tegevsekretär tagab komiteele sekretariaadi teeninduse. Artikkel 3 Komitee valib igal aastal oma esimesel istungil esimehe ja aseesimehe. Artikkel 4 ÜRO peasekretär kutsub komitee kokku Euroopa Majanduskomisjoni egiidi all alati, kui on vaja kehtestada uus eeskiri või eeskirja parandus. Artikkel 5 Uute eeskirjade kohta tehtud ettepanekuid hääletatakse. Igal lepingupooleks oleval riigil on üks hääl. Otsuse vastuvõtmiseks on vajalik kvoorum, milleks on vähemalt pool lepingupooltest. Sealjuures on piirkondlikul majandusintegratsiooni organisatsioonil niipalju hääli, kui palju tal on liikmesriike. Piirkondliku majandusintegratsiooni organisatsiooni esindaja võib anda oma iseseisvate liikmesriikide hääled. Uus eeskirjaprojekt kehtestatakse kahe kolmandiku kohalolijate häälteenamusega. Artikkel 6 Ettepanekuid eeskirjade parandamiseks hääletatakse. Igal lepingupooleks oleval riigil on üks hääl. Otsuste vastuvõtmiseks on vajalik kvoorum, milleks on vähemalt pool lepingupooltest. Sealjuures on piirkondlikul majandusintegratsiooni organisatsioonil niipalju hääli, kui palju tal on liikmesriike. Piirkondliku majandusintegratsiooni organisatsiooni esindaja võib esitada seda eeskirja rakendavate iseseisvate liikmesriikide hääled. Eeskirjade parandused kehtestatakse kahe kolmandiku kohalolijate häälteenamusega. Lisa 2 Tootmisprotsesside vastavus 1. Esialgne hindamine 1.1. Lepingupoole asutus peab enne tüübikinnituse andmist veenduma, et on korraldatud efektiivne kontroll tootmises oleva sõiduki, selle varustuse ja osade kinnitatud tüübile vastavuse üle ja on olemas selleks vajalikud menetlused. 1.2. Punktis 1.1 toodud nõude täitmist kontrollib tüübikinnitust andev asutus, kuid seda võib tüübikinnitust andva asutuse nimel ja nõudel kontrollida ka mõne teise lepingupoole kinnitav asutus. Sel juhul kinnitab viimane nende valdkondade ja tootmisvahendite vastavust, mida ta selle toote tüübikinnituse puhul oluliseks peab. 1.3. Kinnitav asutus peab tunnistama ka tootja registreeringut kasutamaks ühtlustatud ISO 9002 standardit [mis hõlmab kinnitamiseks esitatud toodet (tooteid)] või muud samaväärset üldtunnustatud standardit, mis vastab punktis 1.1 toodud nõuetele. Tootja peab esitama registreeringu üksikasjad ja informeerima kinnitust andvat asutust selle kehtivuse või ulatuse muutmisest. 1.4. Kui kinnitav asutus saab mõne teise lepingupoole asutuselt asjakohase taotluse, saadab ta viivitamatult punkti 1.2 viimases lauses märgitud vastavuse kinnituse või teatab, et tal pole võimalik vastavust kinnitada. 2. Toodangu vastavus 2.1. Sõiduk, selle varustus ja osad, mis kinnitatakse käesolevale kokkuleppele lisatud eeskirja alusel, tuleb toota nii, et see vastaks käesoleva lisa ja nimetatud eeskirja nõuete alusel kinnitatud tüübile. 2.2. Lepingupoole kinnitav asutus, mis annab tüübikinnituse käesolevale kokkuleppele lisatud eeskirja järgi, peab kontrollima, et on korraldatud ja kirja pandud kontrollplaanid, milles lepitakse tootjaga kokku iga tüübikinnituse korral. Kontrollplaanide alusel tehakse kindla ajavahemiku järel kinnitatud tüübiga vastavuse järjepidevuse kontrollimiseks katseid või viiakse läbi katsetega seotud kontrolli. Vajaduse korral peavad kontrollplaanid hõlmama nimetatud eeskirjaga kindlaks määratud katseid. 2.3. Tüübikinnituse omaja peab: 2.3.2. omama juurdepääsu katseseadmetele, mille abil kontrollitakse kinnitatud tüübile vastavust; 2.3.1. tagama toote (sõiduk, selle varustus või osad) tüübikinnitusele vastavuse efektiivseks kontrollimiseks vajaliku menetluse olemasolu; 2.3.3. tagama katsetulemuste andmete registreerimise ja lisatud dokumentide säilitamise aja jooksul, mis määratakse kindlaks koos kinnitava asutusega. See ajavahemik ei või ületada 10 aastat; 2.3.5. tagama, et igat tüüpi tooteid kontrollitaks vähemalt nii, nagu on ette nähtud käesolevas lisas ja tehtaks katseid, mis on ette nähtud rakendatavas eeskirjas; 2.3.4. analüüsima igat tüüpi katsete tulemusi, et kontrollida ja tagada toote omaduste stabiilsust, võimaldades tööstusliku toodangu mitmekesistamist; 2.3.6. tagama, et kui näidiste kogu või katseobjektid annavad tunnistust mittevastavusest, järgneks uute näidiste võtmine ja katsete tegemine. Toodangu vastavuse taastamiseks rakendatakse kõiki vajalikke abinõusid. 2.4. Tüübikinnituse andnud asutus võib alati üle vaadata tootmisettevõtetes kasutatavaid vastavuskontrolli meetodeid. Selliste ülevaatuste tavapärane sagedus peab olema kooskõlas käesoleva lisa punktide 1.2 ja 1.3 alusel vastu võetud korraldustega (kui sellised on olemas) ning tagama, et kontrollimeetodid vaadatakse üle sellise perioodi tagant, mis on kooskõlas kinnitava asutuse usaldusväärsusega. 2.4.1. Inspektsiooni ajal peab inspektorile võimaldama juurdepääsu katseprotokollidele ja tootmisaruannetele. 2.4.2. Kui katse laad seda võimaldab, võib inspektor pisteliselt valida näidised, mida tuleb katsetada tootja laboratooriumis (või tehnoteenistuses, kui seda näeb ette käesolevale kokkuleppele lisatud eeskiri). Näidiste minimaalarvu võib kindlaks määrata tootja enda kontrollitulemuste põhjal. 2.4.3. Kui kontrollitase osutub mitterahuldavaks või kui on vaja kinnitada punkti 2.4.2 alusel tehtud katsete usaldusväärsust, valib inspektor näidised, mis saadetakse tehnoteenistusse, mis viib läbi tüübikinnituse katseid. 2.4.4. Kinnitav asutus võib läbi viia mis tahes kontrolli või katseid, mis on ette nähtud käesolevas lisas või käesolevale kokkuleppele lisatud eeskirjas. 2.4.5. Kui inspektsiooni käigus täheldatakse ebarahuldavaid tulemusi, peab kinnitav asutus tagama, et võimalikult kiiresti rakendatakse kõiki vajalikke abinõusid toodangu vastavuse tagamiseks. Agreement Concerning the Adoption of Uniform Technical Prescriptions for Wheeled Vehicles, Equipment and Parts which can be fitted and/or be used on Wheeled Vehicles and the Conditions for Reciprocal Recognition of Approvals Granted on the basis of these Prescriptions* Revision 2 (Including the amendments entered into force on 16 October 1995) Preamble The Contracting Parties, Having decided to amend the Agreement Concerning the Adoption of Uniform Conditions of Approval and Reciprocal Recognition of Approval for Motor Vehicle Equipment and Parts, done at Geneva on 20 March 1958, and Desiring to define uniform technical prescriptions that it will suffice for certain wheeled vehicles, equipment and parts to fulfil in order to be used in their countries, Desiring to adopt these prescriptions whenever possible in their countries, and, Desiring to facilitate the use in their countries of the vehicles, equipment and parts, where approved according to these prescriptions by the competent authorities of another Contracting Party, Have agreed as follows: Article 1 1. The Contracting Parties shall establish through an Administrative Committee made up of all the Contracting Parties in conformity with the rules of procedure set out in Appendix 1 and on the basis of the following articles and paragraphs, Regulations for wheeled vehicles, equipment and parts which can be fitted and/or be used on wheeled vehicles. Where necessary the technical requirements will include alternatives and when possible they will be performance oriented and include test methods. Conditions for granting type approvals and their reciprocal recognition will be included for use by Contracting Parties who choose to implement Regulations through type approval. For the purposes of this Agreement: The term "wheeled vehicles, equipment and parts" shall include any wheeled vehicles, equipment and parts whose characteristics have a bearing on road safety, protection of the environment and energy saving; The term "type approval pursuant to a Regulation" indicates an administrative procedure by which the competent authorities of one Contracting Party declare, after carrying out the required verifications, that a vehicle, equipment or parts submitted by the manufacturer conform to the requirements of the given Regulation. Afterwards the manufacturer certifies that each vehicle, equipment or parts put on the market were produced to be identical with the approved product. For the application of the Regulations there could be various administrative procedures alternative to type approval. The only alternative procedure generally known and applied in certain Member States of the Economic Commission for Europe is the self-certification by which the manufacturer certifies, without any preliminary administrative control, that each product put on the market conforms to the given Regulation; the competent administrative authorities may verify by random sampling on the market that the self-certified products comply with the requirements of the given Regulation. 2. The Administrative Committee shall be composed of all the Contracting Parties in accordance with the rules of procedure set out in Appendix 1. A Regulation, after having been established in accordance with the procedure indicated in Appendix 1, shall be communicated by the Administrative Committee to the SecretaryGeneral of the United Nations, hereinafter called "Secretary-General". As soon as possible thereafter the Secretary-General shall give notification of this Regulation to the Contracting Parties. The Regulation will be considered as adopted unless, within a period of six months from its notification by the Secretary-General, more than one-third of the Contracting Parties at the time of notification have informed the Secretary-General of their disagreement with the Regulation. The Regulation shall cover the following: (b) Technical requirements, which if necessary may include alternatives; (a) Wheeled vehicles, equipment or parts concerned; (c) Test methods by which any performance requirements are to be demonstrated; (e) The date(s) on which the Regulation enters into force. (d) Conditions for granting type approval and their reciprocal recognition including any approval markings and conditions for ensuring conformity of production. The Regulation may, if needed, include references to the laboratories accredited by the competent authorities where acceptance tests of the types of wheeled vehicles, equipment or parts submitted for approval must be carried out. 3. When a Regulation has been adopted the Secretary-General shall so notify as soon as possible all the Contracting Parties, specifying which Contracting Parties have objected and in respect of which the Regulation shall not enter into force. 4. The adopted Regulation shall enter into force on the date(s) specified therein as a Regulation annexed to this Agreement for all Contracting Parties which did not notify their disagreement. 5. When depositing its instrument of accession, any new Contracting Party may declare that it is not bound by certain Regulations then annexed to this Agreement or that it is not bound by any of them. If, at that time, the procedure laid down in paragraphs 2, 3, and 4 of this Article is in progress for a draft or adopted Regulation, the Secretary-General shall communicate such draft or adopted Regulation to the new Contracting Party and it shall enter into force as a Regulation for the new Contracting Party only under the conditions specified in paragraph 4 of this Article. The Secretary-General shall notify all the Contracting Parties of the date of such entry into force. The Secretary-General shall also communicate to them all declarations concerning the non-application of certain Regulations that any Contracting Party may make in accordance with the terms of this paragraph. 6. Any Contracting Party applying a Regulation may at any time notify the Secretary-General, subject to one year's notice, that its administration intends to cease applying it. Such notification shall be communicated by the Secretary-General to the other Contracting Parties. Approvals granted shall remain valid until their withdrawal; If a Contracting Party ceases to issue approvals to a Regulation it shall: Take the necessary steps set out in Article 4 when advised of non-conformity by a Contracting Party that continues to apply the Regulation; Maintain proper supervision on conformity of production of products for which it previously granted type approval; Continue to notify the competent authorities of other Contracting Parties of withdrawal of approvals as set out in Article 5; Continue to grant extensions to existing approvals. 7. Any Contracting Party not applying a Regulation may at any time notify the Secretary-General that it intends henceforth to apply it, and the Regulation will then enter into force for this Party on the sixtieth day after this notification. The Secretary-General shall notify all the Contracting Parties of every entry into force of a Regulation for a new Contracting Party effected in accordance with the terms of this paragraph. 8. The Contracting Parties for which a Regulation is in force shall hereinafter be referred to as "the Contracting Parties applying a Regulation". Article 2 Each Contracting Party applying Regulations largely through type approval shall grant the type approvals and approval markings described in any Regulation for the types of wheeled vehicles, equipment or parts covered by the Regulation, provided that it has the technical competence and is satisfied with the arrangements for ensuring conformity of the product with the approved type as set out in Appendix 2. Each Contracting Party applying a Regulation through type approval shall refuse the type approvals and approval markings covered by the Regulation if the above-mentioned conditions are not complied with. Article 3 Wheeled vehicles, equipment or parts for which type approvals have been issued by a Contracting Party in accordance with Article 2 of this Agreement and manufactured either in the territory of a Contracting Party applying the Regulation concerned, or in such other country as is designated by the Contracting Party which has duly approved the types of wheeled vehicles, equipment or parts concerned shall be held to be in conformity with the legislation of all the Contracting Parties applying the said Regulation through type approval. Article 4 Should the competent authorities of a Contracting Party applying a Regulation through type approval find that certain wheeled vehicles, equipment or parts bearing approval markings issued under the said Regulation by one of the Contracting Parties, do not conform to the approved types, they shall advise the competent authorities of the Contracting Party which issued the approval. That Contracting Party shall take the necessary steps to bring the products of those manufacturers into conformity with the approved types and shall advise the other Contracting Parties applying the Regulation through type approval of the steps it has taken, which may include, if necessary, the withdrawal of approval. Where there might be a threat to road safety or to the environment, the Contracting Party which issued the approval and after receiving the information about the non-conformity to the approved type(s) shall inform thereof all other Contracting Parties about the situation. Contracting Parties may prohibit the sale and use of such wheeled vehicles, equipment or parts in their territory. Article 5 The competent authorities of each Contracting Party applying Regulations through type approval shall send monthly to the competent authorities of the other Contacting Parties a list of the wheeled vehicle, equipment or parts, approvals of which it has refused to grant or has withdrawn during that month; in addition, on receiving a request from the competent authority of another Contracting Party applying a Regulation through type approval, it shall send forthwith to that competent authority a copy of all relevant information on which it based its decision to grant, refuse to grant, or to withdraw an approval of a wheeled vehicle, equipment or parts to that Regulation. Article 6 1. Countries members of the Economic Commission for Europe, countries admitted to the Commission in a consultative capacity in accordance with paragraph 8 of the Commission's Terms of Reference, and regional economic integration organizations set up by countries members of the Economic Commission for Europe to which their Member States have transferred powers in the fields covered by this Agreement, including the power to make binding decisions on their Member States, may become Contracting Parties to this Agreement. For the determination of the number of votes referred to in Article 1, paragraph 2 and in Article 12, paragraph 2, regional economic integration organizations vote with the number of votes of their Member States being members of the Economic Commission for Europe. 2. Countries Members of the United Nations as may participate in certain activities of the Economic Commission for Europe in accordance with Paragraph 11 of the Commission's Terms of Reference and regional economic integration organizations of such countries to which their Member States have transferred powers in the fields covered by this Agreement including power to make binding decisions on their Member States may become Contracting Parties to this Agreement. For the determination of the number of votes referred to in Article 1, paragraph 2 and in Article 12, paragraph 2, regional economic integration organizations vote with the number of votes of their Member States being Members of the United Nations. 3. Accession to the amended Agreement by new Contracting Parties which are not Parties to the 1958 Agreement shall be effected by the deposit of an instrument with the Secretary-General, after the entry into force of the amended Agreement. Article 7 1. The amended Agreement shall be deemed to enter into force nine months after the date of its transmission by the Secretary-General to all the Contracting Parties to the 1958 Agreement. 2. The amended Agreement shall be deemed not to enter into force if any objection from the Contracting Parties to the 1958 Agreement is expressed within a period of six months following the date of its transmission to them by the Secretary-General. 3. For any new Contracting Party acceding to this amended Agreement, this amended Agreement shall enter into force on the sixtieth day after the deposit of the instrument of accession. Article 8 1. Any Contracting Party may denounce this Agreement by notifying the Secretary-General. 2. Denunciation shall take effect twelve months after the date of receipt by the Secretary-General of such notification. Article 9 1. Any new Contracting Party as defined in Article 6 of this Agreement may, at the time of accession or at any time thereafter, declare by notification addressed to the Secretary-General that this Agreement shall extend to all or any of the territories for whose international relations it is responsible. The Agreement shall extend to the territory or territories named in the notification as from the sixtieth day after its receipt by the Secretary-General. 2. Any new Contracting Party as defined in Article 6 of this Agreement which has made a declaration in accordance with paragraph 1 of this Article extending this Agreement to any territory for whose international relations it is responsible may denounce the Agreement separately in respect of that territory, in accordance with the provisions of Article 8. Article 10 1. Any dispute between two or more Contracting Parties concerning the interpretation or application of this Agreement shall, so far as possible, be settled by negotiation between them. 2. Any dispute which is not settled by negotiation shall be submitted to arbitration if any one of the Contracting Parties in dispute so requests and shall be referred accordingly to one or more arbitrators selected by agreement between the Parties in dispute. If within three months from the date of the request for arbitration the Parties in dispute are unable to agree on the selection of an arbitrator or arbitrators, any of those Parties may request the Secretary-General to nominate a single arbitrator to whom the dispute shall be referred for decision. 3. The decision of the arbitrator or arbitrators appointed in accordance with paragraph 2 of this Article shall be binding on the contracting Parties in dispute. Article 11 1. Each new Contracting Party may, at the time of acceding to this Agreement, declare that it does not consider itself bound by Article 10 of the Agreement. Other Contracting Parties shall not be bound by Article 10 in respect of any new Contracting Party which has entered such a reservation. 2. Any Contracting Party having entered a reservation as provided for in paragraph 1 of this Article may at any time withdraw such reservation by notifying the Secretary-General. 3. No other reservation to this Agreement or to the Regulations annexed thereto shall be permitted; but any Contracting Party may, in accordance with the terms of Article 1, declare that it does not propose to apply certain of the Regulations or that it does not propose to apply any of them. Article 12 The Regulations annexed to this Agreement may be amended in accordance with the following procedure: 1. Amendments to Regulations shall be established by the Administrative Committee as described in Article 1, paragraph 2 and in accordance with the procedure indicated in Appendix 1. Where necessary an amendment may include the existing requirements as an alternative. Contracting Parties shall specify which alternatives within the Regulations they will apply. Contracting Parties applying alternative(s) within a Regulation shall not be obliged to accept approvals to preceding alternative(s) within the same Regulation. Contracting Parties applying only the most recent amendments shall not be obliged to accept approvals to preceding amendments or to unamended Regulations. Contracting Parties applying an earlier series of amendments or the unamended Regulation shall accept approvals granted to a later amendment series. An amendment to the Regulation, after having been established, shall be communicated by the Administrative Committee to the Secretary-General. As soon as possible thereafter the Secretary-General shall give notification of this amendment to the Contracting Parties applying the Regulation. 2. An amendment to a Regulation will be considered to be adopted unless, within a period of six months from its notification by the Secretary-General, more than one-third of the Contracting Parties applying the Regulation at the time of notification have informed the Secretary-General of their disagreement with the amendment. If, after this period, the Secretary-General has not received declarations of disagreement of more than onethird of the Contracting Parties applying the Regulation, the Secretary-General shall as soon as possible declare the amendment as adopted and binding upon those Contracting Parties applying the Regulation who did not declare themselves opposed to it. When a Regulation is amended and at least one-fifth of the Contracting Parties applying the unamended Regulation subsequently declare that they wish to continue to apply the unamended Regulation, the unamended Regulation will be regarded as an alternative to the amended Regulation and will be incorporated formally as such into the Regulation with effect from the date of adoption of the amendment or its entry into force. In this case the obligations of the Contracting Parties applying the Regulation shall be the same as set out in paragraph 1. 3. Should a new Contracting Party accede to this Agreement between the time of the notification of the amendment to a Regulation by the Secretary-General and its entry into force, the Regulation in question shall not enter into force for that Contracting Party until two months after it has formally accepted the amendment or two months after the lapse of a period of six months since the communication to that Party by the SecretaryGeneral of the proposed amendment. Article 13 The text of the Agreement itself and of its Appendices may be amended in accordance with the following procedure: 1. Any Contracting Party may propose one or more amendments to this Agreement and its Appendices. The text of any proposed amendment to the Agreement and its Appendices shall be transmitted to the Secretary-General, who shall transmit it to all Contracting Parties and inform all other countries referred to in paragraph 1 of Article 6 thereof. 2. Any proposed amendment circulated in accordance with paragraph 1 of this Article shall be deemed to be accepted if no Contracting Party expresses an objection within a period of six months following the date of circulation of the proposed amendment by the Secretary-General. 3. The Secretary-General shall, as soon as possible, notify all Contracting Parties whether an objection to the proposed amendment has been expressed. If an objection to the proposed amendment has been expressed, the amendment shall be deemed not to have been accepted, and shall be of no effect whatever. If no such objection has been expressed, the amendment shall enter into force for all Contracting Parties three months after the expiry of the period of six months referred to in paragraph 2 of this Article. Article 14 In addition to the notifications provided for in Articles 1, 12 and 13 of this Agreement, the Secretary-General shall notify the Contracting Parties of: (b) The dates of entry into force of this Agreement in accordance with Article 7; (a) Accession in accordance with Article 6; (c) Denunciations in accordance with Article 8; (e) Declarations and notifications received in accordance with paragraphs 1 and 2 of Article 11; (d) Notifications received in accordance with Article 9; (f) The entry into force of any amendment in accordance with paragraphs 1 and 2 of Article 12; (g) The entry into force of any amendment in accordance with paragraph 3 of Article 13. Article 15 1. If at the date the above provisions come into effect the procedures envisaged in Article 1, paragraphs 3 and 4 of the unamended Agreement are under way for adopting a new Regulation, the said new Regulation shall enter into force under the provisions of paragraph 5 of the said Article. 2. If at the date the above provisions come into effect, the procedures envisaged in Article 12, paragraph 1 of the unamended Agreement are under way for the adoption of an amendment to a Regulation, the said amendment shall enter into force under the provisions of the said Article. 3. If all Contracting Parties to the Agreement agree, any Regulation adopted under the terms of the unamended Agreement may be treated as though it were a Regulation adopted under the terms of the above provisions. Appendix 1 Composition and Rules of Procedure of the Administrative Committee Article 1 The members of the Administrative Committee shall be composed of all the Contracting Parties to the amended Agreement. Article 2 The Executive Secretary of the United Nations Economic Commission for Europe shall provide the Committee with secretariat services. Article 3 The Committee shall, at its first session each year, elect a chairman and vice-chairman. Article 4 The Secretary-General of the United Nations shall convene the Committee under the auspices of the Economic Commission for Europe whenever a new Regulation or an amendment to a Regulation is required to be established. Article 5 Proposed new Regulations shall be put to the vote. Each country, Contracting Party to the Agreement shall have one vote. A quorum consisting of not less than half of the Contracting Parties is required for the purposes of taking decisions. For the determination of the quorum regional economic integration organizations, being Contracting Parties to the Agreement, vote with the number of votes of their Member States. The representative of a regional economic integration organization may deliver the votes of its constituent sovereign countries. New Draft Regulations shall be established by a two-thirds majority of those present and voting. Article 6 Proposed amendments to Regulations shall be put to the vote. Each country, Contracting Party to the Agreement applying the Regulation shall have one vote. A quorum of not less than half of the Contracting Parties applying the Regulation is required for the purposes of taking decisions. For the determination of the quorum, regional economic integration organizations, being Contracting Parties to the Agreement, vote with the number of votes of their Member States. The representative of a regional economic integration organization may deliver the votes of those of its constituent sovereign countries which apply the Regulation. Draft Amendments to Regulations shall be established by a two-thirds majority of those present and voting. Appendix 2 Conformity of Production Procedures 1.Initial Assessment 1.1. The approval authority of a Contracting Party must verify — before granting type approval — the existence of satisfactory arrangements and procedures for ensuring effective control so that vehicles, equipment or parts when in production conform to the approved type. 1.2. The requirement in paragraph 1.1 must be verified to the satisfaction of the authority granting type approval but may also be verified, on behalf and at the request of the authority granting type approval, by the approval authority of another Contracting Party. In that case, the latter approval authority prepares a statement of compliance outlining the areas and production facilities it has covered as relevant to the product(s) to be type approved. 1.3. The approval authority must also accept the manufacturer's registration to harmonized standard ISO 9002 (the scope of which the product(s) to be approved) or an equivalent accreditation standard as satisfying the requirements of paragraph 1.1. The manufacturer must provide details of the registration and undertake to inform the approval authority of any revisions to its validity or scope. 1.4. On receiving an application from the authority of another Contracting Party the approval authority shall send forthwith the statement of compliance mentioned in the last sentence of paragraph 1.2 or advise that it is not in a position to provide such a statement. 2.Conformity of Production 2.1. Every vehicle, equipment or part approved under Regulation annexed to this Agreement must be so manufactured as to conform to the type approved by meeting the requirements of this Appendix and of the said Regulation. 2.2. The approval authority of a Contracting Party granting a type approval pursuant to a Regulation annexed to this Agreement must verify the existence of adequate arrangements and documented control plans, to be agreed with the manufacturer for each approval, to carry out at specified intervals those tests or associated checks necessary to verify continued conformity with the approved type, including, specifically, were applicable, tests specified in the said Regulation. 2.3. The holder of the approval must in particular: 2.3.2. Have access to the testing equipment necessary for checking the conformity to each approved type; 2.3.1. Ensure the existence of procedures for effective control of the conformity of products (vehicles, equipment or parts) to the type approval; 2.3.3. Ensure that test results' data are recorded and that annexed documents remain available for a period to be determined in agreement with the approval authority. This period must not exceed 10 years; 2.3.5. Ensure that for each type of product, at least the checks, prescribed in this Appendix and the tests prescribed in the applicable Regulations are carried out; 2.3.4. Analyze results of each type of test, in order to verify and ensure the stability of the product characteristics, making allowance for variation of an industrial production; 2.3.6. Ensure that any set of samples or test pieces giving evidence of non-conformity in the type of test in question gives rise to a further sampling and test. All the necessary steps must be taken to restore conformity of the corresponding production. 2.4. The authority which has granted type approval may at any time verify the conformity control methods applied in each production facility. The normal frequency of these verifications must be consistent with the arrangements (if any) accepted under paragraph 1.2 or 1.3 of this Appendix and be such as to ensure that the relevant controls are reviewed over a period consistent with the climate of trust established by the approval authority. 2.4.2. Where the nature of the test is appropriate, the inspector may select samples at random to be tested in the manufacturer's laboratory (or by the Technical Service where the Regulation annexed to this Agreement so provides). The minimum number of samples may be determined according to the results of the manufacturer's own verification. 2.4.1. At every inspection, the test records and production records must be available to the visiting inspector. 2.4.3. Where the level of control appears unsatisfactory, or when it seems necessary to verify the validity of the tests carried out in application of paragraph 2.4.2, the inspector must select samples to be sent to the Technical Service which conducts the type approval tests. 2.4.5. In cases where unsatisfactory results are found during an inspection, the approval authority must ensure that all necessary steps are taken to restore conformity of production as rapidly as possible. 2.4.4. The approval authority may carry out any check or test prescribed in this Appendix or in the applicable Regulation annexed to this Agreement. *Former title of the Agreement: Agreement Concerning the Adoption of Uniform Conditions of Approval and Reciprocal Recognition of Approval for Motor Vehicle Equipment and Parts, done at Geneva on 20 March 1958.
Installation Guide and User Manual Model uST12V1100G31-ISA * uSTART ® Medium Duty Vehicles Class 3 – 6 with 12V Operating System Table of Contents Maintenance ............................................................................................................................. 18 Safety uSTART ® is not a battery, so it must be treated differently than a battery. Please review this important safety information to prevent personal injury or equipment damage. Do not connect in reverse polarity. uSTART ® is protected from reverse polarity in Maintenance Mode, but sparks and arcing will occur if a reverse polarity connection is attempted in Run Mode leading to possible injury or equipment damage. Do not connect to an energy source at 36 VDC or above. Do not connect to an energy source capable of constant ≥36 VDC or damage to uSTART ® and equipment can occur. DOC 1-0003 Rev D © 2017 Ioxus, Inc. All rights reserved. Do not operate in environments where temperatures can exceed +149°F (+65°C). Operation above +149°F (+65°C) will accelerate product wear and will void any warranties. DOC 1-0003 Rev D © 2017 Ioxus, Inc. All rights reserved. email@example.com Description uSTART ® is an ultracapacitor based device that enhances vehicle performance. uSTART ® improves battery life by maintaining a vehicle's voltage under a wide range of load conditions. It supplies nearly all of the cranking current during engine starts. uSTART ® stores a relatively small amount of energy compared with a battery, but it can deliver engine cranking current for a few seconds or power auxiliary loads for a few minutes. Feature Identification Unpacking Please inspect the shipping carton for signs of damage prior to unpacking. Report any damage to the carton, or the contents, to the carrier immediately. Retain all shipping materials until uSTART ® is fully inspected and determined to be operational. uSTART ® should be lifted by the module body. The terminals should not be used for hoisting. If any parts are determined to be missing or defective an RMA number must be issued prior to returning the unit for repair or replacement. Please contact your salesperson or distributor to request an RMA number. uSTART ® is designed for years of maintenance free operation if handled, installed, and used properly. These handling precautions should be observed: * The uSTART® should not be stacked * The only tools to be used on uSTART ® should be properly sized wrenches for the terminal and mounting bolts (hammers, chisels, files or power tools in general should not be used) * Do not drop uSTART ® ; internal damage may occur Installation Maintenance Mode WARNING! CONNECTION OF uSTART® TO AN ENERGY SOURCE WHEN LIVE VOLTAGE IS PRESENT ON uSTART® TERMINALS COULD CAUSE PERSONAL INJURY OR EQUIPMENT DAMAGE! uSTART ® will be shipped in Maintenance Mode. To enable Maintenance Mode from Run Mode (solid green LED) press the Start Button for ten (10) seconds. If uSTART ® is left in Run Mode and disconnected from an energy source, it will stay in Run Mode. The solid yellow LED will light while uSTART ® is connected to a battery in Maintenance Mode or go out if no energy is supplied to the terminals. Mounting Location uSTART ® is designed to mount in the same space as a group 31 battery. The typical installation location is in the battery box of a Class 3 – 6 truck. uSTART ® must be installed in parallel with at least one battery in order to function and provide energy. If there are two or more batteries in a battery box, one can be removed to make room for uSTART ® . On some truck models the Diesel Particulate Filter After-Treatment System or other exhaust components may be located near the battery box. These systems can generate very high temperatures during operation which may cause uSTART ® to exceed +149°F (+65°C). If the vehicle battery box is near the Diesel Particulate Filter After-Treatment System or any part of the exhaust, mount uSTART ® in a location far away from it or install heat shielding capable of preventing uSTART ® from experiencing +149°F (+65°C) temperatures under worst case conditions. Pre-Installation Checks 1. Test the vehicle starting and charging system prior to installing uSTART ® to isolate any preexisting problems. Refer to Recommended Practice 129A (RP 129A) of the American Trucking Association (ATA) Technology and Maintenance Council (TMC) for procedures to test cable connections between all starting and charging system components for maximum voltage drop. Repair any issues found before proceeding. 2. Remove the cables from the negative (-) terminal(s) of the vehicle battery(s). 3. Remove the cables from the positive (+) terminal(s) of the vehicle battery(s). 4. All cable terminations and battery terminals should be cleaned thoroughly to remove all oxidation and grease. 5. Test the vehicle battery(s) individually to ensure that they are properly charged. Remove and replace any batteries that are discharged below their specified voltage or failed to meet their CCA rating. 6. If there is no additional space in a vehicle's battery box, remove a battery to make room for uSTART ® . 7. Place uSTART ® in the desired mounting location. 8. Check that uSTART ® positive (+) and negative (-) terminals line up with positive (+) and negative (-) terminals on remaining battery(s) and vehicle positive (+) and negative (-) battery cables. Installation In most instances, it is desirable to use existing vehicle cables to connect uSTART ® to the vehicle starting and charging systems. If new cables need to be made, the insulation should meet the requirements of SAE J1127, SAE J259, and TMC RP 166. Recommended cable insulations are 125°C rated Cross-Linked Polyethylene (SAE J1127 type SGX) and 125°C rated Thermoset Elastomer (SAE J1127 type SGR where flexibility is required). Selection of cable size is based on voltage drop requirements for a vehicle's starting and charging systems. Refer to TMC RP 105C to determine minimum cable size requirements. firstname.lastname@example.org Mechanical It is desirable to install the uSTART ® electrically closest to the starter or in the location where the starter cable is designed to terminate. However, the unit will perform well even installed remotely. Regardless, it must be installed electrically in parallel with at least one 12V battery using appropriately sized cables and hardware. Hold down brackets should impart a minimal and consistent pressure of the contact area with a uSTART ® . The pressure should never exceed 150lbf/in^2, a design pressure of ~50lbf/in^2 is desirable. Starting from a point that all the cables both positive(+) and negative(-) are disconnected and fastened out of the way for installation or not installed in the vehicle yet. Install the battery(ies) and uSTART ® in their appropriate locations. When installing the uSTART ® it is important to consider the battery hold down being used and how the uSTART ® relates to any batteries being mounted with it. When a choice can be made, the widest battery hold down available should be used (up to 8" wide can be used). This minimizes the pressure and distributes the load on the uSTART ® helping prevent any damage the battery hold-down can generate, including but not limited to cracking the housing or damaging the top label which does provide a weathertight seal that must be maintained for the electronics inside the module. When a battery hold-down is smaller than 10 square inches only the minimum torque rating on the table below should be used. Any point loads the battery hold down that could present should be removed or a stiff plate should be used to spread out the load on the battery top. 1. If mounting with a battery under one bracket compare the battery and uSTART ® height and shim whichever one is appropriate to make even in height within ~1mm. Use a continuous non-porous and high-density water resistant material for any shimming required. a. Any shim under a uSTART ® must be flat and support the entire bottom of the uSTART ® 2. Measure the diameter of the battery hold down bolts and look up the installation type and torque specification in the table below. 3. Make sure the hold down brackets used sit flush on the uSTART ® and the battery (if mounted together) 4. Tighten down the bolts until they just touch the bracket and re-test the bracket to be sure its sitting flush on the uSTART (and battery if mounted together) 5. Torque the battery side to the minimum required torque a. If mounting the uSTART ® by itself bring both bolts to the minimum required toque rating 6. Again, retest the bracket to be sure it is sitting flush and torque the hold down fasteners to the recommended value. 7. When complete, check installation to be sure the uSTART ® is not deformed of deflected or bent in any visible or abnormal way. 8. Check the label on the uSTART ® to be sure the top label has not delaminated in any way and provides a secure seal all the way around. Any bubbles or lifting should be noted and the unit should be removed from the vehicle and returned to be tested and relabeled. 9. Please note that the recommended torque values are not the maximum load the uSTART ® can handle, but are what is required to secure the unit. 10. Typical uSTART ® mounting types: email@example.com a. DOC 1-0003 Rev D b. Electrical Refer to the Wiring Diagrams section for typical vehicle wiring before and after uSTART ® installation. 1. Apply a thin coat of No-Al-Ox or similar anti-oxidizing compound for aluminum to the terminal pads of the uSTART ® before installing any cables 2. Connect the vehicle positive (+) battery cable and Starter Solenoid positive (+) cable to the positive (+) terminal of uSTART ® . 3. Connect the vehicle positive (+) battery cable to the positive (+) terminal(s) of the battery(s). 4. Connect the vehicle negative (-) battery cable and Starter Solenoid negative (-) cable to the negative DOC 1-0003 Rev D (-) terminal of uSTART ® . 5. Connect the vehicle negative (-) battery cable to the negative (-) terminal(s) of the battery(s). 6. The solid yellow LED indicates that uSTART® is in Maintenance Mode and connected to a battery. 7. Press and hold the Start Button for ten (10) seconds until the green LED light is solid and the yellow LED light flashes. uSTART® is now in Run Mode. The yellow LED only flashes in Run Mode after a new uSTART® installation while uSTART® ultracapacitors are initially charged. Once the ultracapacitors are charged, Run Mode is denoted by a solid green LED only. Wiring Diagrams DOC 1-0003 Rev D Operation Status The three (3) Status LEDs indicate the uSTART ® 's operation mode. The green and flashing yellow LEDs indicate the mode. The red LED indicates there is an error. Refer to Figure 4 for Status LED states. DOC 1-0003 Rev D © 2017 Ioxus, Inc. All rights reserved. The Start Button performs different functions depending on uSTART ® operation mode. The button may be pressed and held for periods of one (1), three (3), or ten (10) seconds to access different functions. Refer to Flow Charts (Figure 5, Figure 6, and Figure 7) for Start Button actions. Maintenance Mode In Maintenance Mode, uSTART ® has no energy at its terminals. It is safe to handle and work on when it is in this mode. The uSTART ® should always be put into Maintenance Mode prior to any maintenance. If the uSTART ® is connected to a battery, the solid yellow LED indicates that it is in Maintenance Mode. If the uSTART ® is not connected to a battery it will still be in Maintenance Mode, but the LEDs will be off. Run Mode uSTART ® is on and actively maintaining the vehicle's voltage while in Run Mode. It can support engine cranking currents for a few seconds or support vehicle loads for many seconds to several minutes. It is not safe to handle or work on uSTART ® when it is in Run Mode. Run Mode is indicated by a solid green LED. Immediately after installation, Run Mode is indicated by a solid green LED and a flashing yellow LED while uSTART ® charges its ultracapacitors for the first time. Fax: 607-433-9014 DOC 1-0003 Rev D © 2017 Ioxus, Inc. All rights reserved. Jump Start Mode Jump Start Mode allows uSTART ® to charge up its ultracapacitors from a weak vehicle battery and jump start the vehicle. Jump Start Mode is entered by pressing and holding the Start Button for three (3) seconds while uSTART ® is in Run Mode. The green LED will flash and the yellow LED will flash as uSTART ® charges its ultracapacitors. After the charging period the green LED will flash and the yellow LED will light solid indicating that the vehicle is ready to be turned on. Start the vehicle immediately. Jump Start Mode can be canceled by pressing the Start Button for three (3) seconds during the charging period. Fault Mode uSTART® has experienced a fault, indicated by a solid red LED. See Troubleshooting section for more information. Please contact your salesperson or distributor to request an RMA number. Flow Charts The below flow charts can be utilized to move through the different modes of uSTART ® The flow charts are separated by mode and navigate through each mode separately. For example, if Run Mode is desired, use the Run Mode flow chart. Fax: 607-433-9014 http://www.ioxus.com DOC 1-0003 Rev D © 2017 Ioxus, Inc. All rights reserved. firstname.lastname@example.org Run Mode Maintenance Mode Jump Start Mode Maintenance Terminals should be periodically checked for oxidation or loose connections and cleaned or tightened as necessary. No other maintenance is required. Poor electrical connections can cause performance problems with uSTART ® . Prior to removal or system maintenance, ensure that uSTART ® is in Maintenance Mode. uSTART ® can be cleaned while in Maintenance Mode by use of a cloth and simple soap and water solution. Avoid the use of hoses or pressurized sprays. Troubleshooting 1. If uSTART ® does not enter Run Mode or is not switching between modes correctly, perform a Start Button check: a. Hold the Start Button down for 30 seconds. b. If the solid red LED does not light after 30 seconds, the Start Button is not functioning properly. please contact your salesperson or distributor to request an RMA number if the issue persists after this check. 2. If the solid red LED is lit perform the following checks a. Check that the Start Button is not being depressed by an object. b. Check that the temperature of the uSTART ® is below +149°F (65°C) by measuring the temperature of the negative terminal, if the temperature is above +149°F (65°C) then allow the module to cool off and reevaluate. i. Please ensure the uSTART ® is not located in an environment that exceeds +149°F (65°C), add insulators, reflectors or ventilation as needed. 3. Check that uSTART ® terminal connections are tight and free of corrosion. 4. Allow 1 hour for the solid red LED to clear (turn off) following vehicle engine off. 5. Please contact your salesperson or distributor to request an RMA number if the issue persists after these checks. Storage uSTART ® can be stored in its original packaging, in a dry place for up to four (4) years. Observe the maximum storage temperature as stated in the product specifications. Disposal Do not incinerate, crush, or dispose of in trash. Do not recycle with lead-acid batteries. Please recycle according to local codes and regulations for electronic waste. Specifications Please see data sheet for specifications.
are Work begins on Illusuak Cultural Centre In an effort to highlight the importance of promoting and preserving Labrador Inuit culture, and to raise awareness of the need for a cultural centre, the Nunatsiavut Government held a ground-breaking ceremony and unveiled the new brand for Illusuak in Nain on September 3. As a followup, a reception was held in St. John's on October 16 at the Johnson GEO Centre. Their Honours, Lt. Gov. Frank Fagan, and Patricia Fagan, were among the more than 150 invited guests, which included various dignitaries, federal and provincial officials, members of the arts and culture community, business and corporate leaders and Beneficiaries living in the St. John's area. Groundbreaking ceremony in Nain. All members of the Nunatsiavut Executive Council were also in attendance. The well-received event featured a number of presentations, as well as drum dancing and throat-singing performances from Kilautiup Songuninga (Strength of the Drum). Illusuak will become a hub of cultural activity that will generate exhibits and programs that will travel to other communities to strengthen cultural connections and shar- ing of traditions, stories and experiences throughout Nunatsiavut. The Nunatsiavut Government has worked with all levels of government to The Nunatsiavut Government has worked diligently since 2005 to see the construction of a cultural centre. Since then, world-renowned architect Todd Saunders, who you may know from his work on Fogo Island, has worked with the Nunatsiavut Government to prepare an initial concept of the proposed facility, to be built in Nain. A comprehensive business plan has been prepared, an exhibit and programming plan process is under way, and consultation has been held with Beneficiaries of the Labrador Inuit Land Claims Agreement at the community level. continued on page 2... INSIDE THIS ISSUE Labrador Inuit need and deserve a place where our culture, language, traditions, stories and experiences will be shared and celebrated, revitalized and enhanced, preserved and protected; a place for generations of Labrador Inuit to come together; a place that will encourage increased tourism to the region; and a place that will offer multiple opportunities for employment and support economic growth in our region. Phase one of construction includes a breakwater, building area site work, and drilling and installation of piles. secure the necessary funding to establish the centre. In fact, about two-thirds of the estimated $15 million needed to complete the project has been secured. their culture. The name, which resulted after consultations with elders, is appropriate because the facility is to be a gathering place. While the project is yet to be fully funded, a decision has been made to move ahead with construction. ling exhibits will be developed to share more detailed and regionally-specific stories. Both types of exhibits will include images, artifacts and objects, and will be produced in both Inuktitut and English. Nillik Construction, a subsidiary of the Nunatsiavut Group of Companies, has been contracted to being construction of the facility in a phased approach. Construction will only proceed on each phase on direction and approval of the Nunatsiavut Government and is subject to obtaining sufficient financing for each phase. Illusuak, which in English means sod house, will be a centerpiece for the community, meant to be used as a "living room" that will give Inuit of all generations a place to gather and strengthen their connections to each other and to Illusuak will house a theatre that will support audio-visual presentations, film screenings, lectures and live musical and dance performances, and will become a touchstone of cultural expression in the community. It will also house a gift shop to be operated by a local craft association. The shop will be a showcase for regional artists and craftspeople to display and sell their work. Books and other materials published about the region will also be available. As well, there will be an opportunity to connect programming and workshops held at the centre with products sold at the craft shop – partnership opportunities with other craft shops on the Labrador coast. There will also be a café that will give people a place to gather to share stories. Traditional and wild foods will be available with recipes gathered from all over Nunatsiavut. Phase one, which is currently under way, involves the construction of breakwater, building area site work, and drilling and installation of piles. Phase two will include concrete building foundations and building enclosure weather tight, and the third phase includes interior work and project completion. The permanent exhibits to be housed in Illusuak will present broader stories of Labrador Inuit history, culture, traditions and shared experiences. Travel- Page 2 Tugâpvik Nunatsiavut, Vol. 5, No. 2 These workshops and consultations have deeply informed the development of the design and structure of the exhibit and the stories that will be told therein. Over the past three years, the Nunatsiavut Government has held a series of exhibit storyline workshops and public engagement sessions with Labrador Inuit in communities within Nunatsiavut, as well as other parts of the province, to identify the important stories of our people and our land. Scholars, academics and regional experts have also been involved in developing the preliminary themes and storylines for the exhibits. When complete, Illusuak will be a testament to decades of hope, aspiration, hard work and dedication to the belief that Labrador Inuit need a place to celebrate and grow our rich cultural lives, and that we need a place to tell our stories and share our stories – with each other, and with the world. Inuit remain concerned about sustainability, health of caribou Following community consultations, members of the Nunatsiavut Assembly met in Hopedale on November 19 to discuss the sustainability and health of the George River and Torngat Mountains caribou herds. the ban for an aboriginal harvest is not lifted, the Province must enforce it fairly and equally across the board; "The priority for Labrador Inuit is to do everything we can to ensure these two caribou herds are able to sustain us for generations to come," says Nunatsiavut President Sarah Leo. President Leo indicated that the Nunatsiavut Government will pursue the following measures for George River caribou: The elected officials discussed the continued decline of the George River and the low numbers of the Torngat Mountains caribou. They unanimously agreed to support several measures that can assist in the recovery of this important food source for Labrador Inuit. * Continue to support the recommendation of no harvesting; * Work with all stakeholders to continue and increase research; and "The priority for Labrador Inuit is to do everything we can to ensure these two caribou herds are able to sustain us for generations to come," says Nunatsiavut President Sarah Leo. * Support the Ungava Peninsula Aboriginal Round Table (UPCART) to complete a management plan in a firm timeline; * Continue to lobby the Government of Newfoundland and Labrador, as per previous recommendations, to lift the current five-year ban to allow an aboriginal harvest. If * Continue to pursue alternate country food sources. With respect to the Torngat Mountains herd, the Nunatsiavut Government will meet with Makivik Corporation to discuss appropriate management measures, and to look at a possible freeze on harvesting until more data is gathered to understand the population trend for this herd. The governments of Newfoundland and Labrador and Quebec have failed in the management of caribou," says President Leo. "The Nunatsiavut Government on its own, in consultation with the Torngat Wildlife and Plants Co-management Board, Makivik Corporation, and through participation in the UPCART, will do all we can to ensure caribou will sustain Labrador Inuit and the other aboriginal groups on the Ungava Peninsula for generations to come." Members of the Nunatsiavut Assembly gather for a group photo following the election of AngajukKât in September. Tugâpvik Nunatsiavut, Vol. 5, No. 2 Page 3 Busy times for Archaeology Office The Nunatsiavut Archaeology Office has had the busiest field season by far this year. It began with a trip to the Torngat Mountains National Park where staff was invited to assist in student programming for Students on Ice, and in an archaeological survey in Saglek Fiord to determine a suitable satellite camp that would not disturb any archaeological sites in the area. Although the Students on Ice were iced out of the bay, staff were able to conduct an historic mapping survey of Hebron, in order to support a sustainable tourism plan for the area, and to protect archaeological and historical features. split as winter set in. The snowmobile is currently on its way to Port au Choix, Newfoundland, where a machinist will work on the engine, transmission, driveshaft and differential. It is hoped the machine back with the engine running next shipping season. Following the visit north, staff met with Bill Fitzhugh of the Smithsonian Institution aboard the Pitsiulak, a 49foot research vessel, in order to conduct an archaeological assessment of Double Mer near Rigolet, most of which had never before been systematically surveyed. With the assistance of two Smithsonian students and the guidance and advice of local residents from Rigolet, including Victoria Allen, Melva Williams, Jim Allen, Kristy Sheppard, Eldred Allen, Linda Palliser and Harvey Palliser, we recorded 30 sites in the Double Mer, Backway, the Narrows and Groswater Bay. While most were of Inuit origin, a recent First Nations and some Maritime Archaic sites were also recorded. Staff also tested a newly built drone at Eskimo Island, which provided aerial photographs of this significant site. Staff also re-visited the site of the 1927-28 RawsonMacMillan Subarctic Expedition station in Anaktalak Bay, where the remains of a Model-T snowmobile had been recovered earlier this year. This visit was primarily to recover any missing pieces of the machine, to conduct a metal-detecting survey to determine if more were buried beneath the ground, and to take up the grid that had been established in 2013. Once again, the drone flew just above the site to capture a complete aerial image before removing the grid. Staff also ventured to the other side of the river, where a few twisted pipes were observed scattered up towards a waterfall. These were the remains of an attempt to supply running water to the station, which had twisted and In September, the office was very fortunate to be able to visit dozens of new sites in the Nain area. The sites had been previously noted, but not precisely located in order to monitor and protect them. A survey was conducted of the south side of Satosoak Island, in search of an unrecorded 18th Century sod house whose occupants, the shared families of Sikkuliak and Kigluana, were listed in a Moravian census records in 1774 and 1777 (Taylor 1974:75). While the sod house was not located, a total of 14 new sites were recored, the majority of which were Inuit tent rings and caches, as well as a small scatter of chert flakes representing a palaeo-eskimo site. As well, seven Inuit tent rings were recorded on Kikkertavak Island. Page 4 Tugâpvik Nunatsiavut, Vol. 5, No. 2 Aerial view of part of Rawson MacMillan Subarctic Expedition Station. Staff also visited an intermediate Indian site on Hillsbury Island, which consists of several stone hearths and scattered flakes and tools of various kinds of colourful chert. The site is in danger of erosion by modern snowmobile trails, which needed to be observed for future protection plans. On the way to the site, several Dorset tent rings were recorded at an unusually low elevation. By all accounts, at the time the Dorset are said to have occupied the coast, this site would have been submerged in much higher sea levels. Whether the Dorset were still in Labrador when the Inuit arrived is an interesting question that researchers have not yet resolved and this new site on Hillsbury Island likely contains important new information on this subject. In Nain, the Moravian church stabilization project has been underway since September, and staff sought to understand the complex archaeological record of the mission complex in anticipation of some ground disturbance taking place during construction. Fortunately, no archaeological features were disturbed during the project, and staff managed to dig three test pits that revealed the depth and location of a church that had burned in 1921, retrieving hundreds of artifacts that will help interpret the long history of the area. Along the way, we spoke often to community members that stopped by about the history of the mission complex and the purpose of the excavation. A Career Day was also held with students from Jens Haven Memorial School who participated in the excavation and recording of archaeological features. continued on page 5... ...continued from page 4 Finally, staff endeavored to visit Skull Island before the end of the boating season, and carefully picked a clear, still On a clear day in October, staff stopped in at Kauk to retrieve the radiator of the Model-T snowmobile, which was being kept in a nearby cabin belonging to Richard White. The building was originally constructed as Trading Post by Richard's grandfather and namesake in the early 20th century. It is now a recognized heritage structure and archaeological site. Staff was able to secure permission from Richard to retrieve this key piece of the Model-T in time to ship all the parts south for restoration. Along the way, another possible Dorset tent ring lying was found at an unusually low in elevation, as well as several nearby Inuit tent rings. day to travel towards this outer island with Nain's Conservation Officer, Simon Kohlmeister. There, camouflaged on a boulder beach, were the remains of a dozen early Inuit boulder dwellings once visited by Susan Kaplan in 1987, of diverse shapes and sizes, many of which contained inner chambers, nooks and caches. A large circular feature, 7.5 meters wide, stood out starkly amongst the other dwellings, and by the inner circle of seats that ringed the interior, gave the distinct impression of a more communal purpose. Kaplan suggested that it may have served a judicial purpose, or been a place to decide important matters to Inuit at the time. While the exact purpose of the site remains to be seen, it is a unique feature to the Nunatsiavut coast that has now been thoroughly documented, and may be protected and understood in the years to come. Students from Jens Haven Memorial School during Career Day at Nain Church. Simon Kohlmeister sitting in the remains of a large, multi-tiered boulder structure at Skull Island. Women's History Month contest winners announced Beneficiaries were open to submit essays, short stories, and poems in the writing category. Photo entries centered around family, traditional and community. Ethel Hunter of Hopedale was the winner of the writing contest, with her short story submission My Grandmother, My Midwife. The winner of the photo contest was Kimberly Voisey of Nain for a photo of herself cleaning a seal skin. Each received an Ipad Mini for their winning submissions. In recognition of Women's History Month, held in Canada every October, the Nunatsiavut Government, through its Status of Women's office, provided Beneficiaries of the Labrador Inuit Land Claims Agreement the opportunity to participate in photo and writing contests. The Status of Women's office would like to thank everyone who submitted entries to the contest. Tugâpvik Nunatsiavut, Vol. 5, No. 2 Page 5 Ottawa urged to settle class-action lawsuits The Nunatsiavut Government is once again appealing to the Government of Canada to settle class-action lawsuits filed by survivors of residential schools in Newfoundland and Labrador. "We are disappointed in the postponement, but more disappointed in the Government of Canada for allowing this matter to drag on," says President Leo. "It's disheartening to know that many former residents have passed on without an apology and without being compensated for the pain and suffering they endured." The 1,000 survivors, many of whom are Labrador Inuit, have filed five separate class-action suits. The trial was expected to go ahead in mid-November, but lawyers representing the parties that operated the schools (the Government of Newfoundland and Labrador, the Moravian Mission and the International Grenfell Association) were not ready to proceed. The trial has been postponed, and is not scheduled to get under way until next September. "The prospect of a resolution fair to all parties is greatly enhanced if the parties would talk," President Leo wrote. "Otherwise, wounds which separate Inuit in Newfoundland and Labrador from reconciliation with Canada will remain unhealed." "Many of the survivors are Beneficiaries of the Labrador Inuit Land Claims Agreement who never received an apology and were excluded from Ottawa's 2008 Indian Residential Schools Settlement Agreement," notes Nunatsiavut President Sarah Leo. "The Government of Canada's assertion that residential schools in this province fail to meet the criteria set out in the Settlement Agreement is unjust." In a letter dated March 10, 2014, President Leo called on Prime Minister Stephen Harper to appeal for justice in this matter, and asked that the Government of Canada agree to attend mediation with other parties to the class-action in an attempt to find an out-of-court settlement. The Prime Minister's office acknowledged receipt of the letter, but no response has been received to the request for mediation. Banners unveiled To honour and give recognition to the Labrador Inuit residential school survivors, the Department of Health and Social Development commissioned Sanaguativut Nunatsiavut Visual Design, Nunatsiavut Government's graphic design department, to produce a series of pop up banners. The banners tell the stories of former residential school survivors. The series was unveiled during the September sitting of the Nunatsiavut Assembly in Hopedale. \| 3RD ASSEMBLY SITTING \| SPRING SESSION \| \|---\|---\| \| 3RD ASSEMBLY SITTING \| SPRING SESSION \| \| 3RD ASSEMBLY SITTING \| SPRING SESSION \| \| 3RD ASSEMBLY SITTING \| FALL SESSION \| \| 3RD ASSEMBLY SITTING \| FALL SESSION \| \| 3RD ASSEMBLY SITTING \| SPRING SESSION \| Page 6 Tugâpvik Nunatsiavut, Vol. 5, No. 2 Inuit Health Study Exploring connections between diet and mercury in Lake Melville Over 1,300 Inuit in Rigolet, North West River, Happy Valley-Goose Bay and Mud Lake took part in the Lake Melville Inuit Health Study, which concluded its field research in October. This study, which is led by the Nunatsiavut Government and the Harvard School of Public Health, is part of Lake Melville: Avativut, Kanuittailinnivut, a broad research and monitoring program jointly developed by the Nunatsiavut Government and Memorial University to better understand the potential downstream effects of the Lower Churchill project on Inuit community health and The study began in March 2014 with a country food survey to find out what types of food were being eaten during the winter season. Another survey was conducted in June for the spring hunting and fishing season, and in September for the summer fishing season. Hair samples were also collected in June and September, and over 500 of these are now being analyzed for mercury levels at a Harvard lab. Twenty-six Inuit research assistants were hired the Lake Melville environment and vital sources of Inuit country food are protected well into the future. well-being. It will help Labrador Inuit to better understand the sources of methylmercury (MeHg) in Lake Melville, and the current situation with regards to MeHg exposure and concentrations in their food items from Lake Melville, such as fish and seal. and trained to carry out the surveys and hair sampling. This research was initiated because many Inuit living on Lake Melville are concerned about changes that have taken place from past flooding of the Churchill River, and future changes that may occur when more flooding takes place. It is hoped that this information will be used to make sure that Results of the study will be known by spring 2015. Individual hair sample containing mercury levels will be mailed out to each person who provided a sample by March, and a summary of study results by community made available to each community by May. Project scientists will visit each community to present and discuss the study results. Thanks to everyone who participated in this study. Your interest and willingness to give your time to this study is so appreciated and will help generate strong results. Inuit Bachelor of Education Program Are you interested in becoming a teacher in Nunatsiavut? Would you like to be a teacher who speaks Inuttitut? If so, there is an opportunity for you to join the IBED program currently in the pre-education year of the program. Openings available for entrance July 2015 To qualify for entrance into the IBED program to be offered in Happy Valley-Goose Bay, commencing July 2015, you must have the following courses completed with an overall average of at least 65 per cent by June 2015: * 6 credit hours from Anthropology, Archaeology, Economics, Folk lore, Geography, History, Linguistics, Political Science, Religious Studies or Sociology. If you have had previous university studies and have met the requirements, or can meet these requirements by June 2015, then we would like to hear from you! If you are interested and want more information please contact: * 6 credit hours in English; * 6 credit hours in Math or 3 credit hours in Calculus; * 6 credit hours in Psychology; * Science 1150 and 1151; or 9 credit hours from 3 separate Science areas; and Lucy Brennan Program Director-PSSSP Phone: (877) 777-2589 Fax: (709) 754-2587 E-mail: firstname.lastname@example.org Jodie Lane Education Manager Phone: (866) 923-2361 Fax: (709) 923-2360 E-mail: email@example.com Tugâpvik Nunatsiavut, Vol. 5, No. 2 Page 7 Another successful moose harvest in Gros Morne National Park Nunatsiavut Government staff travelled to Rocky Harbour on October 27, and partnered with four local hunters to take part in the harvest. For the second year in a row the Nunatsiavut Government has been successful in obtaining a special allocation of moose in Gros Morne National Park. A total of 47 animals were harvested this fall, and the meat will be distributed through the community freezer programs. The antlers will be utilized by the Department of Health and Social Development for craft programs. The severe decline in the George River caribou herd has caused a shortage in traditional country food relied upon by Labrador Inuit. While moose is no substitute for caribou, the meat will be a welcome addition on the tables of many Labrador Inuit this winter, particularly elders. Following the approval, Parks Canada staff in Rocky Harbour began to arrange the details of how the moose would be harvested. The intent was to utilize a helicopter to access the remote areas of the park, to avoid harvesting animals that would be available to the local residents. Four Nunatsiavut Government staff travelled to Rocky Harbour on October 27, and partnered with four local hunters to take part in the harvest. Parks Canada staff provided logistical support throughout the project, and Universal Helicopters provided air support. The 47 moose were harvested by November 1. by a refrigerated reefer to a butcher in Hawkes Bay, where they were skinned and processed. On all, about 19,500 pounds of meat was packed and transported by truck to Happy Valley-Goose Bay for distribution to all Nunatsiavut communities, as well as to the Inuit Community Corporations in Happy Valley-Goose Bay/Mud Lake and North West River. In an effort to bring the hyper-abundant moose population in Gros Morne National Park down to a more sustainable level, Parks Canada issues 1000 licences annually, with 50 licences being made available to non-profit groups. The Nunatsiavut Government applied for 24 licences in 2013 as a pilot project. Based on the success of the 2013 project, application was made for 40 moose in 2014. Parks Canada approved the request in September, and offered to provide an additional 10 licences if the allocation was reached in a timely manner. The animals were transported daily from Rocky Harbour Page 8 Tugâpvik Nunatsiavut, Vol. 5, No. 2 A big thank you to Parks Canada staff for the logistical support and to the Ulapitsaiijet (people helping people) committee for their roles in the project. Without their assistance, this initiative would not have been possible.
3e. SHARED ENERGY This Chapter provides an initial scan and analysis of the Shared Energy sector of the Sharing Economy. This is a lighter and lessindepth exploration and application of the sustainability filter than previous Chapters. CHAPTER AUTHORS: Cora Hallsworth (lead) with Dwayne Appleby There is no agreed upon definition of Shared Energy; however, Jeremiah Owyang, founder of Crowd Companies characterizes Shared Energy initiatives as: "bottom-up, democratized startups enabling people to collaborate among themselves for energy creation, storage, and sharing". 1 Owyang also suggests that the Sharing Economy is "an economic model where technologies enable people to get what they need from each other - rather than from centralized institutions". 2 Currently, Shared Energy projects primarily involve solar and wind, but they have also expanded to include energy efficiency. Decentralized energy systems such as District Energy and micro-grids also represent a shift to a more shared approach to energy. Renewable Energy Cooperatives are a form of Shared Energy initiatives that pre-date web-enabled platforms, and have played a large role in the deployment of renewable energy. Sharing Economy models are scaling up their potential. For example, Germany, which has been a leader in the deployment of renewable energy, now has about 900 registered renewable energy cooperatives with 90% of members being individual citizens. 3 Shared Energy Approaches and Examples Shared Energy initiatives are being launched by municipallyowned utilities, businesses and non-profit ventures through a range of approaches and arrangements. In most cases a web platform connects renewable energy producers to customers and investors. In some models an investment pool is created to finance up-front costs of renewable energy projects; in others customers participate through an ongoing payment agreement. A growing number of start-ups are using a Peer-to-Peer (P2P) approach where individuals pay for the installation of solar panels on another person's rooftop, with both parties receiving a bill credit using "virtual net metering". 4 EXAMPLES OF PEER-TO-PEER PLATFORMS IN NORTH AMERICA: US: * Clean Energy Collective: 5 www.easycleanenergy.com * Solar Mosaic: 6 https://joinmosaic.com/ * SolarShare: 7 https://www.smud.org/en/residential/ environment/solar-for-your-home/solarshares/ * Sunshare: 8 http://mysunshare.com * Tangerine Power: 9 http://www.tangerinepower.com/edmonds * Yeloha: 10 http://www.yeloha.com Canada * Solshare Energy: 11 http://www.solshare.ca/ * Solar Share: 12 http://www.solarbonds.ca/ In France, the Peer-to-Peer model expanded to other forms of renewable energy with the launch of Lumo, which offers solar, wind, hydroelectric and biomass projects. 13 Another French organization, Energie Partagée, raises funds from individuals to finance renewable energy and energy efficiency projects. 14 In the US, the privately owned Enlighted uses a unique financing model that connects investors with energy efficiency projects such as lighting retrofits and smart energy systems. 15 Germany's Vandebron connects customers with independent renewable electricity producers. In their model, energy producers set the rates for the electricity they produce and Vandebron receives a flat monthly subscription fee. 16 This approach ensure that the company is not incented to increase individual customers' consumption levels. How Can Shared Energy Advance Urban Sustainability? We are at the cusp of a massive transformation in our global energy supply and distribution system, driven by the need to mitigate climate change, and increase local resilience and energy security. This transformation requires a shift from fossil fuels to a low-carbon economy. The Sharing Economy, largely through the proliferation of web-enabled tools, is accelerating the deployment of renewable technologies and in some cases energy efficiency initiatives. 17 These tools are being used to access new markets and connect the financial capital of individuals to Shared Energy projects. The shift to a low carbon economy is likely to be characterized by a transition from large centralized energy plants and distribution systems to a decentralized approach featuring 'smart' micro-grids, Distributed Energy Resources (which are often wind and solar power), and District Energy systems. 18 Collectively this transformation represents a movement towards a model that facilitates a more shared approach to energy supply and can help foster the creation of compact, complete communities. There are a range of sustainability co-benefits associated with a transition to renewable energy including green economy jobs and reduced vulnerability to energy shortages and price fluctuations in globally sourced energy. 19 The Sharing Economy adds an equity benefit to the renewable energy transition by enabling participation by lower-income persons who would otherwise be blocked by cost and related structural barriers. For example, in 2008 the US National Renewable Energy Laboratory found that only 22 to 27% of residential rooftop area in the US is suitable for hosting on-site PV systems (due to structural, shading or ownership issues). 20 Therefore Shared Solar P2P platforms are opening up this opportunity to the often excluded segments of the population. RECOMMENDATIONS: How Can Local Governments Advance Shared Energy Initiatives There are numerous examples of municipalities engaging in Shared Energy initiatives. Some have created municipally owned renewable or district energy projects, while others have partnered with a local business or non-profit to create or enable P2P marketplaces. Local governments can also help stimulate the renewable energy market through their own purchasing power or by taking shares in local cooperatives. Many of the pioneering community Shared Energy projects were developed in partnership with local government operated utilities. In Canada, TREC Renewable Energy Cooperative partnered with Toronto Hydro (the municipal utility) to develop North America's first urban-based commercial scale wind turbine on the Toronto waterfront in 2002. TREC then launched SolarShare, which built and operates about 25 solar projects using a web-enabled platform to attract investors. 21 One of the first community owned solar energy projects in the US was initiated in Ellensburg, Washington in 2003. In this project, the municipal utility used grant money to build a solar array which it then leased to existing utility customers. 22 Another early community solar array, and the largest of its kind for an extended period, was installed in 2007 by the Sacramento Municipal Utilities District (SMUD). In this project subscribers enter into a power purchase agreement with the utility and the solar power is credited to their electricity bill. 23 Private and arms-length utilities may have a vested interest in selling higher quantities of energy to increase profits because they have "legacy investments" in fossil fuel infrastructure which they still need to recover. 24 The shift to Shared Energy models that are either delivered, or supported, by local governments can prevent this situation since local governments have broader sustainability objectives to achieve, such as climate change mitigation. Resources Websites: * Community Solar Hub: http://communitysolarhub.com/ * Shared Renewables HQ: http://www.sharedrenewables.org/ * Solar Gardens Institute http://www.solargardens.org/ Reports: * A Guide to Community Solar. US Department of Energy, 2011. See: http://www.nrel.gov/docs/fy11osti/49930.pdf * New urban economies: How can cities foster economic development and develop 'new urban economies'. European Union URBACT Programme, 2015. See: http://www.urbact.eu/sites/default/files/01_ newurb-web.pdf * Shared Solar: Current Landscape, Market Potential, and the Impact of Federal Securities Regulation. US National Renewable Energy Laboratory, 2015. See: http://www.irecusa.org/2015/05/shared-solar- sunnyside-up-avoiding-the-pitfalls-of-securities-regulation/ * Rifkin, Jeremy. The German Energy Transition: The Internet of Things, Zero Marginal Cost Renewable Energy, and the Third Industrial Revolution. 2015. See: http://tinyurl.com/oodpqug 1 Jeremiah Owyang, How the Sharing and Collaborative Economy is impacting the Energy Sector, Huffington Post Business: The Blog, April 24, 2015. http://www.huffingtonpost.com/ jeremiah-owyang/how-the-sharing-and-colla_b_7128908.html. 2 Ibid. 3 Jenny Koutsomarkou, Emmanuel Moulin, Peter Ramsden, and Maria Scantamburlo, eds., New urban economies: How can cities foster economic development and develop 'new urban economies', Saint Denis, France: URBACT, April 2015. urbact.eu/sites/default/files/01_newurb-web.pdf. 4 This latter model is often referred to as a solar garden. See for example: http://www.solargardens.org/ 5 Clean Energy Collective. www.easycleanenergy.com. 6 Home Solar Panel Loans. https://joinmosaic.com/. 7 SolarShares. https://www.smud.org/en/residential/environment/solar-for-your-home/solarshares.htm. 8 Community Solar Gardens. http://mysunshare.com. 9 Edmonds Community Solar Cooperative: Clean Power, Grown Locally. http://www.tangerinepower.com/edmonds. 10 Yeloha – The Solar Sharing Network. http://www.yeloha.com. 11 Solshare Energy – Community Owned Energy for BC. http://www.solshare.ca. 12 SolarShare – Invest in a brighter future. http://www.solarbonds.ca/. 13 See: https://www.lumo-france.com/. 14 Energie Partagée – Accueil. http://energie-partagee.org/. 15 Enlighted: Sensors designed to change everything. http://www.enlightedinc.com/. 16 Ben Schiller, The Sharing Economy Takes On Electricity, So You Can Buy Your Power From Neighbors, Fast Coexist, September 30, 2014. http://www.fastcoexist.com/3036271/thesharing-economy-takes-on-electricity-so-you-can-buy-your-power-from-neighbors. 17 Martin Rosenberg, Solar Meets the Sharing Economy, The Energy Times, April 21, 2015. http://tdworld.com/energy-times/solar-meets-sharing-economy. and, Jeremy Rifkin, The German Energy Transition: the Internet of Things, Zero Marginal Cost Renewalbe Energy, and the third Industrial Revolution, 2015. http://www.bee-ev.de/ fileadmin/Publikationen/Sonstiges/3_19_2015_Digital_Germany_For_March_26th_German_Energy_Transition_Dialogue_Event.pdf. 18 Saya Kitasei, Powering the Low-Carbon Economy: The Once and Future Roles of Renewable Energy and Natural Gas – Worldwatch Report 184, Worldwatch Institute, 2010. http://www. worldwatch.org/system/files/184_natural_gas_FINAL.pdf. and Arnaud Bouillé, Doing Business in a Low-Carbon World, Ernst & Young, 2013. http://www.ey.com/Publication/vwLUAssets/Doing_business_in_a_low-carbon_world/$File/Plug_in_ May_Doing_business_in_a_low_carbon_world_DX0175.pdf. 19 Union of Concerned Scientists, Benefits of Renewable Energy, UCSUSA.org. http://www.ucsusa.org/clean_energy/our-energy-choices/renewable-energy/public-benefits-of-renewable. html#.VdL8LflVhBc. 20 Jason Coughlin et al., A Guide to Community Solar: Utility, Private, and Non-profit Project Development, U.S. Department of Energy, Energy Efficiency & Renewable Energy, November 2010. http://www.nrel.gov/docs/fy11osti/49930.pdf. 21 TREC Renewable Energy Co-operative. www.trec.on.ca. And "SolarShare – Invest in a brighter future." www.solarbonds.ca. 22 Ellensburg, Washington's Community Solar Project. http://nwcommunityenergy.org/solar/solar-case-studies/chelan-pud. 23 Solar Gardens. Largest Community Solar Projects. December 28, 2012. http://blog.solargardens.org/2012/12/largest-community-solar-projects.html 24 Ben Schiller, The Sharing Economy Takes On Electricity, So You Can Buy Your Power From Neighbors, Fast Coexist, September 30, 2014. http://www.fastcoexist.com/3036271/thesharing-economy-takes-on-electricity-so-you-can-buy-your-power-from-neighbors.
GLOBAL EVALUATION OF FISHERIES MONITORING CONTROL AND SURVEILLANCE IN 84 COUNTRIES ALGERIA – COUNTRY REPORT GANAPATHIRAJU PRAMOD IUU RISK INTELLIGENCE Policy Report - Volume 1 Number 1 SUMMARY This evaluation of Fisheries Monitoring Control and Surveillance report for Algeria is one of 84 such country evaluations that covers nations landing 92% of world's fish catch. Using a wide range of interviews and in-country consultations with both military and civilian agencies, the report exemplifies the best attempt by the author(s) at evaluation of MCS compliance using 12 questions derived from international fisheries laws. The twelve questions are divided into two evaluation fields, (MCS Infrastructure and Inspections). Complete details of the methods and results of this global evaluation would be published shortly through IUU Risk Intelligence website. Over a five-year period, this global assessment has been subjected to several crosschecks from both regional and global MCS experts' familiar with compliance aspects in the country concerned. Uncertainty in assigning each score is depicted explicitly through score range. However, the author(s) are aware that gaps may remain for some aspects. The lead author remains open at any time to comments, and revisions will be made upon submission of evidence where necessary. Throughout the report, extreme precaution has been taken to maintain confidentiality of individuals who were willing to share information but expressed an inclination to remain anonymous out of concern for their job security, and information from such sources was cited as 'anonymous' throughout the report. Suggested citation: Pramod, G. (2017) Algeria – Country Report, 5 pages, In: Policing the Open Seas: Global Assessment of Fisheries Monitoring Control and Surveillance in 84 countries, IUU Risk Intelligence - Policy Report No. 1, Canada, 814 pages. © Pramod Ganapathiraju All rights are reserved. http://iuuriskintelligence.com FAO landings (2013): 100,058 tonnes Fisheries Contribution to the GDP (2013): - Law of the Sea (Ratification /accession): 11 th June 1996 Coastline: 998 km RFMO Membership: GFCM, ICCAT Patrolling agencies: Algeria Coast Guard \| \| Rank \| \| Priority for maritime security tasks \| \|---\|---\|---\|---\| \| 1 \| \| Human Trafficking & Terrorism \| \| \| 2 \| \| Narcotics Trafficking \| \| \| 3 \| \| Illegal Fishing \| \| SECTION 1: MCS INFRASTRUCTURE 1. Does the country have adequate surveillance infrastructure (maritime patrol aircraft, inshore and offshore patrol vessels) to effectively patrol fisheries resources within its EEZ? Score: 7 Score Range: 5-7 Yes, to a moderate extent for effective patrolling in waters up to 24 nautical miles from the shore. Algeria Coast guard has 6 fast patrol boats (Bablietto 20), 49 patrol boats and 2 squadrons of Beech 200 & Beech 300 King maritime patrol aircraft. See IISS (2013); Anderson (2014); Zoubir and Dris-AïtHamadouche (2013) reports for more information. 2. Does the country have adequate trained officers to conduct MCS operations? Score: 5 Score Range: 3-5 There are adequate trained officers for fisheries inspection at commercial ports, but inspections have been rather muted in artisanal fisheries with the exception of closed seasons. Small-scale vessels targeting pelagic fish and trawlers commit extensive zone and mesh size violations due to absence of inspectors at sea and landing beaches. 3. Does the country have adequate management plans to monitor their fishing vessels on the high seas? Score: 2.5 Score Range: 2-4 Existing information suggests that the country does not possess such capabilities. However, during the two-month Bluefin tuna season, tuna vessels are required to carry logbooks and report catches after unloading at the nearest port. See EU (2011) for more information. Algeria fishing vessels do not venture beyond territorial limits and currently none of the vessels are reported to operate on the high seas (Anon, pers.comm., 2017). 4. What proportion of fishing vessels above are equipped with vessel monitoring system (VMS) to monitor their movements on a continuous basis? Score: 5 Score Range: 3-5 VMS is mandatory for all tuna vessels. Algeria has 813 fishing vessels above 15 m OAL operating in the Mediterranean Sea (451 trawlers; 299 Purse seiners; 13 Drift netters using gillnets and entangling gears; 3 hook and line vessels and 47 other vessels exploiting other species). Algeria has installed 12 land stations along the entire coast to receive VHF signals from more than 1000 fishing vessels that have been equipped with transponders which have an inbuilt GPS device that transmits information such as the vessel unique identification number, speed, its position, and catches. The VHF system has limited range of 30-50 nautical miles and the system has faced technical problems (GFCM 2015). Transmission of VMS data is mandatory for all tuna vessels 15 days before the Bluefin tuna authorization period and must continue for another 15 days after the fishing period. Each vessel is required to poll every 4 hours in accordance with ICCAT recommendations (ICCAT 2015). 5. What percentage of fishing vessels (>20 m OAL) are monitored through onboard observers at sea (for major commercial fish stocks)? Score: 2 Score Range: 1-2 Available information suggests that there is limited observer scheme to ensure compliance with quotas during the Bluefin tuna fishing season each year. Two observers are deployed on tuna vessels during the Bluefin tuna season to monitor all fishing & at-sea transfers; recording catches in logbooks and submits report after each trip (ICCAT 2015). . SECTION 2: INSPECTIONS 6. How often fishing vessels are inspected at sea (Identification by sight and boarding for inspections)? Score: 4 Score Range: 3-5 Occasional boarding's are documented for fishing vessels during closed periods to prevent use of banned fishing gear and implement closures in restricted areas. Illegal coral fishing, tuna poaching and unauthorised harvesting of reef fish and invertebrates pose threats all along the coast (Anon, pers.comm., 2017). 7. How often fishing vessels are scrutinized through aerial patrols? Score: 2 Score Range: 2-4 Aerial patrols for fisheries surveillance is not reported and only used when suspected illegal fishing or transfers at sea are reported by fishing boats. In the past, illegal tuna transshipments were detected at regional fishing ports and alleged fishing owners were prosecuted through courts (Anon, pers.comm., 2017). See Q.1 for some information on availability of maritime patrol aircraft. 8. How often are fishing vessels inspected at landing centers and docks for foreign and domestic vessels (Dockside monitoring)? Score: 4.5 Score Range: 2-5 Department of Marine Affairs (DMA) of the Coast Guard National Service (CGNS) in Algeria exercises Port State control. There are 27 inspectors dispatched along 24 marine stations (with up to 31 fishing ports). Azaouraou et al., (2014) report suggests that very few foreign fishing or seafood container vessels are inspected in Algerian ports each year. Monitoring of tuna catches is achieved through logbooks; catch declarations supplemented by on-board observer programs and implementation of VMS in the Bluefin tuna fishery. All these tools are designed to identify all active vessels and evaluate landings (indirect assessment) to combat illegal fishing. Monitoring of landings is also recorded by data collection officers under the Fisheries Administration (at landing points) or through sampling surveys at landing sites. In 2013, four Algerian tuna vessels were detained for such violations (ICCAT 2014). All Bluefin tuna catches are required to be landed in six designated ports (port of Algiers, port of Annaba, port of Béjaïa, port of Cherchell, port of Oran and port of Ténès) for inspections by Fisheries and other agencies. 15 tuna vessels (12 purse seiners and 3 longliners) were authorized to catch Bluefin tuna in the current year (ICCAT 2015). 9. Are there adequate plans to monitor catches in coastal areas through coastal patrols (beach patrols, small-scale fishing gear and catches inspections) on a regular basis? Score: 4 Score Range: 2-4 There is a high occurrence of illegal fishing infractions during closed seasons for swordfish, and Bluefin tuna. Illegal fishing is also reported during Biological rest period for major commercial species (Anon 2013). Trawlers and purse seiners are major offenders of zonal regulations at sea (Dahou 2013); when vessels are caught for violations penalties have been low allowing such practices to continue unabated. Illegal landing and sale of undersized fish in local markets has depleted fish stocks to historic lows (APS 2017). See Kacher (2010); Boubekri and Djebar (2016) reports for more information. Implementation of fisheries laws has been largely inexistent in coastal fisheries as Government observers are not well qualified or in most instances lack enforcement capability within jurisdictional confines of the municipal waters (Anon, pers.comm., 2017). 10. Are all the catches that are caught in this jurisdiction at sea accounted for (i.e., unreported Trans-shipments at sea)? Score: 5 Score Range: 3-5 Some transshipments are conducted at ports and checked before seafood is exported overseas. Foreign fishing vessels are normally not allowed into Algerian ports and although some transshipments at sea are authorized for national fleet, the extent to which such transfers are monitored remains a tad low. Bluefin tuna caught by Algerian vessels is landed in local ports and domestic vessels are prohibited from landing such catches in neighboring countries. Article 58 of Law 01-11 prohibits transshipment of Bluefin tuna at sea. Nevertheless, local fishermen report illegal transshipments between fishing vessels at sea in coastal waters. With the crackdown in 2009, such events are increasingly witnessed away from the main fishing ports. Moreover, transfer of cargo between fishing vessels has not been addressed until now (Anon, pers.comm., 2017). 11. Are vessels required to undergo inspection of equipment and fishing gear for every fishing trip? Score: 2 Score Range: 1-2 Such requirements were not legislated for Algerian fishing vessels using local ports. Less than 5% of total landing sites are monitored by fisheries inspectors (Anon, pers.comm., 2017). 12. Has the country taken adequate measures to revise and implement national fisheries laws to curtail illegal fishing practices; and does it comply with national and international laws signed? Score: 5 Score Range: 3-5 Law No. 01-11 on Fishing and Aquaculture of 3 July 2001 is the main national legislation for fisheries management in Algerian waters. The country has not adopted NPOA on IUU Fishing to fight and eliminate illegal fishing. Algeria is not a party to UN Port State Measures Agreement, FAO Compliance Agreement and the UN Fish Stocks Agreement. Algeria has put in place a system of monitoring, inspection and data collection to meet requirements of the ICCAT (ICCAT 2014a). See Bregazzi (2007); Kacher (2010); Dahou (2013); Boubekri and Djebar (2016); APS (2017) reports for more information. \| Flag of Convenience \| No \| \| \|---\|---\|---\| \| Vessels on the RFMO – IUU vessel list \| \| No \| \| RFMO \| \| Year of the \| Compliant \| \| Partially \| Not \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| assessment \| \| \| compliant \| Compliant \| \| GFCM \| 2014 \| \| Yes \| \| \| \| \| ICCAT \| 2013 \| \| \| Yes \| \| \| Last update: 30 August 2017 Note: Bibliography and other notes relevant to this country report including methods, results and discussion for the global evaluation of 84 countries would be released shortly through IUU Risk Intelligence website (http://iuuriskintelligence.com/). (The author can be contacted at email@example.com to provide any feedback). © Pramod Ganapathiraju All rights are reserved. http://iuuriskintelligence.com No part of this publication may be reproduced or transmitted in any form or by any means without permission in writing from the author. Connect with us @ https://twitter.com/iuurisk @ https://www.linkedin.com/groups/4928027 Website & Report design ( http://vjdesign.com.au)
DALLAS SEMICONDUCTOR Dear Weather Station experimenter: The thermometer used in the Dallas Semiconductor WS-1 Weather Station Experimenters Kit is a Dallas DS1820, 1-Wire digital thermometer. Many issues about the DS1820 have been posted to the 1-Wire Weather Interest Group, and we feel it is important to try to explain the inaccuracies you may be encountering. Even more importantly, we would also like to introduce the next generation 1Wire Digital Thermometer, the DS18S20, that addresses many of the issues with the DS1820 and offers smaller packaging options at a lower cost. By design, the DS18S20 corrects for environmental stress-induced drift and a state machine glitch that has caused many of you confusion in the past months. DS18S20 accuracy and stability data will be presented to hopefully convince you the stability problems with the DS1820 have been eliminated. In addition to correcting stability problems, the DS18S20 design also allows for a wider power supply range and smaller packaging options. Incompatibilities between the DS18S20 and the DS1820 are minimal, but a few are discussed in detail. An incompatibility that will have a minor, yet noticeable effect on Weather Station users is the lower resolution of the DS18S20 data converter. We will very soon release a software patch to the WS-1 that performs waveform smoothing. Overall, we think you will be quite pleased with the performance of the newly redesigned and improved DS18S20. Before getting into detail of the DS18S20, let us attempt to explain some of the peculiarities you may have experienced with the DS1820 in the past. The DS1820 was the first of its kind to offer an integrated solid state temperature sensor, an "analog-to-digital" converter, and a 1-Wire Network interface. Before describing the cause for some of the inaccuracies of the DS1820, a brief tutorial on the temperature-sensing algorithm used by the DS1820 would be beneficial. Refer to Fig.1 below: Fig.1. Temperature Sensing Block Diagram COUNTER SLOPE ACCUMULATOR LOW TEMPERATURE COEFFICIENT OSCILLATOR TEMPERATURE REGISTER =0? COMPARE PRESET INC STOP SET/CLEAR LSb PRESET COUNTER HIGH TEMPERATURE COEFFICIENT OSCILLATOR =0? The DS1820 measures temperature by counting the number of clock cycles that an oscillator with a low temperature coefficient goes through during a gate period determined by a high temperature coefficient oscillator. The counter is preset with a base count that corresponds to -55°C. If the counter reaches zero before the gate period is over, the temperature register, which is also preset to the -55°C value, is incremented, indicating that the temperature is higher than -55°C. At the same time, the counter is then preset with a value determined by the slope accumulator circuitry. This circuitry is needed to compensate for the parabolic behavior of the oscillators over temperature. The counter is then clocked again until it reaches zero. If the gate period is still not finished, then this process repeats. The slope accumulator is used to compensate for the nonlinear behavior of the oscillators over temperature, yielding a high-resolution temperature measurement. This is done by changing the number of counts necessary for the counter to go through for each incremental degree in temperature. To obtain the desired resolution, therefore, both the value of the counter (COUNT_REMAIN) and the value of the slope accumulator (COUNT_PER_C) at a given temperature must be known. Therefore, attainable resolution (1/COUNT_PER_C) is a function of temperature, and will vary from part to part. A typical COUNT_PER_C ranges from 80 –120 over the DS1820 temperature range, translating to a 1415-bit resolution. There are two issues with this algorithm. The first manifests itself as a drift in accuracy, and explains many complaints about the DS1820's temperature error. The solid state oscillators in Fig.1 contain polysilicon resistors, which are extremely difficult to control over temperature and mechanical stress. The temperature coefficient of the resistors is not a problem because we calibrate out their effect in the liquid bath. Mechanical stress, however, is something we cannot control or predict so to account for its effect in the slope accumulator. As the mechanical stress on the DS1820 die changes, so too does the value of the poly resistors in the oscillators. Resistance changes cause oscillator frequency changes, which will ultimately cause changes in the temperature register value. We assemble the DS1820 in a non-hermetic plastic package and calibrate the parts in a liquid bath. Liquid is free to enter the cavity above the die in the non-hermetic package, putting a nominal stress on the die (and resistors). The device is calibrated under this very controlled environment. As the device is removed from the liquid and allowed to dry out, the stress on the die changes and the temperature readout changes. This is why many of you note temperature readout variations in extremely humid environments. Another stress that will cause a drift is a high temperature process such as a vapor phase. Expansion/contraction of the plastic package/leadframe will cause the stress on the die to shift, and again a readout drift will result. A typical drift following a vapor phase is 2.0°C (approximately 4.0°F), and generally the part will read low following the stress. A typical drift following an Autoclave process (device is subjected to pressurized steam (2atm) at 121°C for 168 hours) is over 3.0°C (6.0°F); Autoclave has proven to be the worst case stress insofar as drift is concerned. This is obviously an extremely frustrating problem. We have tried various layout implementations of the resistors (if the resistance shift in the high tempco oscillator matches that of the resistor in the low tempco oscillator, the effect would cancel), different plastic mold compounds, and the drift could never be completely eliminated. Many of you have tried numerous experiments in an attempt to minimize the DS1820 thermometer error. Although some of the experiments posted may offer a minimal effect, the dominating factor in the error is the mechanical stress-induced drift described above, and very likely not related to anything you are doing wrong. The cause of the drift is a physical phenomenon that cannot easily be removed from the DS1820. It has been shown that the drift diminishes as the device is baked at 125°C for several hundred hours. After the bake, the user can compare the DS1820 reading against an accurate reference at any temperature (recalibrating the device), and add this offset to future readings. Generally speaking, the drift magnitude is consistent over the entire temperature range, thus allowing for a single-temperature post-bake offset correction. This however requires access to an oven, a controlled temperature chamber, an accurate reference sensor, and the ability to modify the WS-1 software to add the resulting offset to the DS1820's readout. This solution is understandably a severe restriction for most users. The most feasible solution is for Dallas to redesign the DS1820 thermal algorithm so that mechanical stress will have a negligible effect on stability. The aforementioned DS18S20 does just that by measuring temperature with a completely different algorithm, one that virtually eliminates the effect mechanical stress has on stability. The DS18S20 will be discussed in detail later in this document. The second problem many of you have noted with the DS1820 is also an artifact of the dual-oscillator algorithm and is also eliminated with the DS18S20. It manifests itself as a "glitch" in the readout of a maximum of 1.0°C. This issue is described in detail in an attached document. This document makes reference to the DS1620, but is directly applicable to the DS1820, as both Dallas sensors use the same thermal-sensing algorithm. Solving these two issues was of primary concern in redesigning the DS1820 1-Wire Digital Thermometer. Technology has improved since the DS1820 was designed, allowing us fabricate the redesign with a 0.6µm minimum geometry process. So, not only are the drift and glitch problems eliminated, but also the new die is significantly smaller which allows for smaller packages and a lower cost sensor. The redesigned thermometer, the DS18S20, will be assembled in a TO-92 package (replaces the DS1820 PR-35) and a 150mil 8-lead SOIC (replaces the DS1820 SSOP). The block diagram of the DS18S20 thermal sensing algorithm is illustrated below in Fig. 2. Fig. 2. Bandgap / Sigma-delta modulator temperature sensor Precision Reference Configuration Register Oversampling Modulator Digital Decimator Thermometer Register A very precise, on-chip bandgap reference is the first stage of the signal chain. Bandgap voltage references are inherently very stable and are commonly used in solid state temperature sensors, power monitoring products, etc. The sigma delta modulator serves as the data converter in addition to providing chopping which eliminates stress-induced errors in the differential Vbe bandgap. Dallas has this algorithm in production with several digital thermometers – DS75, DS1721, DS1722, DS1775, DS1780, DS1615, and the DS1921 Thermochron. Many of you have tested the DS1921 against the DS1820 and have noted the superior performance of the DS1921. The DS18S20 will actually go one step further than all these sensors in that it can be bath calibrated (because of its on-chip EEPROM). The most accurate of the non-bath calibrated bandgap-based sensors above are the DS1721, DS1615, and DS1921 at ±1.0°C max error. Bath calibration drastically reduces the error at the calibration temperature; the maximum error over the -10°C to +85°C range for the DS18S20 is ±0.5°C, before, during and after environmental stress. Fig 3 shows thermometer accuracy data for 4 different samples of DS18S20. Each sample of approximately 50 parts was subjected to one of 4 stresses: High Voltage Life (1000 hours at 6.0V at T=125°C), 3 consecutive passes through a vapor phase, Autoclave (unbiased at 2atm steam T=121°C for 168 hours), and Temperature Cycle (unbiased under 1000cycles from -55°C to +125°C). The data was taken before and after the respective stress and the plots show the mean and ±3σ error (relative to platinum RTD reference in liquid bath) after stress. Mean drift (average difference between post stress and pre stress error) is also plotted. This is a significant improvement over the DS1820. The average part drifts less than 0.1°C (roughly 1 LSb), with insignificant dependence on the type or duration of stress it was subjected to. Recall from earlier in the document, the average drift of the DS1820 following the Autoclave stress (the worst case stress) was over 3.0°C, representing better than a 99% reduction in stress-induced drift. DS18S20 Post Stress Thermometer Error (VP, A/C, T/C, HVL at apprx 50 devices each) Reference Temp (C) Fig. 3. DS18S20 Performance Clearly, the DS18S20 has solved the inaccuracies many of you in the interest group have noted in the past. The other problem with the DS1820, the readout glitch that was described in the attached document, is totally an artifact of the dual-oscillator thermal sensing algorithm. The bandgap / Sigmadelta ADC sensing core of the DS18S20 by design will not be subject to such glitches. The design goals of the DS18S20 were numerous: 1.) Eliminate stress-induced drift. 2.) Eliminate the state-machine glitch. 3.) Expand the operating voltage from 4.5V-5.5V of the DS1820 to 2.7V-5.5V. 4.) Significantly shrink the die so that it can fit in smaller, faster responding plastic and flipchip packages. 5.) Satisfy 1-4 while allowing the DS18S20 to drop into every DS1820 application, with no noticeable adverse differences. All 5 of these goals are practically impossible to meet for such a drastic redesign of a complex mixedsignal IC. This document has described how we have met goals 1 through 4, but there are some noteworthy differences between the DS1820 and the DS18S20 that may not allow for a seamless transition into 100% of applications. 1.) Packaging. Smaller/lower cost packages was one of the design goals, and we met that. However, package differences may have an effect on some customers. The PR-35 of the DS1820 will no longer be offered with the DS18S20; it will be replaced by the TO-92 package. The pinout and lead spacing is identical between the two packages, so most customers will not have a problem. Customers who depend on the height of the PR-35 package in their application will be forced to make mechanical changes to their design. The surface mount option is more drastic. The huge DS1820 die was packaged in a 16-lead SSOP (with 13 no-connects); that was the smallest SMT package we could fit the DS1820 in. The SSOP is large and expensive. The SSOP will not be offered with the DS18S20, and the replacement SMT package is the 8-lead SOIC. Obviously, all SMT DS1820 customers will have a change. Dallas is offering the DS1820 in both the PR-35 and SSOP packages through 2000 on last time buy bases (but again, neither package will be offered with the redesigned DS18S20). Refer to the DS18S20 datasheet on the website for pinouts and mechanical specs of the packages. 2.) Thermometer Resolution. Recall the discussion about the temperature-to-digital conversion technique we use in the DS1820. Due to the nonlinear characteristic of the oscillators over temperature, we designed the slope accumulator with a high resolution (COUNT_PER_C generally over 100, yielding a sub-millidegree C resolution) so that the nonlinearity can be trimmed out. A conversion would always start with the counter preset to -55°C, and would count up to the temperature of the environment. Thus, conversion time depends significantly on the absolute temperature with the fastest at very low temperatures. This algorithm allowed for a conversion time of less than a half second, over the entire temperature range. The resolution attainable considering the conversion time and active current was outstanding with the DS1820, yet it was the dual oscillator technique that caused the drift. Solving the drift meant the dual-oscillator algorithm had to be designed out, while trying to minimize adversely affecting other specs. Sigma-delta modulators like that used in the DS18S20 are by design, slow data converters. There is a tradeoff between supply current, resolution, and conversion time. High resolution can be obtained in a relatively short amount of time if enough supply current is available. If supply current is crucial, high resolution requires long conversion times. You see the dependence. If the DS18S20 met the resolution (14-15bit) and active current (1.5mA) spec of the DS1820, the conversion time required would be between 4 and 8 seconds! That was obviously not an option. A tradeoff was made in the DS18S20 design. We kept the active current spec constant at 1.5mA, and allowed for a max conversion time increase from 500ms (DS1820) to 750ms (DS18S20). This will yield 12-bits of resolution (LSb weight of 0.0625°C). In the time/temperature display of the Weather Station, you will certainly notice a difference in the resolution. In a relatively stable temperature environment, the DS1820 curve would look smooth compared to that of the DS18S20. The conversion time increase will be transparent to the Weather Station because the WS-1 software polls the sensor for a "conversion complete" flag. If any of you are using the DS1820 in other designs, be aware of the resolution and conversion time changes with the DS18S20. Although your display may appear more "jagged" with the lower resolution DS18S20, do not confuse that for inaccuracy. Data has been presented on the superior accuracy and stability of the DS18S20. The DS18S20 is accurate to ±0.5°C. That means the 9 most significant bits of the thermometer have zero error. Anything less significant than the ninth bit does not contribute to the accuracy of the sensor, but they are quite useful for monitoring minute temperature changes on a relative basis (relative to the last measurement, for example). For example, if bit 12 of the readout increases by 1 from one readout to the next, that does not necessarily mean the absolute temperature increased by the LSb weight of 0.0625°C. The part is not accurate to the 12 th bit. It does imply however, that there was an increase of some absolute magnitude less than 0.5°C (the rated accuracy) from the last reading. Also, do not confuse the lower resolution graph of the DS18S20 with the state machine glitching of the DS1820. Some of you in the interest group may choose to modify the Weather Station code to add algorithms that essentially smooth the temperature vs. time graph for the DS18S20. Smoothing algorithms will have a negligible effect on the accuracy or time constant of the thermal sensing system. The WS-1 has a large amount of thermal mass (and thus a very long thermal time constant) and the sensor is not exposed to moving medium (i.e. wind). Dallas will also release a patch to the WS-1 software that will perform curve smoothing. 3.) Error notification. The DS18S20 relies on strict protocol for predictable operation. Unfortunately, in the real world, less than ideal activity on the 1-Wire interface due to noise, lightening, etc may cause the DS18S20 to enter an ambiguous state. The absence of an error flag in memory left us to decide to notify the user of an error condition by reserving 1 state of the 12-bit (4,096 possible) thermometer readout for that purpose. The error state for the DS18S20 results in a temperature of +85.0000°C, which corresponds to a value of AAh in byte0 (TEMPERATURE LSB), 00h in byte1 (TEMPERATURE MSB), 0Ch in byte6 (COUNT_REMAIN), and 10h in byte7 (COUNT_PER_C). This reading indicates an error state and the reading should be discarded. The patch to the WS-1 software will ignore such readings and display that last completed conversion. To summarize, Dallas is continually trying to make improvements to its thermal management product line. The DS1820 provided a solution to users who wanted a digital I/O thermometer with the minimum number of interface signals. Although it did fill a niche quite well, its algorithm contained some inherent inaccuracies and instabilities. Removal of those inaccuracies, in addition to widening the voltage range, and offering new/smaller/lower cost packages was of primary concern in the design of the DS1820's replacement, the DS18S20. The B5 revision of the DS18S20 will be sampled to customers soon, and we would like for you to be among the first to "try them in the field". We will replace your DS1820 inventory with DS18S20 on a "2for-1" basis. The DS18S20 design has been submitted for reliability testing, which we expect to be completed in May2000; at that time, the DS18S20 will be released to mass production. We do expect that not all applications will be able to transition to the new device without some system modification, but we expect these cases will be the exception and not the rule. The only noticeable adverse difference you should see with the DS18S20 in a Weather Station with unmodified code is lower thermometer resolution and a possible error notification reading of 85.0000°C. Dallas will very soon release a patch to the WS-1 software that will make both issues transparent to the Weather Station display. Thank you for your involvement in the Weather Station interest group and in the Dallas temperature sensor product line. If you have any questions or comments, please contact Dan Awtrey at email@example.com. DALLAS SEMICONDUCTOR Dear Weather Station experimenter: An anomaly has been detected in the temperature conversion algorithm of Dallas Semiconductor's thermal and battery management products that may affect some applications. The anomaly manifests itself as a random erroneous temperature measurement that can be as high as 1.0°C. The subsequent explanation of the problem and the suggested work-around assumes knowledge of the high resolution algorithm explained in Application Note 105, which is available on the Dallas website or faxback. EXPLANATION OF THE PROBLEM A digital state machine is used to control the temperature conversion algorithm. In normal operation, the state machine cycles between two states, watching for a control signal that signals the end of the conversion. Once this signal is detected, the next clock of the state machine sends it to the final state, suspending the conversion. As the state machine cycles between these two intermediate states, it increments the temperature register and reloads the slope counter, with the updated value in the slope accumulator. Occasionally, through a mechanism still under investigation, the temperature conversion algorithm causes the state machine to cycle between the two intermediate states one more time after the end of conversion control signal is asserted. And, as is expected, this additional cycle increments the temperature register and reloads the counter from the slope accumulator for that new temperature. On the additional clock that sends the state machine to its final state, the slope counter is decremented. The result from the sensor is a temperature conversion result with a positive error in the range of: The magnitude of the error is dependent on the absolute temperature. Because the slope counter is decremented only once by the additional clock that sends the state machine to its final state, COUNT_PER_C - COUNT-REMAIN will be 1 when this error occurs. Therefore, the high resolution measurement will yield a result of: The error will be smallest for absolute temperatures slightly less than xxx.75°C (where COUNT_PER_C and COUNT_REMAIN approach their maximum difference), and approach 1°C for absolute temperatures slightly above xxx.75°C (when COUNT_PER_C and COUNT_REMAIN are nearly equal). This behavior is illustrated in the following example. This example illustrates the result of a "good" measurement and that for a "bad" measurement in a simulated temperature sweep from 21°C to 24°C. The first figure, Fig. 1 gives the 9-bit direct reading for both a "good" and "bad" measurement. Note that the error, the difference between the two curves, ranges from 0.5°C to 1.0°C, depending upon the absolute temperature. This will be illustrated in Fig. 6. The high resolution algorithm requires the truncation of the LSb from the direct 9-bit reading. Fig. 2 illustrates "good" and "bad" measurements after this truncation. The COUNT_PER_C register contains data that is programmed into the device at calibration. It sets the value of the slope accumulator at a given temperature. For a given temperature, this value is not the same for all devices. The absolute value depends upon the thermal characteristics of the oscillators. The values for this particular example were extracted from measured data on a DS1620, but may not be representative of the values in other DS1620 parts or other temperature sensors, in general. Nevertheless, it does illustrate the comment made earlier in that when the error occurs, the temperature register is incremented and the appropriate slope accumulator value is loaded. In this case, but not necessarily in all, the COUNT_PER_C value is 1 higher when the error occurs. This would not be true in a part which is calibrated such that two adjacent temperature values point to the same value for the slope accumulator. Fig. 4 shows the value of the COUNT_REMAIN register in this temperature sweep example. It is the value left in the counter that was initialized to COUNT_PER_C for that given temperature. Recall that one additional clock cycle occurs in the event of an erroneous measurement; therefore, COUNT_REMAIN will be 1 less than COUNT_PER_C at a given temperature. Using the calculation highlighted in Application Note 105 to obtain the high-resolution measurement, the measurement of Fig. 5 results. Note that the temperature always reads approximately xxx.75°C for an erroneous measurement. The final plot, Fig. 6, shows the error that one can expect when this anomaly occurs. As stated in the inequalities, the error varies from 1/COUNT_PER_C to 1°C in the high resolution mode. If only the 9-bit temperature is used, i.e., no high-resolution calculations are performed, the error will either be 0.5°C or 1.0°C, depending on the fractional value of the absolute temperature. The occurrence of erroneous readings appear to be random in measurements we have performed thus far. Close examination of the example given, however, gives the user a means of understanding erroneous measurements based on the values of the registers read. Recall that only one additional clock cycle occurs to halt the state machine cycle; thus, COUNT_REMAIN will ALWAYS be one less than COUNT_PER_C for an erroneous measurement. SUGGESTED ERROR DETECTION The occurrence of the error is always associated with the condition COUNT_PER_C - COUNT_REMAIN = 1. Therefore, one could simply check for this condition before performing any further high-resolution calculations, and discard any measurements associated with this condition. However, COUNT_PER_C - COUNT_REMAIN = 1 does not necessarily constitute an error condition, and you could be discarding a valid measurement if you use the corrective action described above. This could be an acute problem in applications where the temperature is extremely stable, and the sensor returns a valid measurement such that COUNT_PER_C - COUNT_REMAIN = 1. If the method described above were implemented in this environment, several valid measurements in a row could be discarded. In measurements we have performed thus far, the error occurs very infrequently, about once per 5000 conversions. Never have we observed the erroneous condition occurring in two adjacent measurements. Therefore, we suggest the algorithm depicted in the flowchart in Fig. 7 to detect an erroneous measurement and subsequently discard it. Basically, if the condition COUNT_PER_C - COUNT_REMAIN = 1 occurs on two measurements an a row, there is an extremely high likelihood that the measurement is valid. Similarly, if a conversion returns the above condition and the next returns something different, there is an extremely high likelihood that the measurement is invalid, and should be discarded.
1. 1.1 1.2 1.2.1 1.2.2 1.2.3 1.3 2. 2.1 2.2 2.3 2.4 2.5 2.5.1 2.5.2 2.6 2.7 2.8 2.9 2.10 3. 3.1 3.2 3.3 3.4 3.5 3.5.1 3.5.2 3.5.3 3.5.4 INTERPRETATION Definitions Commencement Date). W J HATT LIMITED TERMS OF BUSINESS In these Terms unless the context otherwise requires, the following definitions and rules of interpretation apply in these Terms: "Client" the person, firm, company or other organisation or entity which is the Company's client in respect of the Works; "Commencement Date" has the meaning given in clause 2.4. The "Company" is W.J. Hatt Limited a company registered in England and Wales with company number 00328277. "Contract" means the contract between the Company and the Client for the supply of Goods and/or Services in accordance with these Terms. "Goods" means the goods (or any part of them) as set out in the Proposal. "Payment" means the fees payable by the Client for the supply of the Works in accordance with clause 5 (Charges and Payment). 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Subject to clause 2.2, the Company shall issue a Proposal to the Client in respect of the Client’s Order and the Order shall only be deemed to be accepted when the Company agrees to perform the Works in accordance with the Proposal at which point and on which date the Contract shall come into existence ( Where a Proposal has been supplied to the Client, the Company reserves the right to revise the Proposal if: it materialises that further Works need to be carried out which were not anticipated when the Proposal was issued; the Client instructs the Company to supply any further Works that have not been set out in the Proposal. Any samples, drawings, descriptive matter or advertising issued by the Company and any descriptions or illustrations contained in the Company’s catalogues, brochures or website, are issued or published for the sole purpose of giving an approximate idea of the Works described in them. They shall not form part of the Contract or have any contractual force. 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The Company warrants to the Client that the Services will be provided using reasonable care and skill. The Company shall, at its option, repair or replace the defective Goods if: the Client gives notice in writing during a period of three (3) months within a reasonable time of discovery that some or all of the Goods do not comply with the warranty set out in clause 3.4; the Company is given a reasonable opportunity of examining such Goods; and the Client shall co-operate with the Company should the Company need to collect any defective Goods from the Client’s premises. The Company shall not be liable for the Goods’ failure to comply with the warranty in clause 3.4 if: 1 126.96.36.199 188.8.131.52 184.108.40.206 220.127.116.11 18.104.22.168 22.214.171.124 126.96.36.199 3.6 4. 4.1 4.1.1 4.1.2 4.1.3 4.1.4 4.1.5 4.1.6 4.1.7 4.1.8 4.1.9 4.1.10 4.1.11 4.2 4.2.1 4.2.2 4.2.3 4.3 4.4 5. 5.1 5.2 5.2.1 5.2.2 5.2.3 5.3 5.4 5.5 5.6 5.7 the Client makes any further use of such Goods after giving notice in accordance with clause 3.5; the defect arises because the Client failed to follow the Company's or the manufacturer's oral or written instructions as to the storage, installation, commissioning, use or maintenance of the Goods or (if there are none) good trade practice; the defect arises as a result of the Company following any drawing, design or Goods specification supplied by the Client; the Client alters or repairs such Goods without the written consent of the Company; the defect arises as a result of fair wear and tear, wilful damage, negligence or abnormal working conditions; or the Goods differ from their description or as a result of the changes made to ensure they comply with applicable statutory or regulatory standards. 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Any additional Work(s), outside of the scope of the Proposal, will be charged at the price prevailing at the date of instruction. It is the Company's normal practice to render invoices on a monthly basis or on the completion of the Works, whichever is the earlier. The company shall also render invoices in respect of materials on delivery to the site of such materials. Unless otherwise agreed between the parties, all or any invoices shall be due and payable by the Client before the end of the calendar month after that shown on the invoice. 2 5.8 5.8.1 5.8.2 5.8.3 5.8.4 5.9 5.10 6. 6.1 6.1.1 6.1.2 6.2 6.3 6.4 6.4.1 6.4.2 6.4.3 7. 7.1 7.2 7.2.1 7.2.2 7.3 7.3.1 7.3.2 7.3.3 7.3.4 7.4 7.4.1 7.4.2 8. 8.1 8.1.1 8.1.2 8.1.3 8.2 8.2.1 8.2.2 8.2.3 8.2.4 8.2.5 8.2.6 8.2.7 8.3 8.4 8.5 If the Client fails to pay any sum due on or before the due date for payment, the Company shall be entitled until payment has been made in full and without prejudice to its other rights and remedies: to rescind any discount arrangements as may be detailed in the Proposal; and/or to charge aggregate monthly interest at the rate of 8 per cent per annum (minimum £50.00) from the due date for payment; and/or to suspend the Works until payment has been made in full; and/or to recover all or any Plant and materials as may have been delivered to the Client’s premises for the purposes of the Works (and the Client hereby irrevocably consents to the entry by the Company into its premises for this purpose) and the Company shall invoice the Client in respect of all cancellation charges or other charges incurred by it as a result of such suspension which shall be payable by the Client forthwith upon receipt. The charges set out in the Proposal do not, unless specifically expressed to, extend to: 5.9.1 the excavation into rock, hard or contaminated material 5.9.2 any specialised dewatering 5.9.3 use of trench sheets or specialised bracing or support system The Company reserves the right to render additional charges in respect of those works detailed at Clause 5.9. DATA PROTECTION AND DATA PROCESSING The Company shall use the Client's Personal Data to: supply the Works to the Client; and to process the Payments for the Works. The Company will only share the Client's Personal Data with third parties where the law requires or allows the Company to do so (Legitimate Interest of the Controller - W J Hatt Limited). The Company shall take reasonable steps to ensure the reliability of all its employees who have access to the Personal Data. 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The Goods supplied by the Company shall only be provided with the manufacturers guarantee and shall not be guaranteed by the Company. 3 8.6 8.7 9. 9.1 9.1.1 9.1.2 9.1.3 9.2 10. 10.1 10.1.1 10.1.2 10.2 10.3 11. 11.1 11.2 11.2.1 11.2.2 11.3 11.3.1 11.3.2 11.3.3 11.4 11.5 11.6 11.6.1 11.6.2 The terms implied by sections 3 to 5 of the Supply of Goods and Services Act 1982 are, to the fullest extent permitted by law, excluded from the Contract. This clause 8 shall survive termination of the Contract. 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Network Working Group M. Noto Category: Standards Track E. Spiegel Request for Comments: 2514 3Com Cisco Systems K. Tesink Editors Bellcore February 1999 Definitions of Textual Conventions and OBJECT-IDENTITIES for ATM Management Status of this Memo This document specifies an Internet standards track protocol for the Internet community, and requests discussion and suggestions for improvements. Please refer to the current edition of the "Internet Official Protocol Standards" (STD 1) for the standardization state and status of this protocol. Distribution of this memo is unlimited. Copyright Notice Copyright (C) The Internet Society (1999). All Rights Reserved. Table of Contents 1 Introduction .......................................... 2 Abstract This memo describes Textual Conventions and OBJECT-IDENTITIES used for managing ATM-based interfaces, devices, networks and services. 1. Introduction This memo describes Textual Conventions and OBJECT-IDENTITIES used for managing ATM-based interfaces, devices, networks and services. Noto, et. al. Standards Track [Page 1] When designing a MIB module, it is often useful to define new types similar to those defined in the SMI. In comparison to a type defined in the SMI, each of these new types has a different name, a similar syntax, but a more precise semantics. These newly defined types are termed textual conventions, and are used for the convenience of humans reading the MIB module. This is done through Textual Conventions as defined in RFC1903 [1]. It is the purpose of this document to define the set of textual conventions available to ATM MIB modules. When designing MIB modules, it is also often useful to register further properties with object identifier assignments so that they can be further used by other MIB modules. This is done through the OBJECT-IDENTITY macro defined in RFC1902 [2]. This document defines OBJECT-IDENTITIES available to ATM MIB modules. Note that for organizational purposes OBJECT IDENTITIES previously defined in RFC1695 have been moved to this specification and no longer appear in the revision of RFC1695 [3]. However, the original OBJECT IDENTIFIERs have been preserved. For an introduction to the concepts of ATM connections, see [3]. 2. Definitions ATM-TC-MIB DEFINITIONS ::= BEGIN IMPORTS MODULE-IDENTITY, OBJECT-IDENTITY, TimeTicks, mib-2 FROM SNMPv2-SMI TEXTUAL-CONVENTION FROM SNMPv2-TC; atmTCMIB MODULE-IDENTITY ORGANIZATION "IETF AToMMIB Working Group" LAST-UPDATED "9810190200Z" CONTACT-INFO Postal: 3Com Corporation " Michael Noto 5400 Bayfront Plaza, M/S 3109 USA Santa Clara, CA 95052 Tel: +1 408 326 2218 E-mail: email@example.com Ethan Mickey Spiegel Noto, et. al. Standards Track [Page 2] Postal: Cisco Systems San Jose, CA 95134 170 W. Tasman Dr. USA E-mail: firstname.lastname@example.org Tel: +1 408 526 6408 Kaj Tesink 331 Newman Springs Road Postal: Bellcore Red Bank, NJ 07701 Tel: +1 732 758 5254 USA Fax: +1 732 758 4177 DESCRIPTION E-mail: email@example.com" "This MIB Module provides Textual Conventions and OBJECT-IDENTITY Objects to be used by ATM systems." ::= { mib-2 37 3 } -- atmMIB 3 (see [3]) -- The Textual Conventions defined below are organized -- alphabetically AtmAddr ::= TEXTUAL-CONVENTION DISPLAY-HINT "1x" STATUS current DESCRIPTION SYNTAX OCTET STRING (SIZE(0..40)) "An ATM address. The semantics are implied by the length. The address types are: - no address (0 octets) - E.164 (8 octets) - NSAP (20 octets) In addition, when subaddresses are used the AtmAddr may represent the concatenation of address and subaddress. The associated address types are: - E.164, E.164 (16 octets) - E.164, NSAP (28 octets) - NSAP, NSAP (40 octets) Address lengths other than defined in this definition imply address types defined elsewhere. Note: The E.164 address is encoded in BCD format." AtmConnCastType ::= TEXTUAL-CONVENTION STATUS current DESCRIPTION "The type of topology of a connection (point- Noto, et. al. Standards Track [Page 3] ``` to-point, point-to-multipoint). In the case of point-to-multipoint, the orientation of this VPL or VCL in the connection. On a host: - p2mpRoot indicates that the host is the root of the p2mp connection. - p2mpLeaf indicates that the host is a leaf of the p2mp connection. On a switch interface: - p2mpRoot indicates that cells received by the switching fabric from the interface are from the root of the p2mp connection. - p2mpLeaf indicates that cells transmitted to the interface from the switching fabric are to the leaf of the p2mp connection." SYNTAX INTEGER { p2p(1), p2mpRoot(2), p2mpLeaf(3) } AtmConnKind ::= TEXTUAL-CONVENTION STATUS current DESCRIPTION "The type of call control used for an ATM connection at a particular interface. The use is as follows: pvc(1) Virtual link of a PVC. Should not be used for an PVC/SVC (i.e., Soft PVC) crossconnect. svcIncoming(2) Virtual link established after a received signaling request to setup an SVC. svcOutgoing(3) Virtual link established after a transmitted or forwarded signaling request to setup an SVC. spvcInitiator(4) Virtual link at the PVC side of an SVC/PVC crossconnect, where the switch is the initiator of the Soft PVC setup. spvcTarget(5) Virtual link at the PVC side of an SVC/PVC crossconnect, where the switch is the target of the Soft PVC ``` Noto, et. al. Standards Track [Page 4] ``` setup. ``` ``` For PVCs, a pvc virtual link is always crossconnected to a pvc virtual link. For SVCs, an svcIncoming virtual link is always crossconnected to an svcOutgoing virtual link. For Soft PVCs, an spvcInitiator is either cross-connected to an svcOutgoing or an spvcTarget, and an spvcTarget is either cross-connected to an svcIncoming or an spvcInitiator." SYNTAX INTEGER { pvc(1), svcIncoming(2), svcOutgoing(3), spvcInitiator(4), spvcTarget(5) } AtmIlmiNetworkPrefix ::= TEXTUAL-CONVENTION STATUS current DESCRIPTION "A network prefix used for ILMI address registration. In the case of ATM endsystem addresses (AESAs), the network prefix is the first 13 octets of the address which includes the AFI, IDI, and HO-DSP fields. In the case of native E.164 addresses, the network prefix is the entire E.164 address encoded in 8 octets, as if it were an E.164 IDP in an ATM endsystem address structure." REFERENCE "ATM Forum, Integrated Local Management Interface (ILMI) Specification, Version 4.0, af-ilmi-0065.000, September 1996, Section 9 ATM Forum, ATM User-Network Interface Signalling Specification, Version 4.0 (UNI 4.0), af-sig-0061.000, June 1996, Section 3" SYNTAX OCTET STRING (SIZE(8\|13)) AtmInterfaceType ::= TEXTUAL-CONVENTION STATUS current DESCRIPTION "The connection setup procedures used for the identified interface. Other: Connection setup procedures other than those listed below. ``` Noto, et. al. Standards Track [Page 5] Auto-configuration: Indicates that the connection setup procedures are to be determined dynamically, or that determination has not yet been completed. One such mechanism is via ATM Forum ILMI auto-configuration procedures. ITU-T DSS2: - ITU-T Draft Recommendation Q.2961, B-ISDN DSS 2 Support of Additional Traffic Parameters (May 1995) - ITU-T Recommendation Q.2931, Broadband Integrated Service Digital Network (B-ISDN) Digital Subscriber Signalling System No.2 (DSS2) User-Network Interface (UNI) Layer 3 Specification for Basic Call/Connection Control (September 1994) - ITU-T Draft Recommendation Q.2971, B-ISDN DSS 2 User Network Interface Layer 3 Specification for Point-to-multipoint Call/connection Control (May 1995) ATM Forum UNI 3.0: Version 3.0 (UNI 3.0) Specification, ATM Forum, ATM User-Network Interface, (1994). ATM Forum UNI 3.1: ATM Forum, ATM User-Network Interface, Version 3.1 (UNI 3.1) Specification, (November 1994). ATM Forum UNI Signalling 4.0: ATM Forum, ATM User-Network Interface (UNI) Signalling Specification Version 4.0, af-sig-0061.000 (June 1996). ATM Forum IISP (based on UNI 3.0 or UNI 3.1) : Interim Inter-switch Signaling Protocol (IISP) Specification, Version 1.0, af-pnni-0026.000, (December 1994). ATM Forum PNNI 1.0 : Specification, Version 1.0, af-pnni-0055.000, ATM Forum, Private Network-Network Interface (March 1996). Noto, et. al. Standards Track [Page 6] ``` ATM Forum B-ICI: ATM Forum, B-ICI Specification, Version 2.0, af-bici-0013.002, (November 1995). ATM Forum UNI PVC Only: An ATM Forum compliant UNI with the signalling disabled. ATM Forum NNI PVC Only: An ATM Forum compliant NNI with the signalling disabled." SYNTAX INTEGER { other(1), autoConfig(2), ituDss2(3), atmfUni3Dot0(4), atmfUni3Dot1(5), atmfUni4Dot0(6), atmfIispUni3Dot0(7), atmfIispUni3Dot1(8), atmfIispUni4Dot0(9), atmfPnni1Dot0(10), atmfBici2Dot0(11), atmfUniPvcOnly(12), atmfNniPvcOnly(13) } AtmServiceCategory ::= TEXTUAL-CONVENTION STATUS current DESCRIPTION "The service category for a connection." REFERENCE "ATM Forum Traffic Management Specification, Version 4.0, af-tm-0056.000, June 1996." SYNTAX INTEGER { other(1), -- none of the following cbr(2), -- constant bit rate rtVbr(3), -- real-time variable bit rate nrtVbr(4), -- non real-time variable bit rate abr(5), -- available bit rate ubr(6) -- unspecified bit rate } AtmSigDescrParamIndex ::= TEXTUAL-CONVENTION STATUS current DESCRIPTION "The value of this object identifies a row in the atmSigDescrParamTable. The value 0 signifies that none of the signalling parameters defined in the atmSigDescrParamTable are applicable." ``` Noto, et. al. Standards Track [Page 7] ``` SYNTAX INTEGER (0..2147483647) AtmTrafficDescrParamIndex ::= TEXTUAL-CONVENTION STATUS current DESCRIPTION "The value of this object identifies a row in the atmTrafficDescrParamTable. The value 0 signifies that no row has been identified." SYNTAX INTEGER (0..2147483647) AtmVcIdentifier ::= TEXTUAL-CONVENTION STATUS current DESCRIPTION "The VCI value for a VCL. The maximum VCI value cannot exceed the value allowable by atmInterfaceMaxVciBits defined in ATM-MIB." SYNTAX INTEGER (0..65535) AtmVpIdentifier ::= TEXTUAL-CONVENTION STATUS current DESCRIPTION "The VPI value for a VPL or VCL. The value VPI=0 is only allowed for a VCL. For ATM UNIs supporting VPCs the VPI value ranges from 0 to 255. The VPI value 0 is supported for ATM UNIs conforming to the ATM Forum UNI 4.0 Annex 8 (Virtual UNIs) specification. For ATM UNIs supporting VCCs the VPI value ranges from 0 to 255. For ATM NNIs the VPI value ranges from 0 to 4095. The maximum VPI value cannot exceed the value allowable by atmInterfaceMaxVpiBits defined in ATM-MIB." SYNTAX INTEGER (0..4095) AtmVorXAdminStatus ::= TEXTUAL-CONVENTION STATUS current DESCRIPTION "The value determines the desired administrative status of a virtual link or cross-connect. The up and down states indicate that the traffic flow is enabled or disabled respectively on the virtual link or cross-connect." SYNTAX INTEGER { up(1), down(2) } AtmVorXLastChange ::= TEXTUAL-CONVENTION STATUS current ``` Noto, et. al. Standards Track [Page 8] ``` DESCRIPTION "The value of MIB II's sysUpTime at the time a virtual link or cross-connect entered its current operational state. If the current state was entered prior to the last re-initialization of the agent then this object contains a zero value." SYNTAX TimeTicks AtmVorXOperStatus ::= TEXTUAL-CONVENTION STATUS current DESCRIPTION "The value determines the operational status of a virtual link or cross-connect. The up and down states indicate that the traffic flow is enabled or disabled respectively on the virtual link or cross-connect. The unknown state indicates that the state of it cannot be determined. The state will be down or unknown if the supporting ATM interface(s) is down or unknown respectively." SYNTAX INTEGER { up(1), down(2), unknown(3) } -- OBJECT-IDENTITIES: -- The following atmTrafficDescriptorTypes has been moved -- from RFC1695 and no longer appear in the revision of -- RFC1695[3]. atmTrafficDescriptorTypes OBJECT IDENTIFIER ::= {mib-2 37 1 1} -- atmMIBObjects -- See [3]. -- All other and new OBJECT IDENTITIES -- are defined under the following subtree: atmObjectIdentities OBJECT IDENTIFIER ::= {atmTCMIB 1} -- The following values are defined for use as -- possible values of the ATM traffic descriptor type. atmNoTrafficDescriptor OBJECT-IDENTITY STATUS deprecated ``` Noto, et. al. Standards Track [Page 9] ``` DESCRIPTION "This identifies the no ATM traffic descriptor type. Parameters 1, 2, 3, 4, and 5 are not used. This traffic descriptor type can be used for best effort traffic." ::= {atmTrafficDescriptorTypes 1} atmNoClpNoScr OBJECT-IDENTITY STATUS current DESCRIPTION "This traffic descriptor type is for no CLP and no Sustained Cell Rate. The use of the parameter vector for this type: Parameter 1: peak cell rate in cells/second for CLP=0+1 traffic Parameter 2: not used Parameter 3: not used Parameter 4: not used Parameter 5: not used." REFERENCE "ATM Forum,ATM User-Network Interface, Version 3.0 (UNI 3.0) Specification, 1994. ATM Forum, ATM User-Network Interface, Version 3.1 (UNI 3.1) Specification, November 1994." ::= {atmTrafficDescriptorTypes 2} atmClpNoTaggingNoScr OBJECT-IDENTITY STATUS deprecated DESCRIPTION "This traffic descriptor is for CLP without tagging and no Sustained Cell Rate. The use of the parameter vector for this type: Parameter 1: peak cell rate in cells/second for CLP=0+1 traffic Parameter 2: peak cell rate in cells/second for CLP=0 traffic Parameter 3: not used Parameter 4: not used Parameter 5: not used." ::= {atmTrafficDescriptorTypes 3} atmClpTaggingNoScr OBJECT-IDENTITY STATUS deprecated DESCRIPTION "This traffic descriptor is for CLP with tagging and no Sustained Cell Rate. The use of the parameter vector for this type: ``` ``` Parameter 1: peak cell rate in cells/second for CLP=0+1 traffic Parameter 2: peak cell rate in cells/second for CLP=0 traffic, excess tagged as CLP=1 Parameter 3: not used Parameter 4: not used Parameter 5: not used." ::= {atmTrafficDescriptorTypes 4} atmNoClpScr OBJECT-IDENTITY STATUS current DESCRIPTION "This traffic descriptor type is for no CLP with Sustained Cell Rate. The use of the parameter vector for this type: Parameter 1: peak cell rate in cells/second for CLP=0+1 traffic Parameter 2: sustainable cell rate in cells/second for CLP=0+1 traffic Parameter 3: maximum burst size in cells Parameter 4: not used Parameter 5: not used." REFERENCE "ATM Forum,ATM User-Network Interface, Version 3.0 (UNI 3.0) Specification, 1994. ATM Forum, ATM User-Network Interface, Version 3.1 (UNI 3.1) Specification, November 1994." ::= {atmTrafficDescriptorTypes 5} atmClpNoTaggingScr OBJECT-IDENTITY STATUS current DESCRIPTION "This traffic descriptor type is for CLP with Sustained Cell Rate and no tagging. The use of the parameter vector for this type: Parameter 1: peak cell rate in cells/second for CLP=0+1 traffic Parameter 2: sustainable cell rate in cells/second for CLP=0 traffic Parameter 3: maximum burst size in cells Parameter 4: not used Parameter 5: not used." REFERENCE "ATM Forum,ATM User-Network Interface, Version 3.0 (UNI 3.0) Specification, 1994. ATM Forum, ATM User-Network Interface, ``` ``` Version 3.1 (UNI 3.1) Specification, November 1994." ::= {atmTrafficDescriptorTypes 6} atmClpTaggingScr OBJECT-IDENTITY STATUS current DESCRIPTION "This traffic descriptor type is for CLP with tagging and Sustained Cell Rate. The use of the parameter vector for this type: Parameter 1: peak cell rate in cells/second for CLP=0+1 traffic Parameter 2: sustainable cell rate in cells/second for CLP=0 traffic, excess tagged as CLP=1 Parameter 3: maximum burst size in cells Parameter 4: not used Parameter 5: not used." REFERENCE "ATM Forum,ATM User-Network Interface, Version 3.0 (UNI 3.0) Specification, 1994. ATM Forum, ATM User-Network Interface, Version 3.1 (UNI 3.1) Specification, November 1994." ::= {atmTrafficDescriptorTypes 7} atmClpNoTaggingMcr OBJECT-IDENTITY STATUS current DESCRIPTION "This traffic descriptor type is for CLP with Minimum Cell Rate and no tagging. The use of the parameter vector for this type: Parameter 1: peak cell rate in cells/second for CLP=0+1 traffic Parameter 2: CDVT in tenths of microseconds Parameter 3: minimum cell rate in cells/second Parameter 4: unused Parameter 5: unused." REFERENCE "ATM Forum,ATM User-Network Interface, Version 3.0 (UNI 3.0) Specification, 1994. ATM Forum, ATM User-Network Interface, Version 3.1 (UNI 3.1) Specification, November 1994." ::= {atmTrafficDescriptorTypes 8} atmClpTransparentNoScr OBJECT-IDENTITY STATUS current ``` DESCRIPTION Parameter 2: CDVT in tenths of microseconds "This traffic descriptor type is for the CLPtransparent model and no Sustained Cell Rate. The use of the parameter vector for this type: Parameter 1: peak cell rate in cells/second for CLP=0+1 traffic Parameter 3: not used Parameter 5: not used. Parameter 4: not used This traffic descriptor type is applicable to connections following the CBR.1 conformance definition. Connections specifying this traffic descriptor type will be rejected at UNI 3.0 or UNI 3.1 interfaces. For a similar traffic descriptor type that can be accepted at UNI 3.0 and UNI 3.1 interfaces, see atmNoClpNoScr." REFERENCE ATM Forum, Traffic Management Specification, Version 4.0, af-tm-0056.000, June 1996." ::= {atmTrafficDescriptorTypes 9} "ATM Forum,ATM User-Network Interface, Version 3.0 (UNI 3.0) Specification, 1994. ATM Forum, ATM User-Network Interface, Version 3.1 (UNI 3.1) Specification, November 1994. atmClpTransparentScr OBJECT-IDENTITY DESCRIPTION STATUS current "This traffic descriptor type is for the CLP- The use of the parameter vector for this type: transparent model with Sustained Cell Rate. Parameter 1: peak cell rate in cells/second Parameter 2: sustainable cell rate in cells/second for CLP=0+1 traffic for CLP=0+1 traffic Parameter 3: maximum burst size in cells Parameter 4: CDVT in tenths of microseconds Parameter 5: not used. This traffic descriptor type is applicable to connections following the VBR.1 conformance definition. Connections specifying this traffic descriptor type will be rejected at UNI 3.0 or UNI 3.1 interfaces. For a similar traffic descriptor type that can be accepted at UNI 3.0 and UNI 3.1 interfaces, see atmNoClpScr." REFERENCE ATM Forum, Traffic Management Specification, Version 4.0, af-tm-0056.000, June 1996." ::= {atmTrafficDescriptorTypes 10} "ATM Forum,ATM User-Network Interface, Version 3.0 (UNI 3.0) Specification, 1994. ATM Forum, ATM User-Network Interface, Version 3.1 (UNI 3.1) Specification, November 1994. atmNoClpTaggingNoScr OBJECT-IDENTITY DESCRIPTION STATUS current "This traffic descriptor type is for no CLP with tagging and no Sustained Cell Rate. The use of the parameter vector for this type: Parameter 1: peak cell rate in cells/second for CLP=0+1 traffic Parameter 3: not used Parameter 2: CDVT in tenths of microseconds Parameter 4: not used Parameter 5: not used. This traffic descriptor type is applicable to connections following the UBR.2 conformance definition ." "ATM Forum,ATM User-Network Interface, REFERENCE Version 3.0 (UNI 3.0) Specification, 1994. Version 3.1 (UNI 3.1) Specification, ATM Forum, ATM User-Network Interface, November 1994. ATM Forum, Traffic Management Specification, Version 4.0, af-tm-0056.000, June 1996." ::= {atmTrafficDescriptorTypes 11} atmNoClpNoScrCdvt OBJECT-IDENTITY DESCRIPTION STATUS current "This traffic descriptor type is for no CLP and no Sustained Cell Rate. The use of the parameter vector for this type: Parameter 1: peak cell rate in cells/second for CLP=0+1 traffic Parameter 3: not used Parameter 2: CDVT in tenths of microseconds Parameter 4: not used Parameter 5: not used. This traffic descriptor type is applicable to CBR connections following the UNI 3.0/3.1 conformance definition for PCR CLP=0+1. These CBR connections differ from CBR.1 connections in that the CLR objective applies only to the CLP=0 cell flow. This traffic descriptor type is also applicable to connections following the UBR.1 conformance definition." "ATM Forum,ATM User-Network Interface, Version 3.0 (UNI 3.0) Specification, 1994. ATM Forum, ATM User-Network Interface, Version 3.1 (UNI 3.1) Specification, November 1994. REFERENCE ATM Forum, Traffic Management Specification, Version 4.0, af-tm-0056.000, June 1996." ::= {atmTrafficDescriptorTypes 12} atmNoClpScrCdvt OBJECT-IDENTITY DESCRIPTION STATUS current "This traffic descriptor type is for no CLP with Sustained Cell Rate. The use of the parameter vector for this type: Parameter 2: sustainable cell rate in cells/second for CLP=0+1 traffic Parameter 1: peak cell rate in cells/second for CLP=0+1 traffic Parameter 3: maximum burst size in cells Parameter 5: not used. Parameter 4: CDVT in tenths of microseconds This traffic descriptor type is applicable to VBR connections following the UNI 3.0/3.1 conformance definition for PCR CLP=0+1 and SCR CLP=0+1. These VBR connections differ from VBR.1 connections in that the CLR objective applies only to the CLP=0 cell flow." REFERENCE ``` "ATM Forum,ATM User-Network Interface, Version 3.0 (UNI 3.0) Specification, 1994. ATM Forum, ATM User-Network Interface, Version 3.1 (UNI 3.1) Specification, November 1994. ATM Forum, Traffic Management Specification, Version 4.0, af-tm-0056.000, June 1996." ::= {atmTrafficDescriptorTypes 13} atmClpNoTaggingScrCdvt OBJECT-IDENTITY STATUS current DESCRIPTION "This traffic descriptor type is for CLP with Sustained Cell Rate and no tagging. The use of the parameter vector for this type: Parameter 1: peak cell rate in cells/second for CLP=0+1 traffic Parameter 2: sustainable cell rate in cells/second for CLP=0 traffic Parameter 3: maximum burst size in cells Parameter 4: CDVT in tenths of microseconds Parameter 5: not used. This traffic descriptor type is applicable to connections following the VBR.2 conformance definition." REFERENCE "ATM Forum,ATM User-Network Interface, Version 3.0 (UNI 3.0) Specification, 1994. ATM Forum, ATM User-Network Interface, Version 3.1 (UNI 3.1) Specification, November 1994. ATM Forum, Traffic Management Specification, Version 4.0, af-tm-0056.000, June 1996." ::= {atmTrafficDescriptorTypes 14} atmClpTaggingScrCdvt OBJECT-IDENTITY STATUS current DESCRIPTION "This traffic descriptor type is for CLP with tagging and Sustained Cell Rate. The use of the parameter vector for this type: Parameter 1: peak cell rate in cells/second for CLP=0+1 traffic Parameter 2: sustainable cell rate in cells/second for CLP=0 traffic, excess tagged as CLP=1 Parameter 3: maximum burst size in cells ``` Parameter 4: CDVT in tenths of microseconds Parameter 5: not used. This traffic descriptor type is applicable to connections following the VBR.3 conformance definition." "ATM Forum,ATM User-Network Interface, REFERENCE Version 3.0 (UNI 3.0) Specification, 1994. Version 3.1 (UNI 3.1) Specification, ATM Forum, ATM User-Network Interface, November 1994. ATM Forum, Traffic Management Specification, Version 4.0, af-tm-0056.000, June 1996." ::= {atmTrafficDescriptorTypes 15} END 3. Acknowledgments This document is a product of the AToMMIB Working Group. 4. References [1] Case, J., McCloghrie, K., Rose, M. and S. Waldbusser, "Textual Conventions for Version 2 of the Simple Network Management Protocol (SNMPv2)", RFC 1903, January 1996. [2] Case, J., McCloghrie, K., Rose, M. and S. Waldbusser, "Structure of Management Information for Version 2 of the Simple Network Management Protocol (SNMPv2)", RFC 1902, January 1996. [3] Tesink, K., Editor, "Definitions of Managed Objects for ATM Management", RFC 2515, February 1999. 5. Security Considerations This memo defines textual conventions and object identities for use in ATM MIB modules. Security issues for these MIB modules are addressed in the memos defining those modules. 6. Authors' Addresses Michael Noto 3Com Corporation 5400 Bayfront Plaza, M/S 3109 Santa Clara, CA 95052 Phone +1 408 326 2218 Email: firstname.lastname@example.org Ethan Mickey Spiegel Cisco Systems 170 W. Tasman Dr. San Jose, CA 95134 USA Phone +1 408 526 6408 EMail: email@example.com Kaj Tesink Bellcore 331 Newman Springs Road P.O. Box 7020 Red Bank, NJ 07701-7020 Phone: (732) 758-5254 EMail: firstname.lastname@example.org 7. Intellectual Property The IETF takes no position regarding the validity or scope of any intellectual property or other rights that might be claimed to pertain to the implementation or use of the technology described in this document or the extent to which any license under such rights might or might not be available; neither does it represent that it has made any effort to identify any such rights. Information on the IETF's procedures with respect to rights in standards-track and standards-related documentation can be found in BCP-11. Copies of claims of rights made available for publication and any assurances of licenses to be made available, or the result of an attempt made to obtain a general license or permission for the use of such proprietary rights by implementors or users of this specification can be obtained from the IETF Secretariat. The IETF invites any interested party to bring to its attention any copyrights, patents or patent applications, or other proprietary rights which may cover technology that may be required to practice this standard. Please address the information to the IETF Executive Director. 8. Full Copyright Statement Copyright (C) The Internet Society (1999). All Rights Reserved. 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OPEN WHEEL WEEKEND Friday, May 29 – Saturday, May 30, 2015 Thompson Speedway Motorsports Park OPEN WHEEL WEEKEND EVENT DATES: Friday, May 29– Saturday, May 30, 2015 TRACK: Thompson Speedway Motorsports Park (CT) TRACK WEBSITE: ww.thompsonspeedway.com TRACK PHONE: (860) 923-2280 COURSE CONFIGURATION: 1.7-mile (LONG COURSE) PROMOTER: OTB Promotions, Inc. EVENT WEBSITE: www.otbpromos.net OTB PHONE: (860) 460-0930 EVENT: The Open Wheel Weekend is a racing event, conducted by Formula Lites and OTB Promotions, Inc. The event will be governed by the information in these supplemental regulations for the following classes: Spec Racer Ford, Legends, and Formula V. The Chief Steward and or Promoters have the authority to enforce such regulations and track rules. Their interpretation shall be final and may not be protested. EVENT HASHTAG: #OpenWheelWeekend SUPPLEMENTAL REGULATIONS GENERAL 1. OFFICIALS. The primary official contacts for the event are: 2. CANCELLATION. The organizers reserve the right to cancel or postpone the event should circumstances develop beyond their control. If possible, all entrants will receive advance notice of such action and advice on refund arrangements. For event status contact the Registrar. 3. CAR ELIGIBILITY. Spec Racer Ford (SRF), Formula V and INEX Legends are the three run groups. The SRF and Formula V groups will be governed by SCCA rules and regulations. All Legends cars must conform to the INEX rulebookl. This is a non-point, non-championship race event for the SRF and Formula V groups. Legends results will be reported to INEX. * OTB decals as provided must be displayed. * Cars must meet the minimum safety requirements of the organization that classified the race car. * Current car logbooks from the appropriate organization must be presented in Tech, however, an additional inspection, on the discretion of the Chief Steward or Tech Inspector may be required. * Competitors must have a copy of their appropriate class specifications in their possession during the event and must make them available to race officials upon request. Tires for this event are open to all race appropriate tires. 4. DRIVER ELIGIBILITY. The event is open to holders of all licenses eligible for regional competition in SCCA, NASA, IMSA, PCA, VRG, VSCCA and BMWCCA. Drivers must hold valid current licenses. NOTE: license holders with FIA licenses from foreign countries must have a permission letter from their ASN (issuing club) and a copy must be submitted with entry. 5. ENTRIES. The entry form will be posted on the event page on the OTB Promotions website: www.otbpromos.net. Once completed, entry forms should be mailed to OTB Promotions, Inc., 636 Pendleton Hill Road, North Stonington, CT 06359 The entry fee is $250. Full payment is due before any team will be granted entry. A $50 fee will be charged for insufficient funds. Registration is not complete or guaranteed until full payment is received. 6. WITHDRAWALS AND REFUNDS. Refunds may be issued at the discretion of OTB Promotions, Inc. 7. REGISTRATION. Sign-in and on-site registration will be in the Guest Registration Building at the track entrance. Participants will be asked to sign a track waiver as they enter the facility, also. Registration will be open as listed in the schedule. All persons attending the event must register and sign the release during these hours. At other times check at the Registration Center for registration information. The organizers reserve the right to request cash payment. 8. ENTRANT. Each team must designate an Entrant who will be the contact person both pre-event and post event. The Entrant must be a member of the crew; team names, business names, etc. cannot be listed. The email address and mailing address on the entry should be those of the Entrant and will be used for all official communications. The Entrant can be changed only with written permission from OTB Promotions. 9. MINORS. Minors under 18 years of age must be accompanied by a parent or guardian to sign a minor waiver or must present a notarized minor waiver. Note that no one under 16 years of age is allowed in hot areas including the Hot Pits and the Staging Area. Any drivers who are minors may enter the hot areas. 10. SCHEDULE. The attached schedule (Appendix A) contains session times for the event. 11. RACE. The race length shall be the distance covered by the overall winning car beginning with an official race start (green flag) and ending when the overall lead car - still running - crosses the finish line after the posted race time. 12. SOUND CONTROL. Sound Control is in effect. The 2015 sound limit is 103 dB. Whenever possible, a sign board with the word 'Sound' and a car number will be displayed at Start/Finish the first time that a reading over 103db is reported. This display, or lack thereof, is informational only and may not be protested. 13. IMPOUND. Upon completion of each race, the top five will be directed to the Tech Garage and the impound area. Top finishers in certain classes may be selected for weighing and other inspections. Any car is subject to inspection by the Chief Steward or Tech at any time during the event. Inspections for the Legends will governed by INEX rules. SRF and Formula V will be governed by SCCA rules. 14. AWARDS. There will be an awards ceremony on the Victory Podium immediately following each of the races for the top three teams in each run group. The ceremony will be held in the Tech Garage in case of inclement weather. Each winning team should plan to pick up their trophies at the event; trophies will not be mailed. Teams must relinquish the trophy in the event of a technical rules violation. 15. PADDOCK. The traffic flow in the paddock is counter clockwise. In other words, when traveling in the garage area the garage building should stay to the driver's left. In addition, cords may not run across the travel lane during on track activity. Cords being run while the track is cold must be covered by a yellow jacket cable protector. To facilitate emergency vehicle access, race and personal vehicles must not be parked on any paddock road or safety access lane during an Event. Any vehicle not in compliance will be towed at owner's expense. Speeding (over 10 MPH) and reckless driving in the Paddock are strictly prohibited. No stakes or holes may be driven into the asphalt; nothing may be painted on the asphalt surface. Receptacles will be available for used oil and other fluids. All trash and hazardous debris must be disposed of properly or taken with you when you leave - the facility must be left as we found it. Absolutely no alcohol may be consumed in the Paddock during the day's racing events. Alcohol may be consumed 15 minutes following the completion of on-track activity for the day. 16. VEHICLES. The speed limit in the Paddock is 10 mph. The speed on access roads is 20 mph. Race cars not street licensed may not be driven outside of the Paddock. Absolutely no testing or brake bedding on infield roads is permitted. 17. GARAGES. A limited number of event garages are available from TSMP. For additional information, contact TSMP at (860) 923-2280 or visit TSMP Garage Reservation page. 18. TRACK ACCESS. No motorized vehicles are allowed on the race course or in the pit lane before the start or after the end of the scheduled competition activities on any day of the event. 19. DAMAGES. Any participant causing damage to OTB Promotions, Inc. equipment or the TSMP facilities, intentionally or by gross negligence as determined solely by the event officials, will be financially liable for the resulting replacement or repair. RACE OPERATIONS 1. FLAGS. The flag procedures for this event will be discussed at the driver's meeting each day; and will generally follow SCCA rules. 2. SIGNAL LIGHTS. Two Whelen safety/strobe lights are located between turns five and six, heading under, and out of the bridge. When one solid yellow light is illuminated, it will be the equivalent of a standing yellow flag. Two flashing yellow lights will be the equivalent of a waving yellow. A solid red light will be the equivalent of a red flag. No passing is permitted until the driver reaches the next station with "no flag." The light may be used at the discretion of the corner workers to warn a driver of an incident between the lights, or after them. 3. EMERGENCY VEHICLES. Safety car, emergency equipment or tow vehicles will have appropriate warning lights in operation. Be aware that these vehicles may enter or exit the track from any location. 4. RADIO FREQUENCIES. The following radio frequencies are reserved for official use and must not be used by teams during the race: 464.5000, 459.61250, 460.03750, 460.31250, 469.9000. 5. ASSISTANCE. No material or other assistance, except by officials, is allowed an entry when the car is away from the pits and paddock. COMPETITOR INFORMATION 1. MANDATORY DRIVER'S MEETING. The driver from each team must attend this meeting. The times of the driver's meetings are posted on the schedule. Roll may be called and a penalty may be applied for non-attendance. 2. QUALIFYING/STARTING POSITIONS/GRID. For the Qualifying Race, grid positions will be determined by the fastest lap timed during the official qualifying session for each car as determined by the Chief of Timing & Scoring. For the Race, grid positions will be determined by fastest lap timed during the official qualifying race session. At the discretion of the Chief Steward, non-qualifiers may be gridded at the back of the pack. Gridding for the race will be at the end of pit lane on the Paddock A side. 3. BODY DAMAGE & MAJOR REPAIRS. Any car suffering severe body damage may be prevented from continuing until satisfactory repairs are made. Major repairs or ones requiring extra supplies and/or equipment shall be performed in the Paddock. 4. RESULTS AND PROTESTS. The standings at the end of each race will be posted on the Information Board at the base of the Tower. Any discrepancies with these postings of the official standings should be discussed with Timing & Scoring within thirty (30) minutes of the posting time. If the discrepancy cannot be resolved, an additional 30 minutes will be allowed for lodging a protest with the Chief Steward. If no protests are received, provisional results become Official thirty (30) minutes after posting. Protests may only be submitted by the Driver to the Chief Steward. 5. 6. TEAM DATA. Team data includes crew information (crew member names, status, license grade, etc.) as well as the car information (make, model, transponder #, etc.) and will be collected with registration. It is the responsibility of the Entrant to have the team data entered completely and properly. This data will be downloaded at 9:00 a.m. on the April 16. Changes made after that may not be reflected in published materials. TIMING & SCORING. AMB Tranx260 Transponders will be used at this event and are required. A limited number of rental units may be available from the TSMP. Transponders will be available on a first-come, first-served basis the weekend of the event.. A working and charged transponder must be mounted on each car. It is the competitors' responsibility to notify Timing & Scoring of their transponder number by writing it on the T&S section of the entry form or by reporting to T&S in person. It is also the competitors' responsibility that their transponder is working and charged sufficiently to be read by the AMB System. Non official timing lights may not be within 30 feet of the timing line. Track records will be recognized during this event. Timing & Scoring will broadcast a wireless feed from the Orbits Timing system for the benefit of competitors. There is no guarantee that the signal will be available in all areas or to all competitors. This transmission can be received and displayed with the Race Monitor App. Information on the app will be available from Timing & Scoring. The use of this feed is unofficial and cannot be protested. 7. TECH INSPECTION. Tech inspection will be conducted at the Tech Garage in the Paddock area. You must have proof of registration to get a tech sticker. 8. TOW HOOKS. Tow hooks/hoops are mandatory to expedite the towing process. 9. FUEL. Fuel is available 24 hours per day at the gas pumps located in Paddock A. Available fuel is: 93 Octane Unleaded, 98 Octane Unleaded and 112 Octane Leaded. PIT RULES These rules will be strictly enforced. Infractions may incur a penalty as determined by the Chief Steward. 1. PIT SPEED. Driving in the Pit Lane must be no more than 30 MPH with no reckless stops or starts. 2. EQUIPMENT STAGING. The staging of equipment (i.e. wheels, jacks, etc.) prior to a pit stop is not allowed. No materials or equipment may be stored in the hot pits except by express permission of the Pit Marshal. Only one person is allowed in the hot pits as a guide until the car has come to a complete stop. 3. HOT PIT SAFETY. The hot pit is defined as the area from the Pit Rail to the outer Pit Wall a. While working on or near the car, long pants, shirts and shoes that cover the entire foot are required. b. No welding or spark producing activity is allowed. c. No grills or open flames are allowed. No smoking. d. No one under the age of 16 allowed. e. No spikes or other objects may be driven into the asphalt. f. Standing on pit wall is not permitted. g. Shorts are not permitted on pit lane (in hot pits) during racing events. Shorts are never permitted on corner stations. Open toed shoes are not allowed on pit lane or at corner stations while the track is hot. 4. JACK STANDS. Whenever a crew member is working beneath a car, it must be supported by a minimum of two jack stands. Jack stands must be placed on a wood or metal plate to avoid pavement damage. TRACK REGULATIONS AND INFORMATION 1. CAMPING. Tent and motorhome camping is available at no cost. Campfires / ground fires are not permitted. See TSMP General Information for additional information. Electrical hookups water and sewer are not available. 2. BRIDGE LIGHTS. The lights on either side of the bridge allowing entry and egress to the paddock are on a timer. The lights will change approximately every 90 seconds, and must by obeyed. 3. PERSONAL PADDOCK VEHICLES (PPV). Children under the age of sixteen (16) are not permitted to drive golf carts or operate any other motorized vehicles at TSMP. This applies to all golf carts, whether rented from TSMP or privately owned. The use of non-golf cart personal paddock vehicles (i.e. atv) are allowed in the paddock only. Golf carts may be operated anywhere on the facility. Common sense and care must be exercised and applied to the use of such vehicles. Personal powered vehicles including skates, skateboards, razor scooters, mini-bikes and similar devices are NOT permitted in the paddock. 4. SERVICES. Electricity, water, compressed air, restrooms and refreshments are available at Thompson Speedway Motorsports Park. Racing gas will be available around the clock at the Sunoco fuel station behind the garage. A fluid disposal station is located next to the fuel pumps. 5. FUELING IN THE GARAGE. Fueling is not permitted in the garage area at any time. All fuel cans must be left outside the garage at all times – regardless of whether full or not. 6. PETS. Pets are welcome at TSMP. If brought, all pets must be kept on a leash. Owners are responsible for cleaning up after their pets. 7. SMOKING. TSMP prohibits smoking in any public buildings. 8. TRACK SECURITY. Security guards are available at the track. The organizers and TSMP will not be responsible for damage or theft of equipment. 9. SIGNS. No signs may be posted on any track facility. 10. VENDING. No products or services may be sold on the facility without the express written consent of TSMP. All vendors must register with TSMP. 11. FOOD SERVICES. TSMP Food and Beverage is the sole provider for on-site concessions and hospitality (catering). No outside catering is permitted at TSMP. Thursday, May 28 APPENDIX A RUN GROUP SCHEDULE Saturday, May 30 APPENDIX B THOMPSON SPEEDWAY MOTORSPORTS PARK Directions to Thompson Speedway Motorsports Park 205 East Thompson Road Thompson, CT 06277 Thompson Speedway Motorsports Park Accomodations
December 2018 www.greektribune.com.au - Μοbile: 04 0886 5004 - Email: firstname.lastname@example.org GREEK TRIBUNE CURRENT AFFAIRS Diplomats accused of crimes against children Turkish opposition calls for another Cyprus invasion Every Australian state and territory has been impacted by wild weather over the past few days. Wild South Australian storm tears roofs and downs trees In South Australia, 40,000 properties were left without power and several homes were damaged as wind gusts of over 100 kilometres per hour hit on Wednesday night. The sheer force of overnight winds removed roofs from houses and brought down trees and powerlines, with gusts of almost 100 kilometres per hour recorded at Adelaide Airport. About 100,000 properties have been impacted or had power outages. Victoria also saw severe thunderstorms, as well as South East Queensland and New South Wales. Several homes in Adelaide have been left in ruins and 16,000 properties are still without power following destructive wild weather last night. The State Emergency Service (SES) has been overwhelmed by call-outs and has responded to about 800 incidents since Wednesday afternoon. The Bureau of Meteorology said a deep low pressure system had moved across the state, bringing up to 40 millimetres of rain over the Adelaide Hills. Storm aftermath at Kensington Gardens FECCA: Immigration decision shows lack of leadership al leadership with a comprehensive plan to improve the nation's infrastructure so that it can service a growing, prosperous nation. "At a time when leadership is required, we see Prime Minister Scott Morrison reacting to a divisive agenda", the Chairperson of FECCA, Mary Patetsos, said. "It is not good enough for the nation's Prime Minister to abandon longterm vision for our future and opt for short-term populist politics. The Federation of Ethnic Communities' Councils of Australia (FECCA) said today that the Prime Minister's snap decision to cut immigration numbers by 30,000 showed a lack of leadership and was driven by dubious polling. "Our strong immigration level is vital to Australia's economic growth, something Mr Morrison himself emphasised earlier this year when he declared that cutting immigration would negatively impact the Budget, that it would 'hit the bottom line, the deficit' "The real issue in the so-called 'immigration debate' is inadequate infrastructure, not migrant numbers. We need a Government that shows true leadership on population policy," Ms Patetsos said. "Instead of now declaring 'enough, enough, enough', Mr Morrison should be showing nation- FECCA is the national peak body representing Australians from culturally and linguistically diverse (CALD) backgrounds. Our role is to advocate and promote issues on behalf of our constituency to government, business and the broader community. GREEK COMMUNITY TRIBUNE ABN: 52366840467 Correspondence to: The Editor, BOX 330, FULHAM GARDENS, SOUTH AUSTRALIA, 5024 Phone: 0408 865004 Website: www.greektribune.com.au E-mail: email@example.com in Syria pay, we will not leave the scene to the bandits of the sea," he said. To rapturous applause from Ankara's parliament, Meral Aksener said "Cyprus is Turkish and will remain Turkish". She said that growing tension over a push to exploit oil and gas reserves in the eastern Mediterranean could lead to open war. One of Turkey's leading opposition figures has caused alarm by calling for an invasion of Cyprus, 44 years after the Mediterranean island was partitioned. Amid growing unease, the US Department of State has called on Turkey to refrain from indulging in rhetoric or action that would cause further tension in the region. "You should know that if need be the Turkish army will launch another invasion of Cyprus as it did in 1974. Former Foreign Minister of Greece Nikos Kotzias revealed on Tuesday that he has referred to the prosecutor charges that Greek diplomats were allegedly involved in issuing illegal visas to unaccompanied children. But, in a sign of how fragile the situation is, the illegal regime of the north this week accused the Cyprus Government of deliberately planning provocations in the buffer zone between the two sides "to create tensions". Turkey has very few natural energy resources of its own and its big energy import bill is a key factor in its wide current account deficit, Intellinews reports. Over 40,000 Turkish troops are stationed in the northern part of the island, an illegal state known as the "Turkish Republic of Northern Cyprus", recognised by no one in the world but Turkey. Aksener, a former interior minister known as the "wolf", claimed that exploration for oil and gas by international energy companies commissioned by the Greek Cypriot government in the south of the island amounted to "imperialist activity" aimed at Ankara. Earlier this month, Turkish President Recep Tayyip Erdogan warned foreign (US and European) oil companies against energy exploration near Cyprus, describing those defying Ankara as "bandits of the sea" who would face a similar response as its foes in Syria. "The ninety-three cases I sent to the prosecutor for violation of the criminal code, and and the fact that some diplomats went to prison because they were giving visas to unaccompanied children is nothing? Do you know what visas to unaccompanied children means? It means organ trafficking. Only the fact that I saved some lives will (allow me to) sleep in peace," the former foreign minister stated. "As we made the terrorists According to reports from Cyprus the UN peacekeeping force, which controls the buffer zone and has been tasked with mediating between both sides, said they were concerned such incidents would undermine peace and stability and upset the status quo on the island. Eleni Glouftsis wins SA Young Australian of the Year Award Other recipients of the award, include: debut will open doors for other young girls who are passionate about professional umpiring. Her tenacity and commitment to overcoming barriers have enabled her to smash through this glass ceiling and redefine the role of women in sport. As a GreekAustralian, Eleni also inspires culturally diverse communities to be included in Australian institutions. 2019 South Australia Australian of the Year – Dr Richard Harris SC OAM 2019 South Australia Local Hero – Megan McLoughlin 2019 South Australia Senior Australian of the Year – Reginald Dodd recipients have been announced recently at a ceremony held at Adelaide Oval. The 2019 South Australia Australian of the Year Award The South Australia Award recipients will become part of 32 State and Territory recipients from around the country. These recipients will represent their state at the national Awards on 25 January 2019 in Canberra, where the four Australians of the Year will be announced. Community Life The 2019 South Australia Young Australian of the Year is 26 year old AFL umpire Eleni Glouftsis of Brunswick. Eleni Glouftsis made history at the age of 25 by becoming the first woman to officiate Australian Football League (AFL) games as a field umpire. While in high school, she began umpiring for amateur leagues and was awarded an AFL Female Pathway Scholarship. Through her dedication to the sport, Eleni became the first female umpire in the South Australian National Football League before going on to umpire 33 senior games for the Victorian Football League. After working hard on her fitness levels, Eleni finally broke though at the highest level in 2017. With no female umpire to look up to in her own career, Eleni hopes her HENLEY BEACH Go Greek Festival! If you enjoy traditional Greek food, music, dance and festivals, then come along to wonderful Henley Beach for a Greek celebration for all to enjoy. Free entry all day – great family fun! The Greek Orthodox Community of SA presents the 'Go-Greek Festival' on 6 January at Henley Beach incorporating the 2019 Annual Blessing of the Waters. The Blessing of the Waters ceremony is an interesting event that everyone enjoys and one which is unique and sacred. The most exciting is where the holy cross is thrown into the waters. As the cross is thrown in by a priest, men plunge into the waters to catch it and try to outrace each other. Whoever manages to be the first and bring it out is believed to be blessed with good luck. Every year on January 6, the Orthodox Church celebrates one of its most sacred days, the Feast of Epiphany. Epiphany celebrates the Baptism of Jesus Christ in the River Jordan. It is also known as the Feast of Theofania because it is when the Most Holy Trinity is revealed to the world through the Baptism of the Lord. On the Day of Epiphany, the Church blesses the sea, the seashores, the islands and those whose liveli hood is dependent upon the sea. Everyone is welcome. Support for Greek Fire victims Due to the tragic fires near Athens, Prof. Greenwood from the (Royal Adelaide Hospital) procured a list of surgical, burns and skin graft apparatus that was required to provide critical surgery for burns victims. The Australian Hellenic Medical Charity Inc. (AHCMI) and the Cyprus Community of South Australia Inc. are proud to have supported the "GREEK FIRES APPEAL" in achieving their first goal. The AHMCI and the Cyprus as part payment of the cost of Community of SA raised $62,550 medical equipment sent from Australia for the Burns Unit at Thriasio General Hospital in Elefsina. We received donations from many South Australians, sponsors and associated organisations including; The Greek orthodox Archdiocese of Adelaide, St Anthony's Greek Orthodox Youth committee, The Hellenic Soccer clubs of SA, West Adelaide, Cobras, Adelaide Olympic, The Kontoleon family, Henley Square Foodland, Colossus Panrhodian Society of SA, Dr Malcolm Nancarrow, Stavroula Mangos, Bill Pitsadiotis, George Boubouras and wish to thank and acknowledge their generous support. City's Cathedral celebration Wednesday night Bishop of Adelaide Chrysostomos along with the rest of the Community's clergy conducted the Great Celebrative Evening Vesper in the presence of the Executive Council members as well as dozens of parishioners. Members of GOCSA's Administrative Council as well as hundreds of the Community's members attended a two-day event that marked the name day celebrations for Adelaide's first Greek Orthodox Church, the cathedral of Archangels Michael & Gabriel on Franklin Street, on Wednesday 7 and Thursday 8 November 2018. The two-day event continued on Thursday morning as hundreds of parishioners came to the Cathedral to attend the Great Divine Liturgy, including Steve Grorganas MP, the President Bill Gonis and members of the Administrative Council. The Divine Liturgy concluded with the traditional procession of the holy icon around the church. The morning service was followed by lunch at Olympic Hall featuring all the favourite grilled delicacies whereas the ladies from the Greek Women Society prepared the popular honey puffs 'loukoumades'. During an interview, Kotzias revealed there are 93 cases involving diplomats illegally issuing visas to unaccompanied migrant minors. The former minister said that some of the diplomats are already in jail because of his initiative, and he alleged that issuing visas to unaccompanied children is tantamount to organ trafficking. Greek Tribune Cultural, social and political events in South Australia Contact: Harri on 0484 387 818 - or email your community's news or a photo: firstname.lastname@example.org The Consul General of Greece Andreas Gouras, addressing a farewell reception given by the Premier of South Australia Stephen Marshall at the old Parliament House on 9 November. Also in the photo, Speaker Vincent Tarzia, General Secretary of GOCSA Dimitris Dimopoulos and President of Cyprus Community Andreas Evdokiou RIGHT: Minister assisting the Premier Jing Lee, Basil Amanatides of the Pontian Society, Governor Hieu Van Le, Connie Bonaros MLC, Greek Consul General and Steve Georganas MP at the Greek Consul General's Farewell reception A wreath laying ceremony took place at the cenotaph at the front of the Archangels Cathedral to mark the historic day of 28th October 1940. A large number of representatives of Australian authorities, official guests and many leaders of Greek community associations, including Ministers Rachel Sanderson and David Pisoni, former Lord Mayor Martin Haese, Labor MPs Katrine Hildyard and Jayne Stinson. Chair of SAMEAC Norm Suller, President of GOCSA Bill Gonis and President of Cyprus Community Andreas Evdokiou lied wreaths at the cenotaph in memory of the heroes who fought against fascism in the second world war. The Premier of South Australia Stephen Marshall and Minister Assisting Jing Lee hosted a reception in honor of the 40th Demetria Festival at the Old Parliament House on 19 November 2018 Members of the Demetria Festival organising committee attended the Premier's Reception at Parliament House on 19 November Cyprus to Build Hospital in Greece's Fire-Stricken Mati President of Cyprus Nikos Anastasiades The Republic of Cyprus announced on Tuesday plans to build a hospital in Mati, the region of Greece which was devastated by the July wildfires, in a gesture of solidarity with Greece. including television channels and individuals, have donated, he stated. Cypriot President Nicos Anastasiades made the announcement after he received a donation of 50,000 euros for the East Attica fire victims on behalf of two Cypriot workers' unions during a meeting at the Presidential Palace. The Cypriot President expressed the need "to have a symbolic building showing the solidarity of the Hellenism of Cyprus when tragedies happen." "We have forwarded our intention, after consultation with the Prime Minister (of Greece) to build a hospital with the money the State and various organizations," "As we have had the support of Greece in many cases in the past, we will show our solidarity as well," the Cypriot President stated."A hospital in the area where the tragic events following the fire in Mati happened will be a donation from the Republic of Cyprus and the Greeks of Cyprus with a specific symbolism," he emphasized. Cuts to firefighting put safety at Adelaide airport at risk imately 3000 people. Currently, during the overnight Curfew period (between 11PM and 6AM), Adelaide Airport has a professional career Aircraft Rescue and Firefighting (ARFF) crew 24-7 in accordance with CASA regulations. The airport is safeguarded by a dedicated crew of 5 staff able to deploy one aviation emergency response vehicle within 3 minutes to any point on the aerodrome. This provides a safe and rapid intervention in an emergency situation. This 40% cut in firefighting staff will severely compromise the crew's ability to assist any aircraft incident on the runway, successfully enter any area of the airport to perform a rescue, or attack any structural fire including the Fuel Facility which holds in excess of 3 million litres of aviation fuel, Terminal, etc. The United Firefighters Union of Australia and Steve Georganas, Federal Member for Hindmarsh, have grave concerns a b o u t A i r s e r v i c e s Australia intentions to cut the professional career firefighting crews at Adelaide airport – putting staff working overnight, aerodrome infrastructure and aircraft at risk. Airservices Australia is fully funded for the ARFF crews, but has decided to put savings before safety in proposing to cut the ARFF crew levels at night – downgrading the emergency response cover from one officer and four firefighters to just one officer and two firefighters. A320s. In addition, there are airport staff, employees of a number of businesses that continue to operate overnight and a steady flow of early morning passengers totalling approx- The curfew at Adelaide airport only prevents large passenger aircraft from landing however, freighters and medical air transport still use the airport, with all 18 aerobridges occupied at night with passenger Boeing 737s and Airbus "The airport remains very active overnight when the curfew is in operation – it would be disastrous for cost-cutting of this nature to result in people getting hurt in times of need". "Airservices Australia's cost cutting exercise is in direct contrast with the current expansion of Adelaide Airport. With the planned extension of the Terminal, construction of an Airport Hotel and a multitude of major upgrades on the aerodrome it seems shortsighted to reduce fire and rescue coverage", Mr Georganas said. PeterMarshall, Secretary, United Firefighters Union of Australia said reduced crews will not be able to undertake fire and rescue duties. "Any reduction in staffing will impact on ARFF's ability to intervene at an emergency. Airservices must acknowledge the growth at Adelaide Airport and provide a safe level of staffing and resources t o m e e t c u s t o m e r expectations in line with other providers. The proactive and strategic direction of Airservices should be to increase the staffing to a crew of 2 officers and 4 firefighters using 2 vehicles to support the inherently high risks involved" he said.
ST. MARK'S LUTHERAN CHURCH Church Staff: The Rev. Dr. David O. Guss, Fr., Ph.D. Ms. Josie Largacha, Administrative Assistant Mr. Adam Cahill, Choir Director Mr. J. Sebastien Rogers, Organist April 29th ASSISTING MINISTER: COUNTERS: USHERS: ALTAR GUILD: Marina Wijesinha Maria Martin FELLOWSHIP: Josie Largacha Traute Baur & Don Bickel Raul & Miriam Calzadilla Serving Next Week, May 6th ASSISTING MINISTER: USHERS: ALTAR GUILD: Josie Largacha Maria Martin COUNTERS: Traute Baur & Don Bickel Jose & Julia Rego Congregational Council 2018-2019 Church Council: Officers: President: Raul "Bubba" Calzadilla Vice President: Jacob Perry Secretary: Charlene Grall Treasurer: Julia Rego Miguel Guerrero William Hill Laurie Hill Tom Johnson Bob Kramer Josie Largacha Maria Martin Timi Nichols ST. MARK'S LUTHERAN CHURCH Evangelical Lutheran Church in America A Reconciling Works Congregation ORDER OF MASS and St. Mark's Messenger Fifth Sunday of Easter April 29, 2018 10:00 A.M. 3930 LeJeune Road Coral Gables, Florida 33134 305.444.0425 email: firstname.lastname@example.org web: www. STMARKSLUTHERANCORALGABLES.COM "ST. MARK'S MESSENGER" Welcome TO ALL OUR VISITORS, FRIENDS, AND MEMBERS: Welcome to worship at St. Mark's Lutheran Church, a multicultural, all-inclusive ecumenical ministry to the community. You are encouraged to join us for refreshments following worship. Please sign our guest book located at the church's front entrance. Restrooms are located on the other side of the east gate as you exit the sanctuary. If you are interested in becoming part of this loving church family, please speak to Pastor today. St. Mark's is a member of the Evangelical Lutheran Church in America and welcomes all believers to receive the Sacrament of Holy Communion. Please visit us www.stmarkslutherancoralgables.org. Thank you for being with us today! INVITE A FRIEND TO CHURCH: Please consider inviting a family member, a friend, or a neighbor to church with you next Sunday. Share the Good News! MINISTRIES NEXT CHURCH COUNCIL MEETING IS THIS TUESDAY, May 1 st Church Council meets this Tuesday, May 1st at 7:00 PM. All Church Council members are encouraged to be in attendance. NEXT MUSIC LEADERSHIP TEAM MEETING – TUESDAY, MAY 8 th Our next Music Leadership Team meeting will be held next Tuesday, May 8 th , 7:30 PM. Team members, please plan to be present. Recruiting New Members for our new Membership Campaign Team A new membership campaign team has formed to help identify new friends and neighbors in the community who are interested in finding a church home. Our next meeting will take place Tuesday, May 15 th at 7:30 PM. Please consider being part of this new effort. PLEASE MAKE A SPECIAL EFFORT TO WELCOME FRIENDS AND NEIGHBORS Let us all make a special effort to always make our friends and neighbors welcome at St. Mark's: 1)introduce them to the Pastor, 2) invite them to sign the guest book, and 3) bring them to fellowship hour to enjoy fellowship and meet new friends. Also, if you know of a friend or neighbor who would be interested in joining St. Mark's, please see Josie or Pr. Guss. Thank you for your support! CARE NETWORK Pastor and Church Council are seeking interested individuals who are willing to be part of St. Mark's Care Network. This group of individuals sends cards, makes phone calls, and occasionally makes visits to the homes of members and friends of the congregation who may not have been able to attend church for a while and/or who need some good cheer. Please see Pastor or Administrative Assistant Josie if you are interested in serving on this vital and important ministry. POST COMMUNION PRAYER A: Let us Pray: C: We give thanks, almighty God, that you have refreshed us through the healing power of this gift of life; and we pray that in your mercy you would strengthen us through this gift, in faith toward you and in fervent love toward one another; for the sake of Jesus Christ our Lord. Amen. BENEDICTION P: The Lord bless you and keep you. The Lord make his face shine on you and be gracious to you. The Lord look upon you with favor …. ☩ ….. And give you peace. C: Amen. SENDING HYMN ELW# 449 SENDING P: Go in peace, serve the Lord! C: Thanks be to God. POSTLUDE –J. Sebastien Rogers, Organist Reprinted fromWords for Worship, copyright 2001Augsburg Fortress. Used by permission of Augsburg Fortress. COMMUNION HYMN "We have been told" Music by: David Haas, Vocal Arrangement by: David Haas and Marty Haugen Text: David Haas, from John 15: 5, 15, 13 COMMUNION HYMN "In His Time" - Words and Music by: Diane Ball Verse 1: In His time...In His time; He makes all things beautiful in His time. Lord, please show me ev'ry day As You're teaching me Your way, That You do just what You say in Your time. Verse 2: In Your time...In Your Time; You make all things beautiful in Your time. Lord, my life to You I bring; May each song I have to sing Be to You a lovely thing in Your time. (After the Eucharistic meal has ended and everyone has returned to their seats, please stand.) 18 P: The body and blood of our Lord Jesus Christ strengthen you keep you in his grace. C: Amen. SPECIAL FELLOWSHIP TODAY TO HONOR OUR CHOIR AND MUSIC LEADERSHIP TEAM Please join us for a Special Fellowship after the Mass today as we honor our Chancel Choir and Music Leadership Team! A big thank you to all our choir members, Choir Director Adam Cahill, and our Organist Sebastien Rogers for all the beautiful music. BARBECUE SUNDAY, MAY 6TH Please join us on Sunday, May 6th for a fun afternoon to enjoy a barbecue after the service. The meat will be provided. Please bring a side dish. We have placed a sign up sheet on the board so you can let us know what side dish you will be bringing. COMING TO CHURCH IS IMPORTANT! As we work together to expand our programs of ministries, all members and friends of the parish are requested to regularly attend weekly worship. HAVE YOU THOUGHT ABOUT OFFERING A RIDE TO YOUR FRIEND OR NEIGHBOR TO WORSHIP? Here is an ABSOLUTELY WONDERFUL IDEA! Have you considered offering a ride to your neighbor, friend, or family member to come to church? What a great way to help a friend and grow our church. Think about it! BIRTHDAY CELEBRATION – NEXT SUNDAY, MAY 6th Please plan to stay for fellowship hour next Sunday immediately after worship as we plan to sing Happy Birthday and celebrate all those members and friends in the parish who are celebrating their birthday during the month of May. NEW CONCEPT – BECOME PART OF MINISTRY WITHOUT ATTENDING A MEETING Please review and identify any one of the list of individual ministries in the areas of Christian Education, Evangelism, Property, and Leadership in which you are interested in serving. Please let Pr. Guss, Administrative Assistant Josie, or any Church Council member know of your interest to serve. Join the team and become a valuable member of a ministry "doing God's work, with our hands." A. WORSHIP MINISTRIES (6) – altar guild, lectors/worship assistants, ushers/greeters, vestry, Chancel Choir, Children's Choir B. CHRISTIAN EDUCATION MINISTRIES (4) – Children Sunday Church School, Adult Bible Study, First Communion & Confirmation Ministry, Youth Ministry C. EVANGELISM MINISTRIES (11 ministries) – Prayer Ministry, Visitation Ministry, Counseling Ministry, Care Network, Fellowship Ministry, Community Outreach, Transportation Ministry, Media Ministry, E.L.C.A. Hunger Fund Ministry, Discretionary Fund Ministry D. LEADERSHIP MINISTRIES (4): Finance Bookkeeping Committee, Property Work Team, Music Leadership Team, Church Council E. INTERNATIONAL CHILDREN'S SCHOOL (Please see stmarkslutherancoralgables.org for more information on each ministry.) 3 HAPPY BIRTHDAY TO APRIL CELEBRANTS 04/01 Frank Garcia, 4/02 Tom Tripod, 4/04 Lewis Price, 4/06 Betty Linquist, 4/12 Stephen Baur, 4/17 Zuly Bassave, 4/17 Christina Baur, 4/19 Robert Kramer 4/19 Brian Calzadilla, 4/19 Ariana Aly, 4/20 Judy Woodrome, 4/21 Cindy Tyler 4/22 Traute Baur, 4/29 Olivia Bodan Martin 4/29 Barbara Givens If we missed listing your birthday, forgive us, Please call the church office and update your information at 305/444-0425 AT ST. MARK'S SUNDAY 04/29: Fifth Sunday of Easter 9:15 a.m.: Choir Practice 10:00 a.m.: Family Worship Mass and Children's Time 11:00 a.m.: Fellowship and Refreshments TUESDAY 05/01: 7:00 p.m.: Church Council Meeting SUNDAY 05/06: Sixth Sunday of Easter 9:15 a.m.: Choir Practice 10:00 a.m.: Family Worship Mass and Children's Time 11:00 a.m.: Barbecue following the Mass THE LORD'S PRAYER P: Gathered into one by the Holy Spirit, let us pray as Jesus taught us. C: Our Father, who art in heaven, hallowed be thy name, thy kingdom come, thy will be done, on earth as it is in heaven. Give us this day our daily bread; and forgive us our trespasses as we forgive those who trespass against us; and lead us not into temptation, but deliver us from evil. For thine is the kingdom, and the power, and the glory, forever and ever. Amen. COMMUNION CANTICLE INVITATION TO COMMUNION P: Come to the banquet, for all is now ready. (Please be seated.) EUCHARISTIC MEAL: (Congregation invited to kneel during Communion by Intinction.) WORDS OF INSTITUTION P: In the night in which he was betrayed, our Lord, Jesus, took bread, and gave thanks: broke it, and gave it to his disciples saying: take and eat, this is my body given for you. Do this in remembrance of me. P: Again after supper, he took the cup, gave thanks and gave it for all to drink, saying: This cup is the new covenant in my blood, shed for you and for all people for the forgiveness of sin. Do this in remembrance of me. P: Through him, with him, in him, in the unity of the Holy Spirit, all glory and honor is yours, almighty Father, now and forever. ORDER OF MASS Mass Intention: To the Glory of God! Introduction This Sunday's image of how the risen Christ shares his life with us is the image of the vine. Christ the vine and we the branches are alive in each other, in the mystery of mutual abiding that we read of in the gospel and the first letter of John. Baptism makes us a part of Christ's living and life-giving self and makes us alive with Christ's life. As the vine brings food to the branches, Christ feeds us at his table. We are sent out to bear fruit for the life of the world. PRELUDE & PEALING OF THE ST. MARK'S MEMORIAL CARILLON WELCOME/ ANNOUNCEMENTS CONFESSION AND ABSOLUTION P: In the Name of the ☩ Father, and of the Son, and of the Holy Spirit. C: Amen. P: Almighty God, to whom all hearts are open, all desires known, and from whom no secrets are hid; cleanse the thoughts of our hearts by the inspiration of your Holy Spirit, that we may perfectly love you and worthily magnify your holy name, through Jesus Christ our Lord. C: Amen. P: If we say we have no sin, we deceive ourselves and the truth is not in us. But if we confess our sins, our God who is faithful and just will forgive our sins and cleanse us from all unrighteouneous. (A time for personal confession and prayer) P: Most merciful God, C: You asked for my hands, my mouth, and my eyes to serve. I've given only a small part of my life to you. Forgive me, renew me, and send me into the world with a changed heart, O God, that I might live to the glory of your holy name. Amen. P: Almighty God, in his mercy, has given his only Son to die for us and, for his sake, forgives us all our sins. As a called and ordained Pastor of the Church of Jesus Christ, and by his authority, I therefore declare unto you the entire forgiveness of all your sins, in the Name of the ☩ Father, and of the Son, and of the Holy Spirit. C: Amen. INTRODUCTORY RITE (Please greet your fellow worshippers with a sign of peace.) P: The peace of the Lord be with you always. C: And also with you. 5 6 (Please stand.) OFFERING Offertory Anthem: "I Am the Vine" Music by: Allen Pote Text Based on John 15: 5-13 OFFERING PRAYER P: Let us Pray. C: Be known to us, O Lord, in the breaking of the bread, as you were made known to the disciples. Receive these gifts, and the offering of our lives, that we may be your risen body in the world. C: Amen. THE GREAT THANKSGIVING P: The Lord be with you. C: And also with you. P: Lift up your hearts. C: We lift them up to the Lord. P: Let us give thanks to the Lord our God. C: It is right to give thanks and praise. It is indeed right, our duty and our joy, that we should at all times and in all places give thanks and praise to you, almighty and merciful God, for the glorious resurrection of our Savior Jesus Christ, the true Paschal Lamb who gave himself to take away our sin; who in dying has destroyed death, and in rising has brought us to eternal life. And so, with Mary Magdalene and Peter and all the witnesses of the resurrection, with earth and sea and all their creatures, and with angels and archangels, cherubim and seraphim, we praise your name and join their unending hymn: APOSTLES' CREED A: Let us confess the words of our faith using the words of the Apostles' Creed. C: I believe in God, the Father almighty, creator of heaven and earth. I believe in Jesus Christ, God's only Son, our Lord, who was conceived by the Holy Spirit, born of the virgin Mary, suffered under Pontius Pilate, was crucified, died, and was buried; he descended into hell. On the third day he rose again; he ascended into heaven, he is seated at the right hand of the Father, and he will come to judge the living and the dead. I believe in the Holy Spirit, the holy catholic church, the communion of saints, the forgiveness of sins, the resurrection ☩ of the body, and the life everlasting. Amen. FAMILY PRAYER P: Let us pray for the whole people of God in Jesus Christ, and for all people according to their needs. (Congregation may be seated.) (After each prayer petition is offered:) P: Lord, in your mercy. C: Hear our prayers. A: We Pray for: Jennifer Rego, Heloise Woods, Callista Kulugammanna, Johanna Johnson, Steven Taylor, Josefina Kaye, Josefina Cortina, Sharon Arbuz, The Pacheco Family, Petra Lichtenberger, Stephanie Delgado, Irene Hahn, Helmuth Wagner, Hans Winzer, Renardo Hardy, Steven Arbuz, Frank Arduini, David Calzadilla, Cindy Crebbin, Dottie Bobbitt, Kevin Padron, Janine Weideman, Adriaan Visser, Betty Lindquist, Jacob Mestre,Diane Maupin, Robyn Moore, The Jacob Family, Michelle Sanchez, Ricardo Guerrero, Julia Rego, Alicia Corrales, Lois Gee, Walt Stone, Anne Mace, Jeremiah David Hines, Michael Daley, Annette Perez, Pastor Arnold Perry, Betty Phillips, Arland Tyler Sr., Arland Tyler Jr., Werner Baur, Alejandro Orantes, Maria Teresa Ruiz Montalvo Bombino, Susie Holloway P: Into your hands, O Lord, we commend all for whom we pray, trusting in your mercy; through your Son, Jesus Christ our Lord. C: Amen. APOSTOLIC GREETING P: The grace of our Lord Jesus Christ, the love of God. and the communion of the Holy Spirit be with you all. C: And also with you. 7 (Pass your prayer requests to the center aisle during the hymn of the day.) 12 GOSPEL: John 15:1-8 On the night of his arrest, Jesus taught his disciples about the relationship they would have with him. Those who abide in his word and love would bear fruit, for apart from him, they could do nothing. P: The Holy Gospel according to John, the 15th chapter. C: Glory to you, O Lord. [Jesus said:] 1 "I am the true vine, and my Father is the vinegrower. 2 He removes every branch in me that bears no fruit. Every branch that bears fruit he prunes to make it bear more fruit. 3 You have already been cleansed by the word that I have spoken to you. 4 Abide in me as I abide in you. Just as the branch cannot bear fruit by itself unless it abides in the vine, neither can you unless you abide in me. 5 I am the vine, you are the branches. Those who abide in me and I in them bear much fruit, because apart from me you can do nothing. 6Whoever does not abide in me is thrown away like a branch and withers; such branches are gathered, thrown into the fire, and burned. 7 If you abide in me, and my words abide in you, ask for whatever you wish, and it will be done for you. 8 My Father is glorified by this, that you bear much fruit and become my disciples." P: The Gospel of the Lord. C: Praise to you, O Christ. (Please be seated.) CHILDREN'S MESSAGE: Excited To Be The Church! HOMILY: Once You Jump Up, How You Come Down Is What Really Matters! P: The Lord be with you. C: And also with you. PRAYER OF THE DAY P: O God, you give us your Son as the vine apart from whom we cannot live. Nourish our life in his resurrection, that we may bear the fruit of love and know the fullness of your joy, through Jesus Christ, our Savior and Lord, who lives and reigns with you and the Holy Spirit, one God, now and forever. C: Amen. (Please be seated.) FIRST READING: Acts 8:26-40 Led by the Spirit, Philip encounters an Ethiopian official who is returning to his African home after having been to Jerusalem to worship. Philip uses their encounter to proclaim the gospel to him. Upon coming to faith in Jesus, the Ethiopian is baptized by Philip. A: A reading from Acts, the 8th chapter. 26An angel of the Lord said to Philip, "Get up and go toward the south to the road that goes down from Jerusalem to Gaza." (This is a wilderness road.) 27 So he got up and went. Now there was an Ethiopian eunuch, a court official of the Candace, queen of the Ethiopians, in charge of her entire treasury. He had come to Jerusalem to worship 28 and was returning home; seated in his chariot, he was reading the prophet Isaiah. 29 Then the Spirit said to Philip, "Go over to this chariot and join it." 30 So Philip ran up to it and heard him reading the prophet Isaiah. He asked, "Do you understand what you are reading?" 31 He replied, "How can I, unless someone guides me?" And he invited Philip to get in and sit beside him. 32 Now the passage of the scripture that he was reading was this: "Like a sheep he was led to the slaughter, and like a lamb silent before its shearer, so he does not open his mouth. 33 In his humiliation justice was denied him. Who can describe his generation? For his life is taken away from the earth." 34 The eunuch asked Philip, "About whom, may I ask you, does the prophet say this, about himself or about someone else?" 35 Then Philip began to speak, and starting with this scripture, he proclaimed to him the good news about Jesus. 36 As they were going along the road, they came to some water; and the eunuch said, "Look, here is water! What is to prevent me from being baptized?" 38 He commanded the chariot to stop, and both of them, Philip and the eunuch, went down into the water, and Philip baptized him. 39 When they came up out of the water, the Spirit of the Lord snatched Philip away; the eunuch saw him no more, and went on his way rejoicing. 40 But Philip found himself at Azotus, and as he was passing through the region, he proclaimed the good news to all the towns until he came to Caesarea. 9 PSALM: Psalm 22:25-31 The refrain is sung once by the cantor, then by the congregation at the beginning and ending of the psalm. The psalm is chanted responsively with the congregation singing the bold verses. PSALM TONE 25 From you comes my praise in the \| great assembly; ORD I will perform my vows in the sight of those who \| fear the L The poor shall eat \| and be satisfied, 26 Let those who seek the LORDgive praise! May your hearts \| live forever! ORD All the ends of the earth shall remember and turn \| to the L 27 all the families of nations shall bow \| before God. For dominion belongs \| to the L 28 ORD, 29 who rules o- \| ver the nations. Indeed, all who sleep in the earth shall bow \| down in worship; all who go down to the dust, though they be dead, ORD shall kneel be- \| fore the L. Their descendants shall \| serve the L 30 ORD, whom they shall proclaim to genera- \| tions to come. 31They shall proclaim God's deliverance to a people \| yet unborn, saying to them, "The \| LORD has acted!" R. ; SECOND READING: 1 John 4:7-21 We love God and others because God first loved us. We cannot say we love God, whom we have not seen, while hating fellow Christians, whom we regularly see. Love toward God is to be matched by love toward others because the essence of God is love. A: A reading from 1st John, the 4th chapter. 7Beloved, let us love one another, because love is from God; everyone who loves is born of God and knows God. 8 Whoever does not love does not know God, for God is love. 9 God's love was revealed among us in this way: God sent his only Son into the world so that we might live through him. 10 In this is love, not that we loved God but that he loved us and sent his Son to be the atoning sacrifice for our sins. 11 Beloved, since God loved us so much, we also ought to love one another. 12 No one has ever seen God; if we love one another, God lives in us, and his love is perfected in us. 13 By this we know that we abide in him and he in us, because he has given us of his Spirit. 14 And we have seen and do testify that the Father has sent his Son as the Savior of the world. 15 God abides in those who confess that Jesus is the Son of God, and they abide in God. 16 So we have known and believe the love that God has for us. God is love, and those who abide in love abide in God, and God abides in them. 17Love has been perfected among us in this: that we may have boldness on the day of judgment, because as he is, so are we in this world. 18 There is no fear in love, but perfect love casts out fear; for fear has to do with punishment, and whoever fears has not reached perfection in love. 19 We love because he first loved us. 20 Those who say, "I love God," and hate their brothers or sisters, are liars; for those who do not love a brother or sister whom they have seen, cannot love God whom they have not seen. 21 The commandment we have from him is this: those who love God must love their brothers and sisters also. A: The Word of the Lord. C: Thanks be to God. (Please stand.) I am the vine, you \| are the branches.* Those who abide in me and I in them \| bear much fruit.
Detecting Malicious Code by Binary File Checking Marius POPA Department of Economic Informatics and Cybernetics Bucharest University of Economic Studies, Romania email@example.com The object, library and executable code is stored in binary files. Functionality of a binary file is altered when its content or program source code is changed, causing undesired effects. A direct content change is possible when the intruder knows the structural information of the binary file. The paper describes the structural properties of the binary object files, how the content can be controlled by a possible intruder and what the ways to identify malicious code in such kind of files. Because the object files are inputs in linking processes, early detection of the malicious content is crucial to avoid infection of the binary executable files. Keywords: Malicious Code, Binary File, Malware Detection Introduction The term of malicious code is assigned to any code or script in any part of a software system, having the intent to cause undesired effects, security breaches and system damages. The malicious code gives the feature of malware to the software system which resides in. The most known forms of the malwares are viruses, worms, Trojans horses, spyware, trapdoors, adware, rootkits, malicious active content and so forth. 1 The binary files contains non-text data encoded in binary form as computer files that are stored and may be processed by a software system that knows how to deploy, manage and use a such file in the computer system or over a computer network. Usually, in software development process, the term of binary file is assigned to hard-disk recipient that stores instructions in binary form which can be executed by the central processing unit of the computer directly. Currently, the binary files have evolved as structure, content and their management as processes at runtime as the hardware, software development tools and challenges of Information and Communications Technologies (ICT) have advanced. In [1], [3], [4], [5], [6], the following issues are addresses: - Requirements of the secure software development process; - Compiling and interpreting processes; - Binary code and file formats; - Binary and bytecode file structures; - Virtual machine architectures; - Disassembly process; - Processes of secure code review; - Techniques and tools used in reverse engineering; - Methods and techniques for a secure program coding; - Methods and techniques of code obfuscation; The Windows executable file in the Portable Executable (PE) format is detailed in [4]. In [7], the specifications regarding the PE files and object files used by Microsoft product are presented. The object file is referred as Common Object File Format (COFF). Object file is produces by a compiler, assembler or translator and represents the input file of the linker. After linking, an executable or library is generated and contain combined parts of the object file. The content of the object file is not directly executable, but it is a re-locatable code. The linking process is illustrated in Figure 1. A comprehensive image of the PE file layout is given in [7], Figure 2. Also, [7] illustrates the COFF file layout, Figure 3. Fig. 3. Comprehensive COFF structure as [7] states ``` class Employee{ public: char* Name; int id; Employee(char* aName, int nr){ ``` The COFF file header has a length of 20 bytes and is structured in several fields as [7] states and Table 1 highlights. Table 1. The COFF file header structure [7 ] \| 0 \| \| 2 \| \| Machine \| \| \|---\|---\|---\|---\|---\|---\| \| \| 2 \| \| 2 \| \| NumberOfSections \| \| 4 \| \| 4 \| \| TimeDateStamp \| \| \| \| 8 \| \| 4 \| \| PointerToSymbolTable \| \| 12 \| \| 4 \| \| NumberOfSymbols \| \| \| \| 16 \| \| 2 \| \| SizeOfOptionalHeader \| The COFF file header describes the envi- ronment which the object file can be used in and the file structure at highest level. Each COFF section header has a length of 40 bytes and is structured in several fields as [7] states and the Table 2 depicts. Table 2. The COFF section header structure [7] \| \| Offset \| \| Size \| Field \| \|---\|---\|---\|---\|---\| \| 0 \| \| 8 \| \| \| \| \| 8 \| \| 4 \| VirtualSize \| \| 12 \| \| 4 \| \| \| \| \| 16 \| \| 4 \| SizeOfRawData \| \| 20 \| \| 4 \| \| \| \| \| 24 \| \| 4 \| PointerToRelocations \| \| 28 \| \| 4 \| \| \| \| \| 32 \| \| 2 \| NumberOfRelocations \| \| 34 \| \| 2 \| \| \| \| \| 36 \| \| 4 \| Characteristics \| The object file is the output of the compiling process. Different source code programs lead to different contents of the object files compliant with the layout requirements and constraints. The COFF file is the foundation of the library and executable files. 2 The Object File Content Let consider the following source code written in C++ programming language. ``` this->Name = aName; this->id = nr; procData(aName, nr); } char* empName(){ return this->Name; } int empID() { return this->id; } void procData(char* sName, int snr) { } }; void main() { Employee e ("Smith", 113); e.empID(); e.empName(); } ``` The first 20 bytes represents the COFF file header generated by Visual Studio 2010 C++ compiler in Employee.obj. The COFF file header content is: The values of COFF file header fields are explained in Table 3. Table 3. The COFF file header fields explained \| \| Field \| \| Value \| \| Description \| \|---\|---\|---\|---\|---\|---\| \| Machine \| \| 0x014C \| \| Intel 386 or later processors and compatible processors. \| \| \| \| NumberOfSections \| \| 0x0001 \| \| The size of section table (one section for above \| \| \| \| \| \| \| example). \| \| TimeDateStamp \| \| 0x5329ABA5 \| \| Number of seconds since January 1, 1970, 00:00 when the file was created (1395239845 seconds/16148 days/about 44 years). \| \| \| \| PointerToSymbolTable \| \| 0x00000FE5 \| \| The offset of COFF symbol table (4069 bytes). \| \| NumberOfSymbols \| \| 0x00000041 \| \| The number of entries in the symbol table (65 entries). Also, the string table is located by this value. \| \| \| \| SizeOfOptionalHeader \| \| 0x0000 \| \| It is not required for object files. Null value \| \| \| \| \| \| \| means an object file. \| \| Characteristics \| \| 0x0000 \| \| Flags to indicate the attributes of the file. No flag for current object file. \| \| Next structure item of the COFF file layout is Section Headers. The number of the section headers is given by NumberOfSections field from COFF file header that is 1 section. Each section header covers 40 bytes. The section header content of the COFF considered above is presented in below figure. The values of COFF section header fields are explained in Table 4. Table 4. The COFF section header fields explained \| Name \| \| 0x2E64726563747665 \| \| An 8-byte size string: “.drectve”. The string has no null terminator because the length is 8 bytes. \| \| \|---\|---\|---\|---\|---\|---\| \| \| VirtualSize \| \| 0x00000000 \| \| Set to null value because the file is an ob- \| \| \| \| \| \| \| ject file. \| \| VirtualAddress \| \| 0x00000000 \| \| The address of the first byte before apply- ing the relocation. Set to zero for the con- sidered object file. \| \| \| \| SizeOfRawData \| \| 0x00000041 \| \| For object files, the field represents the \| \| \| \| \| \| \| size of the section that is 65 bytes. \| \| PointerToRawData \| \| 0x00000294 \| \| It is a file pointer to the first page of the section. The value has to be aligned to 4- byte boundary for best performance: 660 bytes / 4 bytes = 165. \| \| \| \| PointerToRelocations \| \| 0x00000000 \| \| The null value means no relocation. \| \| PointerToLinenumbers \| \| 0x00000000 \| \| The null value means there are no object line numbers. \| \| \| \| NumberOfRelocations \| \| 0x0000 \| \| The null value means no relocation entry \| \| \| \| \| \| \| for the section. \| \| NumberOfLinenumbers \| \| 0x0000 \| \| The null value means no line-number en- try for the section \| \| \| \| Characteristics \| \| 0x00100A00 \| \| The following flags are set for the object \| \| \| \| \| \| \| file: IMAGE_SCN_LNK_INFO, \| \| \| \| \| \| \| IMAGE_SCN_LNK_REMOVE and \| \| \| \| \| \| \| IMAGE_SCN_ALIGN_1BYTES. That \| \| \| \| \| \| \| means the object file contains comments \| \| \| \| \| \| \| or other information (.drectve type), \| \| \| \| \| \| \| the section will not become part of the \| \| \| \| \| \| \| executable file, and data are align to 1- \| \| \| \| \| \| \| byte boundary. \| When a section has set the flag IM- AGE_SCN_LNK_INFO and the name of .drectve, then the section is a directive one. The section does not appear in the executable file because the linker removes it after information processing. It has not relocations and line number, and it is used to provide linking options to linker. The data for the section is located at the file offset specified in PointerToRawData field of the section header. The size of the data is indicated by the SizeOfRawData field from the section header. For the object file Employees.obj, the offset is 0x00000294, and the size is 0x00000041. The content of the section is depicted in Figure 6. The object file Employees.obj has no relocation and line numbers. The relocations specify how the section data is modified when is placed the executable file. The line numbers indicates the relationship with the code. states. Table 5. The COFF symbol table record structure [7] The COFF file symbol table is places to the offset 0x00000FE5 specified by the field PointerToSymbolTable within the COFF file header. The symbol table for the file Employees.obj has 65 symbols. Each symbol table entry is an 18-byte long array of records. The format of a record within the symbol table is presented in table as [7] \| \| Offset \| \| Size \| \| Field \| \|---\|---\|---\|---\|---\|---\| \| 0 \| \| 8 \| \| Name \| \| \| \| 8 \| \| 4 \| \| Value \| \| 12 \| \| 2 \| \| SectionNumber \| \| \| \| 14 \| \| 2 \| \| Type \| \| 16 \| \| 1 \| \| StorageClass \| \| \| \| 17 \| \| 1 \| \| NumberOfAuxSymbols \| For instance, the symbol .drectve is defined in symbol table as: The symbol table record of .drectve is detailed in Table 6. Table 6. The COFF symbol table entry explained \| \| Field \| \| Value \| \| Description \| \|---\|---\|---\|---\|---\|---\| \| Name \| \| 0x2E64726563747665 \| \| An 8-byte size string: “.drectve”. The string has no null terminator because the length is 8 bytes. \| \| \| \| Value \| \| 0x00000000 \| \| The null value means that the symbol is \| \| \| \| \| \| \| not assigned to section. \| \| SectionNumber \| \| 0x0001 \| \| Identifier of the section (first section of the object file). \| \| \| \| Type \| \| 0x0000 \| \| The null value means that the symbol is \| \| \| \| \| \| \| not a function. There is no type informa- \| \| \| \| \| \| \| tion. \| \| StorageClass \| \| 0x03 \| \| The offset of the symbol table entry within the section. The entry represents the section name when the field Value is zero. \| \| \| \| NumberOfAuxSymbols \| \| 0x02 \| \| 2 symbol table entries follow the current \| \| \| \| \| \| \| symbol. \| The auxiliary symbol records keep the 18byte size of the symbol table entries. The auxiliary symbols may have different formats than the symbol table entry format. After the COFF symbol table, the COFF string table is stored. Based on the fields PointerToSymbolTable and NumberOfSym- bols , the computations give the file offset 0x00001477 where the COFF string table for the file Employees.obj is stored. The content of the string table for the file Employees.obj is depicted in Figure 8. The size of the string table is indicated by the first 4 bytes that is 0x000000FD bytes (253 bytes), including the size field itself. The string table contains null-terminated strings that are pointed to by symbol table entries. malicious binary files can be detected. Some fields in object file layout can be changed to hide the malicious behavior of the developed application. 3 Detection Techniques of the Maliciousness and Security Management Object files are binary files stored on computer systems in order to get other binary files that can be executed. Infection of the object files can lead to getting malicious applications executed by host computers or transmitted over the computer network. Binary file checking inside its structure content is another level of detection of the potentially malicious files. A detection method uses safe files and malicious files to identify the differences between two groups of files. It is the foundation to implement effective techniques in detection of the malwares by specialized software. The detection techniques consider the binary file layout in order to investigate the presence of the malicious content. In [8], statistical analyses are performed to get valuable information regarding how the In COFF file header Employees.obj, detection techniques aim the fields TimeDateStamp, NumberOfSections, PointerToSymbolTable, NumberOfSymbols and Characteristics. In [8], statistical analysis are performed to create indicators used to classify a binary file on fields of the file layout. The value of the field TimeDateStamp is automatically created by compiler or linker. Its value can be changed when its place is exactly known. A range of dates and hours is established to identify the binary file within the normal distribution [8]. This detection technique can be used to establish the malicious file sources like time zone, country of origin and activity time slots. In binary file layout, sections bound the file content in different areas whose content has a particular role in the executable application. Even though there are a large number of section types and names, the number of sections in a non-malware file is small. The statistical data achieved in [8] for the field NumberOfSections can be used as a detection technique. For the object file Employees.obj, the field value is 1, so there is a small possibility that the object file to be a malware, according to attribute NumberOfSections analysis. The fields PointerToSymbolTable and NumberOfSymbols are used to bound the file area where debugging information is stored. Because the COFF debugging information is deprecated in favour of Program Debug Database (PDB) file, the value of field PointerToSymbolTable should be zero [8]. The values of two fields can be correlated to other fields in order to detect the file maliciousness. The field Characteristics has a flag role to specify a combination of attributes of the binary file. There are some attribute combinations indicating a possible infection of the binary file [8]. The object file Employees.obj has not optional header. Regarding the object section header of the file Employees.obj, the detection techniques aim the fields VirtualSize, SizeOfRawData, NumberOfRelocations, NumberOfLinenumbers, PointerToRawData, PointerToRelocations, PointerToLinenumbers and Characteristics. For the file Employees.obj, the VirtualSize is zero and SizeOfRawData is 65. As detection technique, relation VirtualSize < SizeOfRawData highlights a possible issue, but the binary file is an object file, so it is normal that VirtualSize to be zero because the object code is not stored in memory [8]. As detection technique, the values of NumberOfRelocations and NumberOfLinenumbers are not malicious issues for the binary file Employees.obj. According to [8], the detection rule PointerToRawData = 0 has a high detection rate, but also a high false positive rate. For the file Employees.obj, PointerToRawData is a non-null value, so it cannot be used as detection technique. The null values of PointerToRelocations and PointerToLinenumbers are not used in maliciousness detection. The three flags stored by the field Characteristics in the section header of the file Employees.obj, has not a big impact in malicious detection as states [8]. It is necessary to avoid that own computer application to be classify as malware because one or more binary files (object, libraries or executable) contains malicious code inserted accidentally or deliberately. Computer software producers hold the program source code of the software and they can perform code review processes for a robust and viable final software product. BSIMM-V Project [9] proposes three levels of code review for a better quality control of the software product. The aim is detection and correction of the security bugs both the software quality and other software which reuses parts from another. The three levels of code review are [9]: 1. Code review is manual or automated and the reporting is centralized – all software projects have to be examined in terms of code review; the code review has to be imposed by management and the intelligence extracted from review processes is stored in a centralized repository; the level includes the following activities [9]: - Create a list of the most important security bugs – the reviewer attention is driven by the most common security bugs; the security bugs are extracted from public sources and the reviewer's experience gathered from code review, testing and actual incidents; the list has to be tailored to organization's bug priorities depending on the features of the software products developed by the organization; - Perform ad hoc review – the code review is made during the software development life cycle before reaching its maturity level; - Perform manual and automated review – increasing the efficiency and consistence of the code review process by including the static analysis in the process; also, automation brings additional information to the reviewers in a shorter time; - Enforce the code review for all software projects – software release is possible when the code review process has been done and accomplishes a minimum acceptable standard before its shipping; software products addresses different security issues having low-risk or high-risk features; - Implement a centralized reporting – a bug list repository is created to store the details of all identified security bugs during the code review and their tracking; the bug repository can be used to make summary and progress reports, and it is an excellent source of training curriculum; 2. Code review is made by standards enforcement – the rules and best practices stated in standards must be follow during a code review process; the standard content is the result of the best specialists experience and interdisciplinary points of view; the second level includes the activities [9]: - Enforce coding standards – coding standard that are not followed by developers are a sufficient reason to reject a software product of parts of it; coding standards can be published as developer guidelines or within the Integrated Development Environment (IDE); - Assign tool mentors – one or more experts in code review are assigned to a development team increasing the efficiency and effectiveness of the review process; tool expert provide information regarding configuration of the review tools and how the results have to be interpreted; - Custom rules for automated tools – static analysis is tailored to improve efficiency and reduce the false positives; it is made by the assigned tool mentors to find coding errors; 3. Automated code review with tailored rules – reviewers have to build a tool that find and remove the security bugs from the entire codebase; the level aims the following activities [9]: - Create the tool – the results of multiple analysis techniques are combined in a single information review flow and reporting solution; analysis techniques can combine static and dynamic analysis; it leads to better informed risk mitigation decisions; - Remove new bugs from the codebase – when a new security bug is found, the rule that has been used in bug seeking is used to find the all occurrences in the entire codebase; - Automate detection of the malicious code – malicious code is found by automate code review, out-of-the-box automation and custom rules for static analysis; Malware detection techniques have the following approaches [2]: - Static detection – uses the syntax or structural information to establish whether a program or process is malicious; - Dynamic detection – uses the runtime information to determine whether a program or process is malicious; the runtime information aims the resources used by and how they are used by the process; - Hybrid detection – combines static and dynamic detections Detecting malicious code stored by binary files is a feature that must be implemented in detection software named malware detector. 4 Conclusions The paper describes what structural properties of the binary object files must be considered by a malware detector during the static detection process. The most important structural parts of an object file are presented and described together with applying of statistical analyses the object file content. The object file is the result of compile process. Lack of malicious code is also assured when the program source code is reviewed and accomplishes the minimum coding standards. If the program source code lacks, then a malware detector can be used to identify the maliciousness of a process or program stored in a binary file. References [1] A. Danehkar, Inject your code to a Portable Executable File, December 27, 2005, http://www.codeproject.com [2] N. Idika and A. P. Mathur, A Survey of Malware Detection Techniques, Purdue University, February 2, 2007 [3] M. Pietrek, "An In-Depth Look into the Win32 Portable Executable File Format", MSDN magazine, http://msdn.microsoft.com /enus/magazine/cc301805.aspx tems, vol. 4, nr. 4, 2012, pp. 233 – 248 [5] M. Popa, "Requirements of a Better Secure Program Coding", Informatica Economică, vol. 16, nr. 4(64), 2012, pp. 93 – 104 [6] M. Popa, "Techniques of Program Code Obfuscation for Secure Software", Journal of Mobile, Embedded and Distributed Systems, vol. 3, nr. 4, 2011, pp. 205 – 219 [7] Microsoft Portable Executable and Common Object File Format Specification, Revision 8.3, February 6, 2013 [4] M. Popa, "Binary Code Disassembly for Reverse Engineering", Journal of Mobile, Embedded and Distributed Sys- [8] J. Yonts, Attributes of Malicious Files, SANS Institute InfoSec Reading Room, June 30, 2012 [9] BSIMM-V Project, http://bsimm.com, http://bsimm.com/online/ssdl/cr/ Marius POPA has graduated the Faculty of Cybernetics, Statistics and Economic Informatics in 2002. He holds a PhD diploma in Economic Cybernetics and Statistics. He joined the staff of Academy of Economic Studies, teaching assistant in 2002. Currently, he is Associate Professor in Economic Informatics field and branches within Department of Economic Informatics and Cybernetics at Faculty of Cybernetics, Statistics and Economic Informatics from Bucharest University of Economic Studies. He is the author and co- author of 9 books and over 140 articles in journals and proceedings of national and international conferences, symposiums, workshops in the fields of data quality, software quality, informatics security, collaborative information systems, IT project management, software engineering.
ST. SEBASTIAN CHURCH 373 BON AIR ROAD, GREENBRAE, CA 94904-1709 OFFICE : (415) 461-0704 WEBSITE: SEBASTIAN94904.COM ...as they were looking on, he was lifted up, and a cloud took him from their sight. While they were looking intently at the sky as he was going, suddenly two men dressed in white garments stood beside them. They said, "Men of Galilee, why are you standing there looking at the sky? This Jesus who has been taken up from you into heaven will return in the same way as you have seen him going into heaven." Acts of the Apostles Chapter 1, verses 9-11 MASS SCHEDULE Saturday Evening .... 5 PM Sundays.................... 7AM, 9AM, & 11AM Monday - Saturday . 7AM & 9AM CONFESSIONS Saturdays.................. 3:30 - 4:30 PM Parish Office Phone: 461-0704 Pastor........................ Rev. Mark Taheny Parochial Vicar........ Rev. Paul Perry Office Mgr................ Nancy Lampe Parish School of Religion: (415) 601-0704 Renée O'Neill: firstname.lastname@example.org Confirmation Youth Group: Dave Previtali: email@example.com ASCENSION OF THE LORD MASS INTENTIONS FOR MAY 17—22 Mon 7AMSal Gumina 9AMElizabeth,living; Martin, Tue 7AMBrianna Lampe,living 9AMGrace O'Donnell Wed 7AMFely Malonzo Bondoc 9AMNancy Hoffman Thu 7AMStan & Fran Conway 9AMJenny Heiser Fri 7AMRuth Wess 9AMVera Gaudiani,living Sat 7AMEmma & Bud Bradley 9AMMary King THANK YOU FOR KEEPING THE SICK IN YOUR PRAYERS: Angela, Bertha, Charles, Doug, Ed, Elizabeth, Kim, John, Joseph, Kristen, Michael, Tony, Stephanie, Tim, Lorenzo Acciai, Sally Arango, Marco Balistreri, Ivy Batmale, Charles Bellia, Madison Bostow, Nicole & Sean Burke, Joseph Calleja, Patricia Cane, Cary Chiappone, Yondellan Coleman, Elizabeth Crowley, Vladia Cutler, Doris Doty, Nanette Duffy, Luke Duval, Faith Gillis, Eileen Harriman, Taro Hart, Rosemarie Hayes, Chiara Iulucci, Ruedi & Matthias Keller, Germaine Khohayting, Jeanne Killian, Karla Kincade, Joe Lazor, Manda Masse, Gino Mazzenatto, Warren McGuire, Richard Mogas, Monte Maroevich, Valerie Milroy, Mark Piatti, Bertha Ponce de Leon, Joe Popovich, Peggy Roth, Gunnar Sandberg, Steve Schlesselmann, Mary Lou Smith, Ted Taheny, Rose Tannlund, Elizabeth Ward, Sibeal Whitty, & Camilla Wolfe. Whale of a Sale BAKE SALE! If you are donating Baked Goods for the Whale of a Sale, please bring them to the Parish Hall on Friday, May 21. CATHOLIC LEGISLATIVE NETWORK Today has been designated ―Life & Dignity‖ Sunday by the bishops of California. If you use email, please join the Catholic Legislative Network by visiting www.cacatholic.org The Network will be used to notify us about current events and upcoming legislative actions enabling us to contact our legislators quickly and easily to let them know how their Catholic constituents want to be represented. We want to thank the following people who have contributed to the Archbishop's Annual Appeal, but who have not yet been acknowledged in our bulletin: Carole Colucci Andra Dhein Patricia Leahy Mr./Mrs. Albert Massucco T.J.Tison Mr./Mrs. John Warner Please give to the Archbishop's Annual Appeal. We are very close to reaching our goal, and whatever funds we receive above our assessment are returned to the parish for our use. STEWARDSHIP – A WAY OF LIFE Last weekend $ 4,572. Weekly goal $ 5,200. Weekly average $ 4,255. DOMINICAN HERITAGE ROOM The Dominican Sisters of San Rafael welcome you and your friends to visit their Heritage Room with its stories and artifacts spanning 160 years in California and 120 years in Marin County. It's open the first and third Tuesdays of June thru September, 10 am – 2 pm. 1520 Grand Avenue between Acacia and Locust Avenues in San Rafael. Questions: call 453-8303. PARISH BULLETINS ARE AVAILABLE ON-LINE www.sebastian94904.com Have you tuned-in yet? 1260 on your AM dial immaculate heart radio sharing the heart of the Christian faith Today, we celebrate our Lord's Ascension into Heaven, and next Sunday we'll celebrate Pentecost, when the Holy Spirit was poured out upon the Church. Jesus says: "You will receive power when the Holy Spirit comes upon you, and you will be my witnesses.. to the ends of the earth." Wisdom is one of the great gifts of the Holy Spirit which we receive in the Sacrament of Confirmation. God chooses the weak of this world to shame the strong. The wisdom of this world—a world that doesn't believe in God—is foolishness to God. And we have wisdom not from this world— rather, it's a gift from God—and we pray that each of us will go forth to teach the nations about God's love for each and every human being. Teach them that God became a human being. Teach them that Jesus, always faithful to his Father, is the example for all of us of what a perfect human being is. And his mother Mary, a creature of God, also shows us the perfection of humanity. She who trusted God in everything, who took care of the child Jesus from the first moment of his conception in her womb, who was full of grace, is also our mother, and we are her children! Just as parents are happy when their child acts in rightly, so Our Lady smiles over us, too, when we are doing what her Son, Jesus, wants us to do. At the wedding feast in Cana, Our Lady told the servants: "Do whatever he tells you." And Jesus worked his first miracle that day: The servants filled the jars with water, as Jesus had directed, and he changed it into the finest wine. Jesus still works miracles of grace. He tell us to let our light shine before others, so that all the nations will come to know him. If we do what he tells us, he will strengthen weak hearts and give hope to those who are in despair. He will work miracles just as he did at Cana in Galilee. When we act according to our Catholic faith, passed down from the Apostles, we give hope to the world so that it can be healed of the wounds of sin and division and the terrible disrespect for life that has caused so much grief for too long. May God keep us always strong in our faith, always in union with the Catholic Church so that we will be saints! We have received power from on high; let us be glad to be in Communion with the Saints in the love of God which surrounds us, preserve that unity, and be the Lord's witnesses in the world today, which is the great commission we receive as the Lord ascends to his heavenly Father. FROM A DISCOURSE ON THE PSALMS BY SAINT AUGUSTINE, BISHOP Our thoughts in this present life should turn on the praise of God, because it is in praising God that we shall rejoice for ever in the life to come; and no one can be ready for the next life unless he trains himself for it now. So we praise God during our earthly life, and at the same time we make our petitions to him. Our praise is expressed with joy, our petitions with yearning. We have been promised something we do not yet possess, and because the promise was made by one who keeps his word, we trust him and are glad; but insofar as possession is delayed, we can only long and yearn for it. It is good for us to persevere in longing until we receive what was promised, and yearning is over; then praise alone will remain. Because there are these two periods of time—the one that now is, beset with the trials and troubles of this life, and the other yet to come, a life of everlasting serenity and joy—we are given two liturgical seasons, one before Easter and the other after. The season before Easter signifies the troubles in which we live here and now, while the time after Easter which we are celebrating at present signifies the happiness that will be ours in the future. What we commemorate before Easter is what we experience in this life; what we celebrate after Easter points to something we do not yet possess. This is why we keep the first season with fasting and prayer; but now the fast is over and we devote the present season to praise. Such is the meaning of the Alleluia we sing. Both these periods are represented and demonstrated for us in Christ our head. The Lord's passion depicts for us our present life of trial—shows how we must suffer and be afflicted and finally die. The Lord's resurrection and glorification show us the life that will be given to us in the future. Now, therefore, brethren, we urge you to praise God. That is what we are telling each other when we say Alleluia. You say to your neighbor, "Praise the Lord!" and he says the same to you. We are all urging one another to praise the Lord, and all thereby doing what each of us urges the other to do. But see that your praise come from your whole being; in other words, see that you praise God not with your lips and voices alone, but with your minds, your lives and all your actions. We are praising God now, assembled as we are here in church; but when we go our various ways again, it seems as if we cease to praise God. But provided we do not cease to live a good life, we shall always be praising God. You cease to praise God only when you swerve from justice and from what is pleasing to God. If you never turn aside from the good life, your tongue may be silent but your actions will cry aloud, and God will perceive your intentions; for as our ears hear each other's voices, so do God's ears hear our thoughts. PENTECOST AT ST. ANSELM'S LES PETIT CHANTEURS OF AIX EN PROVENCE The experience of Pentecost that is so explicit in Acts of the Apostles is presented in all of the Gospels and in the Letters of St Paul, and in all the New Testament in symbolic but real ways as well. St. Anselm Church invites you to a special presentation about Pentecost given by Fr. Joe Boenzi on Tuesday, May 25, 7:30pm, in the church, 97 Shady Lane, Ross. This session will identify significant texts in the Scripture that highlight the experience of the Holy Spirit "filling the hearts of the faithful", and will look at how the Church in the present era has become more conscious of the Spirit continually at work to "renew the face of the earth". Fr Joe Boenzi is a Salesian of Don Bosco, holding a Doctorate in Sacred Theology; he is a professor of theology at the Dominican School of Philosophy and Theology in Berkeley. This wonderful vocal group is returning to Marin County July 7 for three nights, their fourth visit in 20 years, and if you've heard them in the past, you know that they are truly delightful. We hope that our parishioners and friends will be as open-hearted as in the past in providing housing for them for three nights, provide breakfast and two dinners, and get them to the parking lot in time for their sightseeing tour bus each morning. Speaking French is not required! They will perform at Sts. Peter & Paul in SF on July 8, and here at St. Sebastian on Friday, July 9, at 8pm. If you are interested in participating, call Donna Boyd at 453-3383. If past experiences are any indication, you'll be glad that you did!
M-ERA.NET Call 2017: List of projects recommended for funding \| Call topic \| Acronym \| Full Title \| # Part -ner \| Funding organisations \| \|---\|---\|---\|---\|---\| \| Integrated Computational Materials Engineering (ICME) \| FMF \| Flexible magnetics filaments:properties and applications \| 3 \| Nouvelle- Aquitaine (France); SAS (Slovakia); VIAA (Latvia) \| \| Innovative surfaces, coatings and interfaces \| BioElectroCathode \| Utilization of CO2 through novel BioElectroCathode systems for production of biofuels (CH4 and ethanol) \| 4 \| RPF (Cyprus); NCBiR (Poland) \| \| Innovative surfaces, coatings and interfaces \| ENVALGRA \| Development of a new generation of environmentally friendly microalgal oil-based functional fluids modified with graphene family nanomaterials (GFNs) \| 4 \| IDEPA (Spain); FNR (Luxembourg); TÜBITAK (Turkey) \| \| Innovative surfaces, coatings and interfaces \| ISIBHY \| Increase of Strength of Interface Between liner and composite in HYdrogen tank \| 3 \| Calabria (Italy); Nouvelle- Aquitaine (France) \| \| Innovative surfaces, coatings and interfaces \| PLACOATAM \| Functional surfaces on AM objects with a low cost atmospheric pressure micro PLAsma COAT instrument integrated on a 3D printing equipment \| 4 \| FNR (Luxembourg); Nouvelle- Aquitaine (France) \| \| High performance composites \| Boron-Basalt fibers \| Development of boron- infused basalt-fiber reinforced concrete for nuclear and radioactive waste management applications \| 5 \| ETAG (Estonia); NCN (Poland) \| \| High performance composites \| DURACER \| Durable ceramic composites with superhard particles for wear-resistant cutting tools \| 4 \| ETAG (Estonia); SAS (Slovakia); NCBiR (Poland) \| \| High performance composites \| NANO2COM \| ADVANCED POLYMER COMPOSITES FILLED WITH NOVEL 2D NANOPARTICLES \| 3 \| RCL (Lithuania); SAS (Slovakia); VIAA (Latvia) \| \| Multifunctional materials \| Bio4Cryo \| Development of Biobased Cryogenic Insulation Modified with Nanocrystalline Cellulose \| 4 \| VIAA (Latvia); NCBiR (Poland) \| Dry Processing of \| Multifunctional materials \| MarTEnergy \| Sustainable and Affordable Half-Heusler based Thermoelectric Converters for Utilization of Waste Heat into Electrical Power in Maritime Applications \| 3 \| MOST (Israel); RPF (Cyprus) \| \|---\|---\|---\|---\|---\| \| New strategies for advanced material-based technologies in health applications \| DD-scaff \| Drug delivering 3D printed scaffold strategy brings human body implants to the next level of personalization \| 3 \| RCL (Lithuania); VIAA (Latvia) \| \| New strategies for advanced material-based technologies in health applications \| nanoPD \| Development of a novel organs-on-a-chip platform for nanodrug delivery and functionality testing to treat Parkinson’s disease \| 7 \| MOST (Israel); MOST (Taiwan); NKFIH/OTKA (Hungary); FNR (Luxembourg); SERI (Switzerland) \| \| Materials for Additive Manufacturing \| 3DPrintInn \| 3D Printable Innovative Biobased Materials for Wood Mimics \| 3 \| FNR (Luxembourg); VIAA (Latvia) \| \| Materials for Additive Manufacturing \| 4DbloodROT \| 4 Dimensional Single Piece Miniaturized Blood Rotor \| 8 \| FFG-TP (Austria); NCBiR (Poland); \| \| Materials for Additive Manufacturing \| ECOPRINT \| New Composite Materials for Additive Manufacturing \| 7 \| FFG-TP (Austria); JÜLICH (Germany) \| \| Materials for Additive Manufacturing \| MatLaMeD \| Development of New H- type Tool Steel Materials via Wire- and Powder- based Laser Metal Deposition for Toughness and Hardness Enhancement \| 5 \| VLAIO (Belgium); SPW (Belgium); KIT (Germany) \| \| Materials for Additive Manufacturing \| NADEA \| Nano-scale duplex high entropy alloys produced by additive manufacturing \| 7 \| MOST (Israel); NCN (Poland); JÜLICH (Germany) \| \| Materials for Additive Manufacturing \| Reliable GF-3D \| Enhancement of reliability of 3d printed fibre reinforced polymer parts via material modelling and insitu 3d X-Ray inspection technology \| 6 \| JÜLICH (Germany); M2i (Netherlands) \| functional materials into Business 3DPrintInn The overreaching objective of the present 3DPrintInn project is to utilize non-woody biomass such as crop residues, plant biomass side streams to develop novel renewable biobased 3D printable polymeric UV-curable inks that mimic wood properties. The developed biobased polymeric inks will have the potential to replace presently oil-based raw components and implement smart manufacturing through the use of additive manufacturing (AM) and thus efficiently contributing to the burgeoning a bio- and circular economy. This novel concept will be validated and tested (performance service life durability stability mechanical properties) for the prototypes of wood based industry and plastic product sector. Such ambitious objective requires the establishment of a consortium with key knowledge and competences covering different aspects of chemical engineering, nanofibres and nanoparticles, woodbased products, 3D printing and industrial manufacturing, which is established in the present project. Bio4Cryo The Bio4Cryo project aims to develop multi-layer polyurethane cryogenic insulation with a thermoreflective coating, using sustainable resources from agricultural & forest industry. The Bio4Cryo will focus on industrially feasible and up-scalable technologies while taking into account sustainability of developed products & technologies. Cryogenic insulation is only produced from petrochemicals. Biobased cryogenic insulation materials are innovation on global level. A big concern for Europe is dependence on fossil feedstock in chemical & energy production due to economic considerations but also due to broader perspective of sustainability. The Bio4Cryo project aims to focus Europe's common efforts towards a sustainable, high value biobased economy using European origin biobased feedstock and to improve Europe's industrial competitiveness, sustainability and strengthen the industrial leadership. BioElectroCathode BioElectroCathode project aims to bring innovation on biological electrosynthesis biocatalysts through: a) the manufacture of novel cathodes, b) the manufacture of a 3D biological electrosynthesis baffle reactor that can transform CO2 to CH4 and/or CO2 to ethanol. The project starts from a TRL between 2-3 and by the end of the project aims to reach TRL 5. BioElectroCathode project will help in solving three main challenges of the contemporary energy systems: power storage, grid stability and CO2 emissions. Electricity can be supplied for the power of the cathode in the Microbial Electrosynthesis Baffle Reactor and it can convert CO2 into CH4 and/or CO2 into ethanol. The methane-rich biogas (biomethane) or ethanol can be stored, distributed and utilized as a fuel in vehicles compatible to natural gas. The proposed technology can be used in biogas plants (in Europe there are more than 12,400 biogas plants) or in industries that generate high amounts of CO2. Boron-Basalt fibers The aim of the project is to develop a novel composite material – fiber-reinforced concrete with basalt-boron fiber. It improves mechanical and enhances radiation-shielding properties, it could be used with various neutron sources, including nuclear and fusion reactors. This composite material increases substantially operation safety of radioactive sources and consequently better public acceptance of nuclear energy. Expected result include modelled of shielding properties for gamma-ray and neutron radiation; developed methodology for production of basalt-boron fiber for industrial conditions; performance testing of the fiber in laboratory conditions; mechanical performance testing of the fiber-reinforced concrete; experimental validation of shielding properties for neutron radiation. Development of this fiber-concrete is expected to have a considerable economic and environmental impact due to increased concrete durability and improved safety in operation of radioactive sources. DD-scaff Project DD-SCAFF includes: design, development, testing, biological evaluation and fabrication of novel skeletal implants with unique synergy of properties – high mechanical strength and bone regenerative effect combined with antibiotic delivery to reduce the risk of manifestation of secondary infections. The implant shape and antibiotic drug release profile from the implant will be tailored to meet the personalised therapeutic needs of the patient. The project aims to create an innovative biomaterial-based strategy providing prolonged antimicrobial protection at the site of implant application. The personalized product will combine a titanium implant with porous scaffold parts that are interpenetrated with calcium phosphate bone cement and gentamicin loaded PLA microcapsules which will ensure pre-programmed local delivery of the antibiotic to surrounding tissues, thus minimizing systemic toxicity effects and possible interactions with other drugs used by the patient. DryProTex Aim of the project is to establish a new solvent-free Dryfilm technology for the production of freestanding, flexible, multi-functional, semi-finished textile films with broad applicability, e.g. as filter mats, catalyst layers etc. The application area of the project addresses battery electrode manufacturing for two kinds of next-generation energy storage devices: Li-S and Na-battery cells and SoA MnO2 cells for enhanced energy density at reduced costs. Conventional coating processes with expensive drying steps will be replaced by our technology with huge economic and ecologic benefits. A European consortium has been set up along the value chain, covering material, process, equipment and battery cell development. As a main outcome equipment will be designed and implemented in the process line at IWS for demonstrating the potential of this disruptive technology. Our aim is strengthening Europe's future position in multifunctional materials, equipment design and battery cell production. DURACER The aim of the DURACER project is to utilize the remarkable beneficial properties of cubic boron nitride (cBN) to obtain a new generation of Spark Plasma Sintered (SPS) tool materials and to use these materials to create high-performance cutting tools. The modification of alumina-based matrix with cBN particles will improve hardness, fracture toughness and wear resistance of DURACER composites. Comprehensive tribological studies and industrial machining tests will demonstrate the performance of the material in the industrially relevant environment. The cutting tools made of DURACER composites could substitute a large portion of tools made of sintered carbides (because of better performance at elevated temperatures), ceramics (because of higher hardness and fracture toughness) and superhard materials (because of better wear resistance-to-cost ratio). Potential consumers of the project results are mainly manufacturers of tools and tools users. 4DbloodROT Heart failure is an epidemic of the 21st century and occurs in 33% of the population above 55 years, with a 30-days-mortality of >11%. Heart transplantation is gold standard for end-stage heart insufficiency, but donor hearts cover only <0.5% of the demand. Alternatives are mechanical heart assist systems (e.g. ventricular assist devices, LVADs) during the drugsupported regeneration phase of the patient's heart. However, LVADs struggle with device-induced thrombus formation due to inadequate blood flow dynamics of the blood pump rotor, leading to the definition of the 4DbloodROT project. Focus is the R&D on stereolithography-based additive manufacturing, novel hemocompatible materials and surface functionalization, all-together strongly extending the freedom for bloodflow-compatible design of rotors with novel exceptional biomimetic complexity (in 3D-shape & stiffness (=4D)). Final result is an in vitro optimized rotor design as basis for extended in vivo and clinical testing. ECOPRINT Efficiency and reliability of power-electronics strongly depends on temperature. Growing demands on miniaturization of electronic components while ensuring efficient cooling and keeping production costs low, raises a need for new materials and technologies. The ECOPRINT project addresses this need by developing new metal-polymer and hybrid metalorganic composites suitable for Additive Manufacturing (AM) processes. The main development steps are functionalization of metallic and ceramic filler particles by Atmospheric Pressure Plasma or wet chemical processes, compounding functionalized particles with high-strength polymer matrices, optimization of filaments, modification of 3D printing machines and investigation of new material concept for high temperature stability. The ultimate goal of the project is to use the newly developed materials in an AM process to design low-cost, highly thermal-efficient heat-sinks or cooling pipes of complex shape or ondemand cooling solutions. ENVALGRA ENVALGRA aims at the developing of innovative, environmentally friendly microalgae oilbased functional fluids modified with graphene nanosheets (GNS). Different research studies have proven that critical tribological performance influencing properties are higher in chemically modified microalgae oil as compared to vegetable oil. The addition of graphene will provide impressive lubrication and mechanical properties resulting in excellent wear resistance under a wide range of test conditions. Furthermore, in order to reduce environmental risks and accelerate its future commercialization, graphene will be synthesized from alternative sources such as pyrolyzed waste tire. The main innovation of ENVALGRA project is that it will entail developing functional fluids with enhanced tribological properties compared to existing ones based on water or vegetable or mineral oil, more sustainable and environmentally friendly and with lower risk of occupational exposure. FMF Different technologies for synthesis of flexible magnetic filaments are developed. These include linking magnetic micro-particles by DNA, attaching magnetic nanoparticles to polyelectrolyte bundles, extraction of magnetosomes from magnetotactic bacteria and other. Flexible magnetic filaments are interesting for applications as self-propelling microdevices (for targeted transport), micro-mixers (for microfluidics), different sensors (micro rheology). Numerical algorithms for predicting their behavior in magnetic fields of different configurations will be developed, including algorithms based on curve dynamics, lattice Boltzmann method, Brownian dynamics. Obtained numerical results will be compared with experimental results of measurement of flows fields around magnetic filaments, their buckling instabilities. As a result new technology will be developed for DLS measurements giving access to characteristics of translation and rotational motion of string like magnetic microobjects. ISIBHY The use of hydrogen as an alternative to fossil fuels is an increasingly popular solution to cope with global warming and meet the goals of reducing CO2 emissions. However, hydrogen tanks have limited performance due to the early detachment of the liner with the composite. The project aims at improving the durability of the wound tank and to delay the optimum use time. The rupture of the interface between the liner and the composite may lead to a situation in which the tank does not longer assure its functionality as a reservoir. The ISIBHY project aims to increase the liner-composite assembly performances by improving the adhesive formulation and performing specific thermomechanical tests to understand the mechanisms at stake in explosive decompression process. Through testing and simulations of interfacial failure, the results are ultimately expected to enable the design of the next generation materials able to sustain the effect of explosive decompression. MarTEnergy The main objective of the proposed research is to develop highly efficient half-Heusler (HH) based prototype thermoelectric (TE) converter consisting of non-volatile cost-effective elements for operating temperatures ranging up to 700oC (n-type ANiSn and p-type ACoSb (A=Ti, Zr, Hf)), covering most of the potential applications conditions, including maritime gasoline engines. Overall, the objectives of the MarTEnergy are: (a) Synthesis of costeffective highly efficient HH based compositions (b) Development of highly durable, compatible and stable joining techniques between the TE semiconductors and the involved metallic joints (c) Integration of the entire components into practical devices (d) Finite element analysis on the prototype converter performance prediction in the maritime shipping industry to improve competitiveness and strengthen the maritime sector leadership. TRL levels start from 2 (technology concept formulated) to 4 (technology validation in lab). MatLaMeD ʃ (Materials Tech + Laser Tech + Production Tech)dt= Fatigue Life MatLaMeD offers a unique opportunity to focus at a transnational level on those technologies that have a significant impact on the fatigue life of hot forging dies and, ultimately, on the economics of production technology. Life of dies is limited by thermo-mechanical fatigue which degrade the quality of die surfaces and finished parts. Hence, the innovative objectives of the project are defined to address the above issues: the development of new types of hotwork tool steel by wire- and powder-based laser metal deposition as well as the development of casting process to produce a laser cladding wire with specific chemical composition. The new hot-work tool steel materials will possess higher toughness and hardness and, ultimately, guarantee a positive impact on the fatigue life of dies. The project has a huge potential to encompass key European industries such as advanced materials, laser additive manufacturing and PLM. NADEA NADEA will develop a nano-scale duplex material starting from a Co-free high entropy alloy while taking advantage of a unique phase transformation pathway via spinodal decomposition of the primary BCC-phase and concomitant FCC-formation. The novel material shall out-pass duplex or super-duplex steels and provide a significant strength increase and good corrosion resistance for centrifugal pump impellers. AM-manufacturing of impellers is envisaged by Laser Metal Deposition (LMD) and Selective Laser Melting (SLM). They both offer extraordinary means to tailor the primary grain size throughout the component, thus improving the material's resistance to cleavage fracture. The entire process chain from powder production to demonstrator manufacturing and testing will be developed from TRL2 to TRL4 including alloy design, microstructure modelling, process development and the analysis of mechanical and corrosion properties. NANO2COM NANO2COM is aimed to development of advanced high-performance composites with outstanding mechanical and electrical properties by addition of novel MXene nanosheets and graphene into epoxy matrixes. The project will firstly go forward to the rational design and systematic exploration of hybrid MXene/graphene-based polymer nanocomposites for flexible electronics and advanced construction components. It will be achieved by establishing the research cooperation among the consortium members and the industrial advisory board for the development and assessment of the novel materials. The scientific results of NANO2COM include comprehensive assessment of mechanical and electrical properties of hybrid MXene/graphene-filled polymers, and the development and validation of two lab-scale demonstrators, advanced FRP filled by hybrid nanofiller, in potential application fields. Testing of the demonstrators will be realized in laboratories and in supporting industries in relevant environment. nanoPD The proposed project intends to establish the usage of on-chip-solutions, with integrated sensors, for in vitro disease modeling and to study the ability of the newly-designed nanodrug delivery systems (NDDSs) to deliver therapeutic agents to midbrain-organoids using membrane-integrated microfluidic devices. A particular focus is aiming at developing an organs-on-a-chip device for Parkinson's disease (PD) that should address the effect of biological barriers for disease onset and treatment and elucidate the drug inhibiting mechanisms. The success of this project would not only provide insights on the mechanisms and principles on designing these NDDSs, but also drastically reduce the use of animal models for drugs and therapy testing. Moreover, it will highlight the development of a novel screening platform with patient specific induced pluripotent stem cells (iPSC) for advanced personalized medicine. PLACOATAM PLACOATAM will design, process an innovative atmospheric pressure plasma enhanced chemical vapor deposition solution (AP-PACVD) based on a micro plasma jet that can be integrated on 3D printing equipment and able to perform metallic and inorganic films. As the deposition processing will need to be done on complex surfaces and on thermal sensitive materials, a new type of High voltage nanopulse generator will have to be developed for giving to this AP-PACVD device, the possibility to generate "homogeneous plasma" (less filament discharge) in a very small volume and a relatively extended plasma plume with a limitation of the gas temperature. During the second part, PLACOATAM will propose for the first time, "3+2D printing" concept for a rapid manufacturing of finished functional products where two highly efficient material processes are associated: 3D printing technology and an atmospheric pressure plasma 2D surface deposition process. Reliable GF-3D The main objective of the project is to enhance the reliability of Fused Filament Fabrication FFF parts to enable their use as real, loadable parts, e.g. for use as spare parts for automobiles or machines, personal protection equipment or even for repair of thermoplastic structures etc. where highly flexible and customized manufacturing processes are strongly recommended. Therefore, also fibre reinforced (short fibre and continuous fibre) polymers, which provide better mechanical performance, are in the focus of the investigations. This shall be achieved via scientific approved qualification of 3D-printed objects made by the FFF technology on portal and also robot based printing systems. For a deep understanding of the correlation between material composition, process parameters and the mechanical performance of 3D printed parts and 3D X-Ray insitu inspection method shall be developed. SYMPA Project SYMPA aims at developing new raw materials and post-processing technologies for durable Stereolithography (SLA) products with a focus on automotive applications. By overcoming the weaknesses of current SLA materials such as low mechanical properties and UV stability, this AM technology enables the production of individualized products specifically designed for customer needs. The innovation objectives include the development of a new photosensitive polymer with increased thermal and mechanical properties, the fibre reinforcement of the polymer and surface modification technologies to further improve the environmental resistance of products. The German/Austrian project consortium is set up along the entire value chain of SLA technology including material developers, machine producers, research institutes and end users. All developed technologies will be demonstrated on the basis of real automotive structures considering the requirements on industrial production processes.
Christ Connection For the Week Beginning February 25, 2018 Second Sunday in Lent cally, oblivious to our granddaughter standing there watching. Then, with a startled curiosity and a bit of fear in her voice as Grandma and Grandpa scramble around, she blurts out, "What's happening!?" My wife and I love to babysit our grandchildren. True story: One evening in their parent's condo, I heard the sound, "Help! Water!" I didn't know what that meant, so I ran to see. "Go get some towels!" But I don't know where they are. I'm running around looking. Meanwhile water is flowing out of the bathroom and into the hallway. It's already soaked into the carpet runner there. One of us with towels, the other trying to prevent the water from flowing into the next room, we are working franti- Any guest to worship last Sunday, February 18, at 10:15am, entering the sanctuary might have had that same look of bewildered curiosity and a little bit of fear, wondering, "What's happening!?" A congregational meeting was going on. To some it was a mess. To others, we leaders looked to be scrambling around. While some were grateful to have their voices heard, to others it was the sound of confusion and dissonance. Where are the towels! After extending well past the start of the 10:15 worship hour, the meeting was suspended so that the agenda could be accomplished without further infringement on worship time and when the important work would not be rushed. The Council met on Monday night and will be sending out a letter to all members to share next steps and announce a date and time to continue and conclude the meeting. My hope for you is not a perfect congregation. Instead, my hope is expressed well in CLC's Goal: To nurture a culture and faith community that embodies open hearts, open hands, and open minds; a willingness to take risks, try new things, fail, and forgive one another, so that all who participate in and on the edges of Christ Lutheran Church experience the Spirit and are transformed. So if you were on the edges last Sunday wondering "What's going on?!" know that in all our experiences we are learning to be the church in faith, hope and love, figuring things out, moving forward, seeking to make things right for the sake of God's vision and our mission. Register at www.ccch.org Pastor Dale Sunday Worship 8:30 Contemporary 10:15 Traditional Sunday Faith Formation Bible Study Start your day off reading and discussing books in the Bible. The Sunday Bible Study begins at 7:30 am in the library. Christ Lutheran Staff Rev. Dale Ziemer, Pastor Jon Ball, Dir. Contemporary Worship Karen Wilberg, Dir. Traditional Music Richard Kochel: Organist Kathy Bartosz, Dir. Youth & Family Nancy Woodruff, Dir. of Communi- cations Rev. Craig Felde, Local Missionary Rachel Krohn, Pastoral Assistant Robert Brija, Building and Grounds Supervisor Nursery Attendants: Allison Krohn Tiffany Helphingstine Contact Information Christ Lutheran Church of Clarendon Hills 60 55 th Street Clarendon Hills, IL 60514 (630) 325-2220 fi of email@example.com www.YourChrist.org Celebrationpreschool.com (630) 325-3271 Christ Lutheran Church of Clarendon Hills @ChristClarendon In Our Prayers this Week Answered Prayers - For the gift of Alliyah Lillian Dickens, born February 15th, and her proud parents, Steven and Kristina. - For Barb, friend of Nancy Mizura beginning chemo for esophageal cancer - For the gift of Ethan St. Amant, Suzy and Ken Vandenbroucke's new grandson, and for his parents, Emily and Joe Health Concerns - For Annette Armstrong - For strength for Kay Hedborn - For Anita Olson - For Ruth, friend of Suzy Vandenbroucke diagnosed with breast cancer - For Jennie, friend of Suzy Vandenbroucke, diagnosed with breast cancer. - For the Gaikama family, friends of the Borsuks, who experienced a tragic death in their family - For the mother of Lee, Jeannette Tamayo's co- worker, diagnosed with lung cancer. - For Reese, Jeannette Tamayo's brother in law - For Rich Mayich, friend of Linda Tuisl awaiting a possible cancer diagnosis - For Richard Kochel's Uncle Clarence with a medical condition. - For Charlotte, Debra Joslin's friend's granddaughter born with one lung who is on an artificial lung machine. Serving in Worship Today - For Tim Myrick, Dolores Kroeger's nephew diagnosed Pleuomorphic Adenoma - For Sylvia, friend of Phil & Paulette Nelson - For Carole, Barbara Delassus' sister awaiting surgery - Ashlyn and Alana, daughters of a friend of Kristina Dickens recovering from surgery and dealing with health concerns. - For Kelli, friend of Dan Cramer recovering from mastectomy; awaiting further treatment protocol. - For Jeff Homme, Kristina Dickens' uncle currently hospitalized. - For Colton Kash, child of a friend of Dan Cramer, diagnosed with Leukemia. - For Pastor Melissa Kuemmerle of St. Peter & Paul Lutheran, Blue Island. - For Jackie, Nancy Woodruff's mother, seeking a doctor willing to treat her illness, in her frail condition. Sustained Support and Encouragement - For the 17 victims of the mass school shooting in Parkland, Florida and their families. - For our Call Committee; Dan Cramer, Steven Dickens, Debra Joslin, Bonnie Bucholz, Jim Clark, Diane Emry, Lea Hotton, Matt Ramirez and Maggie Swiess. Bible Verse of the Month Presiding Pastor: Pastor Dale Ziemer Sound: 8:30: Bob Krohn 10:15 Glen Orton Projection 8:30 Sharon Jackson 10:15 Rachel Krohn Assisting Minister 10:15: Rob Sorensen Communion Assistants: Craig Felde Communion Bread: Dan Cramer Post-Service Treats: Amber Pelton and Dan Cramer Chancel Guild: Wendy Sanders, Betty Murphy, Jane McDonald "For Christ also suffered for sins once for all, the righteous for the unrighteous in order to bring you to God." 1 Peter 3:18 TOP SERVING OPPORTUNITIES at Christ Lutheran Church - Help out with PADS February 26-27 Join in Bible Study during Lent - Work a shift Donate food items - Sundays at 7:30 a.m. Sundays at 11:30 a.m. - Sundays at 9:30 a.m. Thursdays at the Bucholz home - I will seek to develop my prayer life during Lent. - Provide soup and/or bread for an upcoming Wednesday Lenten Meal (sign up is in the Welcome Center) Sunday, February 25 Bible Study 7:30AM—Library Contemporary Worship 8:30 AM—Sanctuary Sunday School 9:00AM—Growing Grove Middle School Ministries 9:30AM—Youth Room Traditional Worship 10:15AM—Sanctuary Pub Church 12:30 PM—Tracy's Tavern Sunday, March 4 - New Member Sunday Bible Study 7:30AM—Library Contemporary Worship 8:30 AM—Sanctuary Sunday School 9:00AM—Growing Grove Middle School Ministries 9:30AM—Youth Room Traditional Worship 10:15AM—Sanctuary Pub Church 12:30 PM—Tracy's Tavern Tuesday, February 27 Dartball 7:00PM—Home Food For Thought—7:00PM—Satchwell Home Handbell Practice 7:15PM—Choir Loft Wednesday, February 28 Worship Band Practice 6:00PM—Sanctuary Midweek Soup & Bread Supper 6:30PM—Library Midweek Prayer Service 7:15PM—Fireside Room Choir Practice 7:45PM—Choir Room Thursday, March 1 Scout Troop Meeting 7:00PM—Fellowship Hall AA 8:00PM– Fireside Room Friday, March 2 Knitting Ministry 10:00AM—Study Lounge JULIETS 12:00PM—The Harvest House Saturday, March 3 Bible Study 9:30AM—Library Thrivent Members, please do not forget to direct your Choice Dollars for 2018 before March 31. Simply go to www.Thrivent.com/thriventchoice or call 800-847-4836 and say "Thrivent Choice" at the prompt. The Member Connection Center is open until 6 p.m. Central time, Monday – Friday. Saturday, March 10 5-8 p.m. $18/person includes dinner Monday March 5 Worship Team 7:00PM—Library Tuesday, March 6 Dartball 7:00PM—Hillside Handbell Practice 7:15PM—Choir Loft Wednesday, March 7 Worship Band Practice 6:00PM—Sanctuary Midweek Soup & Bread Supper 6:30PM—Library Midweek Prayer Service 7:15PM—Fireside Room Choir Practice 7:45PM—Choir Room Thursday, March 8 Bible Study 7:00PM—Bonnie Bucholz' Home Scout Troop Meeting 7:00PM—Fellowship Hall AA 8:00PM– Fireside Room Saturday, March 10 Bible Study 9:30AM—Library Murder Mystery Dinner—5:00PM—Fellowship Hall 3/3 Dennis Fones 3/9 3/4 Amber Pelton Phil Nelson Roberta Fiedler Laura Schueler 3/11 Mike Smith 3/10 Bob Brija 3/13 Robbie Fiedler Ian Svoboda 3/14 Elena Svoboda 3/16 Jim Nordloh 3/19 Edward Paloyan Judy Wolthausen 3/22 Madeline Batke 3/25 Erica Emry Margaret Blesy 3/30 Steven Dickens 3/31 Lida Portschy Every year as Lent begins, the Christian IMPACT (formerly CLAIM Team) brings a Lenten challenge to the congregation. We have raised money for farm animals, we dug a well in Africa, and we supported LCC K-9 Comfort Dogs. This year the Christian IMPACT team is bringing some- Next Sunday after both services thing more experiential and "hands-on" as our Lenten Mission. Beginning this Sunday, February 25th we will provide opportunities for everyone to participate. share that message with others. Women of Christ Lutheran Church are invited to participate in "Food for Thought" a faith-based women's group that will be meeting on Tuesday, February 27th at 7 p.m. at the home of Mary Satchwell. This month they will be taking a look at parts of the book "Pastrix" by Pastor Nadia Bolz Weber. No need to purchase the book; resources will be available at the discussion. This week we will be making Peace Rocks. Every person on the planet has the power to change the world. We encourage people to paint words, images, and messages of peace, hope, love, and joy on ordinary rocks and distribute them all over the community, focusing your attention on the idea of peace and to Christ Lutheran Church is delighted to announce that we have established a Quilting Ministry to benefit Lutheran World Relief! MariLynn Bergmark has graciously offered to lead the group, and several of you have indicated a desire to learn the craft of quilting, or would like to participate in this ministry in some way. Additionally, we have received a donation to begin to financially support this ministry. The first meeting of our CLC Quilting Ministry will take place on Friday, March 9th from 10am to 1pm in the Fellowship Hall. Please bring a sack lunch. We will have all of the supplies on hand; we currently have one sewing machine and can procure others if necessary. Come and learn more; be a part of the goal of sending 500,000 quilts around the world to those in need! One of the key goals for Christ Lutheran Church in 2018 is to continue to develop our youth and family ministry. CLC is forming a Youth and Family Ministry Design Team to create a ministry plan for programs, activities, and services to meet the needs of youth and families at CLC and in our community. The ministry design team will work together to discern what youth and family ministry will entail at CLC in the future and conduct a survey of all CLC families to determine the needs, interests, and priorities for this ministry at CLC. The design team will ultimately create a job description for a youth ministry professional based on the needs gathered from the work of the team. If you are interested in serving on this team, please contact Mary Satchwell at firstname.lastname@example.org. Watch for the opportunity to share your feedback and ideas about youth and family ministry at CLC coming later this Spring. Monday, February 27 7:00 p.m. 633 W. 56th Hinsdale
Helping Our Children Develop Testimonies that Will Withstand Opposition It seemed to me that about half the talks during general conference last week (April 2015) were either about hanging on to your own testimony, or helping other people hang on to theirs. Several also talked about the responsibilities that parents have to their families. I am going to follow up on those two themes today by sharing some ideas about how we can help our children to not only develop testimonies, but to develop testimonies that will withstand opposition. The impression I got while preparing these comments is that my job is simply to share a bunch of thoughts and then let people pick out the parts are meaningful to them in light of their own circumstances. 1. Know Why You Believe What You Believe, and Get Used to Standing Up for It First idea. At our house when our kids were younger, if somebody said something and somebody else disagreed, I would often interrupt and announce to the entire family how we could tell who was right. "I bet the person who is right is the one who can yell longer and louder and scream their head off until the other person cries. Or we could just look it up, but yelling and screaming is much more educational." From a very young age this routine hardly got started before our kids would interrupt with "No, Daddy, you look it up. Silly Daddy." This routine sounds trivial, but it taught our children two important lessons that I believe have significant spiritual consequences. First, it taught our children to stand up for what they know is right. In this case standing up for the idea that screaming your head off is not a logically compelling argument. But more broadly, our children have grown up with a lifetime of experience that every time they told an authority figure they were spouting nonsense, our kids got positive reinforcement. Now if your number one goal is to raise well behaved children who always mind, this may not be for you. But if your goal is to help your kids get used to standing up for what they know is right, then let me suggest this general strategy of – all that stuff you want to beat into your kids' heads – coopt them into beating it into yours. So the first lesson is "No, silly Daddy, ...." The other lesson that our kids learned from this routine is "... you go look it up." Or you verify your sources. Or you check your data. Call it what you want, but the idea is for our kids to get used to having a good reason for believing what they believe, and to insist on having an even better reason before changing that belief. So when two people in our house disagree about something, we look it up. And it is never about who is right, but about what is right. If you are the first one to find the correct answer proving that you were ... wrong, well at our house that is just as praiseworthy as having been right in the first place. If two people disagree, someone is about to get smarter, and no one is going to get emotionally beat up in this team effort to acquire more truth. I once worked with a quality control engineer who had a sign on her desk that said "Without data, it's just an opinion." A while ago my wife and I were talking about something and I said "Oh yeah, the Joseph Smith Translation says something interesting about that." So I went and pulled it off the shelf and showed her what it says. Not because I was afraid she wouldn't believe me. But because if I tell her, then all she knows is that I know. But if she sees the underlying data for herself, now she owns that understanding just as much as I do. That is the difference between opinions that we own for ourselves and opinions that we merely borrow from others. There is a strength that comes from not only knowing the answer, but knowing why you know the answer. So the first idea is to teach our kids to know why they know something, to know it for themselves, and then to stand up for it. "No, Daddy," and "you look it up." 2. Recognizing Revelation The second idea is to teach our children to recognize revelation. In Moroni chapter 10 it says that if we read the Book of Mormon and sincerely pray for a testimony, then the Lord will reveal the truth of it to us by the power of the Holy Ghost. And if the Book of Mormon is true, then Joseph Smith was a prophet and this is God's church. I think we generally understand how important it is for our children have this experience and learn for themselves that the gospel is true. But if that process depends on being able to recognize a witness of the Holy Ghost, then we need to prepare our children for that experience by ... teaching them to recognize the Holy Ghost. And the best way I know to do that is to make a habit of specifically pointing it out to them when it is present. So the second idea is that when the Holy Ghost is present, point it out to your kids. And this means having a home where the Holy Ghost is present often enough to be pointed out. What do we have on the radio and on TV? How much unkindness do we tolerate? You know how to evaluate your home and identify whether anything needs to change. 3. A Basic Testimony Is of Official Doctrine Only The third idea is to teach our children what is, and is not, included in a standard testimony. Once our children read the Book of Mormon, pray, and receive a testimony, the next questions is: What does this give us a testimony of? It gives us a testimony of the Lord's restored gospel. Or since this is the Lord's church, it gives us a testimony of official Church doctrine. Specifically, it gives us a testimony of the scriptures, and a few official statements by the First Presidency, ... and that's all. A witness that the Book of Mormon is true does not also mean that everything else we hear within the LDS community is 100% accurate. If something I say up here today turns out to be wrong, that does not call into question the truth of the entire Restoration, and our kids need to understand that difference. One useful way to think about religion is not as a body of knowledge that has already been accumulated, but as a way to acquire new knowledge. Not as what do we know, but as how do we know it. From this perspective, religious knowledge is God telling us things through divine revelation. Revelation is a powerful way of knowing. It can tell us things that we did not know and could never figure out. But religion, science, and every other way of knowing – all have blind spots or limitations. The limitation of revelation is that we can only learn through revelation what God chooses to reveal. When God has spoken, he has spoken. And when he has not spoken through revelation, ... he has not spoken. Once we start asking questions that go beyond what has been settled by officially sanctioned revelation, once we go beyond the scriptures and a handful of official statements by the First Presidency, once we go beyond official Church doctrine, there is room for people to think for themselves, seek personal revelation, try to figure out the answer, sometimes reach different conclusions, ... and still be good members of the Church. About a dozen years ago during a council meeting there was a friendly disagreement during which "Elder Haight, [age] 96, turned to President Hinckley, [age] 93, and remarked: 'That's okay, Gordon. I used to think like that when I was your age.'" 1 So the third idea here is that when our children hear something at Church, or about the Church, and they want to know if it is true, their first question should always be: Is this official Church doctrine? Because if it is not official doctrine, then we have permission to think and pray for ourselves, to reach a different conclusion, and to not let what we have heard bother us. 3a. Received Wisdom Is Not Official Doctrine Let me talk about two situations where we often end up thinking that something is official Church doctrine even though it really is not. The first is where we just assume something is true because we have grown up hearing it all our lives. Robert Millett, a BYU religion professor, tells a story that illustrates this situation and the problems it can cause. He spoke to a large audience of both members and non-members, talking about what we believe. After the meeting, a lady who is a member of the Church came up to him and said, " "You didn't tell the truth about what we believe!" Startled, I asked "What do you mean?" She responded, "You said we believe [X], and you know very well that we don't believe that." "Yes, we do," I retorted. She then said, with a great deal of emotion, "I want to believe you, but people have told me for years that we believe [something else]." I looked her in the eyes and said, "I am aware of that teaching, but that is not the doctrine of the Church; that is not what we teach in the Church today. Have you ever heard the Brethren teach it in conference? Is it in the standard works, the curricular materials, or the handbooks of the Church? Is it a part of an official declaration or proclamation?" I watched as a five hundred pound weight seemed to come off her shoulders, as tears came into her eyes, and she simply said, "Thank you, Brother Millett." 2 This lady was deeply bothered by a doctrine that, once she stopped to think about why she believed it, realized that it was not in fact a doctrine of the Church, just the shared opinion of a whole lot of people. So I again think it is worth asking ourselves why we believe what we believe. Is it an official doctrine, or is it just culture? Is it even Mormon culture, or have we borrowed something simply because religious conservatives who are not Mormon believe it, and we are religious conservatives too, so I guess maybe we believe it too. At our house we often answer our kids' questions something like this: "Many active Mormons who have thought about this issue believe X, including us, and this is why it makes sense to us. But it is not official doctrine, and it may turn out to be wrong. Since we are not aware of any revelation to settle the matter, this is simply the best that we can figure out so far." Our children may not remember the specific doctrines involved each and every time we say this, but they do remember that this concept seems to apply an awful lot of the time. Let me also mention that it is really nice now that our kids are old enough, and have a good enough grasp of the official doctrines, that we can now afford to share this kind of food for thought. But younger children are not very good at the difference between certain knowledge and a tentative hypothesis. So when our kids were younger, hard as it was, we did not go beyond the basic official doctrines. 3b. Statements by Individual Church Leaders Are Not Official Doctrine The other situation where we often think that something is official Church doctrine, when it really is not, is when we can track an idea back to its source, and that source is a Church leader. More than once I have gone online to look for some uplifting quote that I think I remember apostle so-and-so saying, and on my first page of search results, half the links are to antagonistic websites that make two claims: (1) this apostle said something that turned out not to be true; and (2) the existence of a wrong statement by a Church leader proves that the entire Church is not true. Since this has happened to me more than once, I have to assume that it will someday happen to my children. And the fact is that the first of these two claims is sometimes true. There are some wrong statements by past Church leaders. As President Uchtdorf said in the October 2013 General Conference (Come Join With Us): We openly acknowledge that in nearly 200 years of Church history, along with an uninterrupted line of inspired, honorable, and divine events, there have been some things said and done that could cause people to question. ... to be perfectly frank, there have been times when members or leaders in the Church have simply made mistakes. There may have been things said or done that were not in harmony with our values, principles, or doctrine. So how do we teach our children ahead of time to deal with that experience when they are off at college and we are not around? Or in other words, how do we inoculate our children so that, when they run across those pages on the internet, they do not get disillusioned, and it does not affect their testimony? The answer is to teach our children ahead of time that the second claim is false. That the truth of the Church does not depend on the accuracy of every statement ever made by a Church leader. And we do this by teaching our children about the Order of Revelation. Or as I call it, the doctrine of doctrine. Which sounds like using a word in its own definition. But the concept is this: What is the Church's official position about when the Church has an official position. In September 1830, just a few months after the Church was organized, a member named Hiram Page started claiming to receive revelations for the Church. The Lord shut this down, not by disavowing Hiram Page's specific statements, but by disavowing the whole idea that anyone other than the prophet will ever be given revelation to guide the entire Church. In the revelation we know as Section 28 [:1-7], the Lord said to Oliver Cowdery: [B]ehold, verily ... I say unto thee, no one shall be appointed to receive commandments and revelations in this church excepting my servant Joseph Smith, Jun., for he receiveth them even as Moses. ... And if thou [Oliver] art led at any time by the Comforter to speak or teach ... by the way of commandment ... thou mayest do it. But thou shalt not write by way of commandment, but by [way of] wisdom; ... What does this mean? The Order of Revelation is that only the prophet receives revelation that is preserved and considered to be binding upon the entire Church. Or in other words only the prophet gets to write by way of commandment. Other people, while they can teach or speak by way of commandment, only get to write by way of wisdom, or by way of helpful personal opinion. Consistent with this Order of Revelation, a year and a half later in Section 68 [:1-5] the Lord also said this about missionaries: [W]hatsoever they shall speak [not write, but whatever they speak] when moved upon by the Holy Ghost shall be scripture, shall be the will of the Lord, shall be the mind of the Lord, shall be the word of the Lord, shall be the voice of the Lord, and the power of God unto salvation. 3 So, a visiting general authority, and the stake president, and the bishop, all have the authority to stand up and tell this congregation that we need to do X, and this can be the mind and will of the Lord and the power of God unto salvation for us. But it will not be recorded for permanent and widespread distribution, and will instead be limited in its application to a particular time, place, group, and circumstance. What the bishop cannot do, and the stake president cannot do, and even apostles cannot do, is announce revelation or doctrine of general application that is to be received as official and true for all people in all times in all places. In this connection I often find it helpful to distinguish between what to do and why, or between the widely dispersed authority to exhort people about what to do now, and the authority that is limited to the prophet to provide official doctrinal explanations of how things work in general. Now that we understand the Order of Revelation, Elder Christofferson's statement in the April 2012 Conference (The Doctrine of Christ) makes perfect sense. "It is commonly understood 4 in the Church that a statement made by one leader on a single occasion often represents a personal ... opinion, not meant to be official or binding for the whole Church." I thought Elder Holland in his conference talk last week (April 2015, Where Justice, Love and Mercy Meet) did an excellent job of reminding us that there are some questions where the Church does have an official position, and of then declining to stake out a position on anything beyond that. Unfortunately, the personality of some past Church leaders was to be less careful in their statements, our children are going to be confronted with that fact, and when this happens they need to already be inoculated and know how to deal with it ... by understanding the Order of Revelation, or the doctrine of official doctrine. 4. It Is Okay to Ask Questions The fourth idea is to teach our children that it is okay to ask questions. Now sometimes somebody doesn't get the memo. About 80 years ago a Church magazine once said that "When our leaders speak, the thinking has been done." But the prophet, George Albert Smith, promptly disagreed and said that "Even to imply that members of the Church are not to do their own thinking is [to] grossly misrepresent the true ideal of the Church." More recently in the October 2013 General 5 Conference (Come Join With Us), President Uchtdorf said "In this Church ... that was restored by a young man who asked questions and sought answers, we respect those who honestly search for truth." I would add that, in a Church that has turned Joseph's question about what Church is true into scripture, do you really need to feel out of place just because you have some questions too? And don't think that you are the only person who has ever had questions they couldn't make sense of. At the beginning of my mission I had four big doctrinal questions that really bugged me. I still remember very clearly when I got the answer to the last of those four questions. Two months before I came home my companion handed me something to read, and it only took a couple minutes to realize that the last of my questions was being answered right then at the conclusion of my service. But it took almost the entire two years, which at age 20 is a long time. Later on I had another set of questions, and it took about ten years to get all of those resolved. When this ward was formed a year ago I had another pair of questions that had been bothering me, and those only got resolved about three or four months ago. Do you have to ask questions? No. But the fourth idea is that it is certainly okay to ask questions. But in order for our kids to believe us when we say that it is okay to ask questions, we have to have an environment that never threatens their emotional security. Where questions are treated seriously and fairly. Where we act as a sounding board to help them refine their own thinking, but we remember that in the end it is their own thinking. Where we allow time for them to digest food for thought. And where we remember the Lord's clear instruction in Section 50 [:13-23] that conversion is to ultimately come through the witness of the Holy Ghost, "and if it be by some other way, it is not of God." 5. You Know Enough The fifth and final idea is to teach our children to recognize when they know enough. Just because unanswered questions are frustrating does not mean they should start making us doubt the things that we do know. Our kids need to understand the idea that even if they have unanswered questions, they at least know enough to be certain about the basics. Of all that was said last week in conference about testimonies, I think the single best statement came from Sister Wixom (April 2015, Returning to Faith) when she said "Focus on what you know." For example, how many people really understand how cell phones work? But has that lack of understanding ever stopped any of us from using our cell phones? They do work, we can tell that they work, and that means we know enough to use them. Even if we don't understand as much as we want about why they work My wife's uncle is the head of a university physics department. I recently asked him a physics question, and in a second here I will read part of his response. You may not be familiar with the concepts that he mentions, but you can tell that scientists are struggling with some unanswered questions. "There are [ ] a zillion unanswered holes in our understanding [of physics]. ... There is no sign, for instance, of predicted super symmetry, and [scientists] are still reeling over the discovery of dark energy." So like I said, scientists don't yet understand everything as well as they would like. Fortunately, they do at least understand enough to figure out how to make cell phones. And use those cell phones to talk to each other while they work on the parts that do not yet make any sense. What scientists do not do is decide that, just because they have some unanswered questions, they should reject science altogether and quit using their cell phones. That would be downright silly. It is just the same with the gospel. When I read the scriptures, pray, and go to church, I feel the Holy Ghost. When I obey the promptings of the Holy Ghost, I am happier and things turn out better. When I pray, I get answers often enough. And when I put my hands on people's heads and give them blessings, genuine miracles happen. I am not sure how much more than that I really have to understand in order to be able to use the gospel in exactly the same way that I use my cell phone. No matter how much more I either learn, or don't learn, two facts will always remain. I will never understand everything, And I have long ago understood enough. Miracles that I have personally participated in don't stop being true just because I don't understand a verse in the Bible, or because I don't understand the Church's position on a particular social issue. So the fifth idea is that when our children face difficult questions that they can't make sense of, they also need to know that they know enough. And we need to teach them what enough is. 6. Testimony How this talk happened by following a couple points of inspiration. How I came to recognize and learn to trust the Holy Ghost. ENDNOTES 1. Flake, Lawrence. As reported in Tad Walch, "Tales of LDS Leaders' Wit a Big Draw at Ed Week," Deseret Morning News, 21 August 2003. Found in Boyce, Duane, "Sustaining the Brethren," n. 31. In Interpreter: A Journal of Mormon Scripture 14 (2015), p. vii-xxii. 2. Millet, Robert. "What Is Our Doctrine?" p. 24. In The Religious Educator, Vol 4, No. 3, p. 14-33 (2003). 3. For a further discussion of the Order of Revelation as explained in Doctrine & Covenants sections 28, 43, 1, 67, 68, see Kurt Elieson, Historical Context of the Doctrine & Covenants,Vol. 1 and its discussion of those five sections. 4. For a further discussion of official Church doctrine, see Elder Christofferson's talk in the April 2012 General Conference (The Doctrine of Christ) and his discussion of the classic article written by J. Reuben Clark, Jr. in 1954. 5. Givens, Terryl. People of Paradox, p. 18 (Oxford 2007). Citing, "A 1945 Perspective," Dialogue 19.1 (Spring 1986): 38. Quoting, Letter of President George Albert Smith to Dr. J. Raymond Cope 7 Dec 1945. This talk may be downloaded at www.kurtelieson.com. This talk may be freely shared but may not be altered. This talk, while seeking to accurately represent LDS doctrine, is the viewpoint of the author alone.
Towards practical incremental recomputation for scientists: An implementation for the Python language Philip J. Guo and Dawson Engler Stanford University Abstract Computational scientists often prototype data analysis scripts using high-level languages like Python. To speed up execution times, they manually refactor their scripts into stages (separate functions) and write extra code to save intermediate results to disk in order to avoid recomputing them in subsequent runs. To eliminate this burden, we enhanced the Python interpreter to automatically memoize (save) the results of long-running function executions to disk, manage dependencies between code edits and saved results, and re-use memoized results rather than re-executing those functions when guaranteed safe to do so. There is a ∼20% run-time slowdown during the initial run, but subsequent runs can speed up by several orders of magnitude. Using our enhanced interpreter, scientists can write simple and maintainable code that also runs fast after minor edits, without having to learn any new programming languages or constructs. These scientists often write programs in what Brandt et al. call an opportunistic manner, emphasizing speed and ease of development over code robustness and runtime performance [3]. Being able to quickly implement and reﬁne prototype code is vital to the research process, since the speciﬁcations for research code (as compared to production-quality code) are often ill-deﬁned and constantly-changing. 1 Introduction The massive increase in computing power over the past few decades has enabled scientists across many disciplines to rely more on computational techniques in their research. Many modern scientists in ﬁelds like computational biology, pharmacology, neuroscience, and astronomy are spending less time doing physical lab work and more time writing computer programs to process, transform, and extract insights from experimental data. The style of code that these scientists write differs greatly from code written by professional programmers: "The primary tension in the life of the scientist-programmer is to just get the science done. What we mean by this is the conﬂict between getting the coding done as quickly as possible so that you can move onto ﬁnishing the science, versus spending that extra week (or however long) making sure that your code is neat, tidy, well-tested and generally a glorious triumph of software engineering."[2] Thus, scientists often choose lightweight tools that allow them to write code quickly, even if their code does not run at optimal speed. For example, several scientists we interviewed before starting this project 1 regularly write single-threaded programs in high-level, dynamically-typed languages such as Python, MATLAB, or R to process experimental data stored as plain-text ﬁles (up to several gigabytes in size). Their programs would deﬁnitely run faster if they had written, say, multithreaded C++ code, hand-optimized hot inner loops, and used a relational database conﬁgured with advanced indexing features. However, since they are scientists and not programmers by training, they have neither the programming expertise nor the willingness to spend the time to learn these more heavyweight tools and techniques. Even the few Computer Science researchers we interviewed (in sub-ﬁelds like machine learning and software reliability) preferred to use high-level dynamic languages like Python for their research. Although they have the know-how to write faster-running C++ code (and will do so if absolutely necessary), they felt that the convenience and ease of programming offered by languages like Python far outweighed the costs of slower run-time performance. Problem: Scientiﬁc data processing and analysis scripts often execute for tens of minutes to several hours on a single desktop computer, thus slowing down the scientist's iteration and debugging cycle. 1 In mid-2009, prior to starting implementation work, the ﬁrst author conducted a series of informal, open-ended needﬁnding interviews with computational scientists to learn about their data processing workﬂow. Why existing solutions are inadequate: To cope with this slowdown, scientists could write extra code to break up their computation into multiple stages and save the intermediate results of each stage to disk. This modularization can speed up subsequent script run-times (since not all stages need to be re-run after each code edit), but it increases code size/complexity and creates dependencies between source code and intermediate results. In practice, scientists are often hesitant to spend time refactoring their scripts to improve performance, partly due to lack of programming expertise (they learn just enough programming skills to write the simplest possible script that "just get[s] the science done"[2]) but also because it can be hard to determine whether it's worthwhile to devote the extra up-front programming time and effort. A senior researcher we interviewed stated 2 : "Many of my bug database mining scripts run overnight, and I hate how they're so slow. I sometimes think about saving intermediate results so that my scripts can run faster. However, I run lots of adhoc experiments when exploring my datasets, so I never know ahead of time which results are worth saving. I also don't know how many times I'll end up executing some scripts, so I'm never motivated enough to spend the extra effort on writing and maintaining the caching code." (Senior software engineering researcher at Microsoft Research) Another possible way to reduce iteration time is by testing the script on a tiny subset of the original dataset, to ferret out major bugs before running for hours on the full dataset. This is sometimes feasible, but oftentimes there isn't a practical way to avoid running the script on the full dataset, for some of the following reasons [4]: 1.) The data is too complex or split across multiple ﬁles, so it is cumbersome to subset. 2.) One can only assess correctness by inspecting the script's output from running on the entire dataset; running on a subset could never produce sensible output. 3.) Data parsing bugs often manifest on aberrant records that appear in the middle of a large dataset (since schemas are often missing or not strictly obeyed), so extracting the ﬁrst few records to form a tiny test dataset won't reveal those bugs. Running multiple threads in parallel can also reduce execution time, but it is signiﬁcantly more difﬁcult to write and debug parallel programs, especially for scientists who are not expert programmers. Even experts prefer to start off by writing single-threaded prototype scripts and then only parallelize later when necessary [16]. When discussing related work (Section 6), we will contrast our proposed solution to parallel programming and other related approaches. 2 All such quotes are paraphrased from notes that the ﬁrst author took during needﬁnding interviews. 1.1 Our proposed solution: Interpreter support for incremental recomputation We want to enable scientists to iterate quickly on data processing and analysis tasks while keeping their code simple and maintainable. To do so, we modiﬁed a programming language interpreter to automatically memoize (cache) the results of long-running function executions to disk, manage dependencies between code edits and saved results, and re-use memoized results rather than re-executing functions when guaranteed safe to do so. Our technique works as follows: 1. The scientist's script runs without modiﬁcation in our custom interpreter, with a minor slowdown (usually less than 20%) due to run-time monitoring 2. The interpreter memoizes (caches) results of longrunning function executions to a ﬁle 3. During subsequent runs of the same script (possibly after some edits), the interpreter loads cached results rather than re-computing when guaranteed safe to do so, which speeds up running times 4. The interpreter automatically creates and manages dependencies between executed code and cached intermediate results 5. The interpreter deletes cached results when dependent code or data changes, to ensure that results are identical to those run on an unmodiﬁed interpreter Though our technique is language-independent, we chose to implement it as a modiﬁed Python interpreter called IncPy (Incremental Python). In the past decade, Python has been gaining support across many ﬁelds of computational sciences because it is easy to learn, supports interactive prototyping, and has mature libraries for scientiﬁc data processing (e.g., NumPy, SciPy, Biopython). There is a growing research community around the language: Since 2002, Caltech has hosted the annual Python in Science (SciPy) academic conference. 1.2 Potential beneﬁts The potential beneﬁts of our approach all derive from the fact that we can speed up scientists' iteration and debugging cycles without requiring them to learn any new languages, libraries, or programming techniques. When compared with related work (Section 6), we feel that our technique is quite practical since it can be easily deployed to the large number of scientists already using Python in their daily work: We can simply replace their existing Python interpreter with our modiﬁed IncPy interpreter, and all of their existing scripts should still produce the same results, albeit running signiﬁcantly faster after minor edits. The ideal workﬂow that we would like to support is for a scientist to be able to: 1. Write a 'quick-and-dirty' ﬁrst version of the script 2. Execute the script using IncPy, and wait for, say, an hour to get results 3. Manually interpret results and notice a bug 4. Edit the script slightly to ﬁx that bug 5. Re-execute the script, and wait for a few seconds to get new results 6. Enhance the script with some new functions 7. Re-execute the script, and wait for a few minutes to get new results Note that with an ordinary Python interpreter, subsequent re-executions of the script (Steps 5 and 7) will still take an hour regardless of the size of the code edit. It is possible (although tedious and sometimes difﬁcult) to manually refactor a script to support efﬁcient recomputation, but IncPy does so automatically. Anecdotes from programmers [3] and ﬁndings from psychology experiments [6] suggest that a short iteration cycle not only results in more rapid completion of tasks but also causes people to subconsciously shift to using more effective problem-solving strategies. Since the problem remains fresh in one's (short-term) working memory, one can remain intensely concentrated rather than potentially getting distracted and context-switching while waiting for each subsequent script run to complete. Shortening execution times can also aid in the debugging process, especially for novice programmers who are not accustomed to using symbolic debuggers or systematically minimizing error-inducing inputs. For many scientist-programmers, debugging consists of cycling between making code edits, re-running the entire script, and waiting for each run to complete. A pharmacology Ph.D. student we interviewed, who is just starting to learn Python for his research, noted: "I often have to re-run my scripts several times before I can get rid of the major bugs. The problem is that I often don't know there's a bug until after the script ﬁnishes, which can take several hours or even overnight. Oftentimes I discover some simple semantic error that I can ﬁx with a tiny code edit (like using + instead of -), but then I need to re-run the entire script before I can see the new result. If subsequent runs only took a few seconds, then that could greatly help me in debugging." (Pharmacology Ph.D. student at UCLA) A faster iteration cycle could also qualitatively change how people work together on programming tasks. Another Ph.D. student we interviewed described how it could facilitate real-time collaboration: "Whenever I show my data mining results to my advisor, he always suggests to tweak something or other. Sometimes I can make the code tweaks in a few seconds, but re-running the script might take 15 to 30 minutes, so my advisor is not going to wait around for the results. I might not ﬁnd him again for another few hours or even until the next day, so my iteration cycle is far longer than the script runtime. If my scripts could re-run in seconds rather than tens of minutes, then my advisor and I could collaborate and explore alternatives in real-time." (Computer Science Ph.D. student at UC Davis) In the rest of this paper, we will demonstrate our technique on an example (§2), describe its algorithms (§3), our implementation for Python (§4), preliminary experimental results (§5), comparison to related techniques (§6), and conclude with plans for future work (§7). 2 Demonstration on example program We ﬁrst demonstrate the basics of our automatic memoization and dependency-tracking technique on an example program before describing its details in Section 3. Figure 1 shows a Python program that takes a ﬁlename as command-line input (argv[1]), processes it by calling 3 functions, and prints a numerical result. Let's say that for a given input ﬁle input1.txt, this program runs for 1 hour and prints 50. As the program is running, the interpreter memoizes (caches) the values of all arguments that each function is invoked with, and their corresponding return values. The stageA function has only one mapping: {"input1.txt" → 50}. stageB and stageC have numerous mappings, one for each unique invoked argument value. The interpreter also builds a dependency graph as the program executes (bottom of Figure 1), where each function's memoized results can depend on both code and data. Now, when the programmer edits chunks of code or data and runs the program again, the interpreter can consult the dependency graph to determine what functions need to be re-run. For example, if the programmer changed the contents of masterDatabase.db or the value of MULTIPLIER, then the memoized results for stageA and stageB might no longer be valid, so both functions must be re-run. If the programmer changed the code for stageC, then stageA and stageC must be re-run (but not stageB, since it doesn't call stageC). Assume that the program executes for 1 hour on input1.txt because it makes 5 calls to stageB and 1 call to stageC (each taking 10 minutes). If we edit the end of stageA to return, say, the product of transformedLst elements rather than the sum, then re-executing the program is nearly instantaneous since we can re-use all the memoized results from stageB ``` MULTIPLIER = 2.5 # global v a r i a b l e # Input : name of f i l e c o n t a i n i n g SQL q u e r i e s # Output : a s i n g l e computed numerical value def stageA ( filename ) : l s t = [ ] # i n i t i a l i z e empty l i s t for l i n e in open ( filename , ' r ' ) : l s t . append ( stageB ( l i n e ) ) t r a n s f o r m e d L s t = stageC ( l s t ) return sum ( t r a n s f o r m e d L s t ) # r e t u r n s a number # Input : an SQL query s t r i n g # Output : a s i n g l e computed numerical value def stageB ( q u er y Str ) : db = sql open db ( ' masterDatabase . db ' ) q = db . query ( q u er y Str ) r e s = . . . # run f o r 10 minutes p r o c e s s i n g q return ( r e s ∗ MULTIPLIER) # r e t u r n s a number # Input : a l i s t of numerical values # Output : a s i n g l e computed numerical value def stageC ( d a t L s t ) : r e s = . . . # run f o r 10 minutes munging d a t L s t return r e s # r e t u r n s a number # s p e c i f y i n p u t f i l e on command−l i n e : print stageA ( argv [ 1 ] ) ``` Figure 1: Example Python data processing program (top) and dependencies generated during execution (bottom). Circles represent code, squares represent ﬁle accesses, and the pentagon represents a global variable access. and stageC rather than re-computing them. If we notice a bug in stageC and tweak its code to ﬁx it, then reexecuting the program only takes 10 minutes rather than a full hour (we must re-run stageA and stageC but can re-use memoized results from all 5 calls to stageB). 3 Interpreter-based technique for efﬁcient incremental recomputation 3.1 MemoMap global data structure The only global data structure we maintain is called MemoMap. Each entry in MemoMap is a mapping from a function to a FuncMemoInfo object (whose class is deﬁned in Figure 2). The interpreter loads MemoMap from ``` class FuncMemoInfo { f u n c t i o n myFunc Boolean d e f i n i t e l y I m p u r e Map <<List <argument> , returnVal > memoizedVals Map <f u n c t i o n , code> codeDeps Map <v a r i a b l e , value > globalVarDeps Map <f i l e , f i l e contents > f i l e D e p s FuncMemoInfo ( f u n c t i o n func ) { / / c o n s t r u c t o r myFunc = func clearAndMarkPure ( ) } void clearAndMarkPure ( ) { d e f i n i t e l y I m p u r e = False memoizedVals = new Map<... > codeDeps = new Map<... > globalVarDeps = new Map<... > f i l e D e p s = new Map<... > / / i n i t i a l i z e s e l f −dependency : codeDeps [ myFunc ] = myFunc . code } void markImpure ( ) { d e f i n i t e l y I m p u r e = True memoizedVals . c l e a r ( ) globalVarDeps . c l e a r ( ) f i l e D e p s . c l e a r ( ) / / do not c l e a r codeDeps , s t i l l need i t } } ``` Figure 2: The FuncMemoInfo class, which keeps track of memoized values and dependencies for a function disk at the beginning of execution (or creates an empty mapping if it doesn't yet exist), and saves it to disk at the end of execution. A FuncMemoInfo object keeps track of memoized values and dependencies for one function. We chose to memoize at the function level since it is a natural abstraction boundary for computations; in Section 7 (future work) we discuss some plans for memoization at a ﬁner granularity. The memoizedVals ﬁeld in FuncMemoInfo stores memoized values, in the form of a mapping from a list of argument values to a return value (e.g., for the code in Figure 1, an entry for stageA might be { "input1.txt" → 50 }). Whenever a function is called, if its arguments are already contained in memoizedVals, then the interpreter can directly return the memoized return value rather than executing its code. There are three ﬁelds that store dependencies: * codeDeps (code dependencies): A mapping from a function called by this function to the current contents of its code (e.g., source code or bytecode) * globalVarDeps (global variable dependencies): A mapping from a global variable read by this function to its current value * fileDeps (ﬁle dependencies): A mapping from a ﬁle read by this function to its current contents If any of these dependencies are broken, then memoizedVals (and all other ﬁelds) are cleared, because it might no longer be safe to re-use memoized values. For example, if a function f reads from a ﬁle data.txt, then its memoizedVals should be cleared if data.txt changes, since f might now compute a different result even when given the same input. Only pure functions are eligible for memoization. Following the deﬁnition of Salcianu and Rinard, we consider a function pure if it never mutates an object that existed prior to its invocation [14]. As soon as a function mutates its argument or a global variable, it is marked impure and all data in its FuncMemoInfo are deleted. In addition, we always mark non-deterministic functions like random() and time() as impure. Our technique dynamically detects purity during execution, so it avoids the usual obstacles that hinder static (compile-time) purity detection, like conservative full-program pointer analysis and reasoning about dynamically-typed and reﬂective language features [14]. Our purity analysis is perfectly precise modulo broken dependencies: As long as a pure function's dependencies are not broken, then subsequent executions will run identically and remain pure. When a dependency breaks, all data in FuncMemoInfo are deleted, so its original purity state no longer matters. 3.2 Program value accesses Algorithm 1 shows what the interpreter does every time a value is accessed during execution. ``` Algorithm 1 Program value accesses On a READ of any program value val: if val reachable from a global variable GVar then tf ← MemoMap[function at the top of stack] tf.globalVarDeps[GVar] ← deepcopy(GVar.value) end if On a WRITE or DELETE of any value val: if val reachable from any global variable then for all functions func on stack do MemoMap[func].markImpure() end for else top ← function at the top of stack if val reachable from any argument of top then MemoMap[top].markImpure() end if end if ``` Whenever a function reads a value that is reachable from a global variable, that function gains a data dependency on the entire global variable. Note that we make a deep copy of the variable's current value before storing it in globalVarDeps , in order to protect against later mutations to it. Also, we store a dependency on the entire global variable and not simply on the accessed value, in order to allow for a simpler implementation. For example, if a function accesses a deeply-nested value x.foo.bar[3].baz where x is a global, it's much easier to store and to later look-up the value of the entire x data structure rather than having to make complex traversals within ﬁeld and array dereferences. Whenever the program mutates a globally-reachable value, all functions on the stack must be marked as impure (i.e., ineligible for memoization), since they were executing while a global side-effect occurred. Otherwise, if an argument of the currently-executing function is mutated, then only that function should be marked impure (its callers might still be pure). 3.3 File accesses ``` Algorithm 2 File accesses On a READ of an open ﬁle f : tf ← MemoMap[function at the top of stack] tf.ﬁleDeps[f ] ← f.contents On a WRITE of an open ﬁle f : for all functions func on stack do MemoMap[func].markImpure() end for ``` Algorithm 2 shows that the interpreter handles reads and writes of ﬁles in the same way that it handles global variable accesses. Files are an abstraction for any external resource that a program accesses. For instance, an implementation could model database or network accesses via this ﬁle model to maintain dependencies on, say, database table rows or web service data streams. 3.4 Function entrance and exit Whenever the program is about to execute a function, the interpreter tries to avoid executing that function altogether and instead return a memoized value to its caller (Algorithm 3). Before doing so, the interpreter must check whether this function is impure or whether any of its own dependencies or dependencies of functions that it has transitively called have been broken (i.e., their current values differ from their previously-saved values). If so, then the function executes normally. Otherwise, if the current argument values are saved in memoizedVals, then the interpreter returns the matching memoized return value to the caller rather than re-computing it. ``` Algorithm 3 Function entrance When program execution enters a function func: if func not in MemoMap then MemoMap[func] = new FuncMemoInfo(func) end if // your caller has a dependency on your code: c ← MemoMap[function right below func on stack] c.codeDeps[func] ← func.code f ← MemoMap[func] if f.deﬁnitelyImpure then return and continue normal execution of func end if // check code dependencies (transitively): for all {depFunc , depSavedCode} in f.codeDeps do if depFunc.code ̸ = depSavedCode then f.clearAndMarkPure() return and continue normal execution of func end if traverse inside depFunc, check all its dependencies, and recursively traverse inside its code dependencies and check them, until ﬁxpoint reached end for // check global variable dependencies: for all {depVar , depSavedVal} in f.globalVarDeps do if depVar.value ̸ = depSavedVal then f.clearAndMarkPure() return and continue normal execution of func end if end for // check ﬁle dependencies: for all {depFile , depSavedContents} in f.ﬁleDeps do if depFile.contents ̸ = depSavedContents then f.clearAndMarkPure() return and continue normal execution of func end if end for if func.argumentValues in f.memoizedVals then mRetval ← f.memoizedVals[func.argumentValues] return mRetval to caller and don't execute func else return and continue normal execution of func end if ``` Whenever the program is about to ﬁnish executing a function, the interpreter memoizes copies of its argument and return values in memoizedVals if necessary (Algorithm 4). Memoization is not done if the function is already impure, did not execute for long enough (see next paragraph), or returns an externally-accessible mutable value (which could lead to subtle semantic mismatches Algorithm 4 Function exit ``` When program execution exits a function func: f ← MemoMap[func] if f.deﬁnitelyImpure then return and exit out of func end if if func took less than 1 second to execute then return and exit out of func end if for all mutable values v within func.returnValue do if v reachable from any global variable or from any current argument of func then return and exit out of func end if end for // memoize copies of arguments and return value: argCopy ← deepcopy(func.argumentValues) retvalCopy ← deepcopy(func.returnValue) f.memoizedVals[argCopy] = retvalCopy return and exit out of func ``` due to deep copying of the memoized return value). We think it's practical to use a heuristic of only memoizing function executions that last for more than 1 second. The vast majority of functions run for less than 1 second, so it's not worth the extra work of memoizing their results when they could be instantly re-computed. The interpreter should only spend effort memoizing functions that run for a non-negligible amount of time. 4 Python interpreter implementation We implemented our technique as a custom Python interpreter called IncPy, which we created by adding ∼3000 lines of C code to the ofﬁcial Python 2.6 interpreter. IncPy passes the entire Python regression test suite (except for a test of multithreading, which it doesn't support). It works as both an interactive shell and for running script ﬁles, memoizing and tracking dependencies in all imported Python modules. We now describe some implementation decisions, with a focus on optimizations: Data structures: Since our code is part of the Python interpreter, we have full access to the implementations of Python's built-in data structures. Thus, it was easy and efﬁcient to use Python list objects to maintain lists of argument values and Python dictionary objects to maintain mappings for FuncMemoInfo ﬁelds. On-disk persistence: We use the cPickle module in the Python standard library to serialize Python objects to disk, in order to allow memoized values and dependencies to persist across executions. (Some Python data types are not serializable, so we cannot memoize functions that access such data.) We store each FuncMemoInfo entry in a separate ﬁle, load it from disk the ﬁrst time it is needed, record whether it has been modiﬁed throughout execution, and only save it back to disk at the end of execution if it has been modiﬁed (lazy write-back). Serializing at this level of granularity seems sufﬁcient for our initial implementation; in the future, we might use an object database or persistent in-memory cache (e.g., memcached) if we need ﬁner control over performance. File dependencies: Rather than saving and comparing ﬁle contents (or md5sums), we simply save and compare their last modiﬁcation times, which is far more efﬁcient. This is akin to how Makeﬁle dependencies work. Code dependencies: We save and compare Python bytecode rather than source code. We do so because making source edits that change spacing, comments, and other minor cosmetic tweaks do not alter a function's behavior, so should not break any dependencies on it. Lazy reachability detection: Several of our algorithms require the interpreter to determine whether a value is reachable from a global variable. In Python, all accesses to globally-reachable values must originate from a read of some global variable, followed by zero or more reads of its attributes (e.g., object ﬁelds, list members). On a read of a global variable, the address of its current value is added to the globally-reachable set; on the read of an attribute like obj.attr, if the address of the current value of obj is in the globally-reachable set, then the address of the value of attr is also added to that set. Therefore, given an arbitrary value, a simple address lookup in that set tells us whether it's globallyreachable (we also maintain some extra data to determine from which global variables each value is reachable). Copy-on-write optimization: Recall that we need to make a deep copy of the values of global variables, function arguments, and return values before saving them in FuncMemoInfo, since we want to capture a snapshot at a certain point in execution. However, performing a deep copy can be slow, especially for large collections (e.g., a list of 100,000 dictionaries, each containing a few mappings of strings to integers). We noticed that these large objects were rarely modiﬁed later in execution, so the deep copy wasn't even necessary. Thus, we implemented copy-on-write, which defers the deep copy until the moment an object is mutated. To evaluate y=deepcopy(x), we ﬁrst set y=x and map the address of y to a 'watch set' containing the address of x. Then we traverse inside of x and add the addresses of all enclosed mutable objects to the watch set for y (often much faster than copying since most collections contain only immutable objects, which don't need to be tracked). Whenever a value is mutated, if its address is in the watch set for y , then we deep copy x , assign it to y , update references to it, and delete its watch set. 5 Preliminary experimental results We performed an informal preliminary evaluation by using IncPy to run Python scripts that we wrote in 2007– 2008 for a research project to analyze revision control history and static analysis bug reports for the Linux kernel [7]. We started developing IncPy about a year after writing these scripts, partly motivated by our experiences of waiting for them to run for minutes after minor edits and having to manually write extra caching code. For this evaluation, we examined 3 sets of scripts that show ways in which IncPy could have sped-up our workﬂow. Soon we plan to do a more comprehensive evaluation by running other researchers' scripts through IncPy. Since the current version of IncPy only does function-level memoization, we manually tweaked some of our target scripts by hoisting loop bodies into nested functions and having each loop iteration be a function call. This transformation is purely mechanical and easy to automate; we plan to add memoization of loop bodies in the near future (see Section 7). Experiment 1: We ﬁrst examined a 200-line Python script that calculates, for all Linux source code ﬁles modiﬁed in each developer's i th committed patch, how many other developers subsequently modiﬁed that ﬁle and when did they make those edits. Each loop iteration extracts data from an sqlite database and performs the requisite calculations for a particular i (via a helper function call), then prints out aggregate information like the number of developers and mean time between patches. When running for 40 iterations (the script's default setting), the regular Python interpreter took 147 seconds 3 , while IncPy took 160 seconds (a 9% slowdown). When we re-ran the script in IncPy (without making any code edits), it only took 8 seconds, an 18X speed-up over the regular Python interpreter. After making edits like changing the aggregate information printed at each iteration (e.g., using median instead of mean) or tweaking ways to combine extracted ﬁelds to form derived ﬁelds, the script still only took 8 seconds to re-run. These edits, while small, are indicative of the sort that a scientist typically makes while tweaking his/her scripts: Each iteration of a data processing script often consists of a long-running extraction portion (that rarely changes) followed by short-running post-processing code. Being 3 Running on a 3GHz Mac Pro with 4GB RAM and Mac OS X 10.4 able to re-run and see new results in 8 seconds rather than waiting for several minutes allows the programmer to keep the task in working memory [6] while iterating and debugging. However, a more intrusive edit like changing the longrunning SQL query and data extraction code would require the entire script to re-run. Memoizing at a ﬁner granularity (e.g., per code statement) could prevent the entire script from re-running, but it would incur a greater run-time overhead during the initial run. We plan to explore this trade-off between tracing precision and runtime overhead in future work. Experiment 2: Next we examined a longer-running Python script that calculates the probability that a Linux source code ﬁle will be modiﬁed in a given time period, conditioned upon whether it was modiﬁed in the past. It performs a sliding window calculation by setting an initial period length (e.g., 1 week), a subsequent period length (e.g., 1 year), and the number of days to slide after each iteration (e.g., 1 day). Each iteration of the main loop takes a starting date, queries the database for ﬁles modiﬁed in the 1 week prior to that date and in the 1 year following that date, then computes probabilities. When we ran the sliding window over the ﬁrst year of our 7-year dataset (365 iterations, since each iteration slides by 1 day), the regular Python interpreter took 34 minutes and 33 seconds, while IncPy ran for only 38 seconds longer (a 2% slowdown). For this run, IncPy only memoized 83 kB of data, so it had minimal object serialization overhead; IncPy's slowdown is usually proportional to the amount of memoized data, not to the total code size or running time of the script. When we re-ran the script in IncPy, it only took 0.2 seconds (a 10,000X speed-up over the regular interpreter). We can make edits to adjust how the probabilities are calculated within each iteration, and instantly re-run to see new results. Also, we can adjust the iteration slide amount to a larger value (e.g., 1 week) and instantly rerun to produce a subset of our output data; this operation is useful for rendering graphs with different parameters. Currently, scientists must save the output data to a .csv (text) ﬁle and then write another script to parse that .csv ﬁle and render graphs. By having IncPy automatically memoize that data, there is no need to create and maintain dependencies for intermediate .csv ﬁles; the data analysis and graphing code can be together in one script, and IncPy ensures that when graphing code is tweaked, the analysis code does not need to re-run. After processing only the ﬁrst year of our dataset, we made the script process the ﬁrst 2 years. IncPy re-used the results for the ﬁrst year and took 36 minutes to process the second year. The regular Python interpreter had to start from scratch, so it took twice as long (71 minutes). This scenario simulates how IncPy allows scripts to re-start processing after a bug ﬁx. Data processing bugs often manifest on aberrant records that appear in the middle of a large dataset [4] (say, at the end of the ﬁrst year in this example); if the bug ﬁx is sufﬁciently small, then it might be possible to re-start at the buggy record rather than re-computing all the prior (correct) records. Experiment 3: We examined a directory of scripts that compute statistics about the concentration of bug reports per Linux source ﬁle. We initially wrote these scripts to extract data from several tables in one sqlite database. However, they ran too slowly since they were doing complex joins, so we derived 4 intermediate datasets from that database and refactored the scripts to extract data from those datasets, which were stored on disk as persistent Python pickle objects (ﬁlenames abbreviated): * A.pickle: 371 kB, took 2 seconds to create * B.pickle : 3.6 MB, 21 sec to create * C.pickle : 26 MB, 43 sec to create * D.pickle : 16 MB, 69 sec, depends on C.pickle By manually creating and maintaining these intermediate datasets, we sped up run-times at the expense of making our code more complex and harder to maintain: We had to write a script to create each dataset, add extra code to load and save intermediate data, and remember to manually re-run those scripts to re-create the proper datasets whenever their dependent data changed. We updated our master database several times to do clean-ups (e.g., canonicalizing alternate forms of a person's name) and had to re-create the 4 derived datasets each time, making sure to re-create C.pickle before D.pickle (since the latter is derived from the former). If we had used IncPy when writing these scripts back in 2008, then we could have simply put all the code together in one script and let IncPy create the derived datasets and maintain dependencies for us. That way, whenever we changed the master database, all 4 datasets would be re-created, and whenever we tweaked the code for creating one of the datasets, only it would be recreated. We combined all 4 dataset-creation scripts into one, removed the manual serialization code, and ran it through IncPy. It produced the same-sized pickle ﬁles, but ran for a minute longer (∼44% slower). 6 Related work Our technique relates to provenance in that it uses a programming language interpreter to collect a limited form of provenance for data resulting from function executions. The provenance we collect for each piece of data includes how long it took to compute and from which function executions, global variables, and input ﬁles did it derive. We use this provenance to facilitate efﬁcient incremental recomputation of imperative programs. Several related systems collect provenance via runtime execution tracing. Muniswamy-Reddy et al. designed a storage system that tracks coarse-grained provenance about individual ﬁles, which could be the intermediate results of command-line script invocations [10]. Zhang et al. designed a system to collect very ﬁnegrained provenance at the byte level by tracing the execution of x86-Linux binary executables (usually from C or C++ programs) [17]. Neither system aims to use provenance to facilitate efﬁcient incremental recomputation; instead, they focus more on using it to understand, debug, validate, and reproduce experimental results. Scientiﬁc workﬂow systems like Kepler [9], Taverna [11], and VisTrails [15] provide graphical integrated development environments for designing and executing scientiﬁc computations. Scientists create workﬂows by using a GUI to visually connect together blocks of premade functionality in a data-ﬂow graph. These systems collect provenance to facilitate debugging, validation, reproduction, and — similar to IncPy — efﬁcient incremental recomputation of results. It is fairly easy for them to do incremental recomputation since dependencies must be explicitly drawn in the dataﬂow graph and the composed computational blocks are mostly pure; in contrast, IncPy must infer dependencies and function purity from arbitrary Python programs. IncPy differs from scientiﬁc workﬂow systems in that it is a lightweight solution to facilitate prototyping in a popular, easy-to-learn, and general-purpose programming language. In contrast, while workﬂow systems have more specialized and sophisticated features, the designers of VisTrails admit: "While signiﬁcant progress has been made in unifying computations under the workﬂow umbrella, workﬂow systems are notoriously hard to use. They require a steep learning curve: users need to learn programming languages, programming environments, specialized libraries, and best practices for constructing workﬂows." [15] Self-adjusting computation enables efﬁcient recomputation in response to changes in input data. The technique focuses solely on ﬁne-grained changes to input data (e.g., linked list elements), whereas IncPy tracks code, data, and external environment changes at a coarser level. Hammer, Acar, et al. have implemented self-adjusting computation for statically-typed languages (ML and C) [8]. These systems have potential for massive speed-ups but require programmers to write algorithms using new language constructs and forbids the use of existing constructs like returning values from functions (must instead use destination-passing style [8]). We feel IncPy is easier for non-expert programmers to adopt since it targets a dynamically-typed language widely-used for scripting and does not require the learning of any new constructs or programming styles. Just-in-time compilers for dynamic languages (e.g., Psyco [13] for Python, Rubinius for Ruby, TraceMonkey for JavaScript) can speed up script execution times without requiring the programmer to learn any new constructs, which is similar in spirit to the goals of IncPy. However, JIT compilers focus on micro-optimizations of CPU-bound code like hot inner loops, whereas IncPy deals more end-to-end, using memoization to avoid longrunning computations regardless of their source. For example, no JIT compiler optimizations could speed up I/O or network-bound scripts, which is what often consumes lots of time in scientiﬁc data processing applications. Features from IncPy could easily be integrated into a JIT compiler, to get the beneﬁts of both approaches. Parallel execution of code can vastly speed up scientiﬁc data processing scripts, at the cost of increased difﬁculty in programming and debugging such scripts. In recent years, the emergence of libraries like Parallel Python [1], frameworks like MapReduce [5], and new high-level languages like Pig [12] have made it easier to write parallel code. However, we (and many of the researchers we interviewed) believe that the learning curve for writing parallel code is still high, especially for scientists without much programming experience. It is much easier for most people to think about algorithms sequentially, and even experts prefer to write single-threaded prototypes and then only parallelize later when necessary [16]. Also, the goals of IncPy are complementary to those of parallel computation: Eliminating redundant computations can still be useful for speeding up parallel code running on a cluster. For instance, a bioinformatics graduate student we interviewed lamented how a postdoc in his research group was constantly using up all the compute-power on the group's 124-CPU cluster. This postdoc's data-parallel Perl script consisted of several processing stages that took dozens of hours to run on each cluster node (on a slice of the input genomic data). He would often make tweaks to the second stage and rerun the entire script, thus needlessly re-computing all the results of the ﬁrst stage. After a few weeks of grumbling, the graduate student ﬁnally inspected the postdoc's code and saw that he could refactor it to memoize intermediate results of the ﬁrst stage, thus dramatically reducing run-time and freeing up the cluster for labmates. The postdoc, who was not an adept programmer, perhaps did not have the expertise or willingness to refactor his code; he was simply willing to wait overnight for results (to the chagrin of his labmates). With an interpreter like IncPy installed on their cluster machines, there would be no need to perform this sort of manual code refactoring. 7 Ongoing and future work From chatting with researchers interested in using IncPy, we have heard the following feature requests: * Intraprocedural analysis: Currently, we only memoize at the function level, but many scripts contain memoization opportunities within individual functions (or are simply written as one monolithic top-level main function). For instance, a long-running loop that populates a list with values can be automatically refactored to its own function, so that its results can be memoized and re-used. * Database-aware caching: Several researchers we interviewed stored their datasets in a relational database, used Python scripts to make simple SQL queries and then performed sophisticated data transformations using Python code. They found it easier and more natural to express their algorithms in an imperative manner rather than in SQL. If IncPy were augmented to intercept Python's database API calls, then it could track ﬁner-grained data dependencies between database entries and Python code. * Network-aware caching: Several CS researchers who extract large amounts of data from the Internet for their research told us that they found it annoying to have to re-run their extractor scripts after ﬁxing bugs or making tweaks. If IncPy were augmented to intercept Python's networking API calls, then it could transparently cache data retrieved from the Internet on the researcher's machine, maintain the proper dependencies, and speed up subsequent runs by eliminating unnecessary network activity. * Lightweight annotations: Some colleagues suggest allowing the programmer to annotate their scripts to gain more control over memoization (e.g., explicitly marking a block of code as a unit to memoize rather than only relying on the interpreter to infer what to memoize). We currently don't have annotations since we don't want to require scientists to learn any new constructs in order to use IncPy, but we will add simple annotations if there is demand. * Simple provenance browsing: Some researchers would like ways to interactively browse (or even manually edit) the saved intermediate results of their scripts. IncPy already records a limited form of provenance, so allowing a user to directly view the data and its provenance could help them manually verify the correctness of intermediate results, debug more effectively, and predict how long it might take to re-execute portions of their workﬂow. Acknowledgments: We thank Joel Brandt and Robert Ikeda for editorial help, all of our interview subjects, and the NSF fellowship for funding Philip's graduate studies. References [1] Parallel Python http://www.parallelpython.com/. [2] Programming for Scientists (blog) http://www. programming4scientists.com/. [3] BRANDT, J., GUO, P. J., LEWENSTEIN, J., DONTCHEVA, M., AND KLEMMER, S. R. Opportunistic programming: Writing code to prototype, ideate, and discover. IEEE Software 26, 5 (2009), 18–24. [4] BRONSON, N. personal email communication, discussing hindrances to data subsetting, 2009. [5] DEAN, J., AND GHEMAWAT, S. Mapreduce: simpliﬁed data processing on large clusters. In Proceedings of the 6th conference on Symposium on Opearting Systems Design & Implementation (2004), USENIX Association, pp. 10–10. [6] GRAY, W., AND BOEHM-DAVIS, D. Milliseconds matter: An introduction to microstrategies and to their use in describing and predicting interactive behavior. Journal of Experimental Psychology: Applied 6, 4 (2000), 322–335. [7] GUO, P. J., AND ENGLER, D. Linux kernel developer responses to static analysis bug reports. In Proceedings of the USENIX Annual Technical Conference (2009), USENIX Association, pp. 285–292. [8] HAMMER, M. A., ACAR, U. A., AND CHEN, Y. CEAL: a Cbased language for self-adjusting computation. In Proceedings of the 2009 ACM SIGPLAN conference on Programming language design and implementation (2009), ACM, pp. 25–37. [9] LUD ¨ ASCHER, B., ALTINTAS, I., BERKLEY, C., HIGGINS, D., JAEGER, E., JONES, M., LEE, E. A., TAO, J., AND ZHAO, Y. Scientiﬁc workﬂow management and the Kepler system: Research articles. Concurr. Comput. : Pract. Exper. 18, 10 (2006), 1039–1065. [10] MUNISWAMY-REDDY, K.-K., HOLLAND, D. A., BRAUN, U., AND SELTZER, M. Provenance-aware storage systems. In Proceedings of the USENIX Annual Technical Conference (2006), USENIX Association, pp. 4–4. [11] OINN, T., GREENWOOD, M., ADDIS, M., ALPDEMIR, M. N., FERRIS, J., GLOVER, K., GOBLE, C., GODERIS, A., HULL, D., MARVIN, D., LI, P., LORD, P., POCOCK, M. R., SENGER, M., STEVENS, R., WIPAT, A., AND WROE, C. Taverna: lessons in creating a workﬂow environment for the life sciences: Research articles. Concurr. Comput. : Pract. Exper. 18, 10 (2006), 1067–1100. [12] OLSTON, C., REED, B., SRIVASTAVA, U., KUMAR, R., AND TOMKINS, A. Pig latin: a not-so-foreign language for data processing. In Proceedings of the ACM SIGMOD international conference on Management of data (2008), ACM, pp. 1099–1110. [13] RIGO, A. Representation-based just-in-time specialization and the Psyco prototype for Python. In Proceedings of the ACM SIGPLAN symposium on Partial evaluation and semantics-based program manipulation (2004), ACM, pp. 15–26. [14] SALCIANU, A., AND RINARD, M. C. Purity and side effect analysis for Java programs. In VMCAI (2005), pp. 199–215. [15] SCHEIDEGGER, C. E., VO, H. T., KOOP, D., FREIRE, J., AND SILVA, C. T. Querying and re-using workﬂows with VisTrails. In Proceedings of the ACM SIGMOD international conference on Management of data (2008), ACM, pp. 1251–1254. [16] SEO, J. personal email communication, discussing sequential vs. parallel scripts, 2009. [17] ZHANG, M., ZHANG, X., ZHANG, X., AND PRABHAKAR, S. Tracing lineage beyond relational operators. In VLDB '07: Proceedings of the 33rd international conference on Very large data bases (2007), VLDB Endowment, pp. 1116–1127.
Template for Detailed Project Report (DPR) Up gradation of an Existing College to a New Model Degree College Section 1: Preamble A. Name of the College: B. Name of Affiliating University: C. Year of Establishment of the college: D. Name of the District of location of the college: E. Does the district have any existing MDC? If yes, please specify the number of MDCs: F. Status of NAAC Accreditation of the college: G. Details of Higher Education Institutions (including Govt., Govt. Aided & Private in the District/Region) \| Total No. \| Govt. \| Govt. Aided \| Private \| \|---\|---\|---\|---\| J. District Higher Education profile \| College Population Index (CPI) \| Institutional Density (ID) \| Gross Enrolment Ration (GER) \| \|---\|---\|---\| Section 2: Objectives: A. Details of specific outcomes and outputs to be achieved in areas of excellence. Section 3: Land Details: A. Existing Land Availability (in acres): B. Proof of Land availability for proposed college (for existing and additionally required land): C. Land ownership certificate from competent authority for proposed additional land requirement, if any: D. Declaration that land is offered by the State Govt. free of cost and not included as a part of RUSA estimate: E. Details of existing building: \| S.No \| Description of Building(s) \| Location \| Total Area (Sq. m) \| \|---\|---\|---\|---\| F. New Buildings proposed: \| S.No \| Description of Building (s) \| Location \| Proposed Area Sq. m \| Total Area Sq. m \| Purpose \| \|---\|---\|---\|---\|---\|---\| G. Equipment \| Sl. No \| Name of the equipment \| Quantity \| Cost per Unit \| Total Cost \| \|---\|---\|---\|---\|---\| Section 4: Existing/Proposed Governance Structure of College A. Organizational Structure for Operations and Management B. Role and Responsibilities of Key Positions/bodies Section 5: Academic and Administrative Details: A. Academic Divisions and programmes (i) Details of Existing Programs/Courses at UG/PG/PG+ levels: \| Sl. No. \| Departments \| Course Offered \| Duration \| Current Enrolment \| Whether course approved by UGC \| Students Enrolled \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| \| \| SC \| ST \| Girls \| \| 1. \| \| \| \| \| \| \| \| \| \| 2. \| \| UG \| \| UG \| \| \| \| \| \| 3. \| \| PG \| \| PG \| \| \| \| \| \| 4. \| \| PG+ \| \| PG+ \| \| \| \| \| \| 5. \| \| \| \| \| \| \| \| \| \| 6. \| \| \| \| \| \| \| \| \| (ii) Proposed New Courses \| Sl. No. \| Departments \| Course to be Offered \| Duration \| Year-wise Enrolment Targets for first 5 years \| Whether course approved by UGC \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| \| \| SC \| ST \| \| 7. \| \| \| \| \| \| \| \| \| 8. \| \| UG \| \| UG \| \| \| \| \| 9. \| \| PG \| \| PG \| \| \| \| \| 10. \| \| PG+ \| \| PG+ \| \| \| \| \| 11. \| \| \| \| \| \| \| \| B. Admission policy for the proposed College: \| SL. No \| Course \| Eligibility criteria \| \|---\|---\|---\| \| \| UG \| \| \| \| PG \| \| \| \| PG+ \| \| C. Details of Teaching and Non-teaching Staff: (i) Teaching Staff: As on date: \| Department \| Existing Courses \| \| \| \| \| Proposed New Posts Required \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| Sanctioned Posts \| Filled Posts (Regular) \| Adhoc Posts \| Guest Lecturers \| \| \| 1 \| 2 \| 3 \| 4 \| 5 \| 6 \| 7 \| \| \| Assistant Professor \| \| \| \| \| \| \| \| Associate Professor \| \| \| \| \| \| \| \| Professor \| \| \| \| \| \| 1. Additional posts to be created to achieve ideal Student Teacher Ratio and man the proposed Academic Departments 2. Recruitment Strategy and Commitment to employ teachers on Regular basis: (ii) Non-Teaching Staff: As on date \| \| Sanctioned Posts \| Filled Posts (Regular) \| Adhoc Posts \| \| \|---\|---\|---\|---\|---\| \| 1 \| 2 \| 3 \| 4 \| 5 \| \| Administrative \| \| \| \| \| \| Technical \| \| \| \| \| \| Others \| \| \| \| \| 1. Additional posts to be created to achieve ideal Teaching to Non-Teaching staff Ratio of 1:1.1 2. Recruitment Strategy: D. Proposed Outcomes – 1. In terms of Better Employability (Output in terms of Inter disciplinary and cross disciplinary learning) 2. Quality gains (Output in terms of Governance, Faculty (ratio), Academic reforms, Autonomy) 3. Better research yields (Output in terms of, Publications, PhDs, M Phils, Investment 4. Output in terms of Access, Excellence and Equity Section 6: Physical and Financial Details of Proposed College A. Physical estimates for civil works (including equipment. fixtures and furniture): \| \| \| Minimum Area Requirement (SM) \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| S. No. \| Item \| Tier 1 \| Tier 2 \| Hilly \| 2014-15 \| 2015-16 \| \| 1 \| Administrative Buildings, Faculty rooms \| 800 \| 800 \| 525 \| \| \| \| 2 \| Laboratories \| 410 \| 500 \| 300 \| \| \| \| 3 \| Classrooms \| 810 \| 870 \| 730 \| \| \| \| 4 \| Library \| 350 \| 400 \| 300 \| \| \| \| 5 \| Computer Centre/E- campus \| 175 \| 175 \| 100 \| \| \| \| 6 \| Toilet Blocks separate for Boys & Girls \| 175 \| 175 \| 100 \| \| \| \| 7 \| Miscellaneous \| 95 \| 95 \| 50 \| \| \| B. Financial estimates for construction works (including furniture & fixture, equipment): \| S. No \| Item \| Maximum Financial Requirement (In Rs. Lakhs) \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| Tier 1 (@ Rs. 33371 per SM) \| Tier 2 (@ Rs. 31622 per SM) \| Hilly (@ Rs. 44650 per SM) \| 2014-15 \| 2015-16 \| \| 2 \| Laboratories \| 136.82 \| 158.11 \| 133.95 \| \|---\|---\|---\|---\|---\| \| 3 \| Classrooms \| 270.3 \| 275.11 \| 325.94 \| \| 4 \| Library \| 116.79 \| 126.48 \| 133.95 \| \| 5 \| Computer Centre/E-campus \| 58.39 \| 55.33 \| 44.65 \| \| 6 \| Toilet Blocks separate for Boys & Girls \| 58.39 \| 55.33 \| 44.65 \| \| 7 \| Miscellaneous \| 31.7 \| 30.04 \| 22.32 \| \| 8 \| Hostel \| 260.96 (@ Rs. 26096 per SM) \| 247.22 (@ Rs. 24722 per SM) \| 260.64 (@ Rs. 32581 per SM) \| Note:1) Please enclose all relevant documents to support the DPR, architectural blueprints and elevation drawings etc. for the proposed college 2) Maximum Central Grant will be limited to Rs. 3.6 crores or 90% of proposed amount (whichever is lesser) for Special Category States and Rs. 2.6 crores or 65% of proposed amount (whichever is lesser) for Others. 3) State must commit to bear the excess expenditure over and above the central share and provide this commitment in the form of a declaration. 4) Creation of new facilities shall not exceed 35%; renovation/ Upgradation of existing facilities (including repairs and maintenance cost) shall not exceed 35%; and purchase of new equipment shall not exceed 30% of the total cost of the project. Section 7: Plan A. Timeline for developing Physical Infrastructure \| Phase \| Physical Target \| \| \| \|---\|---\|---\|---\| \| \| Start Date \| End Date \| Start Date \| \| (i) Creation of new facilities (35% of total project cost) \| \| \| \| \| (ii) Renovation/ Up gradation (35% of total project cost) \| \| \| \| \| (iii) Equipment (30% of total project cost) \| \| \| \| B. Timeline for Academic and Administrative Matters \| Item \| \| \| \| Start Date \| End Date \| \|---\|---\|---\|---\|---\|---\| \| Introduction of new courses & Programmes (create rows below for each) \| \| \| UG \| \| \| \| \| \| \| PG \| \| \| \| \| \| \| PG+ \| \| \| \| Creation of new \| \| Departments \| \| \| \| \| \| \| Centres \| \| \| \| \| Recruitment (to achieve target ratios) \| Teaching Staff \| \| \| \| \| \| \| Non – Teaching Staff \| \| \| \| \| \| \| \| \| UG \| \| \| \| \| \| \| PG \| \| \| Please indicate phases/milestones between start and end dates for items as deemed appropriate Section 8: Overall Action Plan for Implementation with Timelines A. Activity Chart: The Activity Chart should be prepared linking it to all the activities proposed under relevant chapters. Section 9: Commitments: The State must commit to the following when proposing the new college B. Adequate hostels and toilets for girls C. Prescribed no. of hostel seats for socially and educationally backward classes D. Buildings to be disabled friendly and also ensure special facilities/equipment for the disabled. E. Adequate per student provisions for classrooms, library and laboratory facilities F. Inclusion of ICT in teaching-learning processes and provision of internet access to all students G. Implementation of all academic, examination and governance reforms H. Aim to achieve the Student Teacher Ratio of 15:1 I. Aim to achieve the Teaching to Non-Teaching ratio of 1:1.1 J. Bear the recurring cost of the college Note: 1. Please enclose all relevant documents to support the DPR, architectural blueprints and elevation drawings etc. for the proposed college 2. Maximum Central Grant will be limited to Rs. 3.6 crores or 90% of proposed amount (whichever is lesser) for Special Category States and Rs. 2.6 crores or 65% of proposed amount (whichever is lesser) for Others. 3. State must commit to bear the excess expenditure over and above the central share and provide this commitment in the form of a declaration. 4. Creation of new facilities shall not exceed 35%; renovation/ Upgradation of existing facilities (including repairs and maintenance cost) shall not exceed 35%; and purchase of new equipment shall not exceed 30% of the total cost of the project. ***
EC-2™ Installation Guide Installation Checklist .......................................................................................................... 20 Declaration of Conformity according to ISO/IEC Guide 22 and EN45104 Manufacturer's name: High End Systems, Inc. Manufacturer's address: 2105 Gracy Farms Lane Austin, Texas 78758 USA Distributor's name: High End Systems, Inc. Distributor's address: 2105 Gracy Farms Lane Austin, Texas 78758 USA Declares that the product Product Name: EC-2 Product Number: EC-2 Product Options: All conforms to the following EEC directives: 73/23/EEC, as amended by 93/68/EEC 89/336/EEC, as amended by 92/31/EEC and 93/68/EEC Equipment referred to in this declaration of conformity was first manufactured in compliance with the following standards in 2000: Safety: EN 60598-1 : 1997 EN 60598-2-17 ; 1989 A1-A3 : 1993 EMC: EN 55022, 1987 Class A ITE EN61000-4-2: 1995 Level 2/3 (2/3kV) EN61000-4-3: 1995 Level 2 (3V/m) ENV50204:1996: Level 2 (3V/m) EN61000-4-4: 1995 Level 2 (1/.5kV) EN61000-4-5: 1995 Level 3 (2/1kV) EN61000-4-6: 1996 Level 2 (3Vrms) EN61000-4-11:1994 IEC 1000-3-2/EN 61000-3-2 USA, Sunday, January 07, 2001 Kenneth Stuart Hansen, Compliance Engineer Product Modification Warning High End Systems' products are designed and manufactured to meet the requirements of United States and International safety regulations. Modifications to the product could affect safety and render the product non-compliant to relevant safety standards. Mise En Garde Contre La Modification Du Produit Les produits High End Systems sont conçus et fabriqués conformément aux exigences des règlements internationaux de sécurité. Toute modification du produit peut entraîner sa non conformité aux normes de sécurité en vigueur. Produktmodifikationswarnung Design und Herstellung von High End Systems entsprechen den Anforderungen der U.S. Amerikanischen und internationalen Sicherheitsvorschriften. Abänderungen dieses Produktes können dessen Sicherheit beeinträchtigen und unter Umständen gegen die diesbezüglichen Sicherheitsnormen verstoßen. Avvertenza Sulla Modifica Del Prodotto I prodotti di High End Systems sono stati progettati e fabbricati per soddisfare i requisiti delle normative di sicurezza statunitensi ed internazionali. Qualsiasi modifica al prodotto potrebbe pregiudicare la sicurezza e rendere il prodotto non conforme agli standard di sicurezza pertinenti. Advertencia De Modificación Del Producto Los productos de High End Systems están diseñados y fabricados para cumplir los requisitos de las reglamentaciones de seguridad de los Estados Unidos e internacionales. Las modificaciones al producto podrían afectar la seguridad y dejar al producto fuera de conformidad con las normas de seguridad relevantes. FCC Information This equipment has been tested and found to comply with the limits for a Class A digital device, pursuant to part 15 of the FCC rules. These limits are designed to provide reasonable protection against harmful interference when the equipment is operated in a commercial environment. This equipment generates, uses, and can radiate radio frequency energy and, if not installed and used in accordance with the instruction manual, may cause harmful interference to radio communications. Operation of this equipment in a residential area is likely to cause harmful interference, in which case the user will be required to correct the interference at his own expense. Important Safety Information Instructions pertaining to continued protection against fire, electric shock, exposure to excessive ultraviolet (UV) radiation, and injury to persons are found in Appendix B of the EC-2 User Manual that was shipped with your fixture. Please read all instructions prior to assembling, mounting, and operating this equipment. Important: Informations De Sécurité Les instructions se rapportant à la protection permanente contre les incendies, l'électrocution, l'exposition à un rayonnement ultraviolet (UV) excessif et aux blessures corporelles se trouvent dans l'Annexe B. Veuillez lire toutes les instructions avant d'assembler, de monter ou d'utiliser cet équipement. Wichtige Sicherheitshinweise Sicherheitsanleitungen zum Schutz gegen Feuer, elektrischen Schlag, übermäßige UVStrahlung und Verletzung von Personen finden Sie in Anhang B. Vor der Montage, dem Zusammenbau und der Intbetriebnahme dieses Geräts alle Anleitungen sorgfältig durchlesen. Informazioni Importanti Di Sicurezza Le istruzioni sulla protezione da incendi, folgorazione, esposizione eccessiva a raggi ultravioletti (UV) e infortuni sono contenute nell'appendice B. Si prega di leggere tutte le istruzioni prima di assemblare, montare e azionare l'apparecchiatura. Informacion Importante De Seguridad En el Apéndice B se encuentran instrucciones sobre protección continua contra incendios, descarga eléctrica, exposición excesiva a radiación ultravioleta (UV) y lesiones personales. Lea, por favor, todas las instrucciones antes del ensamblaje, montaje y operación de este equipo. Warranty Information Limited Warranty Unless otherwise stated, your product is covered by a two year parts and labor limited warranty. Dichroic filters are not guaranteed against breakage or scratches to coating. It is the owner's responsibility to furnish receipts or invoices for verification of purchase, date, and dealer or distributor. If purchase date cannot be provided, date of manufacture will be used to determine warranty period. Returning an Item Under Warranty for Repair It is necessary to obtain a Return Material Authorization (RMA) number from your dealer or point of purchase BEFORE any units are returned for repair. The manufacturer will make the final determination as to whether or not the unit is covered by warranty. Lamps are covered by the lamp manufacturer's warranty. Any Product unit or parts returned to High End Systems must be packaged in a suitable manner to ensure the protection of such Product unit or parts, and such package shall be clearly and prominently marked to indicate that the package contains returned Product units or parts and with an RMA number. Accompany all returned Product units or parts with a written explanation of the alleged problem or malfunction. Ship returned Product units or parts to: 2105 Gracy Farms Lane, Austin, TX 78758 USA. Note: Freight Damage Claims are invalid for fixtures shipped in non-factory boxes and packing materials. Freight All shipping will be paid by the purchaser. Items under warranty shall have return shipping paid by the manufacturer only in the Continental United States. Under no circumstances will freight collect shipments be accepted. Prepaid shipping does not include rush expediting such as air freight. Air freight can be sent customer collect in the Continental United States. REPAIR OR REPLACEMENT AS PROVIDED FOR UNDER THIS WARRANTY IS THE EXCLUSIVE REMEDY OF THE CONSUMER. HIGH END SYSTEMS, INC. MAKES NO WARRANTIES, EXPRESS OR IMPLIED, WITH RESPECT TO ANY PRODUCT, AND HIGH END SPECIFICALLY DISCLAIMS ANY WARRANTY OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. HIGH END SHALL NOT BE LIABLE FOR ANY INDIRECT, INCIDENTAL OR CONSEQUENTIAL DAMAGE, INCLUDING LOST PROFITS, SUSTAINED OR INCURRED IN CONNECTION WITH ANY PRODUCT OR CAUSED BY PRODUCT DEFECTS OR THE PARTIAL OR TOTAL FAILURE OF ANY PRODUCT REGARDLESS OF THE FORM OF ACTION, WHETHER IN CONTRACT, TORT (INCLUDING NEGLIGENCE), STRICT LIABILITY OR OTHERWISE, AND WHETHER OR NOT SUCH DAMAGE WAS FORESEEN OR UNFORESEEN. Warranty is void if the product is misused, damaged, modified in any way, or for unauthorized repairs or parts. This warranty gives you specific legal rights, and you may also have other rights which vary from state to state. Caution and Warning Symbols The following international symbols appear in margins throughout this manual to highlight caution and warning messages: Cautions Not heeding these messages could result in personal injury and/or damage to equipment. Caution: This symbol indicates caution messages. Hot Surface:This symbol indicates a hot surface. Warnings Not heeding these messages could result in serious personal injury. Warning: This symbol indicates high voltage warning messages. Fire Hazard:This symbol indicates that a fire hazard is present. Eye Protection:This symbol indicates that eye protection is required. Explosion:This symbol indicates an explosion hazard. Minimum This symbol indicates the minimum distance to a lighted Distance: object, which in this case is 1 meter. Not Suitable for mounting directly on normally flammable surfaces. Introduction How to Use this Guide This document provides instructions for installing the EC-2 fixture and is organized into three sections: 1. Introduction describes general requirements for installation. 2. EC-2 Fixture Installation includes all directions for mounting, wiring power and data lines and setting the voltage. 3. Testing the EC-2 Installation provides information on powering up, focusing the fixture, testing, and a checklist to complete the installation. The EC-2 fixture must be installed by suitably qualified personnel (such as an electrician) in accordance with local and national building and electric codes. These instructions are intended for electricians and/or building contractors already familiar with electrical wiring and construction. Planning the Installation The EC-2 fixture is an ETL/ETL C recognized component when the following conditions of acceptability are met: 1. The EC-2 fixture must be installed in accordance with local and national building and electrical codes. 2. The EC-2 fixture must be mounted on a site that provides adequate drainage so that the fixture is never immersed in standing water. 3. The EC-2 fixture must be properly secured with recommended mounting hardware (see the section titled "Permanent Mounting" on page 10). Heed the following warnings to guard against personal injury and damage to the fixture: Caution: 1)Do not mount on a flammable surface. 2)Maintain a minimum distance of 1 m (3.28 ft.) from combustible materials. 3)Maintain a minimum distance of 1 m (3.28 ft.) from lighted object. This means the fixture must be positioned at least 1 meter away from the object it is illuminating. Unpacking the EC-2™ Fixture Carefully unpack the carton and inspect the contents for damage. If any of the items in the following list are missing or damaged, notify both the shipping agent and your sales agent immediately. * EC-2™ fixture * EC-2™ User Manual * EC-2™ Installation Guide * Package containing: —One 5-pin Data connector —One 2-pin Power connector —One 120Ω termination resistor —Two ferrite rings —One tie wrap * Mounting template Saving the Shipping Materials Do not discard the shipping carton and packing materials. The carton and packing materials are specifically designed to protect the product during transport. High End Systems assumes no responsibility for products that have been damaged during transport. Therefore, you should return a product for repair in its original shipping carton and packing materials. Note: Before sending anything to the factory, call your High End Systems dealer/ distributor for a RMA (Return Material Authorization) number. The factory cannot accept any goods shipped without a RMA number. Identifying EC-2™ Components Figure 1 EC-2 Fixture Components Lamp Cap Power conduit connection Data conduit connection Logic board Access panel to logic board Yoke tilt screws Back fixture housing Front fixture housing Circuit Breaker Protection Table 1 Guideline for number of fixtures per breaker \| Power Supply \| Fixtures per 20A Breaker \| \|---\|---\| \| 120V or less \| 2 \| \| 230V \| 4 \| Install an electrical connection (junction box) no more than four feet away from the foundation. A single junction box is acceptable only if it has a barrier to separate data and power wiring. High End Systems, Inc. recommends that the mains power supply to EC-2 be ground fault protected for added safety. Wiring should be sized as per your local and national electrical codes and should include 20A maximum branch circuit protection. A guideline for determining the number of fixtures which can be powered per breaker is shown in Table 1 . DMX 512 Data Cable Specification Belden ® 1419A or equivalent (meets specifications for EIA RS-485 applications) with the following characteristics: \| Pin \| Function \| Color Code \| \|---\|---\|---\| \| Pin 1 \| Common \| Shield \| \| Pin 2 \| DMX Data – \| White/Blue Stripe \| \| Pin 3 \| DMX Data + \| Blue/White Stripe \| \| Pin 4 \| Aux Data – \| White/Orange Stripe \| \| Pin 5 \| Aux Data + \| Orange/White Stripe \| * Two twisted pairs (4 conductors) plus a shield * maximum capacitance between paired conductors — 30 pF/ft. * maximum capacitance between conductor and shield — 55 pF/ft. * maximum resistance of 20Ω / 1000 ft. * nominal impedance 120Ω Wire Routing * The EC-2 fixture should be connected to power and data supplies with metal-lined, 1/2in. listed seal-tight conduit. * Data and power conduit connect at the back of the fixture, (see Figure 1 on page 8). * Data and power wiring must always be run in separate conduit. EC-2 Fixture Installation Permanent Mounting The EC-2 fixture is designed for surface mounting on the ground or a wall. Ceiling and truss-mounting are not recommended using the EC-2 fixture's installed yoke. Note: Certain orientations in ceiling mounting will make the fixture's logic board susceptible to heat damage since the EC-2 has no fan and uses only natural convection for cooling. Table 2 Mounting Specifications High End Systems, Inc. cannot make specific recommendations for your particular light design or venue. Because there are a variety of conceivable lighting designs, you should consider the procedure below as a suggested guideline only. Consult with a structural engineer or other professional familiar with national and local building codes for your unique application. To mount the EC-2 fixture: 1. Construct a foundation of a suitable nonflammable material (concrete, steel, etc.). If mounted on the ground or floor, the foundation must be able to support the weight of EC-2 (see Table 2). If mounted on the wall, the foundation must be able to support the weight of EC-2 plus the pull-out force of each mounting stud. Figure 2 Mounting template Location for mounting studs The foundation can be any shape that creates an adequate base for the fixture. See Table 2 for EC-2 dimensions. Allow clearance on all sides of the fixture for lamp replacement and service access. 2. Use template included with the fixture to locate position of four mounting studs. Locate studs (or anchors) as shown in Figure 2 to allow the full pan range. 3. Install the four 3/8 in. mounting studs in the foundation so that the threaded ends extend above the surface at least 1 in. (25mm). Caution: Make sure there is adequate drainage to protect the fixture from becoming immersed in standing water. Securing the Fixture to the Prepared Foundation You will need: * 1/4in. allen wrench * 3/8in. allen wrench * Four 3/8in. flat washers and four 3/8in. hex nuts To Secure and position the fixture: 1. Set the slots of the yoke base over the studs in the foundation you constructed. Rotate the yoke within the slots to the desired pan angle. 2. When EC-2 is positioned correctly, place a 3/8in. flat washer and 3/8in. hex nut over each of the four studs in the foundation and tighten securely. 3. Loosen the tilt screws on either side of the fixture using a 1/4 in. allen wrench and pivot the EC-2 lens to the desired tilt angle, then re-tighten securely. Setting/Changing the Fixture Voltage EC-2 fixtures are factory-set to 277V, 60Hz. If your power source differs, you must change the fixture's input voltage to match your power source. EC-2 has a selectable input voltage that allows you to choose 100V, 120V, 208V, 230V, or 277V at 50 or 60 Hertz frequency. The voltage range for each setting is ±10 percent. For example, if you have a 220V or 240V power source, use the 230V input setting. Warnings:1) Disconnect power before servicing. 2) This fixture must be serviced by qualified personnel. The information in this section is intended to assist qualified service personnel only. 3) Be sure to match the voltage selection jumper to your power source prior to operating this equipment. You will need: * 1/4in. allen wrench * small flathead screwdriver * small phillips screwdriver To change the voltage/frequency setting: 1. Disconnect power to the fixture. 2. Use the 1/4in. allen wrench to loosen the tilt screws on both sides of the yoke and rotate the fixture to the position shown in Figure 13. Tighten the tilt screws. 3. Use small, flathead screwdriver to loosen the access panel retaining screws and remove the access panel. 4. Locate the voltage/frequency jumpers on the logic board (see Figure 4). 5. To move a jumper, loosen the screw that secures the jumper end to the voltage or frequency contact. 6. Remove the jumper end and re-insert it behind the screw of the desired voltage or frequency contact (see Figure 5). After you move the jumper, tighten its corresponding screw to secure the jumper to the pin. 7. After changing the voltage and/or the frequency jumpers check that all the terminal screws are tightened securely. 8. Re-attach the access panel. Tighten the panel screws to a torque setting between 3–4 ft.lb. (4–5 Nm) to ensure a weather-tight seal. EC-2™ Wiring Instructions The EC-2 fixture can be permanently wired either in a standalone application or linked with other fixtures. If you are linking the EC-2 fixture with other fixtures, go to "Linking Fixtures", page 15 for wiring instructions. After completing power and data wiring, check that the access panel gasket is in place and reattach the access panel securely to the fixture to ensure a watertight seal. Connecting Power Wiring in Standalone Installation 1. Run 1/2in. flexible, metal-lined, sealtight conduit from power source to fixture. Data and power cable must be run in separate conduit. 2. Attach conduit (see "Wire Routing", page 9 for specifications) to fixture at power connection, see Figure 6. 3. Tilt fixture and open access panel to logic board as described in "Setting/Changing the Fixture Voltage", page 11. 4. Pull power supply cable through conduit into fixture. Pull adequate cable to allow easy connection to the board. 5. Strip 3 in. of the cable jacket from the power cable (if applicable). 6. Strip 1/4 in. insulation from the end of each wire. Note: Figure 7 shows the power connection process described in steps 7–10. 7. Loosen the ground screw and insert the ground wire behind it. Tighten the screw. 8. Loosen the screws in the 2-position power connector that was shipped with your fixture. 9. Insert the neutral wire into pin 1 and the line wire into pin 2. Tighten the screws. 10. Plug connector into header on logic board. DMX 512 Data Wiring in a Standalone Installation Data cabling typically runs from an installed XLR wall mount to the fixture's data connector. See "DMX 512 Data Cable Specification" on page 9 for cable specifications. Pin one is the common (cable shield), pin two is the data complement (negative), pin three is the data true (positive), and pins four and five are not used, but they allow a secondary data link to pass through the fixture. You should test the cable with a voltage/ohm meter (VOM) to verify correct polarity and to make sure that the negative and positive pins are not grounded or shorted to the shield or to each other. Caution: Do not connect anything to the ground lug on the XLR connectors. Do not connect or allow contact between the common (cable shield) and the fixture's chassis ground. Grounding the common could cause a ground loop and/or erratic behavior. 1. Run conduit separate from power supply from the XLR wall panel to the data connection of the fixture, (see Figure 6 on page 13). 2. Tilt fixture and open access panel to logic board as described in "Setting/Changing the Fixture Voltage", page 11. 3. Bring data cable through conduit into fixture. Pull enough cable to allow connection to the board and reduce strain to the wires during connection. 4. Slip one of the ferrite rings that was shipped with your fixture over the data cable and wire-tie it 4in. (100mm) back from the end. 5. Strip 3in. of the cable jacket from the end of the cable. 6. Cover all bare shield wires with 1/16 in. heat shrink. 7. Strip 1/4 in. insulation from the end of each wire. Note: Figure 8 shows the data line connection described in steps 8–10. 8. Loosen the screws in the 5-position data connector that was shipped with your fixture. 9. Insert the shielded wire in pin 1 and the data wires as shown in the drawing. 10. Terminate the EC-2 by inserting the 120Ω resistor shipped with your fixture between pins 2 and 3 of the data connector. 11. Plug connector into logic board data header. 12. After checking gasket, re-attach the access panel. Tighten the panel screws to a torque setting between 3–4 ft.lb. (4–5 Nm) to ensure a weather-tight seal. Linking Fixtures Figure 9 shows the wiring configuration for linked fixtures in a permanent installation. Power and Data must be run in separate conduit. . Figure 9 Linking the fixtures XLR Data Connection Power Source Data Power Connecting Power Wiring in a Linked Installation See "Planning the Installation", page 7 before beginning this procedure. Power wiring is essentially the same for linked fixtures as for standalone installations with the exception of junction box connections required. To connect the power wiring: 1. Run conduit approved for your application from power source along the link installing a junction box for each fixture in the link. 2. Attach 1/2in. flexible, metal-lined, sealtight conduit from the junction box to the fixture's power connection. Electrical connections are made in each junction box as shown in Figure 9. (see "Wire Routing", page 9 for specifications). 3. Tilt fixture and open access panel to logic board as described in "Setting/Changing the Fixture Voltage", page 11. 4. Pull power supply wires through conduit into fixture. Pull enough wire to allow connection to the board. 5. Strip 3 in. of the cable jacket from the power cable (if applicable). 6. Strip 1/4 in. insulation from the end of each wire. Note: Figure 10 shows the power connection described in steps 7–10. 7. Loosen the ground screw and insert the ground wire behind it. Tighten the screw. 8. Loosen the screws in the 2-position power connector that was shipped with your fixture. 9. Insert the neutral wire into pin 1 and the line wire into pin 2. Tighten the screws. 10. Plug connector into header on logic board. DMX 512 Data Wiring in a Linked Installation Data cabling typically runs from an installed XLR wall mount to each fixture's data connector in a daisy chain* and terminates with a resistor at the last fixture in the link. Note: A daisy chain is a connection in series, from the XLR wall connection to the data connector of the first fixture; then, from the data connector of the first fixture to the input of the second fixture, and so on. See "DMX 512 Data Cable Specification" on page 9 for cable specifications. Pin one is the common (cable shield), pin two is the data complement (negative), pin three is the data true (positive), and pins four and five are not used, but they allow a secondary data link to pass through the fixture. You should test each cable with a voltage/ohm meter (VOM) to verify correct polarity and to make sure that the negative and positive pins are not grounded or shorted to the shield or to each other. Caution: Do not connect anything to the ground lug on the XLR connectors. Do not connect or allow contact between the common (cable shield) and the fixture's chassis ground. Grounding the common could cause a ground loop and/or erratic behavior To Connect DMX 512 data wiring in a link: 1. Run data conduit separate from power supply conduit from the XLR wall panel along the link. Install a junction box for each fixture. Run flexible conduit from each junction box to the data connection of its designated fixture, see Figure 6 on page 13. 2. Pull data cable from the XLR wall panel to the first fixture through its junction box. 3. Pull separate cables between each fixture and the next fixture on the link. Do not connect cabling in the junction box. Data connections must be made in the fixture's connector. 4. Tilt fixture and open access panel to logic board as described in "Setting/Changing the Fixture Voltage", page 11. Note: Figure 11 shows the data wiring described in steps 5–14. 5. Bring data cable through conduit into fixture. Pull cable to allow connection to the board and reduce strain to the wires during connection. 6. Slip a ferrite ring that was shipped with your fixture over each data cable. 7. Strip 3 in. of the cable jacket from the end of the cable. 8. Cover all bare shield wires with 1/16in. heat shrink. 9. Join the two cables with heat shrink. 10. Place a wire tie 4 in. back on the cable in front of the ferrite rings to keep them from sliding forward. 11. Strip 1/4 in. insulation from the end of each wire. 12. Twist the end of each wire to the matching color of the data wire coming from the next fixture on the link. 13. Loosen the screws in the 5-position data connector that was shipped with your fixture. 14. Insert the shielded wire in pin 1 and the twisted pairs of data wire as shown in the drawing. Terminating the Data Link 15. In a link, only the last fixture is terminated. Terminate the last fixture on the link by inserting the resistor shipped with your fixture between pins 2 and 3 in the data connector. 16. Plug connector into logic board data header. Figure 12 Terminating the link 17. After checking gasket, re-attach the access panel. Tighten the panel screws to a torque setting between 3–4 ft.lb. (4–5 Nm) to ensure a weather-tight seal. Note: Controllers, serial data distributors, data line optoisolators, and any fixtures using the RS-422 DMX standard of serial communications (including Dataflash ® AF1000 xenon strobes, and Intellabeam ® fixtures) block software uploads, crossloads or TalkBack™ fixture configuration on a link. Therefore, make sure you put all of these devices after the EC-2 fixtures on the link. Testing EC-2 Installation Before Powering Up Warning: Power must be turned OFF when you perform this procedure. 1. Clean out dust, metal scraps or other debris near the logic board. 2. Check for loose connections, bare wires or damaged insulation. Check Main Power Wiring Check resistance between phases, neutral and ground with a digital voltmeter (DVM) at the point of the fixture: Phase to Ground; resistance should be 10MΩ or higher * Neutral to Ground; resistance should be approximately 0ΩΩΩΩ * Phase to Neutral; resistance should be approximately 1ΩΩΩΩ . Check DMX 512 Data Wiring If you have installed the EC-2 fixture in a link with other fixtures, perform the following checks on cable at any of the fixtures on the link. With the DMX512 connection off: * Pin 3 (Data+) and Pin 2 (Data–) should be 90–130ΩΩΩΩ * Pin 3 (Data+) and Pin 1 (Common) should be above 10MΩΩΩΩ * Pin 3 (Data+) and ground should be above 10MΩΩΩΩ * Pin 2 (Data–) and Pin 1 (Common) should be above 10MΩΩΩΩ * Pin 2 (Data–) and ground should be above 10MΩΩΩΩ Check DMX 512 Network Wiring Measure resistance between Pin 3 (Data+) and Pin 2 (Data–). It should be between 90ΩΩΩΩ and 130ΩΩΩΩ . The following readings indicate a problem. Below 50ΩΩΩΩ —network is double terminated Above 1MΩΩΩΩ —network is not terminated Below 1ΩΩΩΩ —data wires are shorted together Powering Up Fixture Warning: This equipment for connection to a branch circuit having a maximum overload protection of 20A. EC-2 fixtures do not have a power switch. The EC-2 is intended for connection to a power source with a disconnect that meets all national and local electrical code requirements. When power is applied, the fixture automatically begins a homing procedure. At the end of the homing procedure, the fixture lamp will turn on (strike) and the shutter will open if there is no incoming DMX data. If the EC-2 is receiving DMX data, it will end the homing procedure in whatever state the DMX data defines for the fixture. With the lamp on, loosen the tilt screws and adjust the fixture to the appropriate tilt for your application. Installation Checklist This checklist will help confirm that you have correctly installed the EC-2 fixture. Is the fixture securely mounted with all mounting bolts tight? Is there sufficient clearance around the fixture to allow for access and fire protection, (See "Mounting Specifications", on page 10. Are all cables landed and properly terminated? Do all data cables meet specifications? See “DMX 512 Data Cable Specification”, page 9. Are the data cables in a link wired in a daisy chain configuration? See “DMX 512 Data Wiring in a Linked Installation”, page 16. Are all access panel gaskets in place and panels secured to ensure weathertight seals?
WORKING PAPER 2009, nr. 8 Monday, 30 November 2009 Risk and the Fabrication of Apolitical, Unaccountable Military Markets: The Case of the CIA "Killing Program" by Anna Leander Professor (mso) Department of Intercultural Communication and Management Porcelænshaven 18 A, DK-2000 Frederiksberg Copenhagen Business School Abstract : "Risk" has become a major theme in the social sciences over the past two decades. It has been argued to reshape social and political life not only by placing new issues on the agenda but also by generating new "governmental rationalities". These debates have in various forms also began to influence international studies. It has already been shown that the introduction of risk has altered strategic rationality. An uncertain imagined future of Rumsfeldian "unknown unknowns" has become integral to military strategic thinking. In the process technologies used to wage war and the actors involved have also evolved. Continuing the discussion, this article moves on to look at the implications of these changes for legal and political boundaries in one specific area of international politics; it traces the link between the spread of risk rationality (or governance through risk) and the development of apolitical and unaccountable military markets. Risk rationality creates what I will tentatively term a preventive imperative that tends to spread across areas and is assisted in the process by the rapidly expanding ranks of risk professionals. The preventive imperative is key to the rapid growth of private military markets as well as to the difficulty of politicizing—in the sense of creating a critical public debate—about the market as opposed to about the a given scandal (e.g. Nisour Square incident) or firm (e.g. Blackwater). The difficulty of politicizing the market has strong implications for the (non-)working of accountability. It creates what I will dub an accountability paradox where the way accountability is pursued reinforces the impunity of markets and of specific market actors. The reason is that it pre-empts serious consideration of the public/private enmeshment which is the "blind spot" of present legal instruments and it positively reaffirms existing "regulation" in all its defectiveness. Neither security professionals nor lawyers are susceptible to resolve this paradox. Reference to the CIA "Killing Program" anchors and illustrates the argument. Risk and the Fabrication of Apolitical, Unaccountable Military Markets: The Case of the CIA "Killing Program" By Anna Leander (firstname.lastname@example.org) Working Paper: Paper presented at the research seminar of the group: « Sécurité, Union européenne et relations transatlantiques » (Security, The European Union and Transatlantic Relations) of the FP7 Program INEX : Converging and conflicting ethical values in the internal/external security continuum in Europe. Institut d'Etudes Politiques de Paris, 20 October 2009. Introduction "Risk" has become a major theme in the social sciences over the past two decades. It has been argued to reshape social and political life not only by placing new issues on the agenda but also by generating new "governmental rationalities". These debates have in various forms also influenced international studies, albeit to a lesser extent than one might have expected and certainly to a lesser extent than warranted. 1 As pointed out by those who have drawn work on risk into international studies the implications are momentous in many fields (see editors' introduction to this special issue). It has already been shown that the introduction of risk has altered strategic rationality. An uncertain imagined future of Rumsfeldian "unknown unknowns" has become integral to military strategic thinking. 2 In the process technologies used to wage war and the actors involved have also evolved. 3 Continuing the discussion, this article moves on to look at the implications of these changes for legal and political boundaries in one specific area of international politics; it traces the link between the spread of risk rationality (or governance through risk) and the development of apolitical and unaccountable military markets. Risk rationality creates what I will tentatively term a preventive imperative4 that tends to spread across areas and is assisted in the process by the rapidly expanding ranks of risk professionals. The preventive imperative is key to the rapid growth of private military markets as well as to the difficulty of politicizing—in the sense of creating a critical public debate—about the market as opposed to about a given scandal (e.g. Nisour Square incident) or firm (e.g. Blackwater). The difficulty of politicizing the market has strong implications for the (non-)working of accountability. It creates what I will dub an accountability paradox where the way accountability is pursued reinforces the impunity of markets and of specific market actors. The reason is that it preempts serious consideration of the public/private enmeshment which is the "blind spot" 5 of present legal instruments and it positively reaffirms existing "regulation" in all its defectiveness. Neither security professionals nor lawyers are susceptible to resolve this paradox. To anchor the claims, the article will draw on the CIA "Killing Program". 1 A search of the Review of International Studies on articles with the word "risk" in the abstract gives a meager five hits. 3 Mikkel Vedby Rasmussen, The Risk Society at War. Terror, Technology and Strategy in the Twenty First Century (Cambridge: Cambridge University Press, 2006). 2 Claudia Aradau, Luis Lobo-Guerrero and Rens Van Munster, 'Security, Technologies of Risk, and the Political: Guest Editors' Introduction', Security Dialogue, 39 (2008), pp. 147-154. 4 "Preventive" drawing on Bush and Rumsfled's terminology (not Ewald's which would be "precautionary"). 5 The term is borrowed and inspired by the more general discussion in Gunther Teubner, 'In the Blind Spot: The Hybridization of Contracting', Theoretical Inquiries in Law, 8 (2006), pp. 51-72. Apolitical Military Markets The CIA "Killing Program"—a name the media reportedly borrowed from agency insiders—was set up to arrest or kill targeted Al-Qaeda operatives wherever they were found. 6 It was launched in 2001, briefly suspended in 2004 (in relation to an internal CIA review) and then resumed in a version including outsourcing parts of the program to the private security firm Blackwater (now Xe). In June 2009, Leon Panetta then director of the CIA, decided to discontinue the program and brief Congress which had been kept uninformed. The "Killing program" had cost $20 million over the eight years of its existence. 7 Panetta's revelations sparked an intense public debate which touched many issues including the outsourcing of parts of the programme to Blackwater. This highly critical public debate may appear to belie the idea that risk driven governmental rationalities have contributed to the development of "apolitical" military markets. Yet, the CIA Killing Program nicely makes the point that military markets as opposed to individuals, companies or scandals are depoliticized by risk thinking. a. The preventive imperative of risk thinking The overarching reason risk thinking makes it difficult to politicize military markets is that it frames action in terms of an unknown future as essential. The resulting "imperative" to act is hard to question once risk thinking becomes (as it has become) central. If the necessary action then requires the reliance on markets and market actors which in view of the penchant to govern through markets it often does 8 , it becomes correspondingly difficult to create a public debate about this reliance. Risk thinking is geared towards the future and more specifically towards the need to take action to prevent some looming danger (the risk) from materializing. As has been discussed in considerable detail in the literature on risk, the kind of danger one is acting upon and how one 6 The program is not unique but has parallels not only in other targeted assassination programs, including the Israeli targeted assassinations Oliver Kessler and Wouter Werner, 'Extrajudicial Killing as Risk Management', Security Dialogue, 39 (2008), pp. 289-308. 8 This will not be discussed here but see e.g. Mary Kaldor, Ulrich Albrecht and Geneviève Schméder (eds.), Restructuring the Global Military Sector. The End of Military Fordism (London: Pinter, 1998) or Anna Leander, 'Securing Sovereignty by Governing Security through Markets', in Rebbecca Adler-Nissen and Thomas GammeltoftHansen (eds.) Sovereignty Games: Instrumentalising State Sovereignty in Europe and Beyond (London: Palgrave, 2009), pp. 151-170. 7 For discussions of the program see Rachel L. Swarns, 'Cheney Offers Sharp Defense of CIA Interrogation Tactics', New York Times, 31 August 2009; Mark Mazzetti, 'CIA Sought Blackwater's Help to Kill Jihadists', New York Times, 20 August 2009; Joby Warrick and Jeffrey R. Smith, 'CIA Hired Firm for Assassin Program', Washington Post, 20 August 2009; Mark Zanetti and Scott Shane, 'CIA had Plan to Assassinate Qaeda Leaders', New York times, 14 July 2009; The Economist, 'CIA Interrogations and the Blackwater affair: Who should be held accountable for antiterrorism's dirtiest business?' The Economist, 27 August 2009; Der Spiegel, 'Blackwater accused of creating 'Killing Program'', Der Spiegel, 22 August 2009. conceives of adequate action evolves in time and space. Different societies focus on different forms of risk and invent ways of preempting them, reflecting and reproducing political and institutional rationales of governance. This has been illustrated not only in Douglass anthropological work on how societies deal with risk but also for example in Hacking's genealogy of risk or Ewald's genealogy of insurance. 9 Variety and change is significant for a number of reasons but it does not alter that risk thinking leads to action directed towards preventing a specific future. Future orientation makes action taken on the basis of risk thinking difficult to contest and debate. The future cannot be known. But if a risk is immanent it would be irresponsible not to take the prudent, preventive and/or precautionary (using Ewald's wording) measures necessary to protect oneself (and others) from it. It would also be irresponsible to critique those who were offering protection from the risk and taking the necessary measures. More than this, even with hindsight actions justified by risk scenarios are hard to contest. It is impossible to know whether or not the measures taken were the justified/adequate. The only sign of success is that nothing happens; the nonevent. However, the non-event may be drawn back to the fact that there was no risk rather than to successful action preventing risk, just as the event can be tracked back to the insufficiency of the preventive action, rather than to its mistaken nature. Since there can be no certain knowledge about what interpretation is right, the responsible strategy is to act on the risk. Critique of risk scenarios in other words strand on unknowables that come cloaked in the scientific and technical authority of risk managers/analysts. In combination with the responsibilization embedded in risk thinking, this poses serious obstacles to critical assessments of risk scenarios and the actions they invoke. Risk thinking creates something akin to an imperative to act on the future. This "preventive imperative" is central to the debate about the CIA Killing Program as well as to the process of outsourcing it. Cheney explained (and defended) the program and the decision to outsource parts of it with reference to the necessities created by the war on terror, underscoring that there was no need to inform Congress since the program formed part of a general policy that already had political backing. 10 The risk scenario had been accepted, outsourcing to Blackwater was just the practical solution to the imperatives for action that followed. Along similar lines, CIA officials suggested that the program "was born partly out of desperation: the agency had tried to 9 Mary Douglas and Aaron Wildawsky, Risk and Culture: An Essay on the Selection of Technical and Environmental Dangers (Berkely: University of California Press, 1982); Ian Hacking, 'Risk and Dirt', in Richard V. Ericson and Aaron Doyle (eds.) Risk and Morality (Toronto: University of Toronto Press, 2003), pp. 22-48; Francois Ewald, 'The Return of Descartes' Malicious Demon: An Outline of a Philosophy of Precaution', in Tom Baker and Jonathan Simon (eds.) Embracing Risk (Chicago: University of Chicago Press, 2002), pp. 273-301. 10 Quoted in Swarns, 'Cheney Offers Sharp Defense'. operate the program in house and failed" 11 and hiring Blackwater a matter of acting efficiently: "Blackwater's successful track record in outsourcing made it logical to rely on it." 12 The assumption about the need for preventive actions inscribed in these statements is shared far beyond the defenders of the program. Even leading critics have found contesting it difficult. Senator Diane Feinstein (chairwoman of the Intelligence Committee 13 ) for example felt "ambivalent" about the critique of the CIA as well as about the judicial inquiry into the way the program has been handled. Overall, the preventive rationale—which is after all the key reason the CIA Killing Program was adopted—has filled a marginal space in the public debate. b. The Self-Sustaining Expansion of Risk If preventive imperative created by risk scenarios are singularly difficult to politicize once the risk scenarios are accepted, the question is why there is so little discussion about these scenarios in the first place. A key reason is the self-sustaining way risk technologies spread and frame new areas of thinking. New risks—and the techniques for analyzing and managing these—are imported as technical almost mechanical matters that do not seem to warrant much debate. This makes them pass largely unnoticed and makes them hard to question. The same goes for the markets that are created as part of these technologies. The question of why risk thinking has become so dominant in our contemporary world—why risk seems to "spiral" and "colonize" ever new areas 14 — has attracted considerable scholarly attention. Many of the mechanisms and processes that have been uncovered in the search for an answer are self-sustaining. Two clusters of ideas have been particularly central. One is the idea that risk processes are reflexive and that this reflexivity drives an expansion of risks. This might be understood (as it is by e.g. Giddens and Beck) on a macro level where it is tied to the process of discovering ever new risks because of the scientific discoveries, the uncertainty about science and the risk inspired thinking dominating late (or reflexive) modernity. 15 But reflexivity can also be understood on a micro level as related to the processes by which action taken to prevent specific risks create new risks. This is pivotal for example in Power's account of the growing 11 CIA official quoted in Mark Landler and Mark Mazzetti, 'US Still Using Security Firm it Broke with', New York Times, 22 August 2009. 13 12 Mazzetti, 'CIA Sought Blackwater's Help'. 14 Henry Rothstein, Michael Huber and George Gaskell, 'A theory of risk colonization: The spiralling regulatory logics of societal and institutional risk', Economy and Society, 35 (2006), pp. 91 - 112. Swarns, 'Cheney Offers Sharp Defense'. 15 Ulrich Beck, 'The Reinvention of Politics: Towards a Theory of Reflexive Modernization', in Ulrich Beck, Anthony Giddens and Scott Lash (eds.) Reflexive Modernization: Politics, Tradition and Aesthetics in the Modern Social Order (Oxford: Polity Press, 1994), pp. 1-56. centrality and ever increasing grip of "enterprise risk management" schemes in private companies. ERM is important not only for coordinating risk management across a company but also for ensuring that the risks that are created by taking action on risks are in turn integrated acted integrated into the risk management structure. 16 These "reflexive" processes capture a snowballing of risk logics from one sphere to the next. The self-sustaining snowballing logic is even more explicit in the second cluster of ideas used to explain the spread of risk; namely explanations centered on risk technologies or assemblages. The logic here is that risk governance technologies tend to spread from one area to the next just because they exist. For some scholars this is an almost autonomous process. Haggerty and Ericsson compare it to the spread "rhizomatic" plants, i.e. plans that spread horizontally along the ground and set new vertical roots in the process that may (or may not) eventually be severed from the original plant.17 For others, the development of new risk technologies opens new possibilities and scope for action at risk that suggest to those involved the possibility of diffusing, adapting and transforming the risk technology to a new area. In Actor Network fashion risks technologies are "actants" in that they suggest actions and make them possible; they are "boundary objects" suggesting themselves for transport across areas. 18 This process is anchored—not in a critical reflection about risk selection—but in the logic of the risk technologies that act in ways that produce a snowballing of risk thinking. The consequence is a spread of risk logics to "everything" which may ultimately turn out to be "nothing" if the risks prove fictitious. 19 This self-sustaining aspect of risk diffusion is important for understanding the diffusion of the military markets. The expansion of preventive imperatives that go with the spiraling of risk thinking accentuates overstretching and the need to resort to markets in all areas of activities. This fuels the expansion of military markets. Looking at intelligence by way of illustration, the growth in outsourcing has been exponential: 70% of the budget of US intelligence agencies was spent on contracting in 2007 and the amount (in dollars) spent on contracting had more than doubled between 2001 and 2006.20 It should also be recalled that risks—including military ones—concern 16 Michael Power, The Risk Management of Everything (London: Demos, 2004); Michael Power, Organized Uncertainty: Designing a World of Risk Management (Oxford: Oxford University Press, 2007). 18 Actant is a term is borrowed from Bruno Latour, Re-assembling the Social. An Introduction to Actor Network Theory (Oxford: Oxford University Press, 2005). The idea of a boundary object is taken from Michael Power, Organized Uncertainty. 17 Kevin D. Haggerty and Richard V. Ericson, 'The surveillant assemblage', British Journal of Sociology, 51 (2000), pp. 605-622. 19 Power, The Risk Management of Everything and Michael Power, 'The risk management of nothing', Accounting, Organizations and Society, 34 (2009), pp. 849-855. 20 Tim Shorrok, Spies for Hire: The Secret World of Intelligence Outsourcing (New York: Simon & Schuster, 2008): not only states but also private companies, international and non-governmental organizations and individuals and that their demand also fuels market growth. From this perspective, the role of Blackwater in the CIA Killing Program could be expected; it stands as an example among many. The multiple, ill-defined risk scenarios that made the program appear necessary in the first place stand out as yet another illustration of the self-sustaining spread of risk technologies. 21 The surprise and outrage both the killing program and the role of Blackwatern in it provoked when they were revealed, confirms the degree to which the spread of risk thinking, the actions associated with them, including the creation of markets has a tendency to pass unnoted. c. Risk professionals and their strategies To locate the entire link between risk thinking and the expansion of apolitical military markets in anonymous risk discourses and unnoted spread of risk technologies would be to disregard the strategies of risk professionals, including academics. They have tended to promote the spread of risk thinking, of the markets associated with this spread as well as an apolitical understanding of this process. 22 The growth of a professional corps of risk analysts, risk managers and risk scenario builders has accompanied the expansion and extension of risk analysis. This group of analysts has developed its own techniques, rules and standards and become increasingly differentiated and specialized. Hacking dates the institutionalization of the professional risk analysis to 1969 and that of risk management to 1995 (following Power's analysis).23 Professionals of risk work both in the public and the private, and often span the spheres. They think of their work as largely integrated. 24 A member of the US National Intelligence Council explained that non-state professionals had a central role in Intelligence. He underlined that the intelligence community referred to them as "intelligence community associates" rather than as commercial, private or non-state to reflect this closeness and to avoid the negative connotations of the term outsourcing. 25 18-9. 22 Strategy is used in Bourdieuan fashion, as a reflection of the dispositions (taken for granted understanding and habitus) and positions (resources and strength at the disposal) of given actors. For further discussions and a contrast between the logic and the way most economic theories conceive of strategy see the introductory chapter in Pierre Bourdieu, The Social Structures of the Economy (Cambridge: Polity Press, 2005). 23 21 According to CIA officials: "the plans remained vague and were never carried" Zanetti and Shane, 'CIA had Plan'. Hacking, 'Risk and Dirt'. 25 Mathew Burrows (the chief drafter of the National Intelligence Council report Global Trends: The Word at 2025) at a the public conference 'Around the Report "Global Trends 2025: A Transformed World' at the Danish Institute of 24 For examples from intelligence specifically, the detailed discussion of Boz Allen Hamilton in Shorrok, Spies for Hire. Risk professionals (public, private, hybrid) are prone to support and promote the spread of risk thinking and the related markets. One reason may be banal self-interest: risk professionals support an expansion of their own institutions, their profit, the status of their profession and so on. Avoiding politics makes this easier. But there are most certainly also more complex and interesting processes at play here. The world view of risk analysts/managers (as of any professional group) reflects their training and their professional context. They may therefore promote the expansion of an apolitical technical understanding of risk (and the markets attached to it) just as much out of conviction as out of self-interest. Risk management is an important technical, scientific expertise that is best kept aloof of politics. This is the opinion of Vedby Rasmusen who has worked on risk in international relations. He explains that risk-analysis cannot easily be integrated in politics because policy-makers tend to be too short-termist, result oriented and simplistic in their judgment to deal adequately with risk rationalities that are long term, without visible results (success is the non realization of risks) and complex to judge. 26 Similarly, the many non-state "intelligence community associates" reportedly decline to charge for their services presumably do so because they believe in the significance of their contribution. 27 Whether articulated as self-interest or not, a steadily increasing number of risk professionals follow strategies spreading risk thinking and the associated apolitical markets. The CIA Killing Program illustrates the argument. When the program was re-launched after the brief interruption in 2004, it was done with a role for commercial actors, Blackwater specifically. This decision coincided with the move of Alvin Bernard Krongard—former third from the top at the CIA—to the company. It points to a professional cohesion that spans the public and private and a willingness/interest/persuasion of this profession to back up around a risk scenario justifying the program and the measures taken to respond to the preventive imperatives it created (including the outsourcing). Those involved in the program no doubt share Cheney's assessment that it was "directly responsible for the fact that for eight years we had no further mass casualty attacks against the United States."28 They probably also share senator Hoekstra understanding that outsourcing was therefore justified particularly since the contractors took on purely "mechanical" roles that did not require "a lot of judgment". 29 International Studies, Copenhagen 7 September 2009). 27 Burrows, 'Around the Report'. 26See Rasmussen, The Risk Society at War. Terror, Technology and Strategy in the Twenty First Century.: 199-200. 28 Swarns, 'Cheney Offers Sharp Defense'. 29 Quoted in Andrea Mitchell, 'MSNBC Interview with Representative Pete Hoekstra (R-MI) about CIA Subcontracting Assassination Program' (Federal News Service 21 August 2009). To approach risk—and the contracting related to it—as merely technical is highly problematic. "The problems of risk perception [and one might add the outsourcing triggered by these] are essentially political. Congress and parliaments give away their rightful territory when they hand over such problems to risk experts. The public debates about risk are debates about politics". 30 This insight has failed to make its way. Even in the debate in the wake of Panetta's revelations about the Killing Program critique of the risk scenarios that created the imperative to act and justified the reliance on Blackwater has been scarce. 31 Discussion has focussed more on the question of how the regulation of companies (such as Blackwater) can be improved—including by delimiting "inherent state tasks" from which contractors should be barred. The link between markets and spiralling risk scenarios that create imperatives for action has been largely untouched. Yet, as will be argued in the next section, the narrow focus on improved regulation and accountability has the paradoxical consequence of entrenching the lack of accountability. Unaccountable War-Makers The narrow conception of regulation and accountability tied to the difficulty of politicizing military markets has the effect of creating what I here term an accountability paradox whereby the quest for accountability and improved regulation is entrenching the fundamental lack of accountability of the markets. After a decade of what Kierpaul terms a "mad scramble" to bring contractors to justice, we still have very few cases where contractors have been convicted of anything. 32 This is not for lack of information. 33 Nor is the situation immobile. Rapid legal innovation is creating new instruments that will make it possible to try contractors and hence also to hold them accountable. 34 However, as long as military markets remain apolitical, accountability is bound to remain limited. The key reason is that an apolitical view on markets renders critique of the enmeshment of the public and the 30 Mary Douglas, 'Muffled Ears', in Mary Douglas (ed.) Risk and Blame (London and New York: Routledge, 1992), p. 79. 32 Ian Kierpaul, 'The Rush to Bring Private Military Contractors to Justice: The Mad Scramble of Congress, Lawyers, and Law Students after Abu Ghraib', The University of Toledo Law Review, 39 (2008), pp. 407-435. 31 Scarce leaves room for the commentators who have drawn attention to the problems and the issues involved more on which below. 33 Reports abound both in the media, in law journals and by NGOs and IOs including the UN working group on mercenaries. For Iraq for example the NGO Human Rights first keeps a record of incidences Human Rights First, 'Private Security Contractors at War: Ending the Culture of Impunity', in (Washington: Human Rights First, 2008). 34 For the US context the changes to the MEJA and the UCMJ as well as the possibility of using the Alien Tort Statue against contractor (currently tried out in Virginia against Blackwater employees involved in the Nisour incident) are significant changes. But they have yet to result in convictions. See Elizabeth K. Waits, 'Avoiding the 'Legal Bermuda Triangle': The Military Extraterritorial Jurisdiction Act's Unprecedented Expansion of U.S. Criminal Jurisdiction over Foreign Nationals', Arizona Journal of International and Comparative Law, 23 (2008), pp. 493-540. private unlikely and difficult. a. Accountability of Enmeshed Spheres The ties between the market and the public are often perceived as a key problem for any effort to ensure that markets are accountable. A common rendering of this issue is as one of "revolving doors". However, the picture of a revolving door presupposes that people walk in and out and belong to distinct contexts. It fails to capture professional who belong to both the public and the private at the same time and work in partnership. An image of enmeshed professional spheres is more adequate. A quest for accountability that does not recognize this blurring is bound to encounter difficulties. Accountability of military market actors is hampered by the strong links and networks between private and public security professionals. Private actors are often doing the "dirty jobs" states wish to dissociate themselves from. 35 The other side of this coin has been that private market actors push their agenda onto the state. By lobbying officials or by creating faits accomplis they may change state positions on specific contracts but perhaps more generally foreign policy orientations. 36 However, the image of the public harnessing the private and vice versa understates the accountability issues involved. The present situation is one where the private and public are interwoven: the private is inside the public and the public inside the private. The common adage in the private military market that "everyone is an ex-something" is a way of indicating this. Similarly, the emphasis on creating "private-public-partnerships" and more generally on public private collaboration underscores it. The resulting public-private enmeshment is pursued enthusiastically both by the private and the public side than; sometimes even more enthusiastically by the public. 37 The consequence is practices that make the applicability of an accountability system based on a conventional understanding of the distinction between public and private elusive. Examples abound of situations where companies have acted as their own controllers, authors of their own contracts, definers of (uncontrollable) performance benchmarks, and even have charged payment for non-defined and undocumented work.38 It is important to underscore that these practices have 35 Major Todd S. Milliard, 'Overcoming Post-Colonial Myopia: A Call to Recognize and Regulate Private Military Companies', Military Law Review, (2003), pp. 1-95. 37 Nicholas Dorn and Michael Levi, 'European Private Security, Corporate Investigation and Military Services: Collective Security, Market Regulation and Structuring the Public Sphere', Policing & Society, 17 (2007), pp. 213-238. 36 Janice Thomson, Mercenaries, Pirates, and Sovereigns: State-building and Extraterritorial Violence in Early Modern Europe (Princeton: Princeton University Press, 1994): 59-63. 38 GAO, 'DOD and State Department Have Improved Oversight and Coordination of Private Security Contractors in Iraq, but Further Actions Are Needed to Sustain Improvements', in (Washington: Government Accountability Office, not taken place against the state but most often with the avail and full knowledge of the public officials involved. Markets are not taking over the state, the state is merging with markets and commercializing itself. The implication of the resulting enmeshed practices is that accountability based on regulations that presume a distinction between the public and the private become close nay impossible. The CIA Killing Program bears the marks of the enmeshment of public and private. The Program can of course be read in conventional terms as case of the state harnessing the private and/or the private the state. According a to retired intelligence officer "outsourcing gave the agency more protection in case something went wrong" 39 and according to the Spiegel, Blackwater lobbying "created the program". 40 However, on a closer look the issue becomes more complex. Krongard was an insider both in Blackwater and in the CIA. The outsourcing was clearly treated more as dealings with "intelligence community associates", to use Burrows' expression, than as an outsourcing of a specific set of limited tasks of a public agency to a commercial one. This was not a contract for which bidders were sought. Rather it was a relationship (the details of which remain unclear) between professionals. As an expression of this, the "outsourcing" was not based written contracts, with a clearly formulated service to be rendered at a specified. Rather the so called contracting in the case of the CIA Killing Program was based on "individual agreements". 41 There are therefore bound to be few—if any—traces of the activities undertaken by Blackwater under the program or of the $20 million paid for these. Holding the company and/or the involved CIA officials accountable is consequently a real challenge. The interaction has taken place on terms that differ radically from those presupposed by the law. To hold companies accountable, the enmeshment of spheres that leads to the spread of this kind of practice cannot be seen as incidental or secondary. It has to be taken as a point of departure and placed in the centre of regulatory efforts if accountability is not to remain an empty word and effective regulation an unattainable goal. b. The "blindspot" of legislation Placing the enmeshment of the public and private at the centre of the quest for accountability is however not easily done. The reason is that modern legal systems operate on the assumption that 2008); GAO, 'Intelligence Reform: GAO Can Assist the Congress and the Intelligence Community on Management Reform Initiatives', in (Washington D.C.: GAO, 2008). 40 Der Spiegel, 'Blackwater accused of creating 'Killing Program''. 39 Quoted in Warrick and Smith, 'CIA Hired Firm for Assassin Program'. 41 Mazzetti, 'CIA Sought Blackwater's Help'. the spheres are separable. The pursuit of improved regulation and accountability logically draws on the existing body of law. In so doing it perpetuates the difficulty of directing attention to the problem of enmeshed spheres. The modern legal system built on the assumption that there are clearly separated spheres to specific bodies of law apply and that these bodies of law are themselves strictly separated and hierarchically related to each other. Multinational corporations for example span the inside/outside distinction on which international law rests, are effectively made "legally invisible" by the "analytical and theoretical foundations of international law". 42 This image can be complicated by taking the so called "fragmentation" of law that has undermined hierarchy and unity into account. 43 This opens the possibility of shifting legal logics. If multinational corporations cannot be seen in international law they can perhaps be seen in the lex mercatoria or in other private international regimes. 44 Whether singular or fragmented, the legal system(s) makes processes, actors and issues that violate the distinctions on which it/they are built "invisible". This "blindness"—the existence of "blind spots"—is in no way unique to the legal system and is the precondition for it to be functional. Distinctions are necessary. The eye that sees everything ultimately sees nothing. 45 However, the implication is that the legal system(s) cannot be used to regulate problems, issues and occurrences in their own blind spot. This sheds light on the difficulty of placing the enmeshment of spheres at the heart of the efforts to improve accountability and regulation (and hence also on its relative ineffectiveness). The key accountability efforts have had the dual objective of holding military market actors accountable to existing law and of making sure that these laws are adapted "to restore consistency between the letter of the [existing] law and its spirit" where it has been lost.46 The bodies of law most commonly discussed are international human rights law, national legislations (on contracting, on military services), military law, and a range of soft laws (including relevant code of conducts). The hindrance to focusing on the problem of enmeshment is that precisely the public/private boundary is a distinction which is defining for modern legal systems; it is a division used to categorize actors 42 Claire Cutler, 'Transnational Business Civilization, Corporations, and the Privatization of Global Governance', in Christopher May (ed.) Global Corporate Power (Boulder CO: Lynne Rienner, 2006), pp. 199-226.: 202. Andreas Fischer-Lescano and Gunther Teubner, 'Regime-Collisions: The Vain Search for Legal Unity in the 44 Claire A. Cutler, 'Private international regimes and interfirm cooperation', in Rodney Bruce Hall and Thomas J. Bierstecker (eds.) The Emergence of Private Authority in Global Governance (Cambridge: Cambridge University Press, 2002), pp. 23-40; Gunther Teubner, 'Global Private Regimes: Neo-spontaneous Law and Dual Constitution of Autonomous Sectors in World Society', in Karl-Heinz Ladeur (ed.) Globalization and Public Governance (Aldershot: Ashgate, 2004), pp. 71-88. 43 Fragmentation of Global Law', Michigan Journal of International Law, 25 (2004), pp. 999-1045. 45 Teubner, 'In the Blind Spot': 59. 46 James R. Coleman, 'Constraining Modern Mercenarism', Hastings Law Journal, 55 (2004), pp. 1493-1537.: 1494. and to separate spheres. It is their blind spot which they cannot see and not be used to address. This is not the same as saying that they are useless in general or that no accountability/ regulation can be constructed on them; on the contrary. What cannot be done is to use them to address the problem of enmeshment or to integrate enmeshment within them. This would take the development of legal systems not assuming away the enmeshment from the outset. But that in turn is linked to a willingness to accept that there are incompatible legal principles at work; it implies giving up on legal unity, hierarchy and perfection. 47 It presupposes a willingness to shift out of legal language, identifying enmeshment as a key issue and politicize the market. Not only the preventive imperative but also the professional "strategies" of security professionals, lawyers, journalists and policy-makers militate against this. The legal system is the legitimate, state sanctioned, language for discussing accountability and regulation. 48 The CIA Killing program—and the role of Blackwater in it—is a good case in point. Accountability and regulation has been thought mainly in terms of whether or not these were in conformity with existing laws and regulations in place. For example, questions were raised about whether or not the program and Blackwater's role in it violated national legislations and particularly the 1976 executive order banning assassinations [following plots against Patrice Lumumba and Fidel Castro],49 about whether or not the targeted associations were in conformity with international law 50 , or about whether or not the failure to notify congress about the program violated the regulations about intelligence work. 51 Aattorney general Holden leading the inquiry set up to investigate the Killing Program was careful and explicitly to underline that it would "target only those who acted beyond legal guidelines". 52 Mirroring this, the defence of the program and the way it has been outsourced and remained unreported rested on references to conformity with the laws in vigour. Hence, those justifying that program and the role of outsourcing insisted that the ban on targeted assassinations did not concern terrorists; that killing a terrorist is equivalent to killing an 47 For a general argument to this effect Gunther Teubner, 'Societal Constitutionalism: Alternatives to State-centered Constitutional Theory', in Christian Joergs, Inger-Johanne Sand and Gunther Teubner (eds.) Constitutionalism and Transnational Governance (Oxford: Hart, 2004), pp. 31-50; Teubner, 'Global Private Regimes'. 49 Zanetti and Shane, 'CIA had Plan to Assassinate Qaeda Leaders'. 48 For the significance of institutional state sanctioning in the legal field see Pierre Bourdieu, 'Rethinking the State: On the Genesis and Structure of the Bureaucratic Field', Sociological Theory, 12 (1994), pp. 1-19. 50 Mazzetti, 'CIA Sought Blackwater's Help'. 52 The Economist, 'CIA Interrogations and the Blackwater affair'; Josh Meyer, 'CIA Inquiry will Target Contractors', Los Angeles Times, 28 August 2009. 51 Landler and Mazzetti, 'US Still Using Security Firm'. enemy in battle (and hence not illegal); that Congress had given its avail; that outsourcing did not involve inherent state functions etc. This discussion is important. Some accountability is better than none. The point here is that pursuit of this kind of accountability is unlikely to get at the vexed issue of how to deal with enmeshment. Yet, since enmeshment is the Gordian knot of improved accountability in military markets the pursuit of accountability is likely to remain limited. Cutting that Gordian knot would require a thorough politicization of military markets and the way they have been integrated inside the state, including in intelligence work. However, as has just been argued the legal framing of the quest for accountability makes such a politicization move unlikely since enmeshment is in the "blind spot" of law. c. The Accountability Paradox More strongly, if we displace our attention from the effectiveness of the quest for improved accountability to what that quest itself does, we run into something I am terming an accountability paradox. The point is that not only is the quest for improved accountability/regulation likely to remain rather ineffectual more than this (and hence the paradox) it may weaken accountability further. The reason is that the pursuit of accountability itself triggers two kinds of processes that hamper the politicization of markets necessary for a development of more effective legal mechanisms directed specifically at enmeshment. The first process is of the familiar "crowding out" type. Framing discussions about improved accountability in terms of the existing system is a way of concentrating energy, attention and imagination on how to supplement or reform the existing legislation. Legal scholars, lawyers, journalists and policy-makers devote their time and energy to speaking and thinking within this frame. A mastery of (or better a pretense to master) relevant legal terminology becomes a sine qua non for participation. The flip side of this is to marginalize attention to alternative possibilities that might put the public/private divide in the centre as opposed to in the blind spot. But perhaps even more damaging, it tends to reduce attention (and critique) of the enmeshment itself. By framing the discussion in terms of existing laws observers are constantly lead to argue as if there was a real existing public/private divide and ignore the extent to which this is a legal fiction. This is an obstacle innovative imagination and of critical thinking. It amounts to a marginalization that is all the more effective as it rests on and transmits all the symbolic power (and violence) of established law and of professionals of accountability and regulation. The second process set in motion by the quest for accountability is one of reinforcing and bolstering of the existing system. The process of accountability itself, leads to intense legal innovation that creates an increased number of instruments that can be use to address a range of issues in military markets. This has a reassuring effect: the issues can be dealt with. There is a legal/regulatory apparatus for the purpose. More than this, the process generates a new category of experts and expertise that have a vested interest in and conviction about the effectiveness of this system. The reinsurance might even be bolstered by some successful court cases. The overall consequence then of the pursuit of accountability/regulation is that existing regulatory assemblages are further entrenched and reinforced, not challenged. But in the process enmeshments and blindspots are erased from the picture with the consequence that the prospects of better accountability/regulation are worsened; not improved. Blackwater's presence in the CIA Killing program can be used to anchor also this point. One of the reasons the outrage around the role of outsourcing in this program has been so strong is precisely that the company it was outsourced to is Blackwater. Blackwater (now Xe) is one of the most controversial firms in the military market. In addition to its violence against civilians (epitomized by the 2007 Nisour Square incident 53 ), Blackwater has been in the limelight for its treatment of employees, 54 for its dealings with clients, 55 for its relationship with the armed forces and the intelligence 56 , for its corporate culture and for its controversial leader—Eric Prince. The consequence has been a string of investigations, court cases, and ultimately a public pledge on the part of the US State Department that it would no longer collaborate with the company. In spite of this, we not only find the company involved in the CIA Killing program. It also turns out that there are contractual arrangements running forward in time (at least until 2011) and that many officials see "few alternatives to Blackwater" for specified tasks. 57 This context and the specificity of Blackwater raises the question how the company and its employees can enjoy such impunity? They have been in the legal limelight like no other military market actor. The company fills a scapegoat 53 See Peter W. Singer, 'Can't Win with 'Em, Can't Go to War without 'Em: Private Military Contractors and Counterinsurgency', Foreign Policy at Brookings. Policy Papers, (2007) and Heather Carney, 'Prosecuting the Lawless: Human Rights Abuses and Private Military Firms', The George Washington Law Review, 74 (2006), pp. 317-342. 54 For example the Fallujah lynching where four Blackwater employees were killed has triggered court cases by the 55 It has been investigated for overcharging and not respecting its engagements for example in relation to a plane incident in Afghanistan killing six people including three soldiers. families of the employees in question. 56 It has been involved in several violent incidents of blue on white violence (military against contractors accidental or not). 57 Neil Jr. King and August Cole, 'Few Alternatives to Blackwater', Wall Street Journal, 17 October 2007; Landler and Mazzetti, 'US Still Using Security Firm'; Ruben Navarette Jr., 'How will liberals react to Obama maintaining Bush-era security policies?' San Diego Union-Tribune, 28 August 2009. function for the entire private security industry in the US. 58 It is widely perceived as "enmeshed" in the CIA, the Pentagon and the State Department. 59 Yet, the efforts mount legal cases against Blackwater have not only been singularly ineffective, they have crowded out the more general discussion about how enmeshment beyond the Blackwater case might be handled. 60 More than this, the consequences of the many inquiries and court cases against Blackwater will probably perpetuate the lack of focus on enmeshment. The process will produce new regulatory instruments. It will make an increasing number of people who understand regulations in terms of these grow. Not only regulators, law enforces, but also policy-makers, journalists, advocacy groups and the rapidly growing industry consulting companies on regulation will integrate these measure into their arguments and thinking and hence entrench them further, increasing their centrality. Eventually Blackwater (Xe) may be convicted of something and/or be so damaged by the attention it attracts that it has to close and/or radically reform. This will then most probably be interpreted as confirming that the "culture of impunity" in private military markets is ending. We can remove the "bad eggs from the basket" and have accountable military markets grounded in existing regulatory systems. However, this conclusion may be misleading. Blackwater's record is tainted record but there is little reason to suppose that other companies are better.61 The most probable consequence of removing/marginalizing Blackwater will be a displacement of contracts to equivalent companies about which fewer questions are asked. At the same time success regulatory success will certainly heighten confidence in the present regulatory/accountability system and decrease the urgency of considering ways of improving it. An "accountability paradox" is in other words a likely outcome of the present efforts to legal hold Blackwater and/or the CIA responsible for outsourcing in the frame of the CIA Killing Programs. The legal framing of the discussion and paradoxically even more so any success that it might have is likely to crowd out innovation and critique and perpetuate/entrench the blind spots and defects of the current legal/regulations system. 58 Ted Rall, 'Scapegoating Blackwater', Boise Weekly (Idaho), 17 October 2007; Jeremy Scahill, Blackwater: The Rise of the World's Most Powerful Mercenary Army (Washington: Nation Books, 2007). 60 It is perhaps telling that representative Jan Schakowski who has worked on privatization of security for a long time driven originally by an interest in contracts role in Latin America, is now on the intelligence committee, and has tried to introduce the Stop Outsourcing Security, SOS, Act, H.R. 4102 (see 'Stop Outsourcing Security, or SOS, Act, HR4102' at www.janschakowsky.org/) is at the margins of the discussion around the CIA Killing Program. She was given 1 minute to address the house of representatives on 16 Sept. 59 Epitomizing this is the civil lawsuit is filed against Blackwater for Racketeer Influenced and Corrupt Organizations Act (RICO) violations Jason Leopold, 'Feinstein: CIA Assassination Program Went Beyond the Simple Planning Stage', The Public Record, 21 August 2009. 61 On the contrary as argued e.g. by Steve Fainaru, Big Boy Rules: In the Company of America's Mercenaries Fighting in Iraq (Cambridge: Da Capo Press, 2008). Conclusion To break out the accountability paradox it is important to politicize military markets; that is not merely to have a public debate and outrage over the latest scandal—such as Blackwater's involvement in the CIA Killing Program—case but to have a public debate about the politics of military markets and particularly about the public/private enmeshment that it has created. This politicization is hampered by the (Bourdieuian) professional "strategies" of security professionals, lawyers, but also of journalists, academics, NGO activists and policy-makers who frame the accountability/regulation in legal terms. More than this, politicization is hindered by the "preventive imperative" created by risk thinking which frames the creation of markets as a technical necessity. This said, even if politicization of military markets and accountability of market actors are far from easily attainable they are not impossible. Both in politics and in civil society attempts have been made to politicize. 62 Drawing critical attention to the reasons why it is so difficult (as this article has attempted to do) is to participate in a reflexive process that might eventually make it easier. 63 This article has highlighted the centrality of the preventive imperative tied to risk thinking in de-politicizing markets it has linked this de-politicization to the impunity of markets by insisting that accountability requires politicization. The question is how general this argument is. Drawing on the CIA Killing program and outsourcing to Blackwater to illustrate claims and arguments has given the article a strongly US American flavor. However, the intent has been to highlight some general processes and mechanisms linked to risk thinking and the creation of apolitical unaccountable military markets. The contention is that these processes and mechanisms are more general and of relevance beyond the US American context, the CIA Killing Program and Blackwater with the important caveat that the way that they play out varies by context.64 Even more strongly, processes of depoliticizing military markets and creating unaccountable market actors are relevant to International Studies. They are processes moving the legal and political boundaries in the discipline. The disciplinary implication of the argument here is that the use of force increasingly is situated outside boundaries of the political and legal processes assumed to embed and regulate it. 62 See for example fn 60 and the civil society groups militating against commercial military services such as www.blackwaterwatch.net or www.stopblackwater.net . 64 Europeans are far closer to the US logic than they usually think, but so are many other countries because technologies of government (in this case risk thinking and law) may be given a contextual content and structure but they also span borders as do the professional communities that implement them. Making this argument in detail is far beyond the scope of this article but see e.g. Marieke De Goede, 'Beyond Risk: Premeditation and the Post-9/11 Security Imagination', Security Dialogue, 39 (2008), pp. 155-176; Didier Bigo and Anastassia Tsoukala (eds.) Terror, Insecurity and Liberty: Illiberal Practices of Liberal Regimes (New York and London: Routledge, 2008); and Didier Bigo, Laurent Bonelli, Dario Chi and Christian Olsson, Mapping of the Field of the EU Internal Security Agencies (Paris: L'Harmattan, 2007). 63 As clear from the references above, this article is far from the only one reflecting on this. Therefore, not only do we need to revise the way we think about it in international studies incorporating commercial actors; we also need to focus on the enmeshment of the commercial and the public—not to say the commercialization of the public—and its political implications.
Partition: History Matters The Partition of India August 1947 Shobna Gulati. Coronation Street actress, went to India in 2007 to learn about her parents' history and understand why they came to the UK in the 1960s, "In [my son's] history class they do not learn the legacy of Empire… This history belongs to us all. It's not just particular to people from India, Pakistan, Bangladesh or Africa. The more migrant people come to England the more people of Britain need to understand why we're here." Journalist and author Sarfraz Manzoor agrees. On a radio show commemorating the 60 th anniversary of Partition, he said 'The Partition of India and Pakistan saw the largest migration in human history, with 12 million people relocating in a few months. One million died and tens of thousands of women were abducted or raped in the violent aftermath…60 years on, Partition is still a living history. Its survivors are still with us to share their memories.' (Sarfraz Manzoor, Debating the Divide 4.8.7 BBC Radio 4) 2007 marked sixty years since the Partition of India and Pakistan. Despite the fact that the region was part of the British Empire, that the British Empire made the decision to enact Partition and chose where to draw the line and the fact that thousands of people from the region now live in the UK—either because of Partition or the Empire, the topic is seldom taught in British schools. Hindus, Muslims, Sikhs, Buddhists, Jews, Christians, Baha'is, Jains, Parsees and atheists lived side by side in India in mainly peaceful coexistence for hundreds of years. Between 1600 and 1947, there was a British presence in India, first for trade, then the British took control of the government, economy and legal system. Under British rule, Indians were categorized according to religion and treated as separate from each other a policy known as 'divide and rule', which caused friction. Some British were popular with some Indian workers because they were seen as providing work, law and order, but they also crushed uprisings against British rule. From the 1920s, Muslims, Sikhs and Hindus led movements for a free India. Gandhi believed in non-violent non-cooperation. He famously said, 'There are many causes I am willing to die for but none I'm wiling to kill for'. He visited the UK five times and knowing he was very popular there, wrote an appeal "To Every Briton" to free their 'possessions' in Africa and Asia, especially India. A significant number of Muslims and Hindus believed passionately in living together. Others wanted separate Muslim and Hindu nations. Their leaders could not compromise and a climate of fear and violence developed between the communities. Writer Pankaj Mishra describes the British role in encouraging divisions between Hindus and Muslims in India during the 1940s, www.teachingforsolidarity.com "In a land where cultures, traditions and beliefs cut across religious communities, few people had defined themselves exclusively through their faith…The British policy of defining communities based on religious identity radically altered Indian selfperceptions. Many Indians stopped accepting the diversity of their own thoughts and began to ask themselves in which of the boxes they belonged. As late as 1940 Prime Minister Winston Churchill hoped that Hindu-Muslim antagonism would remain. [He] did not want his views on India to be 'disturbed by any bloody Indians' [and he ignored] the upsurge of nationalism in India against the British...But once such middle class nationalists as Gandhi and Nehru acquired a popular following, independence was only a matter of time." (The New Yorker, August 13 th 2007) At the same time, millions of Indian people fought on the side of Britain and her allies in World War II. Millions were killed, wounded or traumatized in the war. Countries were destroyed, boundaries were unclear and being redrawn, debt was rampant, chaos reigned – after the Holocaust, Hiroshima and Nagasaki, millions of people across the world were refugees and on the move. Societies needed rebuilding. In 1945 a Labour government was elected to power in Britain and decided that British rule in India must end. Lord Mountbatten was appointed Viceroy of India: "When the improbably handsome Lord Louis Mountbatten arrived in March 1947 he did not initially seem up to the task of supervising a British withdrawal…Known in the British army as 'Master of Disaster' and 'Glamour Boy', Mountbatten nevertheless displayed enormous political maturity in the Asian countries under his command – Malaya, Burma and Indonesia. The awesome task Mountbatten faced in India may have appealed to his ego. Though he knew little of the intricacies of Indian politics, he displayed a great deal of personal charm and he had an effective ally in his estranged wife Edwina…Eventually after wrangling and recriminations, Mountbatten got Indian leaders to agree to Partition. Then, abruptly, in early June he announced August 15 th 1947 as the date for transfer of power, bringing forward the British government's original plan by nine months. The reason for this is not known. Mountbatten may have wanted to inject some urgency into the tortuous negotiations about who would get what, he may have simply wanted to cut and run. In any case, his decision is partly to blame for the disasters that followed." (Pankaj Mishra) Mountbatten ordered a London barrister, Sir Cyril Radcliffe, to create the new India and Pakistan. Radcliffe had never been to India before and after he saw the consequences of his work, he knew it would never be safe to go there again. He did not visit the border region he was dividing. He never saw the villages, communities, rivers or forests he drew lines through in his office. He created an east and west Pakistan separated by 1000 miles. It was rushed, new borders were drawn hastily and there was not enough consultation. 'It seems extraordinary today that so few among the cabal of Indian www.teachingforsolidarity.com leaders anticipated that the drawing of boundaries along religious lines would plunge millions into bewilderment, panic and murderous rage." (Mishra) Britain was criticised for not making arrangements to ensure peaceful separation and for its rapid withdrawal, leaving little support for those most affected. Some British officials identified with the Indian people they 'served' and showed real concern. But events slipped out of control and Partition descended into violent murderous chaos. The new India was formed out of majority Hindu regions and Pakistan from the majority Muslim areas. Pakistan was to be an Islamic state under Jinnah and India a secular one led by Nehru. Pakistan came into being out of two areas: East Pakistan (today Bangladesh) and West Pakistan, separated by 1,000 miles of India. 565 independent princely states were given the choice of who to join. One, Kashmir, is still the centre of conflict between Muslims and Hindus as a result. The provinces of Punjab and Bengal were divided, causing catastrophic riots. Mountbatten was congratulated for not losing any British soldiers…. Millions of Indians found themselves on the wrong side of the new line. Refugees poured across the borders to regions completely foreign to them. Millions of Sikhs and Hindus travelled to the new India and millions of Muslims travelled to the new Pakistan, though the majority stayed in India. Most travelled by train or on foot. Hindus, Muslims and Sikhs experienced violence, bravery, rape, kindness, slaughter, looting and heroism as neighbour turned on neighbour and neighbour saved neighbour. Approximately 75, 000 women were abducted. Mandeep Singh, a Sikh, recalls, 'My mum was living in what is now Pakistan…She said it was horrible, picking up their little belongings, walking through the mud, hungry, with hardly any water. She said despite all the conflict the British caused…When they were told 'Muslims go there' and 'Hindus and Sikhs there', they hugged their Muslim neighbours and cried, 'We'll never see each other again.' She was 20 and just married...' Shobna Gulati's auntie Shanti, a Hindu, now 80, remembers their journey from Northern Punjab to the new India, "At Kamoke station the train came to a halt…We were very www.teachingforsolidarity.com scared… In the early morning people came out and started firing. 340 people were killed and we hid under dead bodies…After that, the army arrived and some Muslims who had calmed down took us to their houses. I found my sister and one of my brothers but I don't know what happened to my parents or my two brothers. I never saw them again…I don't have bitterness…only memories." The refugees left homes full of possessions and memories. The poor were most often victims of violence. They couldn't move easily and were caught up in the most vulnerable areas. Some are still refugees. Rich people were the least likely to be affected by all the violence or resettlement. Many had good contacts and could move their resources fast, some even profited. "It was an appalling outcome, misjudged to some extent by everyone concerned. Maybe different measures on the ground could have given more protection to the victims and saved some lives; but it is difficult to resist the conclusion that the Punjab massacres were unavoidable given Partition." (Peter Clarke, The Cripps Version – The Life of Sir Stafford Cripps) In 1971 East and West Pakistan went to war when West Pakistan tried to impose Urdu on Bengali speaking East. 300,000 to 3 million were killed during the failed attempt to suppress the people of East Pakistan. Bangladesh was born (Bangla-desh means Bengal-land). 10million Bengalis left and many came to the UK. India and Pakistan have been at war twice since Partition and they are still deadlocked over the issue of Kashmir where tens of thousands have died since. There have been vicious outbreaks of violence between communities in the 21 st century. Fear and mistrust persist, but many Indians and Pakistanis feel they are still one people. There is a longing for dialogue and contact and relations have improved in part. Akbar Ahmed is a great believer in this possibility. He says, 'When we have the mirror experience, there is a chance of overcoming issues.' Some of the grievances are alive in the UK because hundreds of thousands of people came to Britain after Partition in order to escape the disruption. After the Second World War, the UK invited men and women from the old Empire countries (the Caribbean, India, Pakistan and Africa) to help rebuild the economy. The country was recovering from its devastated industry and the loss of so many soldiers and civilians. In the 1950s, 60s and 70s, immigrants came to cities, in search of a better life. Many settled in textile towns – Oldham, Bolton, Bradford, Manchester and Glasgow. Thousands worked in the new National Health Service, often doing jobs white Britons didn't want. Some hoped to return to Pakistan, India and Bangladesh. www.teachingforsolidarity.com Despite the fact that Partition is part of British history and that there are so many people directly affected by it currently living in the UK, it is seldom taught or discussed in schools. DJ Bobby Friction reflects on this conflict: "Partition is up there with Rwanda in terms of atrocities and it has left a fault line for Muslims and Sikhs. It's still part of young people's lives…I realised people here didn't really talk about it. Teachers didn't want to discuss it… It wasn't until I spoke to my dad's brother who went through it that I understood the true horror. Partition was almost like an ancestral memory. This black cloud in my head that my father had mentioned and it wasn't until I saw the film Gandhi in my teens that I started asking questions. "DJ Bobby Friction (Newsnight 15 th August 2007) Discussion: Ken East was a British civil servant assigned to the India Office in Whitehall after World War II. He reflects on Partition and its legacies. 'The partition of a subcontinent and all its services was a Herculean task at a time when British Minsters were loaded with an exhausted economy, an occupation zone of Germany, a collapsing mandate in Palestine, insurgencies in Malaya and Cyprus, Northern Ireland etc. It is often said that everything that went wrong in the subcontinent was the result of undue haste, slapdash planning, Mountbatten's eagerness to get back to sea etc. More to the point is the judgement of Ismay, leader of Mountbatten's staff that if power was not transferred quickly there would have been no power left to transfer. Among many conflicting interests the British were always accused of bias. A fundamental difficulty was that Mountbatten set out to win and enjoyed the confidence of Nehru but never got through to Jinnah. An early expectation that Mountbatten would remain for a settling down period as joint head of both governments was swept away by Jinnah. Bitter allegations remain over the demarcation of the frontier in the Punjab and the loss of control of communal massacres there and in Bengal. The allegation is that the draft was altered crucially to Pakistan's detriment by Mountbatten leaning on Sir Radcliffe, the Boundary Commissioner. At issue is the identity of these two eminent www.teachingforsolidarity.com officers. Who could have imagined that ordinary civilians would have engaged on such a scale in frenzied butchery of their neighbours? What possible deployment of police or soldiery and in what numbers, could have been on the spot everywhere to prevent such atrocities? How many people entered citizenship of the successor states with blood on their hands?' The UK is not alone in shying away from difficult past events in school curricula. In the United States, for example, many schools avoid discussions of slavery or the treatment of American Indians. Scholar Donald Shriver argues that exploring morally negative events is essential for the health of a society and that the failure to formally acknowledge them encourages hostility. What are your thoughts? www.teachingforsolidarity.com
The Importance of Preserving Marriage and Family as Essential Foundations of Nations Speech by Mr. Lee Wee Min Executive Chairman, Focus on the Family, Malaysia Asia Regional Director, Focus on the Family Global BRIEFING AT UNITED NATIONS HEADQUARTERS NEW YORK 27 MAY 2009 Excellencies, Ladies and Gentlemen, Thank you for the honor of addressing you today. I would like to begin by thanking each one of you for your presence here this afternoon, which indicates that we have a shared concern to protect and defend the original and intended institutions of Marriage and Family. I congratulate you for all efforts to accomplish this noble objective. I especially want to commend those of you who supported the Egypt-Uganda Counter Declaration on Sexual Orientation dated 18 December 2008. `Essential Foundations of Nations. I was born in Malaysia into a Chinese family. Malaysia has a population of 26 million of which about 62%, or 16 million people, are Malays, who are predominantly Muslim; 28%, or 7.2 million people, are Chinese; and 8%, or 2.1 million people, are Indians. The remaining 2% are people of different races and foreigners. I have an older sister and an older brother and there are 3 of us children in our family. My father worked in the police force as an administrative personnel officer; and my mother, who has now passed away, was a homemaker. I remember very clearly on how, as children, we would be very disturbed, disoriented and distressed during those times when my father and mother would quarrel and argue with each other. We would remain very quiet, and if there was an opportunity to plea for them to stop we would, but we would rarely have a chance during such circumstances. Such situations would be extremely tense and it would intensify when mum or dad decided to storm out of the house. The fear of them not returning would cause excruciating emotional pain. Dad would usually return at the late hours of the same day, but mum would sometime stay at an aunt's or uncle's place till a day or two later. This would only intensify the strain with dad and stress on the children. I remember clearly how such situations would affect all of us adults and children emotionally as well as socially. Our moods and demeanour would be fragile and disturbed within ourselves and with others. It would also affect us mentally as we would inevitably struggle to concentrate - whether with our school work or work in the office. It would also challenge us spiritually and we begin to question as to why we have to go through these kinds of challenges. I suspect that what I experienced as a child due to the marital conflict of my parents (even though my parents have always made up after each quarrel) is typical of a Malaysian family – if not a universal experience of families. The state of union of a marriage will reflect on the state of union of a family, which will significantly affect the state of union of society and the nation. In 1948, under Article 16, paragraph 16 of the Universal Declaration of Human Rights, it affirms that, "The family is the natural and fundamental group unit of society and is entitled to protection by society and the state." There was a firm recognition by our leaders at that point of time that we need to support and protect the family institution. This was after World War II and we need to understand the experiences of men and women then. They probably witnessed the brutal killings of millions of men and women, and together with that, millions of providers for children and families disappeared leaving families distressed and disarranged. The state of families was undermined and societies were in chaos. It was under those circumstances that after the war, the Universal Declaration of Human Rights was crafted and in Article 16 specifically, there was a call to protect the family as the natural and fundamental unit of society. Family therefore exists as a fundamental protector of human rights and it is therefore important to preserve marriage and family. Marriage and Family as the Foundation of Nation and Culture Marriage and family have always been the foundation of every society and nation throughout human history, and very much so in Malaysia where I come from. The history and central role of marriage and family in Malaysia, as well as many other Asian Nations and cultures, and I suspect in most countries in the world, cannot be ignored. This can be seen: i) in the emphasis on a life long union of a man and woman in marriage; ii) in weddings, family gatherings, churches, temples, synagogues, mosques; and iii) in community activities. From the beginning, mankind was created male and female, and this design provides clear and unmistakeable evidence that men and women were designed for one another. Men and women are created as sexual beings with an inborn attraction towards each other. It is truly a divine idea. The Marriage Institution is also affirmed distinctly in the Universal Declaration of Human Rights – Article 16, paragraph 1 – as a union between a man and a woman. The Marriage and Family Institutions were designed for the benefit of men and women, and these were the first institutions which precedes any form of civil government or other societal institution; they are the core foundational institutions of every society and nation. It is the means by which societies and nations survive and thrive. Marriage therefore provides a secure, covenant relationship between a man and woman to bond intimately and sexually. It also provides a secure family environment into which children are loved, care for, nurtured and provided for. Hence, the family by simple definition consists, at its core, of a father, a mother and their children by natural birth, adoption or through a blended family situation. In an Asian culture, it is also comprised of the extended family which may include grandparents, uncles, aunties, nephews, nieces, cousins and in-laws. Some family gatherings can be very large in numbers when everybody turns up. Malaysia adheres to the definition: A family is formed out of Marriage registered between a man and a woman and comprises of children and extended family members. As a young boy, my parents migrated from a smaller town to a bigger city in Kuala Lumpur. Not long after that my mother's siblings also began moving to the urban area in search of employment, and I remember growing up in a house where my uncles and aunties would be around every weekend where we would share meals, and do things and go places together. It would be a time when among family members, there was – and is -a sense of security and support as well as coaching and counselling – all done in a family spirit of love and concern for each other. The value and benefits of marriage and family for adults When a man and woman enter into a marriage, it is meant to be a loving and safe relationship whereby both can bond together emotionally, relationally, spiritually, psychologically, and physically throughout their married life. The marriage relationship is likened to being with your most trusted friend and companion – your confidante whom you can share freely and openly and know that the other person will love and accept you for who you are. Someone with whom you can share your joys, struggles as well as sorrows. This trusting relationship in a marriage should also deepen over the years. It is likened to what an archaeologist always looks forward to - "The older the better". There are many benefits and values in marriage and family for adults, and some extensive research has been conducted over the years. A study in 1998 examined the connection between marital status and personal happiness in 17 industrialized nations with diverse social and institutional frameworks, and found: Being married was 3.4 times more closely tied to the variance in happiness than was cohabitation, and marriage increases happiness equally for men and women… Further, the strength of association between being married and being happy is remarkably consistent across nations. 1 This report explains that the top three indicators of personal happiness are levels of selfreported health, financial satisfaction and marital status, in that order. Scholars working jointly at Harvard University and in the United Kingdom observed: There is remarkable evidence that marriage helps to keep human beings alive. People who are divorced or separated or widowed are at a particularly high risk of dying prematurely. Those never married face somewhat lower risks of death in any given period, but the married have easily the lowest risk of all the groups. Evidence for this is now widespread across the world. 2 There is another study on the positive benefits of being married which is based on original research synthesizing hundreds of cross disciplinary scientific studies in the fields of psychology, sociology, law, medicine and economics. The authors investigated the effects of marriage on a broad cross section of married couples and summarized their findings on the positive value of marriage. In general married couples enjoy: 3 * healthier lifestyle People who are married tend to avoid more harmful and risky behaviours than do single, divorced, or widowed persons. For example, married people have much lower levels of problem drinking associated with car accidents, interpersonal conflict, and depression. In general, married people lead a healthier lifestyle in terms of eating, exercising, and avoiding harmful behaviours. * longer lives Married people live several years longer than do singles, divorced, or widowed persons. This is often because they have the emotional support of their partner and more access to good health care. * a more satisfying sexual relationship Over half (54%) of married males and 43% of married females are very satisfied with their sexual relationship. For cohabiting couples, about 44% of the males and 35% of females are very satisfied. The frequency of sex is also higher in married couples than with cohabiting and dating persons. (Without the risks of STDs and HIV/AIDS for the sexually faithful). * more wealth and economic assets Because married couples can pool their economic resources, they tend to be wealthier. In fact, in the United States, the median household net worth for a married couple is $132,000, as compared to $35,000 for singles, $42,275 for widowed individuals, and $33,670 for divorced individuals. 4 * children do better emotionally and academically Children from two-parent homes tend to do better emotionally and academically. As teenagers, they are half as likely to drop out of school, they have higher grades, and they are less likely to have an unwed pregnancy. Children from two-parent homes also receive more parental attention (such as supervision, help with schoolwork, and quality time together) than do children from single-parent homes. In fact, children from single-parent homes have a much higher probability of growing up in poverty and experiencing a lower quality of life. Current research and thinking from the worlds of economics and social sciences highlight two major conclusions: Happily married employees increase profitability Unhappily married employees decrease profitability "You can't expect people to do well in their business if they've got problems at home." - S. Truett Cathy, CEO of Chick-fil-A, USA Today, June 22, 2006. The founder of Chick-fil-A, S. Truett Cathy, has implemented marriage-friendly policies and programs for the 600 employees of his company as well as 1200 franchise operators. The company offers lunchtime relationship education sessions, marriage retreats, and all stores are closed on Sunday so that families can have more time together. The value and benefits to children of a healthy, stable, permanent marriage and family A leading family scholar from Princeton University recently observed, If we were asked to design a system for making sure that children's basic needs were met, we would probably come up with something quite similar to the twoparent family ideal. Such a design, in theory, would not only ensure that children had access to the time and money of two adults, it would provide a system of checks and balances that promote quality parenting. The fact that both adults have a biological connection to the child would increase the likelihood that the parents would identify with the child and be willing to sacrifice for that child and it would reduce the likelihood that either parent would abuse the child. 5 Growing up in a loving and secure home environment will enable a child to feel safe whereby he or she will be able to feel comfortable to express himself or herself. Such an environment will also provide the security for a child to receive appropriate instruction and correction. In my book 'Parenting: a Rollercoaster Experience', one of the chapters is on Grooming our Children with Loving and Consistent Discipline. The basis for discipline must be love and this is meant to be effectively carried out by two parents, a father and mother, who enjoy and find security and harmony in their marital relationship. This is important because, if parents do not have a secure marriage, the cause of discipline could be a result of their frustration in marriage, frustrating their intention to love and groom their children. It is said that values are caught rather than taught, and therefore the relationship between both parents is constantly and often unconsciously being observed by our children. Maybe we should worry less about our children not listening to us, and worry more that they are always watching us. Sometimes we need to ask ourselves why our children are behaving in a certain way. Hmm Children need to observe the complimentary roles as well as benefits of both father's and mother's. Through fulfilling of the roles and responsibilities as husband and wife as well as father and mother, there is also a clear communication and proper affirmation of our gender role and identity to our children. Our children need to understand the role and responsibilities of a husband and father from their father, and the role of a wife and mother from their mother. They need to learn appropriate methods of conflict resolution that help restore and strengthen relationships, including the importance of speaking the truth, apologizing, forgiving and receiving forgiveness. Loving parents would also be able to communicate the benefit and value of time management, setting priorities as well as various life management skills. Through a stable and healthy marriage and family, children can also learn the importance of respect, proper submission, loving authority as well as respecting the elderly. When a child observes their parents respecting and honouring one another in a loving and harmonious manner, they will in turn recognize the importance of respect. This in turn will enable them to love and respect others as he or she has witnessed love and respect from their parents, and would have also been loved and respected. Respect is one of the key ingredients to a healthy and happy marriage and family, and this is best taught through a stable and harmonious marriage and family. This is because respect is an important element in building a harmonious family and society. The marriage and family relationships will not always be a bed of roses. Through appropriate means of handling and expressing our anger and frustrations, as well as through the way we tackle challenges and difficulties, we model and communicate personal responsibility and accountability, the need to admit when one is in the wrong, and the importance of apologizing and not blaming others. On the other hand, we also need to learn the spirit of forgiveness and acceptance, and move on together encouraging one another in a family. Another area of benefit for children growing up in a stable, supportive and strong marriage and family is where they can have the opportunity to develop their unique interests and gifts, rather than to spend their energy and resources surviving on their own in the absence of loving and caring parents, or even being a victim of their parents marital challenges and conflicts. There are many other areas where children thrive and enjoy their childhood when they are in an environment of a healthy, stable, permanent marriage and family, but the above would suffice to communicate the value and benefit of such an environment. Conclusion In view of the above, it is evident that much emphasis must be placed on communicating the importance of preserving the marriage and family institutions, and therefore communities and nations should network and collaborate to strengthen and protect the traditional values of marriage and family. I would like to end by citing the Kuala Lumpur Declaration on the family as an outcome of the Asia Pacific Family Dialogue: Towards the DOHA International Conference for the Family held in Kuala Lumpur from 11-13 October 2004. The Kuala Lumpur Declaration on the Family is attached but please allow me to cite some important points in closing. … quoting the Kuala Lumpur Declaration … Thank you very much for your kind attention. I would like to end with just one more story of a 16-year old girl who came to us after we conducted a workshop on a character based abstinence program in a school in Malaysia. We just completed the unit on the consequences of premarital sex and she came to me with tears in her eyes saying that if only we had been to the school one week earlier, she would not have engaged in premarital sex with her boyfriend who is also known to have been sleeping with other girls. We tried to calm and counsel her and encouraged her to go for some medical check ups, and connected her with some responsible adults who can provide some form of continuous counselling. During the conversation, and when her family situation was raised, she was saddened that her parents were separated and there were no role models, nor responsible adults, to provide her with the necessary support or guidance. She ended the conversation by saying that, 'I would have thrived and have stronger will power to say no, if my family environment was more healthy and stable.' Thank you very much your kind attention. Wee Min, Lee Executive Chairman, Focus on the Family, Malaysia Asia Regional Director, Focus on the Family Global 1 Steven Stack and J. Ross Eshleman, "Marital Status and Happiness: A 17-Nation Study," Journal of Marriage and the Family, 60 (1998):527-536. 3 Linda Waite and Maggie Gallagher, "The Call for Marriage: Why Married People are Happier, Healthier and Better Off Financially (2001). 2 Stack and Eshleman, 1998, p. 535. 4 Sara McLanahan and Gary Sandefur, Growing Up with a Single Parent: What Hurts, What Helps, (Cambridge: Hrvard University Press, 1994). 5 Ibid., p.38.
Volume 27, Number 4 Hawthorn Chapter Officers: President Vanessa Melton 573-864-3905 firstname.lastname@example.org Vice President Nancy Langworthy email@example.com 573-874-2463 Secretary Ann Wakeman 5798 Windy Meadows Lane Fulton, MO 65251 573-642-6927 firstname.lastname@example.org Treasurer John George 573-234-1784 email@example.com Membership Paula Peters 2216 Grace Ellen Dr Columbia, MO 65202 573-474-4225 firstname.lastname@example.org Chapter Representative John [Rusty] White 573-886-8698 email@example.com Web Master Doug Miller firstname.lastname@example.org Web site: http://columbianativeplants.org/ Webmaster: Doug Miller The Hawthorn Chapter of the Missouri Native Plant Society Newsletter is published monthly. Send submissions by the 26 th to: Communications Editor Becky Erickson 573-657-2314 email@example.com Missouri Native Plant Society Hawthorn Chapter Newsletter April 2012 Future Activities Watch email for notices of impromptu hikes. Please offer suggestions of your favorite walking destinations to Paula or Becky; we will get them posted as soon as weather permits. PLEASE call or email Becky 657-2314 or Paula 474-4225 as soon as you know you will attend an activity. We don't want to leave anyone behind if weather or plans change. Leave your name and PHONE # if you leave a message. If you do not communicate by email and have a suggested destination or want notice of a walk, call Paula 474-4225 to get on the phone list. Carpool meeting place, MDC Research Center, is on College just north of Stadium. April 4 Wednesday: Wildflower walk with Randal Clark. 5:30 Devil's Icebox parking off Old63 in Rockbridge SP [8 Easter] 11 Wednesday: Wildflower walk with Randal Clark. 5:30 Devil's Icebox parking off Old63 in Rockbridge SP 14 Saturday 10 am – 2pm: Plant Sale at Bradford Farm. 9 am Booth set up. April 13-15, 2012 – State Branson area/Bull Shoals Reservoir, etc. Details in Petal Pusher. [16 April – 6 May = Turkey Season: can go in woods only after 1 pm; State Parks = OK any time] 18 Wednesday: Wildflower walk with Randal Clark. 5:30 Devil's Icebox parking off Old63 in Rockbridge SP 19 Thursday: Lunch with Native Plant Enthusiasts 11:30 am RagTag, 10 Hitt St. Just south of Broadway. After lunch we could go see shooting stars at 3-Creeks. SIGN UP and receive email updates. 22 Sunday: Earth Day Columbia, Noon to 6pm. Booth set up [10am] and plant sale. 25 Wednesday: Wildflower walk with Randal Clark. 5:30 Devil's Icebox parking off Old63 in Rockbridge SP 28 Bird Walk at PGT. Jim D. Wilson retired MDC Ornithologist. 7 am. To register email firstname.lastname@example.org . There will be plenty of opportunity to see wildflowers between bird stops. May 2 Wednesday: Wildflower walk with Randal Clark. 5:30 Devil's Icebox parking off Old63 in Rockbridge SP. 4-6 Camping weekend at Hawn SP: Friday evening thru Sunday noon. Room for one more tent with up to four people. Call Paula 573-474-4225 See article inside. 9 Wednesday: Wildflower walk with Randal Clark. 5:30 Devil's Icebox parking off Old63 in Rockbridge SP 12 Wildflower walk at PGT. Kay and George Yatskievych [Steyermark revisionist.] 9 am To register email email@example.com . 12 Earthquake Hollow [Callaway Co]: ladyslipper orchids and other woodland spring flowers. Leave MDC in Columbia 9 am. Difficult. 13 Mothers' Day 14 Membership Meeting 7pm Unitarian Church, 2615 Sheppard Blvd. Program will be given by David S. Kubiak, [BSNursing, MHA with an earlier background in Biology and Ecology] who is an avid Orchid fancier and grower. He will speak to us about native orchids. Call Vanessa or Paula for more information Editor would like to receive any submissions at any time. Announcements: Still room for one more tent for the camping weekend at Hawn. Call Paula. Booths: Sat 14 and Sun 22 April We could really use help cleaning, repotting, tagging, and loading plants for the April booth sales. For those who can't take the time on the booth days to help educate people about plants and gardening, there are other opportunities to help prepare for the sales on weekdays at your convenience. Call or email Becky. 14 April, Saturday, is the Bradford Farm Sale. Paula is the contact person 474-4225. She will be there with books and booth parts by 9 am. The booth should be open for business before 10. Anyone who wants to help sell plants and books is welcome. We need help unloading, setting up, and loading at the end of the sale. 22 April Sunday, Earth Day Festival in Columbia [rain date = 29 April] Our booth site is #5&6 on the south side of Elm Street just east of the University gates [Peace Park]. To help set up, be there between 9 & 10; cars must be off the street at 11 am. We need help unloading, setting up, and loading after the sale. Anyone who wants to help sell plants and books is welcome. Bring plants to sell. Call Paula to volunteer 474-4225. -^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^- Program for the 14 May meeting will be given by David S. Kubiak, BSNursing, MHA with an earlier background in Biology and Ecology is an avid Orchid fancier and grower. He will speak to us at the Unitarian Church about native orchids. Because of longer daylight hours, the May meeting starts at 7 pm. -^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^- Program for July Membership Meeting Randal Clark will present Costa Rica: Land of Biodiversity. Randal is known for his spring wildflower walks at RBSP. UU Church Monday 9 July, 7pm. -^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^- SHOOTING STARS > > > > > > > > > I am not certain exactly when the shooting stars will be blooming. Most years, they bloom 26Apr – 5 May. To see a large patch, it is a quick trip to 3-Creeks CA. I would like to say we can go after lunch 19 April, but it will probably be a week earlier. Sign up with me and I will keep you informed. Becky [REPLY to email or call 657-2314] Spring Calendar Cont. . . . May continued 16 Wednesday: Wildflower walk with Randal Clark. 5:30 Devil's Icebox parking off Old63 in Rockbridge SP 17 Thursday: Lunch with Native Plant Enthusiasts 11:30 am RagTag, 10 Hitt St. Just south of Broadway. 19 Clifty Creek NA [Maries Co]: A little off the beaten path. Difficulty is easy on established trails, but a little long. All-day outing; bring sun hat, bug spray, water, snacks. We will possibly eat at Native Stone Winery on the way home. 23 Wednesday: Wildflower walk with Randal Clark. 5:30 Devil's Icebox parking off Old63 in Rockbridge SP June 2 Saturday: Fern Walk at PGT. Led by Dennis Figg [MDC biologist] 9 am. To register email firstname.lastname@example.org . 2 June 1-3, 2012 – State Camdenton area/Ozark Caverns/Rocky Top Glade, etc. 9 Warren Taylor: Private property in Callaway County putty root orchid, goldenseal, glade plants, and others. Leave MDC in Columbia at 9 am. All-day outing; bring sun hat, bug spray, water, snacks, wear rubber boots if wet. Moderate. We will eat late at Beck's in Fulton. 21 Thursday: Lunch with Native Plant Enthusiasts 11:30 am RagTag, 10 Hitt St. Just south of Broadway. July 9 July Membership Meeting 7pm Unitarian Church, 2615 Sheppard Blvd. Randall Clark will speak: Costa Rica, Land of Biodiversity. MONPS Board Meeting Schedule for 2012 Spring – April 13-15, 2012 – Branson area/Bull Shoals Reservoir, etc. Summer – June 1-3, 2012 – Camdenton area/Ozark Caverns/Rocky Top Glade, and other places. Fall – Sep. 28-30, 2012 – Cuivre River State Park and vicinity. Winter – Sat. Dec. 1, 2012 – UMO Herbarium, Columbia, MO. Hawthorn Camping Weekend 4-6 May Paula has organizing our chapter camping trip to Hawn State Park May 4-6. We chose the first weekend in May because it is our best chance to see azaleas and orchids in bloom. It is also the best time for migratory birds and good for insect emergence. Two tents and up to six people can be set up on each site. Each site costs $36.50 for the weekend. So campsite costs will be split among the people occupying each site. There is still room for one tent with up to four people. No one is excluded from this outing; please come and bring friends. Just because you don't camp doesn't mean you can't come and have a good time. If you don't want Paula to coordinate your campsite, you may go on your own, find a campsite or motel, and meet us for hikes. Trails out of the campground and to the wildflower areas are of easy to moderate difficulty. The campground has a modern bath house, tables, and fire pits [buy firewood there; DO NOT bring firewood to the park]. Our tent sites are shaded. Last year we had a GREAT time in spite of the heat in early June. There were plenty of unusual plants, insects, and other animals around the streams. Bird watching was good. We combined the food we brought and ate well. We will finalize our plans as it gets closer to the date, and we see how many people are going, and what activities the group is interested in. Mosey to Jim's Thicket Submitted by Becky Erickson Twelve people and four dogs had a fine morning exploring Jim Whitley's 100-acre Thicket Saturday morning [24 March]. John George and Mark McCullough [MDC] have been cutting cedars by the hundreds. In January they burned about 70% of the land. As John puts it, "reconstruction is messy". If you have ever rebuilt the inside of a house, you understand the concept. Weaving through and over the downed timber was a chore, but new sprouts of many species of native plants were visible. In the next two to five years, the place will be breathing with a whole new life. John also showed us some amazing cliffs, a cave, and three waterfalls. The daffodil patch was in full bloom and we found a small but highly diverse glade. Half the group went down the hill to Silver Fork bottom; couldn't cross the creek to see if snow trillium were still blooming, but found bluebells and sweet william. Exploring is so much fun! BE photos John explains management plan. Famous daffodil patch Waterfall just below daffodil patch Third waterfall Cliff cedar Moss and fragile fern Bluebells Pickle Creek Please Step Forward For Service Please contact one of the officers ready to volunteer a little time to a very good environmental and educational service. We need people to serve as officers, to grow plants for fundraising and we need people to man our information booth at events such as Earth Day and Bradford Plant Sale. If you get this only by mail, please consider requesting email delivery; it saves us money. ___Regular ($16.00)* ___Student ($11.00) ___Contributing ($26.00)* designate chapter or state ___State Lifetime ($200) ___Chapter Lifetime ($120 – you must also be a member of the state organization to utilize this option) ___Chapter only ($6.00 – this is for members who already belong to State and another chapter) . *Includes both Chapter ($6) and State ($10) dues. Make check payable to: Missouri Native Plant Society Send check and this form to: Paula Peters, 2216 Grace Ellen Dr., Columbia, MO 65202. Hawthorn Chapter Missouri Native Plant Society Newsletter editor, Becky Erickson PO Box 496 Ashland MO 65010-0496 MEMBERSHIP FORM Missouri Native Plant Society-Hawthorn Chapter July 1 through June 30. Name ______________________________________ Address _____________________________________ ____________________________________________ Phone: Evening _______________________________ Day or Cell__________________________________ Email: _______________________________________ Method of receiving chapter newsletter: (circle preference) Email Regular mail Email delivery brings you color photos and it saves NPS money. With email delivery you also receive updates and announcements between newsletters. Regular Mail includes NO interim updates or reminders without request for phone contact.
Hierarchical Gaussian Descriptor for Person Re-Identiﬁcation Tetsu Matsukawa 1 , Takahiro Okabe 2 , Einoshin Suzuki 1 , Yoichi Sato 3 1 Kyushu University 2 Kyushu Institute of Technology 3 The University of Tokyo {matsukawa, firstname.lastname@example.org, email@example.com, firstname.lastname@example.org Abstract Describing the color and textural information of a person image is one of the most crucial aspects of person reidentiﬁcation. In this paper, we present a novel descriptor based on a hierarchical distribution of pixel features. A hierarchical covariance descriptor has been successfully applied for image classiﬁcation. However, the mean information of pixel features, which is absent in covariance, tends to be major discriminative information of person images. To solve this problem, we describe a local region in an image via hierarchical Gaussian distribution in which both means and covariances are included in their parameters. More speciﬁcally, we model the region as a set of multiple Gaussian distributions in which each Gaussian represents the appearance of a local patch. The characteristics of the set of Gaussians are again described by another Gaussian distribution. In both steps, unlike the hierarchical covariance descriptor, the proposed descriptor can model both the mean and the covariance information of pixel features properly. The results of experiments conducted on ﬁve databases indicate that the proposed descriptor exhibits remarkably high performance which outperforms the state-ofthe-art descriptors for person re-identiﬁcation. 1. Introduction Appearance matching of person images observed in disjoint camera views, referred to as person re-identiﬁcation, is receiving increasing attention, mainly because of its broad range of applications [11]. In this task, the person images are captured from various viewpoints and under different illuminations, resolutions, human poses, and background environments. These large intra-personal variations in person images cause serious difﬁculties. In addition, similar clothes among different persons add further challenges. To address these difﬁculties, researchers are actively working on appearance descriptors [27, 28, 29, 43, 46, 47] and methods for matching them [22, 32, 33, 42, 48]. Descriptors characterize the appearance (color and textural) information of human clothes. A good descriptor should Figure 1. Importance of hierarchal distribution: (a) Regions that have the same distribution (mean/covariance) of pixel features (each color indicates the same feature vector). (b) Local patches inside the regions which have different pixel feature distribution. (c) Regions can be distinguished via distributions of patch level distributions. Divide Region distribution (c) Distributions of patch level distributions (a) Regions (b) Patches be robust against intra-personal variations and at the same time have high discriminative power to distinguish different persons. Person images are low in resolution and have large pose variations; consequently, it has been proved that the most important cue for person re-identiﬁcation is color information such as color histograms and color name descriptors [43]. Because they cannot sufﬁciently differentiate different persons of similar color, textural descriptors such as Local Binary Pattern (LBP) and the responses of ﬁlter banks are often combined with color descriptors [33, 42, 48]. A covariance descriptor [40] describes a region of interest as a covariance of pixel features. It provides a natural way to fuse different modalities, e.g., color and texture, of pixel features into a single meta-descriptor. Since the covariance descriptor is obtained by averaging features inside the region, it remedies the effects of noise and spatial misalignments. Consequently, it has been successfully applied to person re-identiﬁcation [4, 5, 44]. In this paper, we propose a novel region descriptor based on hierarchical Gaussian distribution of pixel features for person re-identiﬁcation. More speciﬁcally, we densely extract local patches inside a region and regard the region as a set of local patches. We ﬁrstly model the region as a set of multiple Gaussian distributions, each of which represents the appearance of one local patch. We refer to such a Gaussian distribution representing each local patch as a patch Gaussian. The characteristics of the set of patch Gaussians are again described by another Gaussian distribution. We refer to this Gaussian distribution as a region Gaussian. The parameters of the region Gaussian are then used as feature vector to represent the region. (b) Local mean (c) Mean removed Figure 2. Importance of mean: (a) Original images. (b) Images that show mean RGB values of 10 × 10 pixel patches of (a). (c) Mean removed images (each RGB value is scaled over the range [0,255] for visualization). It is easy to determine the same persons from (b), whereas it is hard from (c). Our motivation of the use of a hierarchical model stems from the appearance structure of person images. The persons' clothes consist of local parts, each of which has local color/texture structures. The spatial arrangement of these parts determines the global appearance structure. However, most of the existing meta descriptors [9, 10, 27, 30, 37, 40] are based on a global distribution of pixel features inside a region. Thereby, the local structure of the person image is lost. In contrast, our proposed descriptor describes the global distribution using the local distribution of the pixel features. Indeed, it can distinguish the textures which have the same global distribution but different local structures, as shown in Fig. 1. We use the Gaussian distribution as a base component of the hierarchy. The motivation of the use of the distribution comes from the importance of the mean color of local parts. Although the hierarchical representation of covariance descriptors has been proposed [18, 36], the mean information is not included in each hierarchy. The loss of mean information is a crucial problem when they are applied to person re-identiﬁcation. This is because the clothes a person wears tend to consist of a small number of colors in each local part, and therefore the mean color in the local parts tends to be the major discriminative information of the persons. As shown in Fig. 2, the mean images of local color contain highly distinguished information of different persons. We name the proposed hierarchical method Gaussian Of Gaussian (GOG) descriptor. The GOG descriptor provides a conceptually simple and consistent way to generate discriminative and robust features that describe color and textural information simultaneously. The results of extensive experiments conducted on ﬁve public datasets reveal that, despite its simplicity, our proposed descriptor can achieve surprisingly high performance on person re-identiﬁcation. 2. Related Work Feature design and distance metric learning are two key components for person re-identiﬁcation. In the feature design, several works have been conducted by focusing on the characteristic properties of person images. SymmetryDriven Accumulation of Local Features (SDALF) [6] exploits the symmetric property of a person through obtaining head, torso, and leg positions to handle view variations. Unsupervised salience learning [46] estimates rare patches among different images, to perform matching of rare-appearances such as rare-colored coats, baggages and folders. Attribute based descriptors obtain lingual description of person images [ 17 ]. These works have been mainly conducted on unsupervised settings. In the recent half decade, a supervised approach, i.e., metric learning, has shown more impressive results in terms of accuracies [31, 32, 33, 23, 42, 48]. The features used for metric learning are rather simple compared to the features for the unsupervised settings. For metric learning, the features need not necessarily be robust or discriminative when unsupervised matching is performed, however, it requires to contain enough information within them. For example, high dimensional features composed of densely sampled color histograms, LBPs and SIFTs are often used [32, 42]. The design of features would largely affect the matching accuracy of metric learning methods. Nevertheless, most of the previous works focused on algorithm of metric learning [22, 24, 33, 48], and only few works focused on the feature design [23, 28, 43]. Our use of two-level (patch/region) statistics for person re-identiﬁcation is motivated by the recently proposed Local Maximal Occurrence (LOMO) [23], which is a high dimensional representation of color and Scale Invariant Local Ternary Pattern (SILTP) histograms. This method locally constructs a histogram of pixel features, and then takes its maximum values within horizontal strips to overcome viewpoint variations while maintaining local discrimination. Indeed, LOMO describes only mean information of pixel features. Covariance-of-Covariance feature [36], where region covariance is estimated over local patch covariances of pixel features, motivated us to add covariance information in each hierarchy. Making use of mean information to enhance the covariance descriptor is motivated by several works, such as Shape of Gaussians [10], Global Gaussian [30] and Gaussians of Local Descriptors (GOLD) [37]. By beneﬁtting from the recent advances on Riemannian geometry, we treat a Gaussian distribution on a point of Symmetric Positive Deﬁnite (SPD) matrix manifold with the same manner as [13, 19] and apply log Euclidean metric and half-vectorization to ﬂatten the manifold-valued data as in the works [9, 37]. Though such a Gaussian coding of low level pixel features is introduced into person reidentiﬁcation [27], previous Gaussian descriptors are not constructed on a hierarchal manner. Convolutional Neural Network (CNN) is one of the stateof-the art recognition algorithms that leverage hierarchal structure [16] and CNN has been recently adopted for person re-identiﬁcation [1, 21]. However, their accuracies are not high compared to metric learning approaches, especially in small sampled datasets such as VIPeR [12]. This is because the CNN requires a large number of labeled trainpatch patch (c) Flatten (d) Region (e) Flatten (f) Feature (b) Patch (a) Dense extraction Gaussian Gaussian region Gaussian vector Gaussian Figure 3. GOG descriptor: (a) For each region, we extract local patches densely. (b) We then describe each of local patches via a Gaussian distribution of pixel features, we refer to these Gaussians as patch Gaussians. (c) Each of patch Gaussians is ﬂattened and vectorized by considering the underlining geometry of Gaussians. (d) Then the patch Gaussians inside a region are summarized into a region Gaussian. (e) We further ﬂatten the region Gaussian and create a feature vector. (f) Finally, the feature vectors extracted from all regions are concatenated into one vector. ing samples to obtain good performance. Although several descriptors are proposed by focusing on CNN like hierarchy [8, 39], they require learning processes for feature extraction in each hierarchy. In contrast, our descriptor requires no learning process because in each hierarchy, our descriptor describes regions via mean and covariance estimations which are not involved in learning. 3. Hierarchical Gaussian Descriptor We outline the proposed hierarchal Gaussian descriptor named GOG in Fig. 3. To achieve the feature representation of a person image, we adopt a part-based model [35]. We assume that G regions of a person image are given in advance, which are typically horizontal stripes of the image. The proposed descriptor returns a feature vector of the regions. The rest of this section describes the details of the descriptor. 3.1. Pixel features Let us focus on one of the G regions of a person image. To describe the local structure of the region, we densely extract squared (k × k pixels) patches with the p pixel intervals (Fig 3 (a)). In order to characterize each pixel in the patch, we extract d dimensional feature vector f i for every pixel i. The feature vector can be any type of features, such as color, intensity, gradient orientation and ﬁlter response. Since the number of pixels in each patch is small, the dimension d is preferable to be low for robustly estimating the covariance matrices of patch Gaussians in the next step. In this work, we extract 8-dimensional pixel features deﬁned as: where y is the pixel location in the vertical direction, Mθ∈{0 ◦ ,...,270 ◦ } are the magnitudes of pixel intensity gra- dient along four orientations, and R, G, B are color channel values. Each dimension of f i is linearly stretched to the range [0, 1] for equalizing the scales of the different feature values. The pixel location is introduced to leverage spatial information within each region. The use of only vertical image location comes from the analysis in [27]; the person images tend to be well aligned in vertical direction while pose/viewpoint change causes a large misalignment in the horizontal direction. Note that one would like to set yi from the top (or center) of the current region as in [9]. However, each pixel belongs to multiple regions and such a setting increases computational complexity. Since person images are coarsely aligned, we directly set yi from the top of the image. The gradient information is introduced to describe textural information of clothes. Gradient orientation O = arctan(Iy/Ix) is calculated from x and y derivatives Ix, Iy of intensity I. We quantize the orientation into four bins; Oθ∈{0 ◦ ,90 ◦ ,180 ◦ ,270 ◦ }. To complement the loss of information by the quantization, we use soft voting into nearby two orientation bins. The voting weights are linearly determined from the distances from the quantized orientations as in the GO vector in [15]. To focus on high gradient edges, we multiply the gradient magnitude M = √I 2 y + I 2 y to the quantized orientation Oθ and obtain the oriented gradient magnitude; Mθ = MOθ. Color information is the most important cue for person re-identiﬁcaiton. We use the color channel values of the most basic color space: RGB. Other color spaces, e.g., Lab, HSV and YCbCr, might be used. In fact, we will extend our pixel features in different color spaces (Sec. 3.5). 3.2. Patch Gaussians After we extract the pixel features inside a patch, we then summarize them via the most classical parametric distribution which has mean and covariance as parameters: Gaussian distribution (Fig. 3 (b)). For every patch s, we model feature vectors as the patch Gaussian N (f ; µ s Σ s) deﬁned as, where \| · \| is the determinant of a matrix, µs is the mean vector and Σ s is the covariance matrix of the sampled patch s. The mean vector and the covariance matrix are respectively estimated by: µ s = 1 ns ∑i∈Ls f i and Σ s = 1 ns−1 ∑i∈Ls ( f i − µ s )( f i − µ s ) T , where L s is the area of the sampled patch s and ns denotes the number of pixels in Ls. Note that the densely sampled mean vectors and covariance matrices can be efﬁciently calculated through integral images [41]. Since regions can be overlapped, we construct the integral images of pixel features for an overall person image rather than creating them for each region. For a more precise description of distributions, Gaussian Mixture Model (GMM) might be used. Since a local patch is expected to consist of a small number of colors/textures, we assume that the unimodal Gaussian is sufﬁcient for describing the distribution of its pixel features. 3.3. Tangent space mapping and half vectorization As we will explain in the next subsection, our descriptor is a summarized representation of patch Gaussians in a region. For this summarization, mathematical operations such as mean or covariance of the Gaussian are required. From the viewpoint of information geometry, the space of probability distribution is considered as a Riemannian manifold where the Euclidean operation cannot be applied directly [2]. A Riemannian manifold can be locally ﬂatten into a Euclidean space by projecting it into a tangent space endowed with Riemannian metric. The space of the Symmetric Positive Deﬁnite (SPD) matrix is also considered as a Riemannian manifold and this space is recently well understood. The log Euclidean metric [3] for SPD matrix provides a solid way to map a point on the manifold to a Euclidean tangent space via a matrix logarithm. To leverage the beneﬁt of the log Euclidean metric, we embed the patch Gaussians in the SPD matrix in the similar manner to the work [19]. From an analysis in the information geometry literature [25], the space of d-dimensional multivariate Gaussians can be embedded into the d + 1 dimensional SPD matrices space denoted by Sym + d+1 . We represent the d-dimensional patch Gaussian N (µ s , Σ s) into Sym + d+1 as P s : For more detailed theory of this embedding, one may refer the literature [25]. The covariance matrix of the local patch often becomes singular due to the lack of sufﬁcient number of pixels within the patch. We avoid this problem by adding the identity matrix Id to Σ s with a small positive constant value, ϵs, as Σ s ← Σ s + ϵsId. In order to describe the region distribution in a Euclidean operation, we then map each of patch Gaussians P s into a tangent space via a matrix logarithm (Fig. 3 (c)). We then store the upper triangular part of the mapped matrix as a vector since the matrix is symmetric. By considering the off-diagonal entries as being counted twice during the norm computation [41], the matrix of patch Gaussian P s becomes m = (d 2 + 3d)/2 + 1 dimensional vector g s , deﬁned as, g s = vec(log(P s)) = [bs(1,1), √2bs(1,2), · · · , √2bs(1,d+1), bs(2,2), √2bs(2,3), * · · , bs(d+1,d+1)] T , where log(·) is the matrix logarithm operator and bs(i,j) is the (i, j) element of Bs = log(P s). 3.4. Region Gaussian on tangent space Due to the pose variation of person images, the positions of local parts vary in different observations. Thus we summarize the local patches into an orderless representation of them. More speciﬁcally, we summarize the ﬂattened patch Gaussians in the previous section into a region distribution (Fig.3 (d)). For this summarization, we also use a Gaussian distribution that can describe not only covariance but also mean. Again, GMM might be used to describe more precise distributions. However, matching among GMMs is not a trivial problem [19] and will cause complexity to match among region descriptors. The summarization with a Gaussian distribution is performed by considering a spatial property of patches as follows. A person image often contains background regions which signiﬁcantly differ in places. To suppress the effect of background regions, we introduce a weight for each patch in a similar manner as for the weighted color histograms [6]. In most cases, the person is centered in each image; thus a higher value is assigned to the patches which are closer to the center y axis of an image: ws = exp(−(xs − xc) 2 /2σ 2 ) where xc = W/2, σ = W/4. Here xs denotes the x coordinate of the center pixel of patch s and W is the image width. Then we deﬁne the weighted mean vector and covariance matrix as where G is the region in which the patch Gaussians are summarized. Using the mean vector and covariance matrix, we represent the region as the region Gaussian N (g; µ G , Σ G ). For matching among region descriptors, it is convenient to ﬂat the region Gaussian in the Euclidean space since most of the matching methods such as metric learning are designed on a Euclidean space. For this purpose, we embed m dimensional region Gaussian into m + 1 dimensional SPD matrices in the same manner as Eq.(3): N (g; µ G , Σ G ) ∼ Q where Q is a (m + 1) × (m + 1) SPD matrix. Here the covariance matrix Σ G is regularized as Σ G ← Σ G + ϵ G Im, We then map Q into the tangent space of Sym + m+1 by using matrix logarithm and half-vectorize it to form a (m 2 + 3m)/2 + 1 dimensional feature vector, which we denote z (Fig.3 (e)). By extracting the region Gaussian for each of G regions, we obtain feature vectors {zg} G g=1 . In order to maintain the spatial location of these vectors, we concatenate them and form a feature vector (Fig.3(f)). Then the feature representation of a person image becomes z = [z T 1 , .., z T G ] T . 3.5. Fusion descriptor of different color spaces It has been proved that descriptors extracted from different color spaces have complementary properties, and their fusion improves re-identiﬁcation accuracies [43]. To extract more color information in GOG descriptors, we replace the RGB channel values in the pixel feature in Eq.(1) with three alternative color channels values {Lab, HSV, nRGB} and fuse their GOG descriptors. Here the nRGB is the normalized color space (e.g., nR = R/(R+G+B)). Since there is a redundancy in this space, we only use {nR, nG} in this color space. Thus, the pixel feature dimension of each {RGB, Lab, HSV, nRnG} color space is d = {8, 8, 8, 7} and therefore the dimension of patch Gaussian vector is m = {45, 45, 45, 36}. We denote the GOG descriptor z extracted from the Eq.(1) as GOGRGB, and the descriptors extracted from the alternative color channels as GOGLab, GOGHSV and GOGnRnG, respectively. The fusion is simply performed by concatenating GOG descriptors on different pixel features as GOGFusison = [GOG T RGB , GOG T Lab , GOG T HSV , GOG T nRnG ] T . Therefore, the dimensionality of the fusion descriptor is 3 (color spaces) × 1081 ( = (45 2 + 3 × 45)/2 + 1) × G (regions) + 1 (color space) × 703 ( = (36 2 + 3 × 36)/2 + 1) × G (regions). 3.6. Normalization of GOG For high dimensional features, normalization is an important factor to improve their performance [34]. Since the GOG descriptor is high dimensional, we normalize the descriptor by using the L2 norm normalization, which is the most widely adopted normalization. We observed that there exist dimensions which have commonly high/small values among different images within the GOG descriptor. This is because we use pixel features which has different properties of its distributions, e.g., gradient magnitude distributes sparsely in images, and color intensity distributes more uniformly. In such a case, the cosine distance, i.e., the Euclidean distance after the normalization, would be dominated by the biased dimensions. To remedy such biased dimensions, we remove the mean vector of training samples before normalizing the feature vector. The normalization of GOG becomes as follows: where z is the sample mean of the GOG descriptors. For the fusion descriptor, we normalize each of the GOG descriptors extracted on four color spaces before concatenating them. For the Bag-of-Words representation, similar normalization is proposed to reﬂect co-missing words for cosine similarity [14]. In contrast, we employ it to remedy the effect of biased dimensions. 4. Experiments 4.1. Setup We evaluate the proposed descriptor on ﬁve benchmark datasets: VIPeR [12], CUHK01 [20], GRID [26], PRID450S [33] and CUHK03 [21]. We resize each image in the dataset to 128×48 pixels to facilitate the evaluation with the common parameters of the descriptor. We extract the GOG descriptor from seven overlapping horizontal strips (G = 7). Each of the strips consists of 32×48 pixels. By considering the trade-off between the computational time and the predictive accuracy, we extract local patches at two-pixel intervals (p = 2) in each region. We set the local patch size to 5 × 5 pixels (k = 5). Following the setting of [13], we set the regularization parameter for region Gaussian as ϵ G = ϵ0Tr(Σ G ). Here Tr(·) is the trace norm of the matrix. In several patch Gaussians, the trace norm of covariance matrix becomes nearly zero when the patch contains only nearly equal pixel values. Thus, we set a small constant to ϵs for patch Gaussian, then we have ϵs = ϵ0max(Tr(Σs), 10 − 2 ). We set ϵ0 = 10 − 3 for both patch and region Gaussians. We evaluate the proposed descriptor with a distance metric learning, Cross-view Quadratic Discriminant Analysis (XQDA) [23]. The KISS Metric learning (KISSME) [33] is commonly used in person re-identiﬁcation. However, it is more sensitive to dimensionality of subspace where the distance metric is learned. The XQDA learns a discriminative subspace and a distance metric simultaneously, and is able to select the optimal dimensionality automatically. 4.2. Performance analysis on VIPeR In this section, we compare the performance within our approach using VIPeR dataset [12]. The VIPeR is a challenging dataset containing 632 person image pairs from two camera views. The testing protocol is to split the number of the person into half, 316 for training 316 for testing. We conduct the evaluation procedure for 10 splits and report the average Cumulative Matching Characteristic (CMC) curves. As a default, we use RGB color space for pixel features (GOGRGB) and the normalization in Sec. 3.6. Distribution modeling: We compare other distribution models to GOG in Fig. 4(a). The Mean, Cov and Gauss are global distribution descriptors of pixel features within each region. The Cov-of-Cov, Cov-of-Gauss and GOG are hierarchical distribution descriptors. The tangent space mapping using log-Euclidean and half vectorization are applied for all descriptors except Mean. The regularization parameter of the covariance matrix is set as the same manner as GOG. The concatenated feature vector of the 7 regions is used for all descriptors. For a fair comparison, we adopted the weighted pooling for all descriptors. First, we compare the global distribution descriptors. The rank-1 rates of Mean and Cov are 11.6% and 23.6%, respectively. By adding the mean and the covariance information, Gauss performs 7.7% better than Cov in rank-1 rate. This result conﬁrms the importance of the use of both mean and covariance information of pixel features. We then compare the hierarchical distribution descriptors. The Cov-of-Cov uses covariance matrix in both patch and region modeling, which is similar to [18, 36]. It performs 4.2% better than Cov in rank-1 rate. The Cov-ofGauss uses Gaussian for patch and covariance matrix for region modeling. It improves the performance of Gauss by 9.7% in rank-1 rate. These results conﬁrm the importance of covariance information of patch Gaussians. By adding mean information in region modeling, GOG improves the performance of Cov-of-Gauss by 1.3% in rank-1 rate. Tangent space mapping: We compare the effect of ﬂattening the manifold in Fig. 4 (b). The None shows the results when the tangent space mapping is not applied for constructing the vector of both region and patch Gaussians. The 1st and 2nd map respectively shows the results when the mapping is applied to one of the patch or region Gaussians. When either the 1st or 2nd mapping is applied, rank-1 rates increase by 16.3% and 9.1%, respectively. By applying the both mappings, the rank-1 rate increase by 34.7%. From these results, we can see that the consideration of the underlying geometry of Gaussian is necessity. Normalization: We compare normalization in Fig. 4 (c). Due to the dimensions which have commonly high/small values among samples, the standard L2 norm degrades performance largely, 14.3% in rank-1 rate. We also compare the standardization and PCA whitening. For PCA whitening, we varied the dimension of PCA and the best results are reported. After applying the standardization or the whitening, L2 norms are normalized. The standardization drops rank-1 rate by 1.9% and the improvement by PCA whiting is small, 1.0% in rank-1 rate. We suspect these methods magnify the noise of dimensions where the standard deviations are small. We can set that the proposed normalization is most effective; it increases rank-1 rate by 5.1%. Pixel features: We compare the components within pixel features in Fig. 4 (d). The color channel information, RGB, is more effective than the gradient magnitude information, Mθ, when comparing only these two components. By combining these two components, MθRGB achieves 12.6% better rank-1 rate than RGB alone. The use of vertical pixel location y also improves the performance, e.g., rank-1 rate of yMθRGB is better than that of MθRGB by 4.6%. The Fusion of GOG descriptors extracted from four color spaces is 7.1% better than yMθRGB in rank-1 rate 1 . 1 We also compared the GOG descriptor with pixel features used in other articles; 11-d [5] and 7-d [27] pixel features. In these cases, rank1 identiﬁcation rates were 35.4% and 39.7%, respectively. 4.3. Performance comparison We compare the GOG descriptor with other descriptors using the four datasets: VIPeR [12], CUHK01 [20], GRID [26] and PRID450S [33], respectively contains 632, 971, 250 and 450 images of individuals captured in two disjoint camera views. The VIPeR, GRID and PRID450S datasets contain one image for each person in one camera view and CUHK01 contains two images. We conduct experiments with the single shot setting. Following the conventions [23, 31, 43], we randomly divide each dataset into training and test sets containing half of the available individuals. The number of probe images is equal to the gallery images in all datasets except GRID. For GRID, we add additional 775 images that do not belong to the person of 250 image pairs into the gallery set. We repeat the above evaluation procedure 10 times and obtain the average rank scores and also report the Proportion of Uncertainty Removed (PUR) [32] which is the measure to evaluate the whole ranks of CMC curve. Other meta descriptors: We compare the GOG descriptor with other meta-descriptors: Heterogeneous AutoSimilarities of Characteristics (HASC) [7], Local Descriptors encoded by Fisher Vector (LDFV) [28], Second-order Average Pooling (2AvgP) [9] and GOLD [37]. The HASC is composed of the covariance descriptor and the Entropy and Mutual Information (EMI) descriptor. The EMI descriptor captures the non-linear dependency within pixel features and it has equal dimensionality to the covariance descriptor. The GOLD describes an image region by mean vector and covariance matrix. The covariance matrix is ﬂattened by log-Euclidean and half-vectorization is applied. The vectors of mean and covariance are concatenated into a feature vector. The 2AvgP describes an image Table 1. Comparison with XQDA metric learning (CMC@rank-r and PUR). (a) GOG descriptor. (b) Other meta descriptors. (c) Other descriptors for person re-identiﬁcation. The best scores on (a) are shown in red, (b) and (c) are shown in blue. \| \| Pixel # of Patch Methods feature Region Dim. Weight \| VIPeR r=1 r=10 r=20 PUR \| CUHK01 r=1 r=10 r=20 PUR \| PRID450S r=1 r=10 r=20 PUR \| \|---\|---\|---\|---\|---\| \| (a) \| GOGFusion Fusion 7 27,622 Y GOGRGB yMθRGB 7 7,567 Y GOGFusion Fusion 7 27,622 N \| 49.7 88.7 94.5 63.6 42.3 85.3 92.8 58.8 47.0 89.2 94.8 62.6 \| 57.8 86.2 92.1 66.8 55.8 85.5 91.3 65.8 54.4 83.2 89.7 63.3 \| 68.4 94.5 97.8 73.9 63.6 91.5 96.2 69.8 61.6 91.1 96.5 68.6 \| \| (b) \| Cov-of-Cov [36] Fusion 7 16,828 N GOLD [37] Fusion 7 1,169 N 2AvgP [9] Fusion 7 952 N HASC [7] Fusion 7 1,904 N LDFV [28] Fusion 7 6,944 N Cov [40] Fusion 7 952 N \| 33.9 76.6 87.7 50.9 27.1 66.5 77.7 41.9 28.8 68.5 79.2 43.3 30.9 70.6 81.8 46.0 25.3 66.8 79.4 42.4 26.9 65.8 77.1 41.2 \| 40.9 72.5 81.1 52.1 35.3 65.2 74.2 44.5 36.1 68.1 76.3 46.2 38.6 68.7 77.1 48.4 36.4 71.0 80.3 49.1 34.5 64.5 73.6 43.8 \| 47.0 83.4 91.6 56.8 40.5 73.8 82.2 46.7 44.7 75.8 83.8 49.8 41.8 76.3 85.2 49.5 32.1 66.9 77.6 40.3 40.4 73.4 82.1 46.4 \| \| (c) \| LOMO [23] CH+SILTP 40 26,960 N CH+LBP [42] CH+LBP 75 32,250 N gBiCov [29] BIF - 5940 N \| 41.1 82.2 91.1 56.8 27.7 69.3 82.4 45.0 22.8 64.0 77.8 40.4 \| 49.2 84.2 90.8 62.4 31.3 70.4 81.5 48.8 24.1 55.6 67.2 37.6 \| 62.6 92.0 96.6 69.4 21.5 60.8 74.4 35.0 27.9 67.2 76.8 38.6 \| Table 2. Comparison of state-of-the-art results (CMC@rank-r). The best and second best scores are respectively shown in red and blue. region by the zero-mean covariance matrix, and applies logEuclidean and half-vectorization to obtain a feature vector. The LDFV encodes pixel features using Fisher Vector coding, which encodes difference of pixel features from pretrained GMM means. By following the recommended setting [28], we set the number of GMM components to 16 2 . We focus on the encoding process of pixel features only, and discard other options on the above descriptors, such as the spatial pyramid in GOLD. We extract each of the metadescriptors from the same horizontal strips as GOG. The descriptor extracted from the 7 regions are concatenated. As well as GOG, we use the fusion approach that concatenates the meta descriptors extracted from 4 pixel feature vectors into one vector. For normalization, the mean removal and the L2 normalization are applied to each descriptor since we found it generally improves their performances. Descriptors for metric learning: We compare the GOG descriptor with other descriptors used in metric learning for person re-identiﬁcation: LOMO [23], Color Histogram (CH)+LBP [42] and gBiCov [29]. For these descriptors, we use the source codes provided by the authors. The default parameters of the codes are used for LOMO and gBiCov. Xiong et al. [42] conducted experiments using different region numbers to extract 28 bin color histogram and 2 uniform LBPs. Among them, we use 75 regions that was the best setting. For a fair comparison, the same normalization as GOG and XQDA metric learning are commonly applied. We list the performance of GOG and the compared meta descriptors in Table 1 (a) and (b). All the descriptors in (b) except Cov-of-Cov are not hierarchical descriptors, which discard local structures of regions. The descriptors which use single layered distribution (Cov, HASC, LDFV, 2AvgP and GOLD) have similar performances. On the other hand, Cov-of-Cov clearly outperforms them. These results conﬁrm the effectiveness of the hierarchical distribution. The GOG outperforms Cov-of-Cov, since it also contains the mean information, which is absent in covariance. 2 It is reported that their 7-d pixel feature produces much better results than FV on the SIFT descriptors which is widely used in image classiﬁcation [34]. When their pixel features were adopted to the LDFV in our settings, the rank1 recognition rates were 24.8%, 28.2%, 20.2% and 10.5% in VIPeR, CUHK01, PRID450s and GRID dataset, respectively. The experimental results are shown in the Table 1 (c). It can be shown that GOGFusion clearly outperforms LOMO with nearly equal dimensionality. The rank-1 identiﬁcation rates of GOGFusion are 8.6%, 8.6%, 5.8% and 8.1% better in VIPeR, CUHK01, PRID450s and GRID datasets, respectively. Although, LOMO and CH+LBP use more spatial regions and high dimensional pixel features, the GOG descriptor outperforms these descriptors by a large margin. When the patch weights are used, GOGRGB, which is extracted from pixel features with only RGB color information, outperforms LOMO with a much smaller dimensionality. The superiority of the GOG descriptor comes from its hierarchal use of the mean and covariance information of pixel features, whereas LOMO uses only the mean information. State-of-the-arts: In Table 2, we compare the performance of the reported results on the state-of-the-art methods, including MidLevel Filter Learning (MLFL) [47], Salience Matching (SalMatch) [45] , SCNCD [43], Semantic attribute representation [38], Metric Ensemble [31] Figure 5. Example images from CUHK03 dataset [21]. Images in the same column represent the same person. and LOMO [23] 3 . It can be observed that the GOG descriptor achieves the new state-of-the-art results, 49.7%, 57.8%, 67.3%, 68.4% and 24.7% of rank-1 rate on VIPeR, CUHK01 (M=1), CUHK01 (M=2), PRID450S and GRID dataset, respectively. Since GOG and LOMO adopt the common metric learning, it is clear that the success of our approach comes from our design of a better feature descriptor. The metric ensemble [31] uses four base metrics, each of them is learned on SIFT, color histogram + LBP, covariance descriptor and CNN. Our descriptor also outperforms such an ensemble of different descriptors. 4.4. Comparison on automatic detected dataset To show the generality of the GOG descriptor on a large and automatic detected dataset, we compare the performances on CUHK03 dataset [21]. The CUHK03 dataset includes 13,164 images of 1,360 persons, captured by disjoint camera views. Each person in the dataset has in average 4.8 images in each view. In addition to manually cropped person images, the dataset contains images detected by the state-of-the-art person detector. Therefore, realistic variations such as misalignment, occlusions and missing body parts are contained in person images. Fig. 5 shows some example images of the dataset. We evaluate the GOG descriptor with the common setting to previous works [1, 21, 23, 24, 31]. Namely, we divide the images of the dataset into 1,160 persons for the train set and 100 persons for the test set. The random division are repeated 20 times and we report the average results. Table 3 lists the performance comparison with the stateof-the-art results. The GOGFusion achieves 67.3% and 3 The experimental setting of CUHK01 (M=1) is the single shot setting, which is common to [31] and CUHK01 (M=2) is the multi shot setting in [23]. The results of the CUHK01(M=1) and PRID450S datasets of LOMO are obtained from the code provided by the author. Table 4. Time of feature extraction (seconds/image). 65.5% rank-1 identiﬁcation rates with the labeled and the automatically detected bounding boxes, respectively, which clearly outperforms the state-of-the-art LOMO features [23, 24] and deep learning methods [1, 21] by a large margin. The performance decrease in rank-1 rate between labeled and detected data is 1.8% in the case of GOG, which is more than three times smaller than 5.95% of LOMO+XQDA. This might be because the LOMO feature is extracted from narrower horizontal stripes than regions of GOG. High dimensionality of LOMO is partially due to such a large number of narrow horizontal strips. In contrast, the high dimensionality of GOG is due to the Gaussian matrix, which is composed of the mean vector and the covariance matrix. Such a dimension enhancement of pixel features does not decrease the robustness to misalignment, and thus the GOG descriptor is more preferable in realistic situations with misalignments of person images. 4.5. Running time The GOG descriptor is implemented in Matlab 4 with MEX function for calculation of covariance matrices, and run on a PC equipped with Intel Xeon E5-2687W @3.1GHz CPU. The running times of the descriptors are shown in Table 4. The listed times are the average of all images of the VIPeR dataset. The matching cost of GOGFusion is nearly equal to LOMO since their dimensionalities are almost the same. The GOG descriptor is about 16 times slower than the covariance descriptor when the same pixel feature is used, and GOGFusion is about 84 times slower than LOMO. However, it is 5.8 times faster than gBiCov. Considering other methods which require more computational cost [6, 45, 47], the running time of the GOG descriptor is still appealing. 5. Conclusions We have proposed a novel hierarchical Gaussian descriptor for person re-identiﬁcation. The proposed descriptor models both mean and covariance information of pixel features in each of the patch and region hierarchies. 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THE KIDDING PEN May 2017 A PUBLICATION OF WASHINGTON STATE UNIVERSITY EXTENSION hope we don't move right from winter to summer and bypass spring altogether! Maybe it is finally getting warmer and drier in your corner of the world so you and your goats can come out of the winter doldrums. Record rain is keeping soil cold and wet and setting back planting, but pastures should grow like crazy if the sun ever arrives. I The Kidding Pen is available in English and Spanish at www.animalag.wsu.edu/newsletters. We welcome input from producers! Send your announcements, comments, suggestions, recipes and educational articles to: Dr. Susan Kerr email@example.com WSU Northwestern Research & Extension Center 16650 St. Rt. 536, Mount Vernon, WA 98273-4768 IN THIS ISSUE: 1 Save These Dates! 1 The Lure of Going Online 1 Market Corner 2 A Third Hand 2 What's Cookin'? 2 Testing for G6S Gene in Nubians Pt. 2 2 Lopez Lamb, Wool and Goat Festival 2 Floral Foes 2 2017 ADGA Linear Appraisal in PNW 2 Feeding Used Christmas Trees to Goats 3 USDA Report on Goat and Kid Death Loss 3 Put Down that Copper Bolus! 4 QA: Ten Good Production Practices 4 New Publications 4 Proper Injection Techniques SAVE THESE DATES! May 13 Lopez Lamb, Wool and Goat Festival, Lopez Island, WA. See article. May 20 Goat Academy, Goldendale, WA. More info: www.columbiabasingoatguild.org/Events-andNewsletters.html or firstname.lastname@example.org. May 20 Southwest WA Dairy Goat Association Jr. Doe/Sr. Doe show, Chehalis, WA. More info: 360-485-5210 or email@example.com May 27 Northwest All Breed Goat Club Jr. Doe/Sr. Doe/Buck show, Monroe, WA. More info: 425-367-2639 or firstname.lastname@example.org. May 27-28 OMPG Wine Country Spring Classic and Sale, Benton County Fairgrounds, Corvallis, OR. ABGA shows and market wether pen sale. More info: http://www.omgp.org/events.html. June 15-18 North American Pack Goat Association Annual Rendezvous, Lake City, CO. More info: www.napga.org. June 23-25 Black Sheep Gathering, Eugene, OR. Free! Workshops, shows, exhibitors. Goats, too! More info: www.blacksheepgathering.org. June 24-25 SRMGA Boers of Summer Goat Show, Payette County Fairgrounds, New Plymouth, ID. More info: http://srmga.com/events-2/boers-ofsummer/. July 8-9 Great American Boer Goat ABGA Show, Benton County Fairgrounds, Corvallis, OR. More info: email@example.com. July 8-15 ADGA National Show, Madison, WI. More info: http://www.nationalshow.org. Aug. 18 Rogue Valley Dairy Goat Association Jr. Doe/Sr. Doe show, Grants Pass, OR. More info: 541-826-3498 or firstname.lastname@example.org. Aug. 26 Annual CBGA Boer-Nanza Production Sale, Southwest WA Fairgrounds, Chehalis, WA. Preview at 10 AM, sale at noon. THE LURE OF GOING ONLINE http://vet.osu.edu/extension/beef-sheepresources/sheep-and-goat-parasite-control-decisionmaking-support-tool. Parasite control decisionmaking tools from Ohio State University. www.EasyKeeper.com. Goat herd recordkeeping software. Free trial. http://ontariogoat.ca/goat-gazette. Free monthly enewsletter from Ontario Goat, a producer association. https://www.gov.uk/guidance/pregnancy-advice-oncontact-with-animals-that-are-giving-birth. Just like it says: advice to pregnant women in contact with animals giving birth regarding contagious diseases. MARKET CORNER For Sale: Great Pyrenees puppies. Working parents on sheep ranch. Contact Max Fernandez for more info: 509-930-6056 or email@example.com. 1 A THIRD HAND If you have some old timers or goats with teeth problems and would like to avoid the expense of pellets, consider using a leaf grinder for hay. The fiber length is greatly reduced so there is less work for the teeth to do, but it's still long enough to stimulate rumination and normal rumen function. WHAT'S COOKIN'? Chevo Wraps by Michelle and Jason Holmes, from "Kidding Around in the Kitchen: Recipes from Columbia Basin Goat Guild" 8 large flour tortillas ½ chopped onion ½ head thinly sliced cabbage 1 diced tomato Chopped cucumber Lemon wedges Yellow curry powder to taste 1 cup plain yogurt 1 lb thinly sliced roasted goat haunch Stack two tortillas on a large plate. Spread top tortilla with fresh yogurt and sprinkle with curry powder as desired. Place some roast goat slices on the tortilla and cover with the vegetables. Squeeze lemon on top. Fold up the bottom and sides to make a wrap, using other tortilla as a plate liner to catch whatever falls out of wrap. Make a second one! TESTING FOR G6S GENE IN NUBIANS Pt. 2 [Editor's note: this helpful info came from a reader. It pertains to testing for an important heritable gene mutation called G6S, which is common in Nubian goats. More info about this disorder can be found in the April 2016 Kidding Pen.] "UC Davis is doing a reduced rate G6S testing for ADGA members at only $25 per sample and it uses hair follicles, so no blood draw. This is information our local Nubian goat owners could really use. Once tested and loaded into the ADGA database, there is a much better way to manage the prevalence of this genetic defect." More info is at https://www.vgl.ucdavis.edu/services/goat.php, or contact ADGA: firstname.lastname@example.org or 828-286-3801. LOPEZ LAMB, WOOL, AND GOAT FESTIVAL If you are looking for something educational, fun, and memorable to do on May 13, 2017, take a ferry to Lopez Island WA for the Lopez Lamb, Wool, and Goat Festival! This free event will have something for everyone in the family. There will be a sheep dog demo at 9 AM, then numerous classes and demonstrations on shearing, spinning, weaving, cheesemaking, felting, dyeing, etc. There will be vendors and lunch will be available. For more info, contact email@example.com or 360-468-2467. See you there! FLORAL FOES Switchgrass (Panicum virgatum) is a common cover crop and pasture forage in some areas of the country. It has gained popularity due to its tremendous production of biomass and potential as a biofuel. A research feeding trial was conducted on hamsters, sheep, goats and horses. They were fed fresh switchgrass, switchgrass hay, or ground switchgrass. Animals fed switchgrass lost weight. Goats fed green switchgrass with green alfalfa developed liver lesions and sunburn (photo- sensitivity). The results suggest switchgrass can be toxic to animals and goats may be the most susceptible. The moral of the story: know what your animals are eating, and use caution if you graze your goats on unusual plants. More info at https://www.ars.usda.gov/research/publications/publi cation/?seqNo115=186737 . Photo credit: John Guretzky, University of Nebraska-Lincoln 2017 ADGA LINEAR APPRAISAL IN PNW American Dairy Goat Association linear appraisers will be conducting on-farm appraisals in Washington between June 11-22 and in Oregon from June 19-July 1. What is linear appraisal and why should you be interested? To learn more, go to https://adga.org/seeing-a-dairy-goat-by-thenumbers. FEEDING USED CHRISTMAS TREES TO GOATS Although many goats love to eat Christmas trees that have served their purpose, it is safest to only do so if you know how the tree was grown and how it was treated after it was cut. Chemicals sometimes applied by growers include pesticides, growth regulators, and fertilizers. After cutting, sellers or even homeowners might apply chemicals to decrease flammability, color the tree, or help preserve it. The effects of these chemicals are unknown, so it is best to avoid feeding them to your animals. Also, Christmas trees should never be the sole source of nutrition for a goat—they just don't have enough energy to sustain an animal. They are a great treat, though! USDA REPORT ON GOAT & KID DEATH LOSS The USDA's National Animal Health Monitoring System (NAHMS) has issued Goat and Kid Predator and Nonpredator Death Loss in the United States, 2015, a comprehensive report on the causes of goat deaths in all 50 states. The report marks the first time that NAHMS has reported on goat deaths by specific predator and nonpredator causes. Data for the study were collected by the USDA's National Agriculture Statistics Service from a randomly selected sample of U.S. goat and kid producers throughout the nation. Approximately 26,000 goat producers were contacted during the first half of January 2016 by mail, telephone, and/or face-to-face interviews. Response information from 63% of these producers was used in this report. Here are a few highlights from the NAHMS Goat and Kid Predator and Nonpredator Death Loss in the United States, 2015 report: - In 2015, about 500,000 adult and kid goats were lost to all causes (nonpredator and predator) in the United States, which represented 9.8% of U.S. adult goat inventory and 19.4% of kids born in 2015. About one-third of operations (34.2%) had any kid losses, and a slightly lower percentage (28.2%) had any adult goat losses. The total value of goat and kid losses was $69.6 million. - Nonpredator causes accounted for three-fourths of all adult goat and kid death losses in the U.S. in 2015. Undetermined causes (found dead or unknown) accounted for the highest number of nonpredator losses in goats and kids. Of known losses due to nonpredator causes, internal parasites were the primary causes of loss, resulting in almost 87,000 goat and kid deaths in 2015. Weather-related causes and kidding problems were also important causes of loss. - For losses due to predators, coyotes and dogs accounted for the highest percentages of goat and kid death losses in 2015. Overall, coyotes and dogs accounted for almost 80,000 goat and kid deaths, or about 65% of all losses due to predators. There was also a smaller number of goats and kids (about 14,500) that were injured but not killed by predators. - Overall, 7.7% of operations that had goats at any time during the year quit raising goats during 2015. The complete report is available at https://www.aphis.usda.gov/animal_health/nahms/g eneral/downloads/goat_kid_deathloss_2015.pdf. For additional information on this topic, contact Joelle Hayden at firstname.lastname@example.org or 301- 851-4040. PUT DOWN THAT COPPER BOLUS! "Thanks" to the Internet, veterinarians are seeing cases of copper toxicity in goats. That's right, toxicity. Goat owners are going online and reading claims about how copper oxide wire particles (COWPs) are "the cure for internal parasites." To be sure, research has shown the effectiveness of COWPs in controlling the barber pole worm (Haemonchus contortus); study results on the topic are available at www.wormx.info/copper-oxide-wireparticles. HOWEVER, additional copper should never be given to a goat without knowledge of its current copper status. Goats can ingest copper from commercial grains and supplements, local forages, soil, and copper water pipes. The copper content of local soils and forages can vary greatly, sometimes related to previous uses of the land and/or other minerals in the soil. For example, high molybdenum levels can interfere with copper absorption and create a de facto deficiency. If a producer is raising goats on low molybdenum soil and gets copper supplementation advice from another goat owner who farms on high molybdenum soils, that advice could prove to be deadly. Also, there is variation for copper tolerance between goat breeds. Another problem with COWPs is mistakes last a long time--the particles will remain in the goat for months. Excess copper is stored in the liver and if the animal is stressed by kidding, transportation, illness, predators, showing, etc., stored copper can suddenly be released from the liver into the bloodstream, where it causes red blood cell rupture. Animals in such a crisis have anemia, jaundice, dark urine, and exercise intolerance; they may collapse and die suddenly. Animals in an affected herd can die from the effects of copper poisoning over a period of days, months, or even years. As mentioned in a previous issue, a trace mineral screen (laboratory test) of the liver of a butchered animal can give insight on a herd's trace mineral status. Liver and kidney samples should be submitted for testing if copper toxicity is suspected. If you want to learn more about supplementing copper safely, discuss your herd's copper status with your veterinarian and read the article at www.wormx.info/cowp-safety first. QA: TEN GOOD PRODUCTION PRACTICES adapted from National Pork Producers' Council If your goats produce meat, milk, or fiber for yourself, your family, or your customers, ensuring quality should be at the forefront of your mind every day. Here is a reminder of the quality assurance actions to make part of your routine. Provide proper animal care. A no-brainer. Healthy animals produce the highest quality products. Give them the nutrition, housing, sanitation, vaccinations, and protection they need to be safe and healthy. Establish an effective herd health management plan. A written management plan will address all aspects of production and animal well being. It will also help you become more efficient and reduce labor and medicine costs. Your veter-inarian can help you develop a management plan for your herd. Establish a valid veterinary/client/patient relationship. Developing this legal relationship with your local licensed veterinarian will pay dividends through problem prevention. A veterinarian can look at your farm as a whole and notice concerns you may overlook. This relationship is needed for legal extra-label use of medications in food animals, too. Follow appropriate feed processing and handling procedures. If you mix and grind feeds, follow best practices regarding feed handling, processing, and storage. Do NOT mix antibiotics or other antimicrobeals covered by the Veterinary Feed Directive (VFD) into feed unless you are a licensed mill, are registered with the FDA, and have a specific and valid VFD from a veterinarian. Identify and track all animals. All animals must have ID, be it ear tags, neck chains, tattoos, etc. Maintain medication and treatment records. Again, critical! Record data on animal treatments (ID, product, amount given, location, who administered, route) and be sure to record and abide by milk and meat withholding times. Properly store, use, label, and account for all medications and medicated feed. Follow medication storage instructions on labels. Pay attention to expiration dates. Some medicated feeds will require a VFD; consult your veterinarian about this. Keep medicated feed away from animals not intended for it and abide by meat and milk withholding times. Give medications properly: see the next article. Educate all family member and employees about quality assurance. It only takes one person to make a mistake that can result in personal harm to a consumer and legal harm to a farm. Use drug residue testing when appropriate. Meat and milk samples can be tested for medication residues; your veterinarian can advise you when and how to do this. Complete a quality assurance checklist annually. Review your farm health management plan with your veterinarian, replace medications as needed, and revisit the above steps with family members and workers at least annually. NEW PUBLICATIONS "Practical Biosecurity Recommendations for Farm Tour Hosts" (FS257E) is a new publications available from Washington State University publications. It is free and only available online. It can be downloaded from http://cru.cahe.wsu.edu/CEPublications/FS257E/FS 257E.pdf. It was written for people who would like to conduct farm tours on their property, yet minimize the risk of bringing in or transmitting diseasecausing agents. Also, "Goat Project: 4-H Leader Guide" (EM4425E) has been extensively revised and can be downloaded from http://cru.cahe.wsu.edu/CEPublications/em4425E/e m4425E.pdf. PROPER INJECTION TECHNIQUES - Clean off bottle top with alcohol before inserting needle. - If injecting multiple animals, insert a "nurse needle" into the bottle, leave it there, and use it for each withdrawal, but use a new sterile needle to inject each animal. Cover the nurse needle with something sterile between uses. - Use subcutaneous (SQ) route if label or veterinary instructions allow. - Give all medications in front of shoulder (if SQ injection is likely to cause a permanent lump, can give in armpit). - Divide large injections into multiple sites. - Use new sterile needle for each injection. - Clean and prep injection site if possible. - Use smallest gauge needle possible for the medication (22 ga. for vaccines, 20 ga. for penicillin and thick medications). - Restrain animal well to prevent needle breakage or excessive tissue damage. Give all injections in front of the shoulder. Give intramuscular injections in the neck. Give subcutaneous injections under loose skin of neck or armpit. If label indicates a choice, use subcutaneous injections.
Copyright © 2009 by Jim Cendoma. All rights reserved. Printed in the United States of America. Except as permitted under the United States Copyright Act of 1979, no part of this publication may be reproduced or distributed in any form or by any means, or stored in a database or retrieval system, without the prior written permission of the publisher. Although every precaution has been taken in the preparation of this book, the publisher and author assume no responsibility for errors or omissions. Neither is any liability assumed for damages resulting from the use of the information contained herein. Revised Copyright © 2012 Visit my website: http://PEPtheBook.com About the Author A few years back, a business associate asked me to describe my business, and/or my life, in three words. Since my life IS my business, the first thought was that I can satisfy both questions with one answer, thus meeting my need to always be efficient. After further thought, it struck me that it could be simplified even further, and answer both questions with one word. That word is: Inspirational. Long before my speaking career began, and many times without knowing it, my conversations with friends always seemed to inspire them. As the years rolled on, more and more feedback from business associates and friends indicated a natural tendency to always speak from an inspirational base. Public speaking has always been a personal goal, starting in the early school years and intensifying through my adult years. This probably grew out of my love for good conversation. My friends tell me that I will speak with a dog in a hat. And that's funny because I have had conversations with a dog in a hat on more than one occasion. Another funny thing happened to me on the journey to a public speaking career. It became apparent that as my gray hair increased so did the opportunities to speak with an audience. It seems audiences equate gray hair with wisdom. A word of caution here for those who may want to add some gray, too much and you are just an old man trying to have a conversation with a very small audience. My life has been blessed in many ways; with regards to public speaking, there have been many smart, experienced and generous people willing to share their life stories with me. To that, add my own life experiences and you have an individual with lots of real life stories to share with the audience. When asked to speak my message is encapsulated in personal stories from experiences and conversations shared with friends as one travels through life. It has been said that I know a little about a lot of things - or just enough to be dangerous - with funny, serious antidotes to engage the audience and help them retain the message. As I write this, it occurs to me, public speaking is really sharing good stories that address the desires of the audience. So, a good story teller always wraps the subject matter in a warm blanket woven from the threads of inspiration. Table of Contents 1. Entrepreneurship - 19 2. Intrapreneurship - 23 3. Innovation - 29 4. Mind Set - 33 5. Preparation - 39 6. Entering the Market - 45 7. Know Thy Competition - 51 8. Rules to Live By - 57 9. Proven Formula for Success - 61 10. Problem Solving Formula - 65 11. Measure Twice, Analyze Once -73 12. Strengths and Weaknesses - 75 13. Are You Ready? - 78 14. Where to Find Good Help - 91 15. Employers - 99 16. Employees - 101 17. Collaborative Competition - 105 18. Capitalization - 113 19. Marketing - 117 20. Slap Stick - 127 21. Branding - 133 22. The Powers Factor - 147 23. Advertising - 153 24. Adapt, Improvise, and Overcome - 157 25. Be Entrepreneurial - 163 26. 3 D's of Entrepreneurship - 167 27. Persistence - 171 28. Learn to Run Lean - 175 29. Everybody Sells - 181 30. Negotiation - 185 31. Contracts, Shareholder Agreements, and the Like - 187 32. T n' T - 191 33. Profit - 203 34. Be Generous - 209 35. Death and Taxes - 213 36. Bank Robbers - 219 37. Failure's Part of the Process- Fail Forward - 231 38. Why Businesses Fail - 243 39. Why Businesses Fail - Continued - 248 40. Summary - 250 41. Appendix: Further Reading - 254 Bank Robbers "Trust Us" Many businessmen and -women have difficulties finding a good financial partner. The reason: lots of banks lack integrity! This is a really good story about how your friendly, neighborhood bank has the potential to ruin your company. During my 15 th year of running a small business (consisting of 3 to 5 people depending on demand at the time), the decision was made that in order for the business to grow, it needed more "horse power." In other words, it became evident that we needed to buy, or merge with, a larger company possessing synergies that fit with our company history, goals, and abilities. A new business plan was drafted, and the task for shopping for the right company and the right bank with the ability to broker a Small Business Administration loan was set in motion. Within a year and a half we located several companies in various parts of the United States. We decided to make an offer on a small manufacturing firm located in central Pennsylvania. This company was attractive because manufacturing capacity was under utilized, and it was stuck in an old market. This was a perfect candidate for retooling and shifting to address different and more profitable - markets. The business plan was submitted to the local SBA bank, which promptly rejected it. So the decision was made to move on and continue the search. Within a six-month period, the SBA lender contacted us and stated they would approve our loan upon the condition that all of our assets (company and personal) would be turned over to the bank as collateral. Being an unacceptable condition, our response to the bank was that our business plan was a good plan that stood on its own and we had the ability to turn this small company around. The bank was Review all bank statements for unnecessary fees; they have a way of appearing without your knowledge. made painfully aware that unless someone purchased it, the small company would, eventually, go into receivership, and the only action available for the bank would be a sale of assets at an auction. Once again we moved on. Again, the bank contacted us, this time saying they would approve a loan that was $60,000 short of the cash required as outlined in the business plan. The first thing that went through my head was that old saying, "Banks will lend you just enough money to go out of business." The bank was willing to loan the money based only on the evaluation of the company and its current assets. The $60,000 was the investment required to save the company by retooling it and shifting it to a new market. Since the bank was willing to loan most of the money based on the merits of the business plan, with only the machinery as collateral, the decision was made to go through with the deal and raise the $60,000 some other way. At the closing, it was hard for my attorney to understand the concerned look on my face. After all, purchasing a company and closing a deal is usually a time of celebration. The concern acknowledged the fact that our little company, which had been profitable with no debt, had now purchased a "sick" company with a $60,000 shortfall. Since most companies are an extension of an entrepreneur's personality, it felt like starting a venture with one foot in the grave. Applying the principles of "adapt, improvise, and overcome," we managed to locate $60,000 and were off and running. Our little company had purchased a larger company, although still a small business, but with the potential to exceed 125 employees. The immediate challenge to survival was to land a large contract within the next 90 days. The opportunity to bid on a multi million-dollar long-term contract came our way, and we worked hard to successfully land the account. Now, with the contract in hand, we had to ask the bank for a line of credit - to the tune of $150,000 - to allow us to process the orders. Here's where it gets a little humorous. Our tiny, neighborhood bank had no idea who our client was and said they would have to research the company. This was funny because our client was a $5.5 billion corporation with a global Beware! Bank mergers and acquisitions most often have a negative impact on small businesses. presence known to everybody in the industry, except to this little bank. Less than 24 hours later, the bank approved our line of credit. When dealing with banks, one must remember the bank will only strike a deal that always favors them; they will control the cash flow. So, the terms of our line of credit contract stated the checks from our client would go directly to our bank. The bank would then divvy up the money and charge us a handling fee, which was fine. The factory quickly ramped up, and employment went from 9 people to 31 people; everybody is happy. Then one day, a large bank gobbled up our little neighborhood bank, and the same bank executive that approved my line of credit appeared at my office to introduce me to his new boss who demanded my line of credit account be paid immediately. Otherwise, the contract would be canceled. It would take $80,000 to keep this line of credit intact with the new bank - $80,000 my company couldn't spare. So a deal was made that a check would be drafted for $60,000 and, within 45 days, another check drafted to the bank for $20,000, with the bank manager's word that this would keep my line of credit intact. It would also show the new owners we had the ability to pay down our line of credit as outlined in the contract. Upon receipt of the money, the bank promptly canceled the line of credit; so much for the honesty of the bank managers. Needless to say this caused my blood to boil. Immediate action was required to stay in business; what would that action be? What were my options? We needed money to purchase materials to fill our orders, and we needed it quickly. Here is where the principles outlined in the chapter on capitalization were put into play. A list of my resources revealed that our customer had awarded us the title of Vendor of Choice , meaning our performance, quality, and delivery of product exceeded all of their standards and we should be considered above other new vendors for new business. Thus the decision was made to leverage my vendor of choice status with our customer. This is very risky, because we would have to break an old business rule that says "never air your dirty laundry with your customer." A wealthy investor walked into a bank and said to the bank manager, "I would like to speak with Mr. Reginald Wentworth who I understand is a tried and trusted employee of yours." The banker replied, "Yes, he certainly was trusted. And he will be tried as soon as we catch him." We had to take the gamble, so we told our story about the bank to our customer, and our customer's response was both humorous and shocking. My contact responded with "Why those sons of ____! Give me a few hours to take action." I said my goodbye with the fear that the action that the customer was about to take could severely impact our long-term contract that we had worked so hard to keep. True to his word the customer called me back and stated that they would use their purchasing power and ship the steel and other materials necessary to meet their needs directly to our plant. We would then invoice them for the difference, which would be the value added. This was great, and it turned out to be a much better deal for us because they were a very large corporation that purchased steel at such high volumes they received a discount our little company could only dream of matching. They were kind enough to pass that discount along to us, resulting in a nice increase in our profit margin. So, we were back in business. Within a few days, truckloads of steel were showing up at our loading dock. The trucker would drop off the raw materials on one trailer and pick up a second trailer loaded with finished goods. Two to three times a week, these trucks would drive right by our little bank. Here is where it gets really funny. It didn't take too long before the same two bankers – the ones that lied to me about the line of credit showed up at my office, curious as to how we were paying for those truck loads of steel driving by their bank. They wanted to reestablish our prior line of credit so the money would flow through their bank. They never made it past the entrance way to my office. After bursting out laughing, they were given less than three minutes to leave the property. Several months after my encounter with the "bank robbers," a friend of mine contacted me with the exact same situation, searching for advice. Without hesitation, he was told to counter the bank's action with the threat of bankruptcy protection. As expected, my friend's response was that he wanted to avoid bankruptcy at all cost, and the wager was made that the bank would back down, and that's exactly what happened. Interview Finding a good bank for your business is almost as challenging as finding a good IRS lawyer. and qualify the potential banks on your list. Have them seeking your approval rather than the other way around. Get references from them, and always deal from a position of power. Banks are in the business of lending money and generating profits from fees, and that is the extent of their business knowledge. They know very little about your business. Resilience: the ability to fail forward. The recession of 2007 – 2011 provided me the time to write this book containing lessons learned, and in doing so, saved my company. Sign up for my Newsletter Or just ask me a question. http://bit.ly/qhXt5w 20 20
A Proposal For A Local Stock Exchange in Hawaii December 6, 2010 Virendra Nath, David Fisher, John Kevan Proposal: How to encourage Hawaii investors to invest in Hawaii companies? We propose creating a non-profit organization that will allow investors (Hawaii residents and accredited investors) to directly invest in Hawaii companies while allowing the investments to be liquid – in short a Hawaii stock exchange. The proposed non-profit public/private stock exchange will create a platform which will allow for the direct sale and trading of Rule 147 securities, as well as securities that are normally purchased by accredited investors. Securities laws allow for a public direct offering to take place if a company does most of its business in the state and all of the investors are resident in the state (Rule 147 of the SEC Act). These offering are not limited to qualified investors. By focusing on intrastate transactions the legal costs are significantly decreased. A local exchange which follows existing securities laws, will place all available investments in a central location, and allow investors to compare different investments because all the investments will have to disclose the same information. Standard information disclosure will reduce an investor's risk; a central place for all investments available will increase the participation of investors. A public investment process also becomes a powerful education process for the whole community around the ideas, skills and relationships needed to develop healthy businesses. The exchange will create a secondary market for the securities, allowing investors to sell their share to other investors, and create less expensive and effective ways of raising future rounds of financing for growth. As this will be a public/private non-profit entity, we seek the active participation of the State of Hawaii in the development of the exchange; determining whether any additional securities regulations or laws are required; working with the US SEC to ensure that the exchange follows all existing Federal rules and laws. Background and Purpose: One method of building a diversified economy and enhancing economic growth in Hawaii is to build platforms so that Hawaii money is invested in Hawaii companies. Every dollar spent at a locally owned business generates two to four times more economic benefit—measured in income, wealth, jobs, and tax revenue—than a dollar spent at a globally owned business. That is because locally owned businesses spend much more of their money locally and thereby increase the economic multiplier. Previous studies have indicated that there is lots of investor money in Hawaii, but most of it is invested in Mainland enterprises. We also know that there are many successful entrepreneurs with ideas for company growth, but the lack of investor capital limits the growth of their companies. If more investors invest in Hawaii companies, the cost of capital to Hawaii entrepreneurs goes down and these companies can grow faster and become more successful. Why don't more Hawaii investors invest in Hawaii companies? We believe that there are two reasons: lack of information on available opportunities, and lack of trust in the opportunities. Most companies in Hawaii raise capital through the banks. When bank lending is difficult or impossible, the companies try to get investor financing from "friends and family" – in Hawaii that can include the extended social community of the entrepreneur. The extended social community of the entrepreneur will exclude many qualified investors who may be interested in the investment – many interested investors will never find out about possible investments; and the entrepreneurs have no way of knowing who their possible investors might be. Second: there is a lack of trust in the investment proposals generated informally. Many investors who would be interested in alternative investments will be dissuaded because there is no regulatory oversight of the companies, no standard business disclosures, no way to confirm that what is being asserted is in fact the truth, etc. Trust in company information, the ability to evaluate alternative investments with standardized information templates and the knowledge of available investments are all significant barriers to investment in Hawaii companies by Hawaii investors. A solution: These barriers are not new, and the solution is not novel. A public stock exchange centralizes information on available investments, standardizes disclosure requirements and offers a regulatory and judicial envelope to all transactions. It also has the benefit of 500+ years of experience in refining processes, methods and regulations. Hawaii is a small state and a Hawaii stock exchange should be a non-profit public/private partnership. We do not believe that a Hawaii stock exchange would be able to build sufficient scale to be a profitable enterprise, for at least the near future, and perhaps ever. How it would work: The Internet has given us wonderful ways to communicate, to distribute information and to manage commerce. The Hawaii Stock Exchange would be a secure Internet based, online trading platform. There may be a small office in downtown Honolulu to assist companies and investors to register on the stock exchange. There will need to be a back office for technical and hosting matters. The stock exchange would initially be financed by: * A small annual investor registration fee. * An annual listing fee for each company to continue being listed. * A listing fee for each company at the time of listing. * A listing fee for each security being traded on the stock exchange. * An administrative and documentation management fee for each transaction. This may be part of the annual fees, if a tiered fee structure is offered. * Sponsorship fees, if there are commercial enterprises who are interested in advertising on the stock exchange web site. * Additional revenues from the sale of products and services – (e.g. due diligence reports; consulting services; etc.) * Grants for the development of the platform and other start up expenses. The exchange would have the following major expenses: * Staff and a regular physical presence in all the Hawaii counties to assist companies and investors in listing their companies and working with regulatory authorities to qualify companies and securities. * Software development and maintenance of the hardware and software platform, storage, backup, access. Although it is possible that we may be able to lease space or services from an existing platform (e.g. MissionMarkets.com) * Reporting and management expenses to ensure that all rules are being followed, investors and companies are kept informed of their accounts, audits are conducted routinely, etc. * Marketing and public relations expenses to educate the public about the existence of the stock exchange and the appropriateness of participation. (flyers, demo's, events, ad's, brochures, * Sales and marketing expenses. The major initial expense will be understanding the complexity of what is required, designing appropriate systems and relationships and if not available economically through one of the groups already going down this path, for the development of the stock exchange software, reports and testing. There are several software platforms available, e.g. http://missionmarkets.com, and http://secondarymarkets.com and we are looking at them. Other Similar Efforts Underway We are in communication with several groups on the US Mainland who are also looking at the establishment of local stock exchanges in their regions. Most fully developed but not yet functioning is a local exchange for Lancaster, PA (http://tinyrul.com/lancasterexchange). There is a San Francisco law firm and consultancy that is developing a specialty in supporting the kinds of transactions that would go through a local exchange (see http://cuttingedgecaptial.com). If several of the groups can agree to use a single platform (i.e. a set of methods about the way the exchange should work and interact with its users) it should be possible to secure grant funding for the creation of the stock exchange software - if we need to develop a new software platform. The stock exchange should be regulated by the State of Hawaii, probably by the Financial Industries Regulation Department. The regulations should cover at least the following elements: * Qualification of companies and securities to be listed in the stock exchange. * Review of annual reports and filings and ensuring the compliance of listed companies * Requirements to be listed and to stay listed * Referral of non-compliant companies or individuals to appropriate departments – including criminal referrals where required. * Review and audit of the books and methods of the stock exchange itself to ensure that all rules and requirements are being met. Legislative and governmental assistance required: The formation of the Hawaii Local Stock Exchange will require the assistance of the State of Hawaii to do the following: * Establish a regulatory framework (most of the laws may already be in place – additional rule-making may be required) * Ensure that there is funding for the regulatory framework to function efficiently – this may require additional staffing at the Dept. of Financial Industries Division. * Ensure that the Hawaii Stock Exchange is indemnified from civil and criminal proceedings. * Establish a method for approval/review of its Board of Directors by the Governor of the State of Hawaii. * Direct the Financial Industries Division to work with the SEC and receive all necessary approvals (i.e. no-action letters, SEC guidance letters, etc.) Target companies: The companies who would find it advantageous to list their securities on the Hawaii Stock Exchange will initially fall into the following categories: * QHTB companies – qualified high technology companies formed under Act 221. There are at least 40 of these companies who would find it beneficial to be listed on the Hawaii Stock Exchange. * Companies whose development allows for raising equity capital in addition to debt capital – and where debt capital is difficult to acquire because of a lack of suitable collateral. * Established family companies wishing to change their governance structure due to the lack of an heir-apparent, or other reasons. * Others – including those that see listing on the Hawaii Stock Exchange as a stepping stone to a national listing. Securities to be traded on the Hawaii Stock Exchange: Initially, the Hawaii Stock Exchange will allow the following types of securities to be traded (generally, these are securities that can be sold to the public without registering with the SEC): * Rule 147 - Intrastate Offering Exemption Securities – for companies and investors located within the State of * Private offering exemption – generally to accredited investors only * Regulation A exemption – small securities offerings of less than $5 million per year * Regulation D exemption – Rule 504, Rule 505 and Rule 506 offerings * California Limited Offering Exemptions – Rule 1001; may require Hawaii to create legislation similar to California * Securities offered only to Accredited Investors – Section 4(6) offerings * Rule 701 Exemption – sale of securities through employee benefit plans The implementation of the securities offered through the Hawaii stock exchange may be rolled out, depending on the demand by the entrepreneurs or the investors. As the exchange matures, additional security categories may be offered. Some or all of the additional types of securities will require approval by the SEC and/or the State of Hawaii regulators; some types of securities may require enabling legislation. Investors who can participate on the Hawaii Stock Exchange: The following categories of investors may participate on the Hawaii Stock Exchange: * Accredited investors (including the investors who have already purchased the securities of the Act 221 companies) * Retail investors who may be interested in Rule 147 companies. * Mutual funds of retail and/or accredited investors – must be approved by the securities regulator * Employee benefit plans e.g. the State of Hawaii ERS and others. Final Note: This proposal has not been reviewed by a securities attorney or by the staff of the Financial Industries Regulation Department. It is our hope that the next step in the life of this proposal is the formation of a working group which will refine the scope of the exchange. Current members of this group include: Virendra Nath, President of HDEP International, and convenor of the Maui chapter of the Hawaii Angels. David Fisher, an economic development and business consultant who opened and operated the Maui Small Business Development Center for 19 years and currently serves on the board of the Hawaii Venture Capital Association (see http://MauiVenture.net). John Kevan is a consultant in technology, retired AT&T Executive Director of New Technology Development, Hawaii Angel and Market Trader.
Graphical Perception of Value Distributions: An Evaluation of Non-Expert Viewers' Data Literacy Arkaitz Zubiaga, University of Warwick, UK Brian Mac Namee, University College Dublin, Ireland Abstract: An ability to understand the outputs of data analysis is a key characteristic of data literacy and the inclusion of data visualisations is ubiquitous in the output of modern data analysis. Several aspects still remain unresolved, however, on the question of choosing data visualisations that lead viewers to an optimal interpretation of data. This is especially true when audiences have differing degrees of data literacy, and when the aim is to make sure that members of a community, who may differ on background and expertise, will make similar interpretations from data visualisations. In this paper we describe two user studies on perception from data visualisations, in which we measured the ability of participants to validate statements about the distributions of data samples visualised using different chart types. In the first user study, we find that histograms are the most suitable chart type for illustrating the distribution of values for a variable. We contrast our findings with previous research in the field, and posit three main issues identified from the study. Most notably, however, we show that viewers struggle to identify scenarios in which a chart simply does not contain enough information to validate a statement about the data that it represents. In the follow-up study, we ask viewers questions about quantification of frequencies, and identification of most frequent values from different types of histograms and density traces showing one or two distributions of values. This study reveals that viewers do better with histograms when they need to quantify the values displayed in a chart. Among the different types of histograms, interspersing the bars of two distributions in a histogram leads to the most accurate perception. Even though interspersing bars makes them thinner, the advantage of having both distributions clearly visible pays off. The findings of these user studies provide insight to assist designers in creating optimal charts that enable comparison of distributions, and emphasise the importance of using an understanding of the limits of viewers' data literacy to design charts effectively. Introduction Although the definition of data literacy remains somewhat fluid [Koltay, 2015], [Calzada Prado and Marzal, 2013], most definitions include an ability to interpret the outputs from data analysis. For example, Harris [Harris, 2012] defines data literacy as "competence in finding, manipulating, managing, and interpreting data, including not just numbers but also text and images"; Beauchamp [Beauchamp, 2015] defines it as "the ability to interpret, evaluate, and communicate statistical information"; and Schield [Schield, 2004] as the ability "to access, assess, manipulate, summarize, and present data". Many of the outputs from data analysis referred to in these definitions take the form of data visualisations. In fact the importance of data visualisation is included in a number of discussions on the characteristics of data literacy [Koltay, 2015], [Wright et al., 2012], [Womack, 2014]. The level of literacy that members of the general public (who are not generally trained in statistics or data analytics) bring to different types of data visualisation is not always clear. Data visualisations, however, are now ubiquitous in everyday publications such as newspapers, magazines, television programmes, and online content [Heer et al., 2010]. The presence of charts on Information and Communication Technologies (ICTs) is becoming more and more important as the Web is increasingly dominated by multimedia. On social media, in particular, content is often accompanied by charts and infographics to reinforce the intended message. The choice of an appropriate chart type for a particular dataset is extremely important as it can condition subsequent interpretation by viewers. Carefully selecting the chart type that most effectively allows readers to make accurate interpretations of the data is especially important when readers have differing levels of data literacy. In this work, we conduct two user studies to assess the effectiveness of different chart types for visualising one or more distributions of values. We conduct these two user studies using a crowdsourcing platform, which enables us to survey a large and diverse set of users who are not necessarily skilful in data analytics. In the first study, we ask viewers to validate the veracity of statements about the distributions of variables shown alongside different visualisations of these distributions. Among the five types of chart compared in this first user study, we find that histograms are not only the most complete in terms of details given, but also the chart type that leads viewers to the most accurate understanding of the underlying data. We also find, however, that viewers are not good at determining the limits of what can be understood about data from different chart types, i.e. they don't know what they don't know. In the second, follow-up study, we move on to compare two related types of charts, histograms and density traces, to assess the capacity of viewers to accurately interpret charts. This user study is in turn split into two smaller studies. In the first study, we compare viewers' ability to interpret histograms with their ability to interpret density traces when each chart shows the distribution of a single variable. In the second user study, we examine the effectiveness of different ways of visualising the distributions of two variables together in a single histogram or in a single density trace when the aim is to compare the distributions of the two variables. We compare seven different types of charts that enable comparison of distributions: histograms with overlapped, mirrored, interspersed, stacked, or cumulative bars, and density traces that are overlapped, or mirrored. This study finds that histograms lead to more accurate interpretations in both cases (i.e. showing the distributions of one or two variables), particularly when the purpose is to quantify specific frequency values. Density traces are especially helpful, on the other hand, when we want the viewer to identify the overall tendency of values within a distribution. The findings obtained from these user studies give us deeper understanding that enables us to define guidelines that graphical designers can use to create charts that most effectively display the distributions of variables. These guidelines are intended to satisfy the graphical perception abilities of diverse communities of users, encompassing viewers of different skill sets, and making sure that the chart selected for a visualisation is correctly interpreted by as many viewers as possible. Related Work Research in best conveying messages extracted from charts has focused on several aspects, including automatic generation of text summaries from charts [Demir et al., 2010], [Moraes et al., 2013], identifying the core messages of charts [Corio and Lapalme, 1999], [Demir et al., 2012], adding context to charts [Heer et al., 2009], [Hullman et al., 2013], and studying perception of information from charts [Shah and Hoeffner, 2002], [Glazer, 2011]. We focus on graphical perception, as the field that studies the visual decoding of information from graphical displays. One of the best known studies on chart perception is by Cleveland and McGill [Cleveland and McGill, 1984], who define a theory to examine the elementary perceptual tasks that viewers perform when looking at charts, as well as the extent to which they lead viewers to accurate understanding. More recently both Shah and Hoeffner [Shah and Hoeffner, 2002] and Glazer [Glazer, 2011] summarise three major factors that influence viewers' interpretations of data visualisations: (i) the visual characteristics of a chart, (ii) a viewer's knowledge about charts, and (iii) a viewer's background and expectations of the content in the chart. The authors highlight, however, that no single chart type is necessarily better overall than any other, and new tasks might require careful studies to choose a suitable chart. In general, researchers have pointed out that creating appropriate charts so that viewers perceive the intended message is harder than it might at first seem, and that detailed study of the effectiveness of different chart types for different tasks is required [Friel et al., 2001], [Shah and Hoeffner, 2002]. Furthermore, the literature does not contain extensive studies of how well viewers can interpret charts showing the distribution of a variable. Here we focus on the visual characteristics of a chart, and its influence on graphical perception when comparing distributions of variables. When it comes to displaying distributions of variables with the aim of enabling comparison between distributions, numerous types of charts have been suggested in the literature. While histograms are a well-established chart type for this task [Scott, 1979], the recent tendency has moved towards boxplots and derivatives of boxplots [McGill et al., 1978]. One of the best known alternatives to the standard boxplot is the violin plot [Hintze and Nelson, 1998], which is an improved version of the boxplot that incorporates a density shape, i.e., a combination of a box plot and the density trace. The boxplot is considered to be a suitable simple chart that could be easily drawn manually [Hintze and Nelson, 1998], [Muthers and Matzarakis, 2010], but that lacks detailed information on the density of a distribution. As computational tools that facilitate chart creation emerged, however, displaying density shapes in charts has gained importance because of the additional detail provided. This has led to an increase in the use of density traces, given that they are computationally easy to create and they provide the details of a distribution that cannot be seen in boxplots. In recent years, there has been substantial discussion among researchers as to whether histograms or density traces are more suitable for displaying distributions of variables for exploratory data analysis, much of which has inclined towards the use of density traces, as histograms lack detail. For instance, Silverman [Silverman, 1986] and Izenman [Izenman, 1991] argue that histograms are a traditional way to provide a visual clue of the general shape of a distribution, but that they leave much to be desired when one needs to quantify the density of an observation in a distribution of values. Scott [Scott, 2009] adds that density traces provide the essence of conveying visual information of both the frequency and relative frequencies of observations, and thus they seem more intuitively suitable for data presentation purposes. Finally, Tukey [Tukey, 1977] resorts to histograms when he intends to display a single distribution of values, but makes use of density traces when comparing two distributions of values. In this work, we look at how these two types of charts, namely histograms and density traces, affect the graphical perception of the viewer, when the goal is to acquire basic understanding of variable distributions. Despite the high volume of research on graphical perception, we found no work studying graphical perception of multiple variable distributions in a single chart. Our work addresses this issue by comparing the ability of viewers to compare the distributions of two variables when looking at histograms and density traces, and explore different settings for an optimal visualisation. Our work also complements a recent study by Javed et al. [Javed et al., 2010] in a similar direction, who studied alternative visualisations of multiple time series, and found that separate charts are suitable for comparison across time series with a large visual span, and shared-space charts are more efficient for smaller visual spans. Our work focuses specifically on creating single charts that put together distributions. User Study 1: Visualising a Single Distribution In this section we describe a user study to determine the effectiveness of different chart types for illustrating the distribution of a single variable. Experimental Method In the basic unit in our experimental method a chart is shown to a participant along with an associated textual statement about the distribution of the variable represented in that chart. Participants rate how well they think the statement corresponds to the data represented in the chart. This is repeated for different combinations of three different factors: (i) the underlying distribution of the variable, (ii) the type of chart used to show the data, and (iii) the type of statement made about the data. Overall, we include four different variables, five distinct chart types, and four different types of statements. The four artificially created variables used in the study were: (i) ages of customers of an online movie service, (ii) ages of members of a youth sports centre, (iii) salaries of a city's residents, and (iv) scores of students in an exam. Each variable exhibited a different distribution. Figure 1 shows histograms illustrating the distributions of these variables. Five commonly used chart types were selected for this study: (i) bar charts showing the average value of the distribution, (ii) bee swarms, (iii) boxplots, (iv) stacked bar charts, and (v) histograms. Figure 2 shows an example of each. All of the charts shown during the user studies were created using the R programming language 1 , for which we provide details to reproduce each of the charts under study. The textual statements were of the following four types: (i) "the data ranges from X to Y", (ii) "most data points fall around X", (iii) "most data points fall under/over X", and (iv) "data points are clustered to either side of X". For each chart type and variable combination, two versions of each statement type were presented to participants: one that was true and one that was false. For example, for the data shown in the first histogram in Figure 1 the true statement "the data ranges from 30 to 42”, and the false statement “the data ranges from 25 to 45” were used. The combinations of variables (4), chart types (5), and statements (8) amounted to a total of 160 different tasks. Participants in our experiments were shown one task at a time and had to rate the accuracy of the statement shown on a five point Likert scale: strongly agree, agree, neutral, disagree, and strongly disagree. Additionally, participants could opt for an alternative choice impossible to tell from this chart. Tasks were presented in random order to control for learning effects. With 50 ratings collected for each of the 160 tasks, we gathered a total of 8,000 ratings. We conducted our experiments using crowdsourcing through Mechanical Turk. The use of a crowdsourcing platform such as Mechanical Turk for this study is motivated by Heer and Bostock [Heer and Bostock, 2010], who showed that it is an effective and reliable way in which to perform graphical perception studies. To take part in the study participants did not need to have any prior expertise in data analytics as we were interested in measuring the ability of average, non-expert viewers to interpret different chart types. We did, however, restrict participation to US-based participants to control for English language capability. We also restricted participation to participants with at least a 95% HIT acceptance rate, which is Mechanical Turk's internal measure of how well participants perform tasks on the platform. A high HIT acceptance rate guarantees that participants have been deemed reliable in other experiments and filters automated bots. The ground truth for each task was manually annotated by the experiment designers, with the following distribution of responses: 42 cases were true, 54 were false, and 64 were impossible to tell. Table 1 shows the distribution of the ground truth responses, broken down by variable, chart type and statement type. The most important differences in these distributions relates to the chart types. All of the tasks showing a simple average bar chart fall into the "impossible to tell" category as the average bar chart does not provide enough evidence to assess the associated statements. With bee swarm charts and histograms it is possible, in all cases, to assess each statement. With boxplots and stacked bar charts it is possible to assess only some statements. Results We examine the data collected in these experiments in three ways: (1) inter-rater agreement to assess the level of agreement in the responses given by different participants; (2) accuracy to assess how well participant responses match the ground truth and (3) a confusion matrix to understand the types of errors made by participants. Inter-rater Agreement. We measure inter-rater agreement using Krippendorff's alpha coefficient [Krippendorff, 2012]. Overall, the 8,000 ratings show a fair level of inter-rater agreement of 0.39 2 . Table 2 shows inter-rater agreement values for each chart, statement, and variable. We see two major differences here. Firstly, with regard to statement type, participants tend to agree when assessing the ranges of variables and whether variable values are above or below a given threshold; and tend to disagree when asked about values being clustered around a certain value. Secondly, with regard to chart type, participants showed a larger degree of agreement for bee swarms and histograms; and a much lower degree of agreement for the other three chart types. This is likely due to the high number of answers that are impossible to tell. Table 2: Inter-rater agreement values by item, and overall. Accuracy. To compute the accuracy values, we rely on majority voting, i.e., the rating that has been chosen by most participants. This allows us to choose a single rating from the 50 provided for each task. For the purposes of computing accuracy, we collapse ratings of agree and strongly agree to true, and ratings of disagree and strongly disagree to false 3 . The final accuracy values reported here refer to the number of cases in which the majority vote of participants coincides with the ground truth. An overall accuracy value, and values broken down by variable, chart type and statement, are shown in Table 3. 2 We report the strength of agreement using the benchmarks suggested by Landis and Koch [Landis and Koch, 1977] for interpreting kappa. 3 In fact, participants seemed reluctant to choose strong judgements, choosing agree and disagree much more than strongly agree and strongly disagree. Table 3: Accuracy values by item, and overall. On statements of the types "data ranges from X to Y" and "points fall under/over X", participants were substantially more accurate (90% and 75%, respectively) than for the other two types of statements (55% and 52.5%). More specifically we found that participants struggled with bar and stack charts when assessing "points fall around X" statements, and with stack charts when assessing "points clustered to either side of X" statements. Regarding the chart type, the most accurate answers were those for bee swarms and histograms (both above 90%). This is slightly surprising as these are relatively complex chart types for nonexpert viewers. Even though both bee swarm charts and histograms potentially allow viewers to determine the veracity of all of the statements, and provide similar information, viewers seem to find it slightly easier to comprehend values from a histogram. Finally, participants struggled slightly to answer questions about the student scores data. This data has a bimodal distribution that could be more difficult for viewers to parse. Confusion Matrix. Table 4 shows a confusion matrix for all tasks (note that Imp. refers to responses of impossible to tell, that Neutral did not occur in the ground truth, and that cells marking correct responses are highlighted in bold). The precision for each category is also included. Most notably here, we observe that when the correct response was impossible to tell, participants mostly deemed statements false (45.9% of the time), or even true (24.9% of the time), and only identified 23.8% of the cases correctly. When the correct response was either true or false, participants again rarely chose impossible to tell as the answer. Taken altogether we believe that these results indicate that, although participants do well when assessing true cases (accuracy 75.8%) and false cases (72.1%), they have trouble when facing charts that do not enable them to determine the veracity of a statement and do not recognise this shortcoming. We were surprised that participants did not use the neutral choice in these cases (the neutral response was only used in 6% of cases). Table 4: Confusion matrix for all the tasks combined (in %). Overall, the main finding from this study was that viewers found histograms were the easiest to interpret of the five chart types studied. Using this finding, we designed a follow up study to determine the ability of viewers to compare the distributions of two variables when visualised using either histograms or density traces. User Study 2: Expanding Charts to Visualise Multiple Distributions We set out to conduct user studies to measure the ability of viewers to interpret differences between two variable distributions for the purpose of exploratory data analysis [Tukey, 1977]. We split this exploration into two user studies. The first study investigates whether viewers find histograms or density traces easier to interpret when viewing the distribution of a single variable. Once this is established, the second study investigates which chart type is most effective for comparing the distributions of two different variables. We also conducted these user studies through the Amazon Mechanical Turk crowdsourcing platform. Given that we wanted to conduct the user study with viewers that were not necessarily skilful in data analytics, and that we were looking at relatively simple perception tasks involving the quantification of values from charts, the use of a crowdsourcing platform presented a suitable environment for our purposes. During both of these user studies, we set up the tasks on Mechanical Turk without restrictions on the expertise of participants in terms of their ability to decode charts. In order to make sure that participants were reliable, we again restricted participation to participants with a HIT acceptance rate of at least 95%, and also a number of completed tasks of at least 100. These settings have been found to be suitable to prevent participants who cheat [Heer and Bostock, 2010]. Our basic experimental unit consisted of showing a chart to a participant and asking them a series of questions about the chart in order to assess the accuracy with which they could interpret it. For each experimental unit we first showed the participant an entry page that displayed the chart in question, along with instructions explaining that they would be asked a series of questions about the distribution of the variable displayed in the chart. Figure 3 shows an example of this entry page. Once a participant clicked on the Start button, they were shown a question displayed next to the chart. Participants had to provide an answer to the question and then click 'Next' to proceed to the next question. This process repeated until the participant has answered all of the questions associated with the chart. Each experimental unit was completed by 50 different participants. For each participant, we collected the answer they provided to each question, as well as the response time measured from the moment they first saw the question to the moment they clicked 'Next' having answered the question. In this paper, we report three values in the results section: (1) response time in seconds, (2) accuracy of respondents (calculated as the percentage of participants that provided an answer within a 10% error rate of the ground truth 4 , and (3) the error rate for participants that were accurate according to point 2. Note that the error rate is computed as the relative difference between the correct answer and participant's answer, i.e., the deviation from the correct answer, so we can measure how close the responses were for those that were exactly or nearly accurate. We differentiate between accuracy and error rate given that our purpose is to measure both the ability of viewers to find the answer in the chart –for example, instead of mixing up axes and giving an answer for the wrong axis–, and the ability to provide a precise answer for those who found it. The charts shown during both user studies display data from the Vietnamese Living Standard Study (VLSS), which is available online 5 , and has been used for instance by Tukey [Tukey, 1977] for exploratory data analysis. The data from the VLSS contains household per capita expenditures for 5,999 Vietnamese households, divided into rural and urban areas. This enabled us to separate expenditure values into these populations, and thus to show two distributions of values that viewers had to compare. All of the charts shown during the user studies were created using the R programming language, for which we provide details to reproduce each of the charts under study. 4 We used 10% as a reasonable percentage to consider that participants were able to identify where to get the answer from in the chart, and their response was close enough to the correct answer. Likewise, this enables us to compare responses for histograms and density traces, which display different scales of values. 5 VLSS Data: http://www.tc.umn.edu/~zief0002/Comparing-Groups/Data/VLSSperCapita.csv User Study 2.1: Comparing Histograms and Density Traces for Visualising a Single Distribution In the first of our user studies, we compare the ability of participants to interpret visualisations of the distribution of a single variable using histograms and density traces. This section describes the experimental method used for this study and the results of the study. Experimental Method This study used the experimental method described at the beginning of Section 4. Viewers were asked to answer questions about two different types of charts: - Histograms: Histograms (cf. [Scott, 1979], [Guha et al., 2001]) are a very commonly used way to graphically represent the distribution or a variable. A histogram shows tabulated frequency values that give the gist of how data is distributed. Given that they present tabulated frequency values, the width of each of the bins in the plot must be predefined. Among the numerous methods to define the bin width [Wand, 1997], we relied on Sturges' rule [Sturges, 1926] to create the histograms for our study. As a result, expenditure values ranging from 0 to 1800 for the urban population, and from 0 to 3100 for the rural population, were split into bin widths of 100. We used R's hist() function to plot histograms. Previously, it has been found that the orientation of the bars in a histogram has an effect on the viewers' perception. Fischer et al. [Fischer et al., 2005] concluded that vertical bars allow viewers to react quicker and make decisions faster than horizontal bars. Therefore, in this work we focus on histograms displaying vertical bars. Figures 4(b) and 4(d) show histograms displaying the distributions for expenditure values obtained from the VLSS data, one for the rural population and one for the urban population. One advantage of histograms is that bins facilitate quantification of the frequency for each range of values. As has been pointed in the literature, however, the lack of a detailed visualisation of more points of the distribution can make accurate perception by viewers difficult. - Density traces: Different from histograms, density traces do not use tabulated data, and instead the distribution is visualised as a continuous, single line that depicts how frequencies change across the range of possible values. To draw a density trace a kernel function is required to extract frequency values and draw the line. In this case, we rely on the commonly used kernel method introduced by Epanechnikov [Epanechnikov, 1969]. We used R's density() function to plot density traces. Figures 4(a) and 4(c) show density traces displaying distributions for expenditure values obtained from the VLSS data, one for the rural population and one for the urban population. Density traces present the advantage over histograms that a more detailed representation of the whole distribution is shown which, it has been suggested, makes them a more suitable chart for visualising both the frequency and relative frequencies of observations. One could also expect, however, that quantification of frequencies for specific points might be difficult for viewers from a curved density trace. With a focus on identifying the overall tendency of each distribution of values, and quantifying frequencies depicted in the charts, we asked participants to provide the following values based on interpreting the displayed charts: - Minimum expenditure value in the distribution. - Maximum expenditure value in the distribution. - Most frequent value (MFV) in the distribution. - Frequency value for an expenditure of $200. - Frequency value for an expenditure of $500. - Frequency value for an expenditure of $1,000. Results Tables 5, 6, and 7 show the average results for accuracy, error rate, and response time for histograms and density traces from this study. To compute the average response times, we remove response times above the 95 th percentile, and those below the 5 th percentile, to control for outliers. Finally, we also show the average accuracy values, error rates, and response times for a chart combining all the questions, which helps us assess the overall performance with each type of chart. Note that the averages for error rates are not necessarily the arithmetic mean of the error rates for all the questions with that chart, since different number of participants might be accurate and thus be considered for computing the error rates; therefore, it represents a weighted mean for all accurate responses to each question associated with a chart. The accuracies achieved depended on the type of question being asked. Viewers were able to more accurately use density traces when responding to questions about minimum and maximum values, as well as most frequent values. However, when responding to the other questions about frequency values viewers were more accurate when interpreting histograms. The only exception is the frequency for x = $200, where viewers were slightly more accurate, but still relatively similar, when looking at density traces. This exception in x = $200 happens to be a point with no tick mark in the X-axis, which might have made it more difficult for viewers to identify. As we hypothesised above, it appears that the fact that density traces are curved lines complicates quantification of frequency values for specific points, but facilitates identification of trends and therefore finding points such as the most frequent value. Table 5: Accuracy values for User Study #1 Table 6: Error rates for User Study #1 Table 7: Response times (in seconds) for User Study #1 Overall, putting together the results for all types of questions, viewers were on average more accurate when making interpretations from histograms than from density traces. This accuracy gain with histograms is also reflected in error rates. The error rates for histograms are also slightly lower (with the only exception of the frequency for $200), which suggests histograms as a more suitable chart than density traces for viewers to make accurate interpretations. Overall, there does not seem to be a clear difference in terms of response times between histograms and density traces. On average, viewers spent only 3.4% more time in answering to questions associated with histograms, which is reflected in a 6.4% improvement in terms of accuracy. User Study 2.2: Comparison of Two Distributions Having seen that histograms convey more accurate interpretations than density traces when it comes to a single distribution, in a follow-up user study we looked at performance of viewers when comparing two distributions. Viewers do better in quantifying interpretations from a single histogram, but how should two histograms or two density traces be put together in a single chart to optimise perception? Since two plots can be arranged in different ways in a single chart, we study the effect of these arrangements on the perception of viewers. Experimental Methods This study also used the experimental method described at the beginning of Section 4. In this study viewers were asked to answer questions about six different types of charts: - Overlapped histograms: In an overlapped histogram, one of the histograms is superimposed on top of the other, with both lying in the X-axis (as in the first user study, based on the literature [Fischer et al., 2005], we assume that vertical bars are more suitable for viewers than horizontal bars). In order for both histograms to be seen, they are made slightly transparent. We do this by using R's hist() function including an alpha = 14 parameter in the set of colours being used. Again, we established the bin width for histograms by following Sturges' rule [Sturges, 1926] (this approach was used for all histograms in this user study). Figure 5 (a) shows the resulting overlapped histogram for the VLSS data. We expect that overlapped histograms will enable comparison of frequencies for both distributions, but the fact that one of the distributions slightly complicates visualising the other distribution might complicate their differentiation. - Overlapped density traces: Density traces can also be superimposed on top of each other, as shown in figure 5 (f). We used R's plot() and lines() functions combined with the density() function, using Epanechnikov's kernel [Epanechnikov, 1969], to plot these charts (this approach was used for all density traces in this user study). Having two density traces sharing the same space could aid comparison and, different from overlapping histograms, overlapping density traces do not hinder the visualisation of the lines typically occlude one another. - Mirrored histograms: In order to avoid overlapping histograms, in a mirrored histogram one of the histograms is mirrored downwards from the X-axis. In spite of pointing downwards, the length of the bars in the bottom histogram also represent positive values. To draw mirrored histograms we used R's hist() function after inverting the values for one of the histograms. Figure 5 (b) shows the mirrored histogram for the VLSS data. We expect that mirrored histograms will facilitate clear visualisation of both distributions without any overlap, but that the quantification of bars pointing downwards from the X-axis could be more challenging for viewers. - Mirrored density traces: Similarly, density traces can be mirrored so that one of them is drawn downwards from the X-axis. Figure 5 (g) shows mirrored density traces for the VLSS data. To draw this we used R's plot() and lines() functions after inverting the values for one of the density traces. Similar to the advantage offered by mirrored histograms, we expect that mirrored density traces might facilitate visualisation of both lines separately avoiding possible confusion, but may make it more difficult for participants to perform comparisons between both distributions, as they do not share the same space. - Interspersed histograms: Bars for two variables are interspersed in a single histogram, so that for each range of values two bars are shown next to each other, one for the frequency of each variable in that range. Figure 5 (c) shows the resulting interspersed histogram of the VLSS data that we showed to the participants in the study. We created this chart using the multhist() function from the 'plotrix' package in R. We expect that interspersed histograms will facilitate visualisation of both distributions, as they do not occlude each other. This, however, is at the cost of halving the horizontal space physically available for the width of the bars, which might have a negative effect in on visual perception of viewers. - Stacked histograms: In a stacked histogram the bars for one distribution lie on top of the bars of the other distribution. This means that the frequency values for one of the distributions do not count from the X-axis, but from an upper point on top of the bar for the other distribution. We created stacked histograms using R's histStack() function. Figure 5(d) shows the resulting stacked histogram for the VLSS data that we showed to the participants of the study. We expect that when using stacked histograms it will be easier for viewers to differentiate histograms from each other than when overlapped histograms are used. It may however be more challenging for viewers to quantify the height of bars, as significant cognitive effort is required (viewers need to subtract the height of one bar from the other). - Cumulative histograms: Each bar in a cumulative histogram represents the cumulative frequency for all smaller values, instead of representing just the value for that specific range. For instance, the third bar from the left for a distribution represents the aggregation of the frequencies for the first, second, and third bars. Consequently, the increase of a bar with respect to the previous bar actually represents the frequency of that specific range. Figure 5 (e) shows the cumulative histogram for the VLSS data that we showed to the participants of the study. We created this chart using R's hist() function, which received the outcome of applying the cumsum() function to the histogram's data values. We expect that cumulative histograms will facilitate differentiation between the two distributions, but the fact that frequencies are summed will complicate quantification of specific frequencies. Each time a visualisation was shown to participants we requested the following values as the input from participants in the user study: - Most frequent value (MFV) for each distribution. The most frequent value is different for the rural and urban populations, and thus viewers need to precisely identify each population's most frequent value. - Frequency values for specific data points in both distributions. We asked for the frequency for expenditure values of $200 and $500, for both populations. The main difference between these two cases is that $500 has a tick mark in the X-axis, while $200 does not. This might make a difference in the interpretation from viewers, making it potentially more difficult to position a value when there is no tick mark. Results Tables 8, 9, and 10 show the average results for accuracy, error rates, and response times for the charts under study. Table 8: Accuracy values for User Study #2 Table 9: Error rates for User Study #2 Table 10: Response times (in seconds) for User Study #2 As expected, viewers were not able to accurately interpret cumulative histograms. The fact that the frequency for each range of values has to be calculated by subtracting the frequency for the previous range confused viewers, misleading their perception. Accuracy values of around 20% were achieved in most cases, either when looking for most frequent values, or when quantifying frequency values. Viewers were clearly more accurate with the rest of the charts, achieving average accuracies higher than 70%. Overall viewers managed clearly better interpretations from interspersed histograms, achieving an accuracy of 85%. Displaying thinner bars gives the advantage of making both bars clearly visible without any overlap, and easily quantifiable without the need to stack bars. Still, viewers did quite well with overlapped and stacked histograms, achieving 77% and 78% accuracy rates, respectively. These two types of histograms led to better perceptions from viewers than mirrored histograms, where both distributions are visible with no overlaps. The fact that one of the distributions is mirrored downwards seems to have damaged quantification of frequency values for viewers. If we look at the accuracy of responses by type of question, there is a noticeable lower performance when providing values for frequencies of $200 than for frequencies of $500. Again, the fact that $200 does not have a tick mark in the X-axis appears to be misleading viewers. Adding more tick marks in the X-axis as long as space allows should help boost performance when quantifying values that are on or close to those tick marks. It is certainly key to think of the specific points in which tick marks have to be added in order to guarantee that the intended message is correctly conveyed. With the density traces we see a similar trend as when viewers looked at a single distribution, i.e., viewers were highly accurate when identifying most frequent values (slightly more accurate even than the best of the histograms), but the performance when quantifying specific frequency values is poorer, which also drops the overall performance. Density traces are therefore a suitable visualisation when the intention is to emphasise the central tendency of a distribution. However, histograms are more suitable when we want viewers to interpret more specific values shown in the distribution. Looking at the response times, it can be seen that viewers needed more time to respond to questions about most frequent values, than for questions about specific frequency values. This reinforces our conclusions from the first user study that viewers seem to feel more comfortable with histograms when quantifying frequency values, but are not as comfortable when looking at the tendency of values to identify the most frequent value. Discussion In this work, we have conducted two user studies to assess viewers' data literacy when interpreting a distribution of values displayed in different types of charts. In the first study, we have studied the suitability of five different types of charts to visualise a single distribution of values. In a follow-up study, we have delved into different types of histograms and density traces to assess viewers' literacy not only with a single distribution of values, but also when putting two together with the aim of comparing them with each other. We have used a crowdsourcing platform to conduct these studies, without restricting users by their level of expertise, and therefore allowing participation from users with differing levels of data literacy. In the first user study, we have seen that histograms allow the most accurate interpretations— viewers achieved 97% accuracy from histograms, compared to 91% with bee swarms, and lower than 60% for the other charts— and are an appropriate choice of chart type when visualising the distribution of a variable for an average, non-expert audience. This reinforces previous findings from Meyer et al. [Meyer et al., 1997] and Zacks and Tversky [Zacks and Tversky, 1999] concluding that bar charts are a suitable visualisation medium to support reading exact values, identification of maxima, and describing contrasts in data. More interestingly, this study highlighted a shortcoming in the ability of average, non-expert viewers to recognise the limitations of different chart types—viewers don't know what they don't know. This is a significant issue as it means that there is a strong possibility that viewers are likely to make incorrect inferences from charts, or that they can be very easily misled using charts. This finding reinforces the need to carefully design charts for different tasks [Shah and Hoeffner, 2002], [Glazer, 2011] and highlights a shortcoming in the data literacy of non-experts. Another interesting point arising from the apparent effectiveness of histograms compared to bee swarms is that it reinforces the finding by Fischer et al. [Fischer et al., 2005] that viewers find it easier to interpret vertical bars (present in histograms) than horizontal bars (present in bee swarms). We also believe that there might be a difference between centring the data points in a bee swarm around a virtual vertical axis in the middle of the chart, and placing the data points upwards starting from the X-axis in a histogram. The gap between two bars lying on the same axis can be easily quantified visually, while the gap between two bars centred on an axis is halved on both sides of the bar making it more difficult to quantify. The alignment of the bars with respect to the axis might affect perception—this warrants further study. In the second user study, our results suggest that histograms are overall more suitable than density traces to display distributions of values to viewers with different levels of expertise and not necessarily trained in data analytics, especially when the main purpose is quantification of specific frequency values. Density traces have shown instead to be more suitable to emphasise the tendency of values underlying a distribution. In a follow-up user study, we have identified that interspersing bars of the two distributions plotted in a histogram leads to optimal perception when comparing distributions. Other alternatives such as overlapping, stacking, and mirroring bars in histograms led to much less accurate perceptions, while cumulative histograms showed to be by far the worst option. The findings of these user studies provide insight towards defining guidelines to assist graphical designers in optimal creation of charts that enable comparison of distributions. The fact that our user studies have been conducted with non-expert users whose level of expertise has not been restricted makes our guidelines suitable to be applied to communities of users with different degrees of data literacy. Future work includes deepening the comparison of value distributions, by looking into more challenging cases where three or more distributions need to be compared, given that histograms with increasing numbers of distributions might require different approaches. Another aspect that has not been dealt with in this work, and would be a sensible objective to pursue would be to break down the user study into different demographic groups to better understand how perception would affect people of different ages, cultures, etc. Acknowledgments This work was supported by the Enterprise Ireland and IDA Ireland Technology Centres programme at CeADAR, the Centre for Applied Data Analytics Research. References [Beauchamp, 2015] Beauchamp, A. (2015). What is data literacy? [Calzada Prado and Marzal, 2013] Calzada Prado, J. and Marzal, M. A. (2013). Incorporating data literacy into information literacy programs: Core competencies and contents. 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Terms and Conditions of Purchase Terms and Conditions of Purchase of German eForensics GmbH Date of effect: 01.04.2015 1. General Orders and purchases shall be issued solely in accordance with our Terms and Conditions of Purchase, to the extent that our orders do not explicitly state any other terms or conditions in writing. In the context of a current or recurring business relationship amongst business representatives, the present terms and conditions of purchase will become part of the contract, even if German eForensics GmbH does not explicitly refer to their inclusion. At no time will other sales and delivery terms of the supplier become part of the contract. This pertains even when these are not explicitly objected to or when the delivery is unconditionally accepted. 2. Description of Performance (1) The supplier shall manufacture the product ordered and/or perform the service ordered in conformity with the relevant technical documentation and/or other sundry documents. (2) Contractually agreed performance must be carried out in accordance with the applicable recognised codes of practice and must conform to the specific DIN, VDE, VDI or comparable standards. The principles, standards and legal provisions in Germany and those at the specified place of delivery or the place of final destination will prevail. (3) The statutory provisions for machines, technical equipment, accident prevention, workplace safety, environmental safety etc. must be complied with. (4) The supplier is obliged to maintain a recognised quality management system for those performances carried out in accordance with this contract. (5) The supplier bears full responsibility for the production of tools, devices and other equipment to the extent that these are required for manufacturing the product, even when the supplier assigns third parties to produce these. (6) The supplier is obligated to produce complete documentation in electronic or paper form for the contractual product, if agreed in purchase order. The documentation must conform to the recognised codes of practice as well as to the specific applicable standards and the statutory requirements at the time of manufacture (in particular and to the applicable extent the EC machinery directive). (7) Should the order contain developments, constructions, designs or similar work, the supplier will be obligated to surrender all resulting issues, in particular construction and assembly drawings as well as documentation, user manuals, etc. in both electronic and paper forms, at latest upon delivery or at a time mutually agreed upon in writing. We will receive sole possession of and exploitation rights to the developments, constructions, designs and similar work. (8) Software will be delivered on the data storage media customarily used in the trade in a machine-readable object code form together with the application documentation. The development of software includes, to the extent agreed upon, in addition to the scope of services, the delivery of software on data storage media customarily used in the trade in a machine-readable source code form and the documentation of the programme development in electronic form and paper form as well as manufacturer's documentation. This applies also to subsequent alterations and/or updates. The source code will be delivered in writing in the programming language with detailed explanatory comments. The comments will be written in the specified language of the country. Technical terminology as specified by us or by the customer must be used. Source and object codes and documentation will be provided at the time of delivery and will be commensurate with the state of the art current at the time of delivery. To the extent that software is subsequently customised or updated, the source and object codes and documentation together with referencing of the amendments must be provided unrequested. The purchaser may at any time request the relevant current source and object codes. We retain sole ownership of and exploitation rights to software developed specifically for us. 3. Purchase Orders (1) Purchase Orders and other statements are only binding when they are issued or confirmed by us in writing or electronically. (2) In the event that our Purchase Orders are not confirmed within eight days of submission giving a firm delivery date, we reserve the right to cancel the Purchase Order without any obligations. (3) Tenders and quotations shall be binding and free of charge. (4) Unless otherwise agreed in writing, the supplier will be liable for the costs and risks of delivery. The assumption of risk is transferred upon acceptance of goods at the place of delivery. Delivery has to be arranged to the stipulated place of delivery. (5) Every delivery must include a delivery note and a list of contents for each package and must be identified by our order number and order item. The delivery note and the package contents list must show quantities and must clearly specify the parts being delivered. The description used to specify the parts on the list must also be identifiable on the parts delivered. If a package contains only identical parts, the description given on the package contents list will suffice. If the delivered parts have been made to order using a drawing, a signed measurement protocol must be included with the delivery. (6) If the delivery notes or package contents list is missing, we reserve the right to reject the delivery if it is our belief that acceptance of it would not be appropriate. If deliveries rejected by us or faulty goods are returned, the supplier will bear the costs and risks of return transport. The value of return delivery will be charged to the supplier. We may not thereby be considered in default of acceptance. (7) Deliveries going directly to our customers must include a neutral delivery note stating the German eForensics GmbH company order number and must clearly state that the delivery is made on behalf of the German eForensics GmbH. The delivery carrier must provide us with a signed dispatch notice for our accounting control purposes. In this event, the measurement report must be sent directly to German eForensics GmbH. (8) Notwithstanding number 2 (4), for service contracts the transfer of risk occurs only after acceptance. (9) If materials needed by the supplier to carry out installation and assembly services are delivered to or provided by us, then the supplier's services must include unloading the transported goods and transporting these from the storage location to the place of assembly. 4. Force majeure Industrial disputes, government interventions, operational breakdowns, disruptions to the supply of materials or power or any other unforeseeable, exceptional and unavoidable circumstances for which we are not at fault release us from receipt and acceptance of delivery of goods or services for their duration. This applies even when these circumstances do not arise for us but for third parties (e.g. our customer). We will without delay inform the supplier of these circumstances and their estimated duration. To the extent that in such circumstances our compliance with the agreement becomes impossible or economically unreasonable, we have the right to premature cancellation of the agreement. The supplier is entitled to seek claim in conformance with § 645 (1) 1 of the German Civil Code (BGB). No further claims may be made. The contractual claims of German eForensics GmbH remain unaffected. 5. Prices and payment terms (1) The invoice has to include all necessary details in accordance with § 14 (4) in conjunction with § 14a (5) of the VAT Act (UStG) and a single copy must be sent to us promptly after dispatch. It must contain all order details and may under no circumstances be included with the shipment. Partial invoices may only be used if corresponding partial deliveries were ordered or if a corresponding written agreement was made. Invoices submitted incorrectly will be only regarded as received at the time of correct resubmission. (2) The agreed prices are firm and fixed and include packaging and sundry additional charges. DDP agreed place of delivery. (3) Payment will be made within 14 days with 3% discount or within 60 days net unless otherwise agreed. The payment term begins upon receipt of the invoice with all other necessary documentation. However, it may not begin before receipt and acceptance of delivery of goods or services at place of delivery and not before receipt of an agreed guarantee. (4) Payment will be made subject to invoice verification. Our payment does not constitute confirmation of fulfilment of the supplier's contractual obligations. Payment will be regarded as rendered upon receipt of the transfer order by our bank. (5) German eForensics GmbH reserves the right to withhold an appropriate portion of the remuneration when making payment if faults are identified within the payment period. Assertion of the right to withhold results in an interruption to the payment term so that a cash discount may be deducted after fault rectification. The same applies when the final documentation has not been received by us 14 days after product delivery at latest. (6) Advance payments and instalments require a separate agreement and must first be secured by the supplier with a directly liable and unconditional unlimited bank guarantee at the time of the initial request. The guarantee has to be subject to German law and must nominate Koblenz as the sole place of jurisdiction. In other respects § 239 of the German Civil Code (BGB) applies. 6. Delivery dates and Defaults (1) All agreed delivery dates are binding. We will only allow early deliveries when these have been explicitly agreed to. (2) The supplier is obligated to inform us in writing of any impending non-compliance with the agreed date and of its consequences and of the expected period of the delay. (3) If a delivery or an agreed partial delivery is not made in full or in part at the agreed time due to the fault of the supplier, we are entitled - following the fruitless expiry of an extension period set by us - to withdraw wholly or in part from the contract or to demand compensation for non-performance. In the event of default with regard to the delivery date we are entitled to demand a contractual penalty in the amount of 1% of the value of the contract per calendar week or part thereof to a maximum of 5% of the total value of the contract. (4) The assertion of further compensation claims will not be prejudiced by this. We may assert the right to withhold the contractual penalty in accordance with § 341 (3) of the German Civil Code (BGB) up to the time of final payment towards the underlying contractual relationship and at least within 14 days of acceptance of performance. 7. Warranty and Notice of defects (1) In the event of any defect we are entitled to choose to withdraw from the contract, to claim damages for non-performance, to receive another delivery of defect-free goods without delay and/or to demand remedying of all defects. (2) In the event that subsequent performance by the supplier will most likely not remedy the pending disadvantage of the Purchaser, the Purchaser shall have the right to perform or make any third parties perform the necessary remedy and the costs thereof shall be borne by Supplier. (3) A notice of defect shall be considered to be given in time in case of externally visible defects if the supplier is notified within 10 working days from receipt of the goods. In case of hidden defects that cannot be discovered by regular inspection the notice of defect shall be considered to be given if the Supplier is notified within 10 working days from discovery of the defect by us or from notice being given by our customers. (4) The supplier shall be obliged to refund us for any costs arising in connection with a defect in quality, including those that are legitimately charged to us by our customers. Further, the supplier must compensate us or our customer for losses arising from business interruption, loss of profit and any other damages to the extent that the loss was caused as a result of the defective object of the contract for which the supplier was responsible. (5) If no other agreement was made, the limitation of liability for claims arising from a defect is 36 months from the transfer of risk. The same applies to substitute deliveries. (6) In case of any title defects, the supplier shall indemnify us from any potentially arising claims by third parties. 8. Retention of title The goods shall become our property upon payment of the complete purchase price. Any extended, expanded or other retention of title is expressly excluded. 9. Transfer A transfer or pledging of the supplier's rights arising from the contract may only be made with our prior written agreement. 10. Product liability Provided that damage occurs under the supplier's product liability obligation or provided that claims for compensation are successfully asserted against us by third parties on the basis of agreements concluded or within the scope of our product liability, and provided that a compensation claim successfully asserted against us in this manner is due to a defect of the delivered goods, the supplier will also be liable beyond the contracted or statutory requirements to make good our loss and expenses, of which proof must be furnished. The supplier shall be obliged to indemnify us – even without any own default - against claims of any product liability law that does not assume any default of the injured party (this applies in particular to the product liability laws of EU member states). 11. Surrender of documents, Advertising, Confidentiality (1) Drawings, models, samples and other documents which have been provided by us to the supplier or to their subcontractors or to their vicarious agents, or which have been prepared by them to our specifications, shall remain our property and may only be used to process the bid and to execute the delivery items or services ordered and may not be made accessible to third parties without our prior written consent. At our request these must be returned to us without delay or stored as arranged with us, upon delivery of the delivery items or services ordered. (2) Those drawings, descriptions, etc. relating to the order are binding for the supplier. The supplier must check these for any inconsistencies and notify us without delay in writing of any suspected or identified errors. If there is no immediate advice provided in writing, the supplier may not cite these inconsistencies or errors at a later date. (3) If there is no immediate advice we will be entitled to claim compensation for damages in addition to all other warranties as may be expressed or implied in this contract or at law. The approval of any technical documentation shall not release the Supplier from any obligation under this contract, especially a state of the art and free of defect delivery. (4) The supplier will remain solely responsible for all drawings, plans and calculations made by them even when these have been approved by us. (5) Further, the supplier will maintain confidentiality regarding all our operational processes, equipment, facilities, etc. and those of our customers which become known to them in connection with their services for us, even after delivery of the relevant bid or completion of the relevant order and will not disclose any of this information to third parties. The supplier will impose these same obligations on their subcontractors and vicarious agents. Our enquiries, orders and related correspondence may not be used for advertising purposes. 12. Third-party intellectual property rights (1) The supplier is responsible for ensuring that no domestic or foreign legal rights of third parties, in particular intellectual property rights such as patents, trademarks, copyright or utility models are infringed in connection with the delivery and use of the contract good. This applies even when the supplier has not been negligent. (2) If the supplier possesses intellectual property rights, the object of which is the use of the delivered contract good, then the supplier will grant us the right of joint use of the delivered contract good free of charge to the extent that this is required in order to achieve the purpose of the contract. 13. Foreign trade law, Restriction of substances (1) In all bids and together with their certification the supplier must, unless otherwise agreed, provide the following details: (1) The export authorisation obligation of the delivery item in accordance with the EC Dual Use Regulation stating the item number, (2) the statistical commodity code and (3) the country of origin of the goods. In the event that we are not granted the required export authorisation, we will be entitled to withdraw from the agreement without prejudice to further claims. (2) To the extent that the supplier has not agreed otherwise, the supplier must provide evidence of the origin of the delivery item in compliance with the relevant regulations inter alia by way of a supplier's declaration or declaration of origin or EUR 1. In the supplier's declaration the supplier must state the origin of the delivery item in accordance with the valid rules of origin of the country of destination. (3) Restriction of substances resulting from regulations in Germany or in the country of destination notified to the supplier must be complied with by the supplier. 14. Code of conduct, Accident prevention and Facility regulations (1) The supplier is obligated to comply with the laws and regulations of all countries in which the supplier is active. The supplier is particularly obligated to refrain from participating in any corrupt activity or any infringement of human rights, whether actively or passively, directly or indirectly. The supplier takes responsibility for the health and safety of their employees and for environmental protection measures. The supplier will also require this of their own suppliers and will foster this with them to the best of their ability. (2) During installation and assembly work on our customer's site or at the German eForensics GmbH premises, the supplier is responsible for compliance with all accident prevention regulations and with all our customer's facility regulations and with any other regulations made known to the supplier. 15. Cancellation, Deferred delivery (1) We have the right at our sole discretion to terminate the Order at any time. In this event payment to the Supplier shall only be made for that portion of the work satisfactorily performed to the date of termination by written substantiated documentation verified by Purchaser. No further payments will be approved. This termination shall also be applied in case of partial delivery and/or partial order. (2) In addition to exercising any other rights and remedies available to the Purchaser we have the right to terminate the contract or withdraw from the contract in complete or in part if the credit rating or the ability to deliver of the Supplier worsens in such a degree that fulfilment of the contract appears compromised, the supplier stops payments or an application is made to open insolvency proceedings against the supplier's assets. 16. Place of performance, Place of jurisdiction, Applicable law (1) The place of performance for delivery is the place of destination specified in the order. If no place of destination is specified, then the place of performance will be the principal contractor's place of business. This also applies to payments. (2) The place of jurisdiction is the court with jurisdiction for the Koblenz area. (3) The contractual relationship is based upon the law of the Federal Republic of Germany. The United Nations Convention on Contracts for the International Sale of Goods is excluded from application. 17. Other (1) All rights and obligations of the parties are conclusively regulated in this agreement. No verbal ancillary agreements will apply. Amendments or supplements to these terms including any appendices must be in writing to take effect. This also applies to the rescinding of the requirement of the written form. (2) If individual provisions in this agreement are ineffective or incomplete, then the validity of the remaining provisions will remain unaffected thereby. In lieu of the ineffective clause, the regulation which most closely satisfies the intent of the parties will apply. The statutory provisions will otherwise apply.
Assumption of the Holy Virgin Orthodox Church 2101 South 28th St. (corner of 28 th St. & Snyder Ave.) Philadelphia, PA 19145 * Church Phone: (215) 468-3535 Website: http://www.holyassumptionphilly.org http://www.facebook.com/holyassumptionphilly Mailing Address: PO Box 20083 * Point Breeze Station \| Philadelphia PA 19145-0383 Sunday, October 29, 2017 \|21 st Sunday After Pentecost Tone 4 – Martyr Anastasia the Roman (3 rd c.) Venerable Abramius the Recluse and his niece, Blessed Mary, of Mesopotamia (ca 360) V. Rev. Mark W Koczak, Rector 615 West 11 th Street \| New Castle, DE 19720-6020 Phone: Home: 302-322-0943 \| Mobile: 302-547-4952 Email: email@example.com or firstname.lastname@example.org Parish President - Peter Parsells Phone: (908) 872.5657 Weekly Schedule Today: Church Life Discussion Class after Divine Liturgy. The Topic: Icons, Iconography, and Iconostas. Its history and the stories displayed on them. Tuesday: Hieromartyr Archpriest John Kochurov Wednesday: Holy Wonderworkers Cosmas & Damian of Mesopotamia Saturday: November 4 – Outdoor Clean-Up and Harvest Luncheon Time: 9am to 1pm. Luncheon to follow. Vespers afterwards! Saturday: November 4 – Great Vespers between 2:00 & 3:00PM! (***following Harvest Luncheon**) Sunday: November 5 – Martyr Galacteon and his wife, Epistemis Reading of Hours – 9:30am Divine Liturgy – 10:00am Fellowship coffee hour to follow the Divine Liturgy Texts for the Liturgical Service Troparion (Tone 4) When the women disciples of the Lord / learned from the angel the joyous message of thy Resurrection, / they cast away the ancestral curse / and elatedly told the apostles: / "Death is overthrown! / Christ God is risen, // granting the world great mercy!" Troparion (Tone 4 – Virgin-martyr Anastasia) Thy lamb Anastasia calls out to Thee, O Jesus, in a loud voice: / "I love Thee, my Bridegroom, and in seeking Thee I endure suffering. / In baptism I was crucified so that I might reign in Thee, / and I died so that I might live with Thee. Accept me as a pure sacrifice, / for I have offered myself in love!"// Through her prayers save our souls, since Thou art merciful! Troparion (Tone 8 – Venerable Abramius) The image of God was truly preserved in thee, O Father, / for thou didst take up the Cross and follow Christ. / By so doing thou didst teach us to disregard the flesh for it passes away / but to care instead for the soul, since it is immortal. // Therefore thy spirit, venerable Abramius, rejoices with the Angels. Kontakion (Tone 4) My Savior and Redeemer / as God rose from the tomb and delivered the earth-born from their chains. / He has shattered the gates of hell, / and as Master, // He has risen on the third day! Kontakion (Tone 3 – Virgin-martyr Anastasia) Purified by the waters of virginity, / righteous Anastasia, thou wast crowned by the blood of martyrdom. / Thou dost grant healing and salvation to those in need, / and who call on thee from their hearts, // for Christ gives thee strength, pouring out on thee ever-flowing grace. Kontakion (Tone 3 – Venerable Abramius) Thou didst live in the flesh on earth as an angel, / and through thy ascetic life thou didst become like a tree nourished by the waters of abstinence and didst flourish. / Thou hast washed away stains with the streams of thy tears / and so thou hast been revealed, Abramius, // to be a Godlike vessel of the Spirit. Prokeimenon (Tone 4) O Lord, how maniford are Thy works / in wisdom hast Thou made them all! v. Bless the Lord, O my soul! O Lord, my God, Thou art very great! Epistle Reading: Galatians 2:16-20 Knowing that a man is not justified by the works of the law but by faith in Jesus Christ, even we have believed in Christ Jesus, that we might be justified by faith in Christ and not by the works of the law; for by the works of the law no flesh shall be justified. But if, while we seek to be justified by Christ, we ourselves also are found sinners, is Christ therefore a minister of sin? Certainly not! For if I build again those things which I destroyed, I make myself a transgressor. For I through the law died to the law that I might live to God. I have been crucified with Christ; it is no longer I who live, but Christ lives in me; and the life which I now live in the flesh I live by faith in the Son of God, who loved me and gave Himself for me. Alleluia (3x's) (Tone 4) v. Go forth, prosper and reign, for the sake of meekness, righteousness and truth! Alleluia (3x's) v. For Thou lovest righteousness, and hatest iniquity. Alleluia (3x's) Gospel Reading: Luke 8:26-39 Then they sailed to the country of the Gadarenes, which is opposite Galilee. And when He stepped out on the land, there met Him a certain man from the city who had demons for a long time. And he wore no clothes, nor did he live in a house but in the tombs. When he saw Jesus, he cried out, fell down before Him, and with a loud voice said, "What have I to do with You, Jesus, Son of the Most High God? I beg You, do not torment me!" For He had commanded the unclean spirit to come out of the man. For it had often seized him, and he was kept under guard, bound with chains and shackles; and he broke the bonds and was driven by the demon into the wilderness. Jesus asked him, saying, "What is your name?" And he said, "Legion," because many demons had entered him. And they begged Him that He would not command them to go out into the abyss. Now a herd of many swine was feeding there on the mountain. So they begged Him that He would permit them to enter them. And He permitted them. Then the demons went out of the man and entered the swine, and the herd ran violently down the steep place into the lake and drowned. When those who fed them saw what had happened, they fled and told it in the city and in the country. Then they went out to see what had happened, and came to Jesus, and found the man from whom the demons had departed, sitting at the feet of Jesus, clothed and in his right mind. And they were afraid. They also who had seen it told them by what means he who had been demon-possessed was healed. Then the whole multitude of the surrounding region of the Gadarenes asked Him to depart from them, for they were seized with great fear. And He got into the boat and returned. Now the man from whom the demons had departed begged Him that he might be with Him. But Jesus sent him away, saying, return to your own house, and tell what great things God has done for you. And he went his way and proclaimed throughout the whole city what great things Jesus had done for him. Communion Hymn: Praise the Lord from the heavens, praise Him in the highest! Alleluia (3x's) Announcements A Warm Welcome to all of our visitors & guests who worshiped with us today and who have joined us in celebrating the Divine Liturgy. Please join us in the church basement for our Fellowship and Coffee Hour. Announcements 40 Days For Life – Philadelphia Campaign – Fall Season: The 40 Days for Life Fall Campaign is in its final week concluding on Sunday, November 5. This will be the largest campaign ever with peaceful vigils occurring in ALL 50 states at the same time! Meanwhile the killing still continues at Planned Parenthood. Thank you so much in advance for signing up for this list and being willing to continue standing up for those that can't speak for themselves. Information: Contacts: Monique Ruberu or Pat Stanton at 469.231.9084 * Email: email@example.com * Website: https://40daysforlife.com/local-campaigns/philadelphia/ * Prayer vigil located at 12 th & Locust St, Philadelphia – Planned Parenthood * Vigils open Monday-Saturday from 8am-5pm. * Try to have at least one person there to cover the hour. * There are more abortions performed there than at any other Planned Parenthood in Pennsylvania! The 40 Days For Life is not a political organization or a protest group. They stand and pray as a peaceful physical presence and witness for the lives of the unborn, who cannot speak for themselves. Other peaceful vigils located in the surrounding areas include: New Jersey – Absecon (Atlantic City area) and Cherry Hill Pennsylvania – Northeast Philadelphia, Norristown, Warminster, and West Chester Delaware - Wilmington and Dover ******************************************************************************* Did you know… According to Lee Moran from the Huffington Post on October 20, he reported a Twitter user (@edgette22) noted that the Kentucky Fried Chicken (KFC) company's official Twitter account "only" follows eleven (11) people on its Twitter social media platform. KFC follows all five (5) former members of the Spice Girls (an all female pop music group) and six (6) men whose first name is Herb. As expected, many comments and compliments swirled around the Twitter-verse, including Lee's that mentioned "a marketing move that Colonel Sanders himself would be proud of," Other comments ranged from: "KFC's Twitter game is finger lickin' good" \| "the person that runs the KFC account needs a raise. I don't care how much they make now." \| "Mind = Blown" \| to a very cleaver tweet: "They must have a seasoned marketing person." Many still need time to process this as to why only a highly select few KFC follows! Announcements (cont.) Candles and Prayers for the Faithful and Departed Health for the Living: Emelie Albrecht, Daria LeRoy offered by Nina Patterson Emelie Albrecht offered by M/M Herbert Jackie Blau offered by the Hourahan Family Katerina Rabik offered by Nancy Brasko Rabik Daria LeRoy offered by Pellack Family Newborn Ryan Michelle, Catherine, Albert, Patricia, Marc, William, Veronica (on her birthday), Matthew, Matthew, Obalu, Helen, Patricia (on her birthday), Alexander, Katherine, Daniel, Susan, John, Daria, Nina, Susan offered by M/M Ken Kavalkovich and Family May God Grant Them Many Blessed Years! Memory for the Departed: Pauline Maholick, Ann Sidoriak, Elanor Labik offered by M/M Herbert John and Julia Drimak offered by the Hourahan Family Julia Brasko and Irene Kavcsak offered by Nancy Brasko Rabik Vito, Helen, Anne, William, Andrew, Margaret, Bridget, John, Annemarie, Dennise, Sharbel offered by M/M Ken Kavalkovich and Family May Their Memories Be Eternal ################################################## Please remember in your prayers: Emelie Albrecht; Cantrell Family; Grace Corba; Robert Corba; Paul Filanowski (recovering); Ronald Kavalkovich (on his continuous recovery); Matushka Jan (recovery after eye surgery) Margaret Pellack; Helen Wanenchak; Father Vincent Saverino (on his retirement); Father John Bohush and the parishioners of Saint Nicholas Eastern Orthodox Church in Philadelphia; and all those who are serving in our Armed Forces! Continue to pray for all those who are still struggling and seeking relief in addition to all those first responders assisting them as a result of the damaging affects of all the Hurricanes, Earthquakes, Forest fires, over the past two months. Additionally, remember the victims and injured from the senseless tragedy at the Route 91 Harvest Music Festival in Las Vegas, NV. ################################################## Please ensure that your Mobile Phone is set to Silent (or at least set on vibrate) during the Divine Liturgy! Thank You!!! Announcements (cont.) Sign up sheets for Coffee Hour, Cleaning and Epistle & Hours Reading. Sign up sheets for the above items are posted on the bulletin board in the church basement. Please be considerate and volunteer to assist with some of the parish responsibilities. Your time is very much appreciated! Special weekly collections taken after Gospel or Sermon. In addition to our general collection, the parish takes a special collection each week to fund certain parish projects. Please be generous with your offering. Every little bit counts. The special collections are as follows: * First Sunday of every month – Kitchen Fund Project * Second Sunday of every month – Icon Fund (2016-17) * Third Sunday of every month - Restoration/Maintenance Fund * Fourth Sunday of every month – Charity Giving Note: if there is a Fifth Sunday during a month, the special collection is earmarked for the Kitchen Fund Project, unless otherwise noted and stated by the Parish Council. Cash Flow Activity (October) Week of Oct 16 to Oct 22 October Month-to-date Attendance: 37 36 (average) Funds In: $ 1,670.00 $ 7,252.00 Funds Out: ($ 107.24) reimbursement $ 7,209.58 Net Surplus/(Deficit): $ 1,777.24 $ 42.42 Thank you all for your continuous offerings to maintain the parish! Shop Rite Gift Cards: If you need to purchase Shop Rite Gift Cards, please see David Pellack to secure them. Your purchase of a Shop Rite Gift Card is an additional fundraising project that helps support the church at no additional expense to the purchaser. Calendar of Events 1 st Sunday of each month – Monthly Panikhida immediately after Divine Liturgy. 2 nd Tuesday of each month – Bible Study at 6:30pm in church basement. 2 nd Sunday of each month – Property Committee Meeting after Divine Liturgy. 3 rd Sunday of each month – Currently no permanent event is scheduled. 4 th Sunday of each month – Church Life Discussion Class after Divine Liturgy. IOCC 25 th Anniversary Benefit Banquet – This Afternoon! Adelphia Restaurant's Pan Athenian Grand Ballroom – 1750 Clements Bridge Road – Deptford, NJ 08096. The reception and silent auction will begin at 3:30pm, followed at 5:00pm by dinner and a special program highlighting IOCC's humanitarian work of the last quarter-century, made possible by your generosity. Tickets are $60 per person. Register online at IOCC website at: iocc.org/philadelphia Flyer and Information posted on Bulletin Board down in the church basement Saturday. November 4 from 9AM to 1PM – Harvest Fest Luncheon and Fall Outside Church and Hall Clean Up. With the beauty of Autumn comes the falling of the leaves, so the Property Committee is asking everyone to join them on November 4 to help clean up the church hall yard and outside property. In addition, Father Mark will bless the newly planted pussy willow tree in the yard. Afterwards, we will enjoy a lunch filled with Fall themed goodies! Yummmmm! Vespers to follow immediately after the Luncheon (beginning between 2pm & 3pm) Fall Orthodox Church Festivals on Saturday, November 4: ``` St Stephen Orthodox Cathedral – Philadelphia, PA – 10AM to 5PM Holy Trinity Orthodox Church – Pottstown, PA – 8AM to 2PM ``` "Saturday Sunday School" to begin on Saturday, November 11 at 2:30pm. Father Mark (along with two adult teachers) will begin having Sunday School classes for our parish children on Saturday afternoons beginning at 2:30pm (since we already have too many activities/events on Sunday). The agenda for the first classs (and more if necessary) will be on the Sacrements. All children 18 and under are welcome to attend the classes. Adults are also welcome to sit in on the classes. Father Vincent Savarino retirement celebration – Sunday, November 12. Hierarchal Divine Liturgy at St Michael Russian Orthodox Church * 4 th & Fairmount St * Philadelphia, PA, Then afterwards a banquet at the Cooper Rive Boat House in Pennsauken, NJ. For more information on this event, please contact Father Gregory Winsky by email at firstname.lastname@example.org Martyr Anastasia the Roman [Oct 29 th ] The Martyr Anastasia the Roman lost her parents in infancy, and was then taken to be reared by the abbess of a women's monastery, named Sophia. She raised Anastasia in fervent faith, in the fear of God and obedience. The persecution against Christians by the emperor Decius (249-251) began at that time. The city administrator, Probus, on the orders of the emperor commanded that Anastasia be brought to him. Blessed by her abbess to suffer for Christ, the young martyr Anastasia humbly came out to meet the armed soldiers. Seeing her youth and beauty, Probus first attempted flattery to make her deny Christ. "Why waste your youth, deprived of pleasure? What is there to gain by enduring tortures and death for the Crucified? Worship our gods, marry a handsome husband, and live in glory and honor." The saint steadfastly replied, "My spouse, my riches, my life and my happiness are my Lord Jesus Christ, and you will not turn me away from Him by your deceit!" Probus subjected Anastasia to fierce tortures. The holy martyr bravely endured them, glorifying and praising the Lord. In anger the torturers cut out her tongue. The people, seeing the inhuman and disgusting treatment of the saint, became indignant, and the ruler was compelled to end the tortures by beheading the martyr. In this manner, Saint Anastasia received the crown of martyrdom. The body of the saint was thrown out beyond the city to be eaten by wild animals, but the Lord did not permit her holy relics to be dishonored. At the command of a holy angel, Abbess Sophia went to find Saint Anastasia's mutilated body. With the help of two Christians, she buried it in the earth. ********************************************************************* 2018 Saint Tikhon's Monastery Calendar - Taking orders now: The parish will once again be ordering 2018 calendars from Saint Tikhon's Monastery. There is a sign up sheet posted on the bulletin board downstairs next to the other three sign up sheets (i.e. cleaning, coffee hour, reading schedule). The cost of the 2018 St Tikhon's calendars is $6 per calendar. The deadline for ordering these calendars will be: Sunday, November 5, 2017! *********************************************************************
January 19, 2015 REPORT #E15-302 Reduced Watt Lamp Replacement Market Characterization and Baseline Prepared by: Cadeo Group 10 G Street NE, Suite 710 Washington, DC 20002 Northwest Energy Efficiency Alliance PHONE 503-688-5400 FAX 503-688-5447 EMAIL firstname.lastname@example.org Table of Contents Executive Summary As part of its Reduced Wattage Lamp Replacement (RWLR) commercial lighting initiative to transform the Northwest market, the Northwest Energy Efficiency Alliance (NEEA) commissioned Cadeo Group to provide two elements necessary for the execution of a successful initiative: 1) An analysis characterizing the commercial lighting market supply chain, key players, market segments, and technologies at play. The lighting market brief will help NEEA make more informed decisions in rolling out the Initiative. 2) A twenty-year baseline forecast—defined as the market share of reduced-wattage fourfoot T8 lamps sold annually in the Northwest, absent market intervention. The baseline will also include an estimate of the absolute number of reduced-wattage four-foot T8 lamps sold annually. Reduced-wattage lamps are defined as 25-watt and 28-watt lamps. The baseline will be used to estimate future energy savings of the initiative. The primary source for Market Characterization is the Bonneville Power Administration's (BPA) Non-Residential Lighting Market Characterization (estimated to be published in April 2014). The focus of that study was the general service fluorescent lamp (GSFL) market and the impact of the new Department of Energy (DOE) standards (which took effect in 2012). The study relied heavily on interviews with key decision makers in the Northwest lighting market supply chain. Among the interviewees were nineteen distributors, eight regional lighting experts, one lamp manufacturer, two fixture manufactures, and one major retailer. The research team also conducted fifteen interviews with lighting maintenance contractors at a network event hosted by BPA and NEEA in the fall of 2013. In addition to the market actor interviews, regional sales data was collected from eleven of the nineteen distributors, which provided Navigant with a comprehensive understanding of the technologies used in the market and how those are trending due to natural market progression, utility programs, and DOE standards. A twenty-year baseline forecast that will be used to estimate future energy savings of the Initiative. The Initiative currently gives incentives to lighting distributors in the region based on their sales of reduced-wattage (28 watt and 25 watt) T8 lamps. This forecast estimates the market share of reduced-wattage four-foot T8 lamps sold annually in the Northwest without market intervention. The baseline also includes an estimate of the absolute number of reduced-wattage four-foot T8 lamps sold annually. The primary source for baseline development is also the Bonneville Power Administration's (BPA) Lighting Model, which was built using data from four main sources: BPA's Nonresidential Lighting Market Characterization, Department of Energy's (DOE) 2010 US Lighting Market Characterization, DOE's Energy Savings Potential of Solid State Lighting in General Lighting Applications, and DOE's 2011 Solid State Lighting Multiyear Program Plan. Cadeo updated and adapted the model to NEEA's specific needs: namely, enabling NEEA to estimate the impact of the Initiative by modeling a forecast of reduced-wattage lamps. 1 Market Characterization 1.1 Purchase Events Lamp "purchase events"—defined as instances that trigger the need to purchase a lamp—are typically grouped into three categories: 1) New construction or renovations; 2) Maintenance; 3) Upgrades or retrofits. The distinctions among these categories are important because they affect the economics of the choice a given purchaser or installer faces when selecting a lamp or system for installation. New Construction or Renovations: Renovations are categorized as new construction and differentiated from retrofits because the decision to renovate is not driven by the lighting system whereas retrofits or upgrades are. The primary decision maker is the building owner or tenant who is paying for the new construction or renovation, but they are often influenced by other stakeholders, such as architects and contractors. In larger or high-end projects, architects and lighting designers will provide input into the purchase decision. Depending on the size of the project and importance of lighting, manufacturer representatives or distributors may also be involved in the decision making process. Distributors reported that they consider guidance on lighting specification in such instances as a value-added service they provide their contractor customers. Maintenance: One of the major findings from BPA's research was that the maintenance market accounts for the majority of lamp sales. This market is relatively large as lamps typically burn out at a faster rate than buildings (or building spaces) turn over. The higher burnout rate is due to the long operating hours of the commercial sector. The replacement of failed lamps and ballasts is typically completed in two ways: 1) Spot replacement. This occurs when an individual lamp in a system burns out and is replaced one-for-one. Spot replacement is probably the most common type of maintenance activity, and certainly is in buildings with a significant diversity of technologies installed, with small buildings, or where the primary decision marker is a small business owner. 2) Group replacement. This occurs when a building owner, tenant or maintenance manager determines to replace all the lamps in a building or floor at one time, typically near the end of the expected useful life (seventy percent-eighty-five percent). Usually, only large businesses will follow a group replacement schedule, and even then some still favor individual lamp replacement (perhaps by default). The motivation for group replacement is savings on maintenance costs. For example, it is a common practice in high-bay applications, in order to avoid bringing in a lift every time a single lamp fails. Retrofit: The retrofit purchase event occurs when a given lamp is purchased in order to improve the efficiency (and/or reduce energy consumption) of a given lighting system. The primary decision makers are the end-user and, potentially, the contractor who may have sold the retrofit job, but similar to new construction, several other players, including energy service companies (ESCOs), may influence the final decision on exactly what is installed. 1.2 Distribution Chain The commercial lighting sector, shown below in Figure 1, illustrates several paths to market. Path to market varies based on technology and purchase events. For mature technologies, such as GSFL and High Intensity Discharge (HID), major manufacturers (GE, Osram Sylvania, Philips) control the bulk of the market. For emerging technologies such as light emitting diode (LEDs) the market is still fragmented and evolving quickly, but consolidation is expected as the technology matures. In addition to the channels contained in Figure 1, LEDs are often integrated with fixtures and sold through fixture manufacturers. Further down the distribution channels leads to a more fragmented market with more players at each stage. All of whom have their own priorities and motivations. Notes: Figure from Navigant (2014). Manufacturers: Being the first step in any distribution channel gives the manufacturers enormous power to influence the rest of the market. They are focused on producing the lamps in a profitable manner to maintain their margins and also to push lamps through the distribution channels to avoid the build-up of inventory and associated working capital investment at their plants. The major lamp manufacturers prefer to sell direct to distributors and major retailers. Manufacturers often try to incentivize distributors to move higher margin items to help increase their profits. For GSFL, the majority of sales are negotiated between the manufacturer and distributors. Major retailers also have deals with the large manufacturers, but the product will often still flow through distributors, who, in such situations, may receive a fixed mark-up on the product. Very rarely, large end-users can work directly with a manufacturer. This market structure argues for an upstream approach for market intervention. Distributors: The distributors are by far the most important step in the chain after the manufacturers because they usually "touch" the lamps regardless of the purchase event or who influenced the purchase decision. Distributors have a unique role in that they are the only market actor capable of holding large inventory across the market. They will often employ a regional hub and spoke model with a central warehouse that moves product to branches and directly to customers. The branch footprint enables direct interaction with customers (typically contractors) and affords the ability to gain local market knowledge and influence customer decisions. This local knowledge is important for individual distributors to differentiate themselves within the market. There are low barriers to entry in distribution—ultimately, distributors are "middlemen"—and brand loyalty among distributors' customers is low, which tends to lead to price competition. Beyond the physical distribution of the product, distributors also serve as a "bank" of sorts for the working capital invested in the inventory. Therefore, minimizing the time between paying for the product and getting paid by their customers for selling it is paramount to their financial success. Distributors are challenged to continually optimize the balance between having the products their customers want in stock and not having excess inventory to maximize profitability. Energy Service Companies: The term ESCO is inconsistently applied to various businesses in the commercial lighting sector. We use it here to mean a company focused on retrofit activities, selling energy savings as a key value proposition and typically through the use of some contractual credit arrangement. Their projects typically involve energy efficiency programs and ESCOS are motivated to save the most energy for their investment. They will usually work with distributors to move the lamps so they don't have the inventory or distribution fleet expenses. They will often either perform the installation or work with contractors who provide the labor to complete the retrofit. Retailers: Big box retailers such as Home Depot or Lowe's primarily serve the maintenance market. For GSFL, roughly half of sales are to contractors and half to end-users (namely, homeowners). Similar to the distributors they are concerned with minimizing inventory and also moving volume through as quickly as possible to boost profitability. Large retailers typically negotiate directly with the manufacturers at the corporate level, leveraging their scale to obtain better prices. For commercial sector products, retailers do little to upsell. They sell, for instance, a negligible share of reduced-wattage T8 lamps. Their influence on downstream customers is limited largely to what is offered on their shelves. Contractors: Contractors are often the market actors who actually make decisions about which lamps are purchased and installed, particularly in maintenance situations. Building owners or management firms often contract out for the maintenance of the building. Contractors will generally buy lamps from retailers or distributors and will pass along any price disruptions to the customer. Most contractors make their money on their labor, not on the small mark-up they apply to the product—so they have little incentive to push higher priced products in maintenance situations. When the customer is a small business owner, contractors can influence the decision significantly because they are often viewed as the expert by the building owner/operator. Building Owners & Operators: These 'end-users' constitute the demand side of the equation; they ultimately have the authority to make the decision about what lamp type to purchase. Larger businesses or buildings often either have in-house staff dedicated to maintenance or will subcontract maintenance to a lighting contractor. More sophisticated building operators (typically larger organizations or buildings) or large spaces will group replace lamps rather than spot replace lamps—to save on maintenance costs (as noted above) and ensure even lighting in a space. For small businesses and buildings, the owner or lessee with lighting responsibility, will often have a service contract with a lighting maintenance contractor. The contractor makes scheduled site visits and is available as needed to replace failed lamps. Smaller contractors and mom-andpop business owners are the most likely actors to utilize a DIY retailer for commercial lighting applications. 1.3 Technology Mix DOE lighting standards announced in 2009 were expected to eliminate the manufacture of T12 lamps in July 2012, but manufacturers were able to produce T12 lamps that met the standard. Additionally, high Color Rendering Index (CRI) T12s are exempt from the standard, providing a loophole for T12s to remain on the market. Consequently, the market share of these products and their effect on T12 retrofits was unclear before BPA conducted their extensive lighting market characterization. Figure 2 contains a breakdown of distributor linear fluorescent lamp sales data and indicates that the previously mentioned T12s are not having a significant influence on sales and are phasing out. Several distributors also noted that they would discontinue stocking and phased out T12s. Sales data indicates that the transition from T12s to T8s is continuing and also that eight-foot lamp sales are falling dramatically. Four-foot T8s are expected to account for more than eighty percent of sales in 2013, while eight-foot T8s account for less than one percent. Surprisingly, four-foot T8 800 series lamps were more common than the standard 700 series, which were given a two-year exemption by DOE. These four-foot T8 700 series lamps will no longer be compliant in July 2014. Figure 2: Breakdown of Distributor Sales by Linear Fluorescent Lamp Type Notes: Figure from Navigant (2014). Figure 3 illustrates that the majority of four-foot T8 lamp sales are of the 32-watt variety. Reduced-wattage lamps currently account for less than twenty-percent of distributor sales. Notes: Figure from Navigant (2014). As expected, sales data for linear fluorescent ballasts mirrors that for lamps with T8s accounting for the vast majority of sales. While the data shows high-efficiency ballasts as making up the majority of T8 ballast sales, this should be interpreted with caution because many market actors call any electronic ballast a "high-efficiency" ballast. While a still small part of the overall market, sales of T5 ballasts exhibited significant growth from 2011 to 2012. T5 lamp sales didn't have the same trends and remained constant from 2011 to 2012. This suggests the first generation of T5 ballasts are beginning to fail, leading to an uptick in replacement ballasts. Figure 4: Breakdown of Distributor Sales by Linear Fluorescent Ballast Type Notes: Figure from Navigant (2014). LED systems have shown tremendous growth in all market actors reported that they expected this to continue over the next several years. The majority of reported sales are reflector LEDs that account for eighty percent of sales followed by A-Types with twelve percent of sales. Notes: Figure from Navigant (2014). In addition to a large percentage growth in LED sales, distributors noted that the LED market is still extremely fragmented with new market entrants still rushing in. Partly as a consequence of the fragmentation, internet retail distributors expected internet retail to grow as a channel for LEDs. The diversity of LED applications makes standardization difficult, which in turn mitigates the would-be advantages of mass production. Therefore, smaller players and foreign manufacturers will be better able to compete as the market emerges: these players are more likely to rely on the internet channel as a means of low-cost distribution. Unlike LEDs, HID systems are declining in use. Mercury vapor lamps are nearly gone from the market, with the mercury vapor ballast ban from several years ago driving the decline. High pressure sodium lamps have experienced a steady decline both in absolute terms and as a share of the market. Metal halide lamps are also declining in absolute terms but growing as a share of the HID lamp category. Table 1: HID Market Share \| Type \| 2010 Market Share (%) \| 2011 Market Share (%) \| 2012 Market Share (%) \| Expected Decrease in 2013 Sales (%) \| \|---\|---\|---\|---\|---\| \| Metal Halide \| 69 \| 76 \| 78 \| 42 \| \| High Pressure Sodium \| 30 \| 23 \| 21 \| 22 \| \| Mercury Vapor \| 2 \| 2 \| 1 \| 13 \| Notes: Data from Navigant (2014). Share may not sum to one hundred percent due to rounding 2 Baseline Model Overview In contrast to other approaches, the BPA model is appropriate for the task of modeling reducedwattage T8 lamps because it models the entire lighting market (as opposed to a simple extrapolation of reduced-wattage T8 lamps in isolation). This is important because in the lighting market, particularly the non-residential sector, many different technologies "compete" for selection by the consumer at any given time. The model is also capable of accounting for significant changes in the marketplace, with the rapid growth of Light Emitting Diodes (LEDs) being the most prominent change. The dynamic cost and performance characteristics of one technology (i.e., LEDs, etc.) affect the likelihood of a consumer choosing one system over another (both in the real world and in the model). At its core, the BPA model evaluates this consumer decision making based on cost and performance specifications. 2.1 Model Structure Sectors analyzed. The model investigates four sectors (residential, commercial, industrial, and outdoor). Reduced-wattage T8s are found almost entirely in the commercial and industrial sectors. Lighting drivers. In each sector, the model examines four different components of the annual lighting market: 1. New construction: units added to the market due to new construction growth 2. Retrofits: installations to replace existing lamps, ballasts, or fixtures retired during renovation or remodeling 3. Lamp replacements: installations to replace lamps that reach their end of life 4. Ballast replacements: installations to replace ballasts that reach their end of life Submarkets. Within each sector, five different submarkets, or groups of technologies suited for similar applications, are analyzed independently. Table 2 shows the specific lighting technologies that "compete" within each submarket, as analyzed in the model. Not all submarkets are assumed to be active in all sectors. For example, there is a very limited role of high intensity discharge lamps in the residential sector. Table 2: Lamp Submarket Groupings Note: Data from BPA 2014 2.2 Model Operation Initial installed stock. The model is initialized with a 2010 lighting inventory (or total installed stock in 2010) in the Northwest. The Northwest stock was developed by scaling the lighting inventory developed by DOE in the 2010 U.S. Lighting Market Characterization to the Northwest region based on the ratio of floor space in the Northwest compared to the country as a whole (DOE 2010). T12 and T8 lamp quantities were modified to align with distributor sales data collected from the BPA lighting market characterization study (BPA 2014), as well as the Commercial Building Stock Assessment (CBSA) (NEEA 2009). This installed base is then converted to installed lumen-hours by incorporating the average lamp wattage, efficacy, and operating hours. Lumen-hours are simply the service provided by lamps— that is, they provide lumens over time. The lumen-hour is a useful unit of analysis for the lighting market because it accommodates the longer product lifetimes and higher efficiencies entering the market due to the emergence of LEDs as well as new federal lighting standards. Annual market. The model then generates an annual market through 2035 and predicts market share based on consumer purchasing decisions. The annual market is determined by calculating the demand in lumen-hours for each sector and submarket group. Market demand is driven by the four events listed above: new construction, retrofit, ballast replacement, and lamp replacement. To portray the new construction market, the model uses the residential and commercial sector forecast from the Sixth Northwest Conservation and Electric Power Plan (Sixth Plan) (Northwest Power and Conservation Council 2010). The building renovation or fixture replacement rate is assumed to be the average lighting turnover rate assumed in the Sixth Plan, while the lamps and ballasts are replaced based on their operating hours and rate lifetime. Competition. The next step is to "compete"—within in each sector and each submarket—a set of technologies against one another for the available market that was generated as discussed above. In other words, the next step is estimate the market share of lamps and ballasts sales in each submarket. To model the market share allocated to each technology, three different factors are considered: - An econometrics model that accounts for different economic factors such as purchase cost and annual maintenance cost - A technology acceptance factor that uses historical data to calibrate market share - A technology diffusion curve to consider how prevalent a technology is in the market The resulting market share distribution is then applied to the total available market to yield the total lumens shipped per technology. The model recalculates the next year's installed base by applying the turnover rates. Figure 6Error! Reference source not found. summarizes the overall lighting model structure: Source: BPA 2014 Scenarios. The lighting model has both a "frozen efficiency" and a "technology shift" scenario. Under the "frozen efficiency" scenario, which is more conservative in terms of market improvement, the technology market shares are essentially fixed; under the "technology shift" scenario, they can vary. Following discussions with NEEA staff, Cadeo decided to use the technology shift scenario as the baseline scenario because it represented the best estimate of the underlying dynamics in the lighting market. Removing programmatic sales from the historical data and forecast. The only historical sales data in the region (from the BPA report) included all sales irrespective of whether they were driven by utility programs. To model the market without utility intervention, Cadeo needed to estimate and remove from historical sales, the number of RWT8 lamps attributable to utility programs. There is no complete data on the number of RWT8 lamps that flow through utility programs; the best option was to approximate this volume based on a variety of sources. First, the team queried a large sample (2,500+) of lighting projects conducted through BPA Option 1 programs between 2012 and 2013. Cadeo calculated the number of 32W, 28W, and 25W lamps sold during those jobs (which included many other types of lighting technologies). This number then had to be annualized and scaled up to the region. The total energy savings from the sample of lighting jobs was 8.1 aMW. From its work with BPA, Cadeo also knew the total annual lighting energy savings generated through all regional commercial lighting programs (49.9 aMW in 2012). Using the ratio of the BPA sample savings to the total regional savings (8.1/49.9), Cadeo scaled up the total shipments of the three T8 lamp types. This method, of course, requires the assumption that the sample of BPA program data was representative with respect to technology mix of all regional commercial lighting programs in aggregate. Table 1 shows the number of reduced-wattage lamps incentivized through utility-driven lighting projects in the Northwest in 2012. For comparison, 1.7 million reduced-wattage lamps were sold in total that year. Cadeo then shifted these lamps to the 32-watt category in the model to remove the effect of the programs: Table 3: Lamps Sales Due to Regional Programs \| Lamp Wattage \| Number of Lamps \| \|---\|---\| \| 28 Watt \| 331,737 \| \| 25 Watt \| 28,691 \| 2.3 Key Assumptions Several key assumptions were made about inputs to the model to update it for NEEA's needs and to ensure that the model is using the most up-to-date data: 1) LED cost and efficacy data came from DOE's Solid State Lighting Multiyear Program Plan (DOE 2011). Lifetime projection data comes from DOE's Energy Savings Potential of Solid State Lighting in General Illumination Applications (DOE 2012). 2) The T8 lamp category in the model was disaggregated into 32 watt, 28 watt, and 25 watt lamps (shown in Table 4) based on regional distributor sales data from 2010-2012 that was collected in the aforementioned BPA Lighting Market Characterization study. 3) Prices for the T8 lamps, also shown in Table 4, are meant to reflect representative costs to the final end-users of the lamps and are based on information provided by NEEA. Table 4: T8 Lamp Market Share and Prices \| Lamp Wattage (W) \| T8 Market Share (%) \| Price ($) \| \|---\|---\|---\| \| 32 \| 82 \| 4.11 \| \| 28 \| 14 \| 5.77 \| \| 25 \| 4 \| 5.7 \| Notes: Data from BPA 2014 and Cadeo research 4) Based on manufacturer and lighting contractor interviews, as well as other secondary research, Cadeo identified a reluctance in some portions of the market to install RWT8 lamps. One concern relates to their performance in cold environments, or near HVAC vents, where they can be susceptible to striation (due to the krypton gas), causing customer call backs. Another concern, particularly with 25W lamps, relates to their ability to perform in dimming applications. To account for these non-economic concerns and the pre-disposition most contractors have to replace lamps "like-for-like" in the maintenance market, Cadeo set the "lamp acceptance factor" at 30% for 28 watt T8s and 5% for 25 watt T8s. The lamp acceptance factor is an input that constrains the diffusion of a given technology based on non-economic factors. This acceptance factor increases by 1% per year for the 28 watt and 25 watt categories to account for the assumption that the market would naturally become more comfortable with them over time. 2.4 Baseline Forecast Results Figure 7 and Table 5 below illustrate projected sales by count as well as by share of the T8 lamp market in the region, as forecast in the model. Table 5: Share of T8 Lamp Sales by Wattage \| \| 2011 \| 2016 \| 2021 \| 2026 \| 2031 \| \|---\|---\|---\|---\|---\|---\| \| 32 watt \| 86% \| 80% \| 79% \| 76% \| 72% \| \| 28 watt \| 12% \| 15% \| 15% \| 16% \| 18% \| 3 Additional Research Opportunities Due to the rapid growth of LEDs and lingering uncertainty regarding the effects of DOE's federal minimum standards for general service fluorescent lamps, areas for additional research and analysis exist: 1) Currently, there is little understanding of what drives or influences the "demand-side" (e.g. building owners, maintenance firms), particularly with respect to the maintenance market and how choices on lighting systems are made. Deeper knowledge about this demand-side decision making process will assist in program design and evaluation as well as boost overall program effectiveness by allowing more targeted messaging efforts. 2) LEDs will have a significant impact on the commercial lighting market in the next five years, but the evolving marketplace remained extremely fragmented and ill-defined. A study of the LED market supply chain, which is likely significantly different than the GSFL market, would provide valuable insights into how programs and NEEA could influence this market. It would also provide insights to how NEEA and others can work to control quality issues. 3) Distributors reported that other channels including internet could account for up to ten percent of sales. The online channel was particularly strong for LEDs, and given the growth of LEDs, further investigation of the online channel could strengthen the analysis. 4 References Bonneville Power Association. 2014. Lighting Market Characterization. Portland, OR. Department of Energy. 2010. 2010 US Lighting Market Characterization. Washington DC. Department of Energy. 2011. 2011 DOE Solid State Lighting Multiyear Program Plan. Washington DC. Department of Energy. 2012. Energy Savings Potential of Solid State Lighting in General Illumination Applications. Washington DC. Northwest Energy Efficiency Alliance. 2009.2007 CBSA Database. Portland, OR: Northwest Power and Conservation Council. 2010. Sixth Northwest Conservation and Electric Power Plan. Portland, OR. Navigant Consulting. 2014. Non-Residential Lighting Market Characterization: Determining the Baseline and Estimating non-Programmatic Savings. Portland, OR. Bonneville Power Administration.
Improving the efﬁciency of power simulators by input vector compaction* Chi-ying Tsui Radu Marculescu, Diana Marculescu, Massoud Pedram Department of Electrical and Electronic Engineering Hong Kong University of Science and Technology Clear Water Bay, Hong Kong Department of Electrical Engineering - Systems University of Southern California Los Angeles, CA 90089 Abstract Accurate power estimation is essential for low power digital CMOS circuit design. Power dissipation is input pattern dependent. To obtain an accurate power estimate, a large input vector set must be used which leads to very long simulation time. One solution is to generate a compact vector set that is representative of the original input vector set and can be simulated in a reasonable time. In this paper, we propose an input vector compaction technique that preserves the statistical properties of the original sequence. Experimental results show that a compaction ratio of 100X is achieved with less than 2% average error in the power estimates. 1. Introduction The major source of power dissipation in digital CMOS circuits is the charging and discharging of capacitances during logic transitions and is calculated for each gate in the circuit as: where C L is the load capacitance seen by the gate, V dd is the supply voltage, f is the clock frequency, and E(switching) is the expected number of output transitions per clock cycle. Circuit level simulation based techniques [3][4] have been developed which can capture the ﬁne details of the transistor model. These methods are accurate but suffer from high computational cost and memory overhead, which limits the size of the input vector set to hundreds or thousands of vectors. This results in inaccuracy in the power estimation process as described next. Power consumption in digital circuits is input pattern dependent, i.e. depending on the input vectors applied to the circuit input, very different power estimates may be obtained. To obtain an accurate average power consumption, a set of input vectors that resemble the characteristics of data for typical applications is required. Usually these characteristic input vector set has a size . * This work was funded in part by ARPA under contract no. F33615-95-C1627, the SRC under contract no. 94-DJ-559 and by a grant from the Intel Corp. of millions of vectors. Input vector size of hundreds or thousands, if selected arbitrarily, may not be able to capture this typical behavior and may thus lead to underestimation or overestimation of the power consumption of the circuit. One method for solving this problem is to compact the millions of input vectors into a characteristic stimulus vector set which has a much smaller size, yet is statistically equivalent to the original larger vector set. Gate-level power estimation uses either dynamic or static techniques. Dynamic techniques explicitly simulate the circuit under a gate-level logic model with a typical input vector sequence (or input stream). Statistical techniques such as Monte Carlo simulation approach [1] alleviate the above mentioned problem of pattern dependence. This method however assumes that the signal and transition probabilities of the primary inputs are independent and may therefore give inaccurate estimates. Static techniques do not explicitly simulate the circuit. Instead, they rely on statistical information (such as the mean switching activity and correlations) about the input stream and then calculate the same statistical information for the internal nodes of the circuit in order to obtain the average power consumption of the circuit [2][5][6]. The problem of input dependence is alleviated by using appropriate statistical information that captures the characteristics of the input vector. These methods are fast, but the accuracy is in general not as high as that obtained from explicit simulation. In conclusion, to achieve accurate power estimates (e.g. estimating the power consumption of the chip before taping out), explicit simulation is a better choice. To reduce the simulation time, a compact input vector set that can capture the power consumption behavior of the given input data has to be derived. In this paper, we investigate and identify factors and properties of the input vector set that inﬂuence the power consumption of the digital circuit and develop an algorithm to compact a set of input vectors such that these power-determining properties are preserved. In particular, the spatiotemporal correlations of the inputs have direct impact on the power consumption [6]. We describe a method of compacting a set of input vectors such that the spatiotemporal correlations are preserved. From the experimental results, a compaction ratio of 100X can be easily achieved with a less than 2% average error in the power estimates. 2. Factors Affecting the Dynamic Power Consumption Logic transition at the output of a node can be viewed as a probabilistic event and hence the expected number of these transitions over a period of time can be estimated by the transition probability of the node. Under the assumption that the primary inputs are temporally uncorrelated, the transition probability at the output of an internal node (gate) n is given by: where TP n and P n are the transition and signal probabilities of n, respectively. The signal probability depends on whether the inputs of n are correlated or not. The assumption of spatial and temporal independence is however not always true. Indeed, in most applications, only some input patterns out of all possible input patterns are feasible and the sequence of the input patterns is far from random. For example, in the microprocessor domain, input patterns are generated from architectural level traces which are driven by the instruction opcodes and the instruction mix of typical applications. Signal correlations among inputs of a gate are generated from two sources. The ﬁrst is the structural dependency due to reconvergent fanout. The second is the stochastic dependency due to the primary input correlations, that is, input lines that are structurally independent may become correlated because of the circuit input correlations [6]. If the circuit inputs are not temporally independent, the switching activity has to be captured by the transition probability which depends on the sequence of input patterns applied and hence the transition probability of the primary inputs. In [7], it is shown that reshufﬂing the input vector sequence to achieve a different temporal correlation while preserving the input signal probabilities leads to large variations in the circuit power consumption. Similarly, in [6], it is shown that spatiotemporal correlations at the primary inputs have a signiﬁcant impact on the power consumption of the circuit. For an input sequence having high correlations (generated by a sequence counter), the power consumption can be as low as 5% of the power consumption for another input sequence which has low correlations (generated by a random number generator). Accounting for the all possible correlations is practically impossible even for small circuits. In [6], correlations are approximated by considering only pairwise signal correlations. This gives rise to sixteen correlation coefﬁcients corresponding to the sixteen possible transitions of a pair of signals (x,y). In [5], it is shown that the accuracy in estimating the switching activity of individual nodes in a circuit improves by an average factor of 6X compared to the approaches that do not account for any of the correlations. To summarize, signal probabilities, transition probabilities and spatiotemporal correlations are the important properties of the primary inputs which affect the power consumption of the circuits. Note that given the spatiotemporal correlations between two input signals x and y, the signal and transition probabilities of x and y can be easily calculated [6]. 3. A Vector Compaction Algorithm The problem of vector compaction is stated as follows: Vector Compaction Problem 1: Given an input vector sequence S 1 of length L 1 with some property P 1 , compact or reconstruct another vector sequence S 2 of length L 2 with property P 2 such that P 1 and P 2 are the same (or nearly the same). ❒ The compaction ratio is equal to L 1 /L 2 . For power estimation, relevant properties are the joint transition probabilities of the signal lines (which are related to their spatiotemporal correlation in a straight-forward manner [6]). As it is difﬁcult to account for the exact joint transition probabilities, we use the pairwise transition probabilities as an approximation. From the discussion in Section 2, if we closely capture the pairwise transition probabilities, the compacted vector set should represent the power-determining behavior of the original vector set. To measure how closely the compacted vector set resembles the original vector set, we use a metric C 1 which measures the absolute error in pairwise transition probabilities among all possible combinations of inputs and is given by the following equation: where Diff(x i ,x j ) is equal to: x i is the i th input signal, P 1 x(a->b),y(c->d) and P 2 x(a->b),y(c->d) are the pairwise transition probabilities of signals x and y for S 1 and S 2, respectively. The vector compaction problem for power estimation is therefore formulated as follows. Vector Compaction Problem 2:Given an input vector sequence S 1 of length L 1 and a compaction ratio R, generate an output vector sequence S 2 of length L 2 where L 1 /L 2 = R and such that C 1 , as deﬁned in equations (3) and (4), is minimized. ❒ We cast the problem of observing pairwise transition probabilities to that of observing pairwise signal probabilities as follows. The four types of signal transitions, 0->0, 0->1,1->0, 1->1 are encoded by 4 symbols, a, b, c,d, respectively. The pairwise transition probability of two signals x and y is then translated to the pairwise signal probabilities of this two signals with the new signals taking on values (a,b,c,d) instead of (0,1). For example, Generating a vector sequence that satisﬁes the pairwise transition probabilities is thus reduced to generating a vector set of symbols that satisﬁes the pairwise signal probabilities. After the generation of the sequence of symbolic vectors, we have to convert it back to a sequence of binary vectors for the simulation purpose. If we have n-1 symbolic vectors, we should be able to reconstruct n binary vectors accordingly. However, the consecutive symbolic vectors may not be "temporally compatible" and thus we may fail to generate a valid binary vector. The following example illustrates the incompatibility problem. Let α i n-1 and α i n be two consecutive symbols for signal i. If α i n-1 = a, then the corresponding binary bit pair b i n-1 and b i n is (0,0). α i n is then used to generate the binary bit pair (b i n , b i n+1 ). But b i n is already bound to 0 by α i n-1 , so α i n can only be a or b since it corresponds to binary pairs (0,0) and (0,1). Therefore only the following pair of symbols are temporally compatible: (a,a), (a,b), (b,c), (b,d),(c,a),(c,b), (d,c),(d,d). One method for solving this problem is to neglect the temporal incompatibility between pairs of consecutive symbolic vectors. Instead of connecting the pairs of binary vectors generated from the two consecutive symbol vectors, two separate pairs of binary vectors are generated (we will refer to this technique as the unconstrained symbolic vector compaction). In this case we generate 2n binary vectors. When the vectors are input to the simulator, only the power consumption due to alternative pairs of vectors will be included. This method has a drawback that 2n binary vectors will be generated instead of n. Therefore the compaction ratio will be reduced by a factor of 2. Another method for solving this problem is that when we generate the symbolic vectors, we make sure that the consecutive vectors are temporally compatible (we will refer to this technique as the constrained symbolic vector compaction). 3.1. The Compaction Algorithm First information on the pairwise transition probabilities (or pairwise symbolic probabilities P(x=α^y=β)) is collected. The next phase of the process is the vector generation stage which takes the pairwise transition probabilities and a user-given compaction ratio R and generates a set of symbolic vectors. For the unconstrained symbolic vector compaction, a row based construction is used in which one vector is built at a time until all required vectors are generated. The objective of the construction process is to maintain the pairwise transition probabilities. During the vector construction process, a symbol is selected for each input bit as follows. For the ﬁrst bit x 0 , the symbol α that has the maximum transition probability (P(x 0 =α)) is picked. For an input bit x j (j>0) the symbol that has the largest sum of joint pairwise symbolic probabilities with the symbols that have already been picked for the previous input bits (x i ,i<j) is selected. In other words, the following objective function F 1 is maximized: where α is the symbol being considered for x j and β i is the symbol already chosen for bit x i . After symbols are chosen for all the bits for the ﬁrst vector V 1 , the pairwise symbolic probabilities are different for the remaining vectors since some symbolic pairs have already occurred in V 1. The pairwise symbolic probabilities have to be updated as follows. Let L 1 be the number of vectors to be generated and α i and β j be the symbols chosen for bit x i and x j in V 1 , respectively. Before generating V 1 , the number of occurrences of x i = α i and x j = β j in L 1 vectors is given by . After they are chosen for V 1 , the number of occurrences of x i = α i and x j = β j in the remaining L 1 −1 vectors is equal to . Therefore the pairwise symbolic probability of x i = α i and x j = β j has to be updated as . P xi α i = x j β j = ( )L 1 P xi α i = x j β j = ( )L 1 1 – P xi α i = x j β j = ( )L 1 1 – L 1 1 – Other pairwise symbolic probabilities of x i = α and x j = β where α i or β j are updated as . P xi α i = x j β j = ( )L 1 L 1 1 – The ﬁnal phase is translating the symbolic vectors into binary vector pairs which is a simple decoding mechanism. For the constrained symbolic compaction, we ensure that the symbolic vector generated at step t is temporally compatible with the one generated at step t-1 as described next. When selecting a symbol α i t for bit x i for the t th vector, we can only choose from the symbols that are temporally compatible with the symbol α i t-1 for bit x i where α i t-1 is the symbol of x i selected for the t-1 th vector. We choose the symbol that is temporally compatible and has the maximum F 1 value as given in equation (6). Because of the temporal compatibility restriction, the symbolic vectors generated do not necessarily result in minimum C 1 . It is a difﬁcult problem to optimize C 1 for the constrained symbolic compaction. Here we propose a greedy mechanism. After we obtain the ﬁrst symbolic vector sequence, we translate them to a binary vector sequence S. For each binary vector, we calculate the gain G i of changing the value of bit x i . The gain is the change in C 1 if x i is ﬂipped. The bit that has the largest positive gain G is chosen to change value. The gains of the rest of the bits are recalculated after the value of x i is changed. The process is repeated for every bit that has a positive gain. Then we go to the next vector and repeat the bit changing mechanism. After we try on every vector, the whole process is iterated again until no reduction in C 1 is observed or the number of iterations exceeds a user-speciﬁed number. 4. A Paradigm for Efﬁcient and Accurate Multi-level Power Estimation Modern VLSI chips may contain millions of transistors. Even though we may compact the input vectors to a few hundreds, it is still very time consuming to simulate the whole chip at the circuit (or even the gate) level. An efﬁcient but accurate chip level power estimation paradigm which addresses this problem is described next. The chip is ﬁrst divided into building blocks. Each building block has a detailed structural model at the gate or circuit level. A behavioral model of the chip is built using the building blocks as components. Simulation is then carried out at the behavioral level (as it will be signiﬁcantly faster than gate or transistor level simulation). The input vectors to the simulator are derived from the set of typical benchmark applications that the chip is designed for. A statistical data collection agent is then used to collect the bit switching statistics for the buses or nets that are connected to the inputs of each building block. After the statistical data is collected, the vector compaction program is used to generate the compacted input vector set for each building block which can then be fed to the corresponding low level simulator to estimate the power consumption of each building block. The total power consumption of the whole chip can be obtained by adding the power consumption of all building blocks and the power consumed at the buses which connect the building blocks. 5. Experimental Results To demonstrate the effectiveness of the vector compaction program (called vcct), we carried experiments on MCNC-91 benchmark circuits and some datapath circuits such as adders and multipliers. The ﬁrst experiment uses two sets of vectors, each having 100,000. The ﬁrst one is a counter sequence with the sequence restarting at a random number after a ﬁxed number of vectors are generated. The second vector set consists of a highly correlated vector set used for testing purpose. The vectors are fed to a gate-level logic simulator which can measure real delay dynamic power consumption. A clock frequency of 20MHz is assumed and all power values are in mW. The results presented here are for the unconstrained symbolic vector compaction which has a faster runtime and better accuracy than constrained symbolic vector compaction. This experiment shows the importance of preserving the spatiotemporal correlations during the vector compaction process. We compact the vector set with a compaction ratio of 100X. Table 1 summarizes the results. For each vector set, we provide the compaction results corresponding to when we account for both spatial and temporal correlations (sp_te column) and when we only account for temporal correlations (te only column). It can be shown that by considering spatiotemporal correlations using pairwise transition probabilities, the compacted vector gives a very accurate power estimation when the vectors are pumped through the logic simulator. The second experiment uses Powermill [4], a circuit level power simulator which is the industrial standard for power estimation. Two sets of vector sequences are used. Each has 4000 vectors. The ﬁrst set is a highly biased vector set and the second set is a randomly-generated vector set. Each vector set is compacted by 20X. Table 2 summarizes the results. Power is measured by the average current drawn from the power supplies and accounts for both capacitive and short-circuit currents. The result clearly shows the effectiveness of the vcct program in preserving the power-determining behavior of the original sequence. The maximum error is below 5% while the average error is less than 2%. 6. Conclusion We presented a method of compacting a large vector set into a characteristic vector set with smaller number of vectors. By doing so, the number of simulation cycles required for obtaining accurate power estimation is dramatically reduced. We showed that by keeping the pairwise transition probabilities during the vector compaction, the average error in power estimation using the compacted vector is within 2% of that using the original vector. Acknowledgement The authors would like to thank Deo Singh of Intel Corp. for posing the problem to us and Qing Wu of USC for helping with the PowerMill runs. Bibliography [1] R. Burch, F. Najm, P. Yang and T. Trick, "A Monte Carlo approach for power estimation", IEEE Transaction on VLSI Systems, vol. 1, no. 1, pp. 63-71, March,1993 [2] C-Y. Tsui, M. Pedram and A. M. Despain, "Efﬁcient Estimation of Dynamic Power Dissipation under a Real Delay Model", in Proceedings of IEEE International Conference on Computer-Aided Design, pp. 224-228, Nov., 1993 [3] F. Rouatbi, B. Haroun and A. J. Al-Khalili, "Power Estimation Tool for Sub-Micron CMOS VLSI Circuits", in Proceedings of European Design Automation Conference, pp. 204-209, 1992 [4] C. Deng, "Power Analysis for CMOS/BiCMOS Circuits", in Proceedings of International Workshop on Low Power Design, pp. 3-8, April, 1994 [5] R. Marculescu, D. Marculescu and M. Pedram, "Logic level power estimation considering spatiotemporal correlations", in Proceedings of IEEE International Conference on Computer-Aided Design, pp. 294-299, Nov., 1994 [6] R. Marculescu, D. Marculescu and M. Pedram, "Efﬁcient power estimation for highly correlated input streams", in Proceedings of the 32nd IEEE Design Automation Conference, pp. 628-634, June, 1995 [7] S. Rajgopal and G. Mehta, "Experiences with Simulation-Based Schematic Level Current Estimation", International Workshop on Low Power Design, pp. 9-14, April,1994 Table 1: %Error in power estimation using unconstrained symbolic vector compaction: Real Delay Gate Level Simulation (sp-te: spatiotemporal correlations; te: temporal correlation only) \| \| Power Est. \| %Error \| \| Power Est. \| %Error f \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| te only \| sp- te \| \| te only \| sp- te \| \| C432 \| 856.8 \| 24.94 \| 1.72 \| 701 \| 9.60 \| 0.43 \| \| C880 \| 1403.2 \| 3.00 \| 0.98 \| 1282.2 \| 3.74 \| 0.44 \| \| C1355 \| 4499.6 \| 19.96 \| 2.77 \| 3538.4 \| 4.76 \| 6.90 \| \| C1908 \| 1173.7 \| 7.85 \| 0.38 \| 1110.9 \| 8.60 \| 0.40 \| \| C3540 \| 11985 \| 13.36 \| 0.58 \| 13517 \| 3.65 \| 2.02 \| \| C6288 \| 98573 \| 0.25 \| 3.25 \| 122789 \| 44.21 \| 0.57 \| \| add16 \| 1368.7 \| 3.98 \| 0.77 \| 1286.2 \| 16.39 \| 0.49 \| \| mul2 \| 153.1 \| 75.31 \| 0.52 \| 140.9 \| 2.63 \| 0.92 \| \| mul4 \| 770.2 \| 14.31 \| 0.52 \| 879.8 \| 15.51 \| 1.07 \| \| mul8 \| 5206.1 \| 8.45 \| 1.14 \| 6193.6 \| 11.05 \| 0.28 \| \| mul16 \| 27815 \| 18.67 \| 5.07 \| 37552 \| 40.70 \| 0.36 \| \| parity \| 292.5 \| 1.88 \| 1.20 \| 256.1 \| 61.69 \| 12.3 \| \| x1 \| 2379.1 \| 2.53 \| 1.65 \| 2147.1 \| 9.27 \| 0.15 \| \| apex7 \| 1725.6 \| 8.19 \| 0.31 \| 1653.4 \| 6.35 \| 1.14 \| \| Aver. \| \| 14.48 \| 1.51 \| \| 17.01 \| 1.96 \| TABLE 2. Current Estimation by PowerMill \| \| current(mA) for biased seq. \| \| current(mA) for ran- dom seq. \| \| \|---\|---\|---\|---\|---\| \| circuit \| original \| comp. \| original \| comp. \| \| C432 \| 0.407 \| 0.411 \| 0.775 \| 0.748 \| \| C880 \| 0.779 \| 0.765 \| 1.467 \| 1.516 \| \| C1355 \| 1.124 \| 1.136 \| 2.018 \| 2.013 \| \| C1908 \| 1.282 \| 1.254 \| 1.923 \| 1.936 \| \| C3540 \| 3.397 \| 3.480 \| 5.718 \| 5.822 \| \| C6288 \| 14.57 \| 13.83 \| 47.60 \| 47.62 \| \| mul2 \| 0.070 \| 0.070 \| 0.096 \| 0.097 \| \| mul4 \| 0.579 \| 0.582 \| 0.839 \| 0.833 \| \| mul8 \| 3.185 \| 3.131 \| 6.305 \| 6.315 \|
Application and Maintenance Guide Contents This document is intended to provide installation and field testing instructions for Dow Corning ® AllGuard Silicone Elastomeric Coating. Additional information regarding cleaning and maintenance is included to provide maximum, long-term waterproof performance for your building. Product Description Dow Corning ® AllGuard Silicone Elastomeric Coating is a one-component water-based silicone elastomer designed to waterproof above-grade exterior masonry substrates. Featuring a smooth, matte finish, this coating is available in a broad range of standard and custom colors that are made to order at your distributor's location. * Dow Corning ® 123 Silicone Seal Ideal for both new construction and renovation projects, Dow Corning AllGuard Silicone Elastomeric Coating withstands wind-driven rain without water penetration. Substrate Compatibility Dow Corning AllGuard Silicone Elastomeric Coating is designed to waterproof above-grade exterior masonry substrates, such as concrete block, fluted block, brick, stucco, synthetic stucco, poured concrete, precast concrete, Exterior Insulation Finish Systems (EIFS), and previously coated masonry substrates. Dow Corning AllGuard Silicone Elastomeric Coating generally has primerless adhesion to these substrates. Field adhesion testing is required at the site to ensure primerless results. Compatibility with Dow Corning ® Products Dow Corning AllGuard Silicone Elastomeric Coating is compatible with the Dow Corning ® products listed here. Dow Corning AllGuard Silicone Elastomeric Coating can be applied over the sealants after they have been allowed to achieve tack-free cure (see sealant data sheets for specific cure times). It is the only coating that can be used for application over Dow Corning ® 123 Silicone Seal. Products commonly used with Dow Corning AllGuard Silicone Elastomeric Coating include: * Dow Corning ® 756 SMS Building Sealant * Dow Corning ® 791 Silicone Weatherproofing Sealant * Dow Corning ® 790 Silicone Building Sealant * Dow Corning ® 795 Silicone Building Sealant When Dow Corning AllGuard Silicone Elastomeric Coating is used in conjunction with Dow Corning 123 Silicone Seal and these recommended sealants, complete building protection can be achieved. Colors Dow Corning AllGuard Silicone Elastomeric Coating is available in over 55 standard colors, and a full range of custom colors is available from your Dow Corning construction products distributor. Shelf Life Dow Corning AllGuard Silicone Elastomeric Coating has a shelf life of 9 months from date of manufacture. Application Design Considerations As with any high-performance material, care taken in initial design and application will result in longer coating life. In many building designs, there may be areas such as ledges and window sills that allow airborne dirt and soot to accumulate. If the design permits or promotes channeling of water runoff from these areas, dirt streaking is likely to result. Wall texture and environmental conditions are also important factors in the quantity and type of dirt accumulated. Industrial areas and nearby highways increase the probability of soot and hydrocarbon in the air, resulting in a greater chance of dirt pickup and streaking. If the building's location, design, wall surface, or existing dirt streaking indicates channeling of water down the side of the wall, drip edges are recommended on the ledges, window sills, and scuppers to reduce dirt streaking on Dow Corning AllGuard Silicone Elastomeric Coating. In field tests, the use of a drip edge greatly reduces or eliminates dirt streaking. The use of the drip edge moves the runoff water away from the wall, creating a non-patterned runoff. A drip edge can be fabricated from the same material as the window sills or from other formable composites. The design of the drip edge should allow for a minimum 1" (25-mm) width for attachment to the ledge, with a bent edge of 15 to 45° or minimum 1 /2" (13-mm) radius, with the edge at least 1 /2" (13-mm) away from the wall (see Figure 1). The drip edge can be mechanically adhered to the substrate or attached with Dow Corning 791 Silicone Weatherproofing Sealant or Dow Corning 795 Silicone Building Sealant. A field adhesion test on the sealant to drip edge and sill must be performed to verify good adhesion. Temperature and Humidity Dow Corning AllGuard Silicone Elastomeric Coating can be applied from 5 to 38°C (40 to 100°F). Do not apply if temperatures are forecasted to be below 5°C (40°F) within 24 hours after application. Do not apply the coating when the relative humidity is greater than 90 percent or when there is a threat of rain within 24 hours. Surface Preparation For recommendations to ensure proper cleaning and preparation of the substrate prior to coating, please refer to Table I. Sealing Cracks * Static cracks greater than 1 /16" (1.6 mm) must be repaired by methods suitable for the substrate before being coated with Dow Corning AllGuard Silicone Elastomeric Coating. * Static cracks less than 1 /16" (1.6 mm) can be bridged with Dow Corning AllGuard Silicone Elastomeric Coating. * Moving cracks should be stabilized or properly repaired for the expected movement prior to installation of Dow Corning AllGuard Silicone Elastomeric Coating to prevent tearing of the coating due to excessive movement. Workmanship * Apply a minimum of 2 coats to achieve a minimum thickness of ≥ 10 mils (0.25 mm) dry. * Protect adjacent surfaces and surroundings that are not to be coated. * Follow design considerations. Priming (if needed 1 ) One coat of primer is required. 1. Apply at a rate of 300 ft 2 /gallon (7.4 m 2 /L) using a 1/2 to 3/4" (13- to 19-mm) synthetic nap roller, nylon bristle brush, or airless sprayer. 2. Apply primer to the point of rundown. 3. Dry 30 minutes to 2 hours. Actual drying time will depend on temperature, humidity, and wind conditions. Allow an additional 30 minutes to dry after dry to the touch. 4. Apply coating over primer at least 30 minutes after primer is dry to the touch, but within 24 hours. If the surface cannot be coated during this time, care should be taken to ensure the primed surface is free of dirt and debris before applying coating. 1 To determine if a primer is required, perform field adhesion tests as outlined on page 4 of this guide. Table I: Surface Preparation 1 1 These are general recommendations; please refer to substrate manufacturer for specific remediation recommendations. 2 Efflorescence may be caused by migration of water through a cementitious substrate reacting with components of the mix. Removing efflorescence may not prevent further formation of efflorescence at a later time without mitigating water migration within the substrate. 3 If water beads on the surface, the surface is contaminated. Apply a test treatment of detergent or caustic soda with a bristle brush to remove contamination. Retest. If water still beads, a penetrating water repellent may exist and will interfere with adhesion. Contact your Dow Corning Technical Service Representative for further recommendations. Table II: Estimated Application Rate 1 (10-mil [0.25-mm] minimum dry film thickness) 1 Application rates vary tremendously with porosity and degree of texture on the substrate. These values are estimated and should be confirmed at the job site prior to bidding the project. Coating achieve uniform thickness. Always finish roller applications in the same direction to reduce visual surface texture differences. Allow the coating to dry (typically 2 to 4 hours) before applying the next coat. Note: Do not thin or cut back Dow Corning AllGuard Silicone Elastomeric Coating. A minimum of two thick (10- to 12-mil) coats of Dow Corning AllGuard Silicone Elastomeric Coating are necessary to achieve the required 10-mil (0.25-mm) minimum dry film thickness to attain protection against through-water penetration and to qualify for a project-specific warranty. Apply the coating in a minimum 10- to 12-mil (0.25mm) wet thickness (see Table II for estimated application rates; a job-specific mockup is recommended to determine actual usage). Typically, two 10- to 12-mil (0.25-mm) wet coats will result in the required 10-mil (0.25-mm) dry coating thickness; however, an additional coat may be required due to surface texture or porosity. Apply using a 3 /4 to 1 1 /2" (19- to 38-mm) nap, polyester, or 50/50 polyester/wool blend roller cover, nylon bristle brush, or airless sprayer. When applying the coating with a roller, apply it in a fan pattern to Drying Time After the final coat has been applied, the average drying time is 4 to 8 hours, depending upon temperature, humidity, and wind conditions. Dow Corning AllGuard Silicone Elastomeric Coating will attain full adhesion and physical properties in 7 to 14 days. Disposal See the Material Safety Data Sheet (MSDS) for disposal information. Adhesion Test Procedure Field adhesion testing is required to obtain the project-specific warranty from Dow Corning. Tests must be made on all sides and different substrates of the building being coated. The locations and results are required on the warranty application. Figure 2: Test Procedure Diagram 1. Prepare surfaces as described in Table I. 2. Use of a primer is optional, but testing is required to ensure sufficient adhesion in primerless applications. If primer is used, apply per the application method and allow to dry. 3. Apply the first coat of Dow Corning AllGuard Silicone Elastomeric Coating at a rate of 10- to 12-mil (0.25- to 0.31-mm) wet film thickness. Imbed a cheesecloth strip (1" x 12" [25 x 305 mm]) in the wet coating with a paint brush. 4. Apply the second coat over the cheesecloth at the same 10- to 12-mil (0.25- to 0.31-mm) wet film thickness and allow to fully cure for 7 to 14 days. This is an adhesion test only; additional coats may be required to achieve thickness requirements. 5. Test adhesion of the coating by pulling the uncoated part of the cheesecloth at a 180° angle at a slow, steady rate. remain on the substrate. If the 80 percent retention is not achieved, reclean and test another suitable section. If necessary, contact Dow Corning Technical Service for further instruction. (Refer to Dow Corning's web site www.dowcorning.com for the location of the nearest Dow Corning Technical Service facility.) 6. Inspect and note the percent cohesive failure (percent of coating material left on the wall surface). At least 80 percent of the coating should 7. If adhesion cannot be achieved, the test should be repeated using Dow Corning ® AllGuard Primer. Cleaning and Maintenance 1. Abrasive cleaners and cleaning equipment should never be used. 2. Routine cleaning is suggested, and dictated by the surrounding environment. Visible debris, such as airborne dirt or soot, should not be allowed to collect on the coating for a long period of time. This will increase cleaning effort and may be difficult to completely remove. 3. Recommended cleaning method involves the use of pressurized water and a basic cleaning agent such as trisodium phosphate (TSP) or Simple GreenTM1. Water pressure should not exceed 1,500 psi (10.3 MPa) to clean the surface without removing the coating material from the wall surface. A small test patch should be done first to determine how long the cleaning agent should be left on the surface before rinsing. 4. Stubborn marks may require the use of a soft bristle brush with the cleaning solution. Avoid stiff brushes that may abrade the coating. 5. Any touch-ups or repairs to the coating can be accomplished by applying Dow Corning AllGuard Silicone Elastomeric Coating to the clean, dry area according to the recommendations in this application guide. Limited Warranty Unless Dow Corning issues a project-specific written warranty, Dow Corning warrants only that the goods meet Dow Corning's sales specifications at the time of shipment. DOW CORNING EXPRESSLY DISCLAIMS ANY EXPRESS OR IMPLIED WARRANTY OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. The buyer's exclusive remedy and Dow Corning's sole responsibility for any claim arising out of the purchase or use of these goods is expressly limited to either replacement of the nonconforming goods or refund of the purchase price within 90 days of the date of purchase. Dow Corning offers a project-specific 10-Year Limited Performance Warranty when the Dow Corning AllGuard Silicone Elastomeric Coating is applied in accordance with Dow Corning's published application guidelines. Contact your Dow Corning Sales Representative for details or to apply for a project-specific warranty. Under this Limited Warranty, for a period of ten years from the date of purchase, Dow Corning will be responsible for the cost of replacement coating for any areas in which the Dow Corning AllGuard Silicone Elastomeric Coating fails to protect the above-grade substrate from through-water penetration and for the cost of labor to apply such replacement coating, up to a maximum of five times the cost of the replacement coating. Dow Corning's warranty is subject to certain restrictions and does not cover faults attributable to workmanship or the appearance of the coating. NOTE: No warranty is available when Dow Corning AllGuard Silicone Elastomeric Coating is used on a single-family residential dwelling. How to Contact Us Dow Corning has sales offices and manufacturing sites as well as science and technology laboratories around the globe. Telephone numbers of locations near you are available on the internet at www.dowcorning.com, or by calling one of our primary locations listed here. Your Global Connection Dow Corning Asia Ltd. – Japan Tel +81 3 3287 1151 Asia Dow Corning Asia – Singapore Tel: +65 253 6611 Australia & New Zealand Dow Corning Australia Pty. Ltd. Tel: +61 1300 360 732 Europe Dow Corning Europe Tel: +32 64 88 80 00 North America Dow Corning Corporation World Headquarters Tel: +1 989 496-6000 South America Tel: +55 11 3759 4300 Dow Corning do Brasil Handling Precautions PRODUCT SAFETY INFORMATION REQUIRED FOR SAFE USE IS NOT INCLUDED IN THIS DOCUMENT. BEFORE HANDLING, READ PRODUCT AND MATERIAL SAFETY DATA SHEETS AND CONTAINER LABELS FOR SAFE USE, PHYSICAL AND HEALTH HAZARD INFORMATION. THE MATERIAL SAFETY DATA SHEET IS AVAILABLE FROM YOUR DOW CORNING REPRESENTATIVE, OR DISTRIBUTOR, OR BY CALLING YOUR GLOBAL DOW CORNING CONNECTION. Limited Warranty Information – Please Read Carefully The information contained herein is offered in good faith and is believed to be accurate. However, because conditions and methods of use of our products are beyond our control, this information should not be used in substitution for customer's tests to ensure that Dow Corning's products are safe, effective, and fully satisfactory for the intended end use. Suggestions of use shall not be taken as inducements to infringe any patent. Dow Corning's sole warranty is that the product will meet the Dow Corning sales specifications in effect at the time of shipment. Your exclusive remedy for breach of such warranty is limited to refund of purchase price or replacement of any product shown to be other than as warranted. DOW CORNING SPECIFICALLY DISCLAIMS ANY OTHER EXPRESS OR IMPLIED WARRANTY OF FITNESS FOR A PARTICULAR PURPOSE OR MERCHANTABILITY. DOW CORNING DISCLAIMS LIABILITY FOR ANY INCIDENTAL OR CONSEQUENTIAL DAMAGES.
Deluxe King 'Canvas Cottage' Our Canvas Bell Tents are located in our wooded, riverside hotel garden. Beautifully furnished & warmed by log burning stoves, these are for guests who love camping in comfort. Fall asleep to the sounds of the river & our resident owls and wake up to the birds chirping in the trees. Staying in our luxurious tents is a very romantic experience, peaceful and calming. The garden is a 'quiet zone' so no need to worry about noisy neighbouring tents as our canvas cottages can only be hired to couples (dogs welcome), small adult family groups & children by arrangement only, and only when hiring all three tents together. Our larger tent has a king size bed 'proper bed with Egyptian cotton duvet bedding' comfortable seating, log burning stove, solar & candle lighting and tea/coffee making facilities, outdoor fire pit, garden games & much more. Guests can enjoy the full facilities of our Award Winning Inn, full Cumbrian breakfast is included in the price and dinner can be taken in our bar, restaurant or garden. We have three tents, sharing a rustic, quirky, wooden composting toilet cabin, for use when the hotel is closed for the evening and also a 'back to nature' outdoor hot shower in the woods! Towels provided Please note there is no electricity in the tents, guests should bring appropriate warm sleeping clothes for chilly nights and wet weather clothes & footwear for rainy days (you never know in Cumbria!) Double 'Canvas Cottage' Our Canvas Bell Tents are located in our wooded, riverside hotel garden. Beautifully furnished & warmed by log burning stoves, these are for guests who love camping in comfort. Fall asleep to the sounds of the river & our resident owls and wake up to the birds chirping in the trees. Staying in our luxurious tents is a very romantic experience, peaceful and calming. The garden is a 'quiet zone' so no need to worry about noisy neighbouring tents as our canvas cottages can only be hired to couples (dogs welcome), small adult family groups & children by arrangement only, and only when hiring all three tents together. We have two double tents one is furnished with a full size king bed & sofa futon & the other has a convertible double futon sofabed, which can be used as a sofa during the day and dropped into a bed in the evening with Egyptian cotton bedding & duvet provided, log burning stove, solar & candle lighting and tea/coffee making facilities, outdoor fire pit, garden games & much more. Guests can enjoy the full facilities of our Award Winning Inn, full Cumbrian breakfast is included in the price and dinner can be taken in our bar, restaurant or garden. We have three tents, sharing a rustic, quirky, wooden composting toilet cabin, for use when the hotel is closed for the evening and also a 'back to nature' outdoor hot shower in the woods! Towels provided. Please note there is no electricity in the tents, guests should bring appropriate warm sleeping clothes for chilly nights and wet weather clothes & footwear for rainy days (you never know in Cumbria!) NEW & EXCITING! Our three 'Canvas Cottage' Bell Tents. Our Canvas Bell Tents are located in our wooded, riverside hotel garden. Beautifully furnished & warmed by log burning stoves, these are for guests who love camping in comfort. Fall asleep to the sounds of the river & our resident owls and wake up to the birds chirping in the trees. Staying in our luxurious tents is a very romantic experience, peaceful and calming. The garden is a 'quiet zone' so no need to worry about noisy neighbouring tents as our canvas cottages can only be hired to couples (dogs welcome), small adult family groups & children by arrangement only, and only when hiring all three tents together (not available to book on-line – please call or e.mail to make a reservation for more than two guests per tent). Guests can enjoy the full facilities of our Award Winning Inn, full Cumbrian breakfast is included in the price and dinner can be taken in our bar, restaurant or garden. We have three tents, sharing a rustic, quirky, wooden composting toilet cabin, for use when the hotel is closed for the evening and also a 'back to nature' outdoor hot shower in the woods! Please note there is no electricity in the tents, guests should bring appropriate warm sleeping clothes for chilly nights and wet weather clothes & footwear for rainy days (you never know in Cumbria!) We do not provide cooking facilities in the garden and guests should not prepare their own food as we have no kitchen facilities in the garden. It's the best of both worlds, the romance of sleeping under the stars, with all the comforts of our hotel & dining facilities! TENT Ts&Cs & PRE-STAY INFORMATION; We know the list seems extensive, we are not 'rule freaks', we just want you to understand what we offer, enjoy your stay safely and ensure all neighbouring guests do also. Please ensure you read and agree to the following Ts&Cs by sending us an acknowledgement e.mail. We cannot confirm your reservation with us until we have received your written acceptance. 1. ELECTRICITY – there is none! You will not be able to use a hairdryer/straighteners so if you have bad hair, bring a hat/scarf!!! You can charge mobile phones in the hotel. 2. An OUTDOOR SHARED SHOWER is available along with a SHARED COMPOST LOO. Its better than it sounds! The shower is enclosed for privacy (Robes provided) and is a great experience and the toilet is really cute! Guests can use the hotel toilets during opening hours. 3. CLOTHING - guests should bring appropriate warm sleeping clothes for chilly nights and wet weather clothes & footwear for rainy days (you never know in Cumbria!) We can pop wet clothes in our tumble dryer if needed. 4. ALL BEDDING, BEDDING, TOWELS & ROBES are provided for your use during your stay. 5. NOISE - Our garden is a QUIET ZONE after 10pm, please respect nature and neighbours. Noise travels in the quiet of the night and is always louder than you think! Our aim is to provide a relaxed, romantic environment for all to enjoy. We do not accept group reservations. Our aim is to provide a tranquil, romantic stay in what we describe as our 'garden hotel rooms'. 6. FOOD & DRINK – all of our tents are rented on a Bed & Breakfast basis, breakfast is enjoyed in the bar area of the hotel each morning. There is NO COOKING in the tents or garden, we do not have the appropriate and necessary facilities. All meals can be taken in the bar/restaurant. The stove is the only means of heating water for hot drinks. We provide a kettle and everything you need for making your own hot Beveridge but this can only be done when the stove is on. Otherwise hot drinks can be purchased in the hotel from a full selection. Fresh water is supplied in a large container for washing/drinking. 7. PRIVACY – only Bell Tent residents are permitted beyond the marked area in the garden to preserve your privacy, the peace and quiet and security. If you have any problems during your stay with non-resident guests, please inform a member of staff. 8. FIRES – no fires to be had at any time – it will send sparks up into the trees, which can catch fire to the surrounding trees & foliage. 9. FIRE IN THE TENT! - BE VERY, VERY CAREFUL!!!!! It is essential that the stove is closely monitored at all times and the instructions followed, so as not to 'overheat' the stove/flue. The door must be kept shut & the fire allowed to die down when leaving the tent – PLEASE DOUBLE CHECK WHEN DEPARTING FOR THE DAY. Ensure that caution is taken when using candles – for ease, candles should be lit using the gas lighter provided & ensure that all candles are extinguished, using the 'damper' provided, before sleeping & leaving the tent. FIRE BLANKETS & EXTINGUISHERS are provided in each tent for EMERGENCY use, along with a full FIRST AID KIT – Please DO NOT use the fire extinguisher unnecessarily and only in emergencies 10. THE STOVE IS VERY HOT – an oven mitt is provided for opening & closing the door of the stove and for use of the kettle on top of the stove. The outside of the stove gets very, very hot as does the flue rising up through the tent roof. DO NOT TOUCH IT with your bar hands, or any other part of your body. We can provide a 'guard' for use when young children are in residence. YOU HAVE BEEN WARNED! We take no responsibility for burns from the stove, we have tried and tested the stoves and they are very safe is used correctly and caution is taken as with any fire. The stove is the only means of heating water for hot drinks. We provide a kettle and everything you need for making your own hot Beveridge but this can only be done when the stove is on. Otherwise hot drinks can be purchased in the hotel from a full selection 11. SECURITY – padlocks are provided to secure your tent, but we cannot take any responsibility for loss of valuables left in the tent, please take anything of value with you. 12. BIN YOUR RUBBISH & TIDY UP – please respect your beautiful surroundings and put any rubbish in the indoor or outdoor bins provided & tidy up games etc after use and return to the storage provided. 13. TRIP HAZARDS – please take great care when in the garden and when walking when it is dark at night – use the torches provided when leaving your tent in the dark. Whilst some lighting is provided it is easy to trip or slip in your natural surroundings. Avoid the riverbank at night and supervise children at all times. Drinking alcohol, dark nights and water are not safe! No responsibility can be taken for falls or accidents whilst in our garden. When making a reservation with us, you are taking full responsibility for your own safety. 14. CARBON MONOXIDE alarms are provided in each tent for your own safety. DO NOT remove the batteries and if the alarm should ring, leave the tent immediately and report to a member of staff. 15. DOGS – Please keep them clean when in the tent – Dog towel provided. DO NOT allow dogs on the futon, beds or furniture and please make sure their muddy/wet paws are dried before entering the tent and walking on the rugs. Additional charges will be made if dogs have soiled furniture, bedding etc. DOG POO – clean it up – anywhere in the garden. Ensure your dog is friendly with other resident dogs before taking them off their leads and check with other residents that they are happy for you to do so. If the garden gate is closed after you, the garden is enclosed except for the river crossing at the very bottom of the garden where the fire pit is located. If your dog likes to cross water, it can escape the garden here and this leads directly onto the road. 16. IN CASE OF EMERGENCY AFTER HOURS, telephone 07812741874 or 07966702640. If you do not have a working mobile phone reception, or need personal help, please exit the garden via the bridge, turn left and keep going left down the lane to the left, over the little stone bridge and call at the first house on the left – Green Gate, Eelands. 17. ADVERSE WEATHER – our tents are rented on a seasonal basis, but we know that Cumbria can have winter weather and storms at any time of year. Our woodland trees are checked by a professional tree surgeon periodically for safety but in cases of very high winds and rain, when the river can get dangerously fast & high, we have to make sensible decisions regarding the safety of our guests. We therefore reserve the right to cancel any reservation pending adverse weather forecasts. We will endeavour to re-house our guests in the hotel or in other local establishments during these times. Our tents are Professional/Commercial 'all year' tents and are totally rain-proof, so no need to worry about those rainy days – wrap up warm, stoke up the fire, have a game of scrabble or, better still, pop over to the pub and have a pint!
NATURAL GAS POLICY INTRODUCTION This policy has been adopted by the Board of Public Works (Board) as a guide to obtaining natural gas service and to set forth the services available, conditions for service, and standards for materials and construction in the customer's natural gas installation. The standards for materials and construction are necessary to safeguard all customers, to secure maximum utilization of the Macon Municipal Utilities' (MMU) service, and are the minimum standards for natural gas service. The primary purpose of this policy is for the protection of the public, property, and the adherence to the International Code Council (ICC), fire, and other city codes. The following policies will be a part of every contract made to supply natural gas service. All persons receiving such service shall be bound by the provisions of this policy. CHAPTER I - GENERAL A. APPLICATION FOR NATURAL GAS SERVICE 100. An application for service along with associated fees (if applicable) shall be required from each customer in accordance with the General Rules and Regulations. 101. Before a gas service line is installed to a new structure, final grade work will be completed and allowed to settle so as to be able to keep the riser and meter from settling. MMU will supply gas service only after a customer's application for service has been approved and MMU finds it practicable to render service. MMU reserves the right to refuse or discontinue gas service when piping or equipment does not comply with rules contained herein, or with the codes of the City of Macon, or at any time the piping or equipment is found to be unsafe. When found to be unsafe, notice shall be attached to such appliances or piping. Such notice shall state that the service has been disconnected, reasons therefore, and such notice shall not be removed nor shall the appliance or gas piping be reconnected until the unsatisfactory condition has been corrected. 102. MMU reserves the right, at all times and without notice to customers, to shut off the gas for the purpose of making repairs or extensions, or for any other necessary purpose. It is the intention of MMU to notify its customers of the necessity of shutting off the main supply, but an emergency may not permit such notice. 103. Gas service to each customer shall be for the sole use of such customer at the premises described in the application for service, and resale of gas by such customer is prohibited. MMU will make only one service connection to a customer's premises, except where required by the customer's load being of such size and character and so located as to make it appropriate, in the opinion of MMU, to install more than one service connection. 104. Gas service furnished by MMU is subject to the requirements set forth in ordinances of the city and utility policies relating to gas installations, inspections, licensing, permits, general rules and regulations, and the most current ICC. 105. Whenever all improvements served by gas on a property are removed, the service connection shall be abandoned. This requirement to abandon may be waived if a building permit is obtained and the service connection is restored within a period of time not to exceed two years. 106. The breaking of seals, tampering with meters, wires, pipes or other property of MMU is prohibited. Plumbers are not allowed to turn gas off or on upstream of the meter, except to make repairs and test their work. All other parties are forbidden to turn the gas on or off. Plumbers shall notify MMU whenever it is necessary to break any meter seal attached to a gas meter, or service, nor shall such persons connect, disconnect, take apart, or in any manner change or cause to be changed, or interfere with the action, regulation, or registration of a gas meter. Any meter tampered with will be removed for testing and repaired at the expense of the customer. Gas shall not be turned on to any premises except by an employee of MMU. 107. MMU may inspect but shall have no other duty, obligation, or responsibility with respect to plumbing, fixtures, equipment or apparatus on the premises of any customer other than to provide a gas meter and a service connection from the distribution system of MMU to the point of delivery to the customer. The point of delivery shall be at the point designated by MMU. 108. The customer shall notify MMU immediately of any change in the connected gas load that might affect service. MMU shall have no duty, obligation, or responsibility for any adverse effects arising out of or resulting from the customer's failure to notify MMU of changes in connected load. 109. MMU shall not be liable for any injury, damage, or loss resulting from the use of gas on the customer's premises, or from the maintenance or use of any plumbing, fixtures, or equipment on the customer's premises. 110. Each customer shall notify MMU promptly of any defect of gas plumbing, equipment, or apparatus of MMU, or of any existing condition that might affect gas service to the customer or might be dangerous to persons or property. 111. MMU may, at its sole option and subject to its General Rules and Regulations, modify its facilities to suit the customer's desires, if practicable. The customer may be required to make a capital contribution for the cost of such modification. B. METERING 112. The meter installation and entrance shall be located at the customer's structure at a suitable place as approved by MMU. MMU will size the meter installation to the customer's load. Access for MMU personnel must be maintained to allow proper maintenance of the service. The customer shall notify MMU before initiating any action that may adversely affect the accessibility of the meter. The customer shall, at the request of MMU and at the customer's expense, remove any obstruction that yields the meter inaccessible. All meters at a building shall be at a common location and properly marked to indicate the premises served. 113. MMU will own, install, and maintain the meters and metering devices. 114. The following govern the location of meters: a. All meter locations shall be approved by the inspector. 2 b. Metering equipment is to be located outside and not within any locked area. c. Meters may not be installed within 36 inches of windows or doors. When meters are to be located in a passageway or narrow space, the clear space in front of the meter shall not be less than two feet. 115. The gas meter and piping near the meter shall not be used to tie up dogs, animals, nor shall anything but gas apparatus be connected in any way to the meter or piping. C. TESTING AND REPLACEMENT OF METERS 116. If a customer requests a gas meter be replaced or tested and: a. If the meter has been in service over 60 months, the meter may be replaced at no charge. The meter may be tested and the customer billed, unless the meter is found to be more than two percent fast, in which case there will be no charge. b. If the meter has been in service 60 months or less, there will be a charge to test or replace the meter, unless the meter is found to be more than two percent fast, in which case there will be no charge. D. PILOT LIGHTING 117. During normal working hours, no charge will be made to light a pilot light. After normal working hours from November 1 through March 31, no charge will be made to light a furnace pilot light. An overtime service charge will be made to light a furnace pilot light form April 1 through October 31. An overtime service charge will also be made to light any other appliance during all seasons. No charge will be made at any time to check a possible gas leak. CHAPTER II – FUEL LINES, SERVICE LINES, AND PERMITS A. FUEL LINES 200. The customer's fuel line starts at the outlet side of the gas meter. The fuel line must be of proper height and location to permit proper installation of the meter. The fuel line must be constructed of proper materials. The fuel line shall be constructed above ground except as may be approved on a case-by-case basis. If constructed underground, the fuel line shall be polyethylene with anodeless risers and trace wire, to be purchased from MMU and installed at a minimum depth of 18 inches. The fuel line shall not be used as a ground or conductor for any electrical device, including telephone systems. The customer assumes all responsibility for the customer's fuel line which begins at the outlet of the gas meter. 201. MMU may refuse to supply gas service, or may suspend service, to a customer, without notice, if the customer's installation is unsafe or dangerous. B. SERVICE LINES 202. MMU will install underground services and will refill the trench. Leveling of the soil and grass replacement will be the customer's responsibility. Service lines shall be maintained by MMU. C. PERMITS 203. No gas work, unless otherwise excepted herein, shall be undertaken prior to the issuance of a permit. 204. No person shall construct, install, extend, alter, or repair any gas piping or gas appliance on consumer's premises without first obtaining a permit to do such work. In case of an emergency arising where an immediate repair may be necessary, repairs may be made under the express condition that a permit shall be secured before noon of the next business day. 205. A gas permit may be issued to any person to do gas work in a single-family dwelling used exclusively for living purposes, including accessory buildings and quarters in connection with such building, provided the person is the owner of such building, and the dwelling will be occupied by said owner, that said owner shall personally purchase all material, and perform all labor in connection with the issued permit. 206. All work on a commercial building and/or rental property must be done by licensed contractors. Residential work may be done by the home owner, if the owner lives in said home and is approved by the inspector as qualified to do the work. Otherwise will require licensed contractor. D. NOTICE FOR INSPECTION 207. It shall be the duty of the holder of a permit to give at least twenty-four (24) hour notice to MMU when work is ready for inspection. E. RIGHT OF ENTRY 208. MMU shall have the authority to enter any building, structure, or premises at any reasonable hour for the purpose of making inspections. In the case of emergency, MMU shall have the right of entry at any time, provided such entry is necessary and in the interest of public safety. CHAPTER III – NATUREAL GAS MAIN EXTENSIONS A. POLICY STATEMENT 300. It is the policy of MMU that, to the extent the natural gas supply and our ability to maintain adequate gas pressure to satisfy the requirements of additional customers, natural gas mains and services may be extended to serve additional customers according to the terms and conditions set forth below. B. GENERAL 301. If an extension of the gas distribution system is needed to serve a customer or group of customers, the Board may, after execution of a Reimbursement Agreement, authorize the extension necessary to provide gas service. The Reimbursement Agreement shall provide that the entire cost of construction of the gas main be paid by the party desiring the extension. Such Reimbursement Agreement shall also provide for a partial reimbursement as each customer is initially provided service from such main. The amount of each partial reimbursement shall be a specified below. Such reimbursements shall be made over a period of time not exceeding five (5) years following construction. In no event shall the total amount reimbursed exceed the original cost of construction nor shall interest be paid or allowed. Although it is recognized that the total original construction cost may not be fully refunded within five years following construction, there shall be no additional reimbursement. Reimbursements shall be made only upon written request. C. AMOUNT OF REIMBURSEMENT 302. The Board will make reimbursement for each permanent customer that connects to the main and is using gas during the first five (5) years from the date the gas main is complete and ready for consumer use. The reimbursement will be based on the actual cost of construction. The construction cost shall include the cost of labor, materials, overhead, permits, right-of-way, pavement repair, and all other costs incident to the installation of the main. The amount of reimbursement for each permanent customer shall be computed by using a formula developed by the Board. D. IMMEDIATE CUSTOMERS 303. The requirement that the party desiring the main extension pay for construction of the main with subsequent reimbursement may be waived to the extent that potential customers have made application for gas service to existing structures and have made necessary deposits. E. REIMBURSEMENT TO APPLICANT ONLY 304. The right to reimbursement under any Reimbursement Agreement shall not be transferable. Requests for reimbursement may only be made by a party to a Reimbursement Agreement. F. SERVICE LINES 305. MMU will install a gas service line from a gas main to the meter at a cost to be established by the Board, when an owner of the property or some other responsible party, makes an application for service. 5 G. RIGHT-OF-WAY REQUIRED 306. The MMU will install gas mains and services in permanently established public streets, roads, and highways as determined by the Board. Extensions of mains and services into or across private property may be made by the Board, provided that the right-of-way agreement is satisfactory to the Board. H. AUTHORITY TO EXTEND LINES 307. Main and service line extensions are to be made as authorized by the Board. The Board reserves the right to deny any main or service extension. I. OWNERSHIP AND CONTROL 308. Upon satisfactory completion, MMU accepts ownership of the main extension. However, in the event of any irregularity in construction or legal title, MMU has the option of postponing or refusing acceptance of the main. The cost of operation and maintenance of mains and services shall at all times be at the expense of MMU. J. BOARD DETERMINATION FINAL 309. MMU shall determine the size of the mains and services. MMU reserves the right to eliminate dead end mains and make other improvements to the gas system. The Board's determination on any matter relating to this policy shall be final. CHAPTER IV – GAS PIPING A. MATERIAL FOR GAS PIPING 400. All pipe used for the installation, extension, alteration, or repair of any gas piping shall be standard weight black iron or brass of iron pipe size. Copper and galvanized iron shall not be used. 401. All such pipe shall be new, and shall be free from internal obstructions and the ends thereof properly reamed. 402. Piping shall be cleaned and inspected. 403. All fittings used in connection with the piping shall be of black iron or brass. 404. All joints in the piping system, unless welded, shall be screwed joints, having standard pipe threads. Such screwed joints shall be made up with a thread compound applied to the male threads only. 405. If an inspection shows that defective materials have been used or defective workmanship has been performed in the installation, alteration, repair, or extension of any gas pipe, fixture, or appliance in or on any customer's premises, such defective materials or work shall be replaced by the permit holder within a period of time not to exceed seven days after notification and the inspection repeated. B. INSTALLATION OF NATURAL GAS PIPING 406. All gas piping shall be supported at intervals of not more than six (6) feet by straps or hooks capable of withstanding four times the weight of the pipe being supported. 407. All joints concealed in any walls, floors, or ceilings shall be accessible. 408. Bushings, right and left couplings shall not be used. Piping may be jointed by threaded fittings, valves, couplings, or ground joint unions or by welding. 409. All outlets shall be properly connected to appliances, capped, or plugged with screw joint fittings. 410. Pipes shall not be bent except for minor offsets. Fittings shall be installed to prevent any air or oxygen from entering the gas piping. 411. A shutoff valve, union, and drip leg shall be installed adjacent to every gas appliance. The union shall be between the valve and appliance and accessible for use in emergency situations. 412. Piping laid under concrete, tile, or composition floors shall be protected against corrosion. Piping laid in concrete, cement, masonry, etc. shall be laid in a conduit or a tunnel left in the solid work. Gas piping shall not run through hot air furnace pipes, cold air ducts, or elevator shafts. 413. Drip legs shall not be less than six (6) inches in length, unless approved by the inspector. 414. Track piping and associated fittings are allowed in some cases if approved by a MMU inspector. C. REQUIRED GAS SUPPLY 415. Piping shall be of a size and so installed as to provide capacity sufficient to meet the maximum demand without undue loss of pressure between the meter and the appliance or appliance. 416. The hourly volume of gas required at each outlet shall not be less than the maximum hourly rating, as specified by the manufacturer of the appliance or appliances. 417. Where the manufacturer's rating of an appliance is given in B.T.U. per hour, this rating shall be divided by 1000 to obtain the corresponding gas demand in cubic feet per hour. 418. In no case shall a supply pipe to any gas appliance be installed having a diameter smaller than the inlet connection of that appliance. D. LOCATION OF SHUT-OFF 419. Service shut-offs shall be installed at the meter on all new and replacement services. E. CLOSURE OF PIPING OUTLETS 420. It shall be unlawful to remove or disconnect any gas appliance without capping or plugging, with a screwed joint fitting, the outlet from which the gas appliance was connected. F. INSPECTION OF PIPING 421. Before any gas piping is put in service or returned to service following repair or modification, it shall be tested and inspected. Where any part of the system is to be enclosed or concealed, this test shall precede the work of closing in. New gas piping systems must stand a pressure of at least ten (10) inches of mercury (i.e. five psig) for a period of not less than 15 minutes without showing any drop in pressure. For this test, the piping may be filled with air or inert gas, but not with any other gas or liquid. In no case shall oxygen ever be used. This test must be witnessed by the Inspector. For repairs and modifications, the inspection may require a pressure test as described above or may test using a soap solution on all joints. Maximum test pressure will be 25 psig for inside piping. Existing piping that is opened for repairs or modification will be required to be brought up to MMU specifications. G. ENCLOSING A BURNER, BY-PASSING OF METERS 422. No person shall install or use any device intended as an adjunct or addition to a gas appliance or to be suspended above or wholly or partially to enclose any burner of a gas appliance in such a manner as to reduce the effectiveness of the ignition of the gas issuing from the burner or impair the combustion of the burner. No person shall cause the gas supplied to bypass the meter. CHAPTER V – GAS APPLIANCES, GENERAL A. CONSTRUCTION AND PERFORMANCE 500. The construction and performance of all gas burning appliances shall be safe to persons and property. 501. The presence of a valid seal of approval of a nationally recognized testing laboratory showing conformity of the construction and performance of gas burning appliances with applicable requirements that have been approved by the American Standards Association or the American Gas Association shall be prima facie evidence that such construction and performance are safe to persons and property. B. APPLIANCE INSTALLATION 502. Appliances shall be installed so that their continued operation will not create a hazard to persons or property. The gas supply to any appliance shall not be set, adjusted, or regulated so that the hourly flow of gas is in excess of the BTU rating as determined by the manufacturer. 503. No filter or other obstruction shall be placed on a flue passage of any appliance. This shall not preclude baffles and other standard parts built into an appliance by the manufacturer. 504. No appliances shall be installed in a room or space in which the facilities for ventilating do not permit the proper combustion of gas under normal conditions of use. All air ducts or permanent openings supplying air for combustion shall be acceptable to the inspector. 505. All appliances shall be connected with rigid piping, provided, however, that those appliances that are necessarily portable or require a vibration joint may be connected with flexible tubing. On such applications the shut-off shall be in a solid connection on the piping and not on the appliance. Only approved tubing shall be used, and it shall be securely attached at each end. Flush-to-wall models of domestic gas ranges may be connected with metal tubing connectors approved by the American Gas Association Testing Laboratory or the inspector. 506. Every appliance shall be located so that it will be readily accessible for operation and servicing. 507. Gas appliances shall not be installed in any location where flammable vapors are likely to be present, unless the design, operation, and installation eliminate the possible ignition of the vapors. 508. Gas appliance pressure regulators requiring access to the atmosphere for successful operation shall be equipped with a vent pipe leading to the outer air or into the combustion chamber adjacent to a constantly burning pilot. 509. Gas fired water heaters shall not be installed in bathrooms or bedrooms except as a replacement in a bathroom, where they are properly vented and are supplied with adequate combustion air specifically authorized by the inspector. Gas fired water heaters shall not be installed closer to combustible materials than six (6) inches, provided that underfired, insulated automatic storage heaters may have a clearance not less than two (2) inches and units with one or more flat sides and listed for installation flush to the wall may be installed without the specified clearances. A temperature and pressure relief valve shall be installed on all water heater installations or replacements. The temperature and pressure relief valve shall meet the specification requirements of the American Gas Association or the American Standards Association. The valve shall be installed either directly in the tank in a tapping provided for this purpose, or not over six (6) inches down from the top of the tank as possible. Pressure relief discharge shall be set at 125 psi and shall be rated to limit the pressure rise, by thermal expansion for any given heat input, to ten (10) percent of the pressure at which the valve is set to open. However, the setting must not be in excess of the rated working pressure of the tank. Temperature relief discharge shall be set to open at 210 degrees and shall have a BTU temperature relieving capacity rating at least equal to the gross heat input of all connected heaters to prevent any further rise in temperature. A length of PVC or copper tubing approximately four feet in length shall be fitted to the pressure relief valve in a downward position to control discharge flow. The outlet of a temperature and pressure relief valve shall not be connected to the drainage system of the building as a direct waste. 510. Before natural gas supply is furnished to a consumer who has been previously using Liquefied Petroleum Gases (LPG), the appliances shall be properly converted to ensure safe operation of burners and proper combustion of the gas. 511. All heating appliances that are converted to a gas shall be cleaned and installed in accordance with accepted engineering practices for the installation of domestic gas conversion burners. CHAPTER VI – VENTING OF GAS APPLIANCES A. VENT CONNECTION REQUIRED 600. Every fuel-burning appliance shall discharge its products of combustion to a vent, factorybuilt chimney, masonry chimney, or metal chimney, except that appliances that have been tested for use with a special vent system shall be vented in accordance with the manufacturer's installation instructions. The chimney or vent shall be designed for the type of appliance being vented. A chimney or vent shall not be required for appliances that are tested for unvented use. Unvented appliances shall be used and installed in accordance with the manufacturer's installation instructions. All appliances must be vented when installed in bathrooms, unventilated rooms, or rooms used for sleeping. Unvented appliances may not be used as a sole source of heat. B. SIZE OF VENTS AND VENT CONNECTIONS 601. The vent connection shall not be less in diameter than the vent outlet of the gas appliance that it serves. Unless the appliance manufacturer's installation instructions indicate otherwise, every vent connection shall have a rise of not less than one-half (1/2) inch per foot of length. The horizontal run of the connector shall be as short as possible, and the appliance shall be located as near the flue or vent as practicable. The maximum length of horizontal run shall not exceed 75 percent of the height of the flue or vent. 602. A rectangular or oval vent may be used, provided its internal cross-sectional area is not less than that of the vent outlet of the appliance that it serves, and provided that the ratio of its width to depth in cross-sectional area is not less than that of the vent outlet of the appliance it serves, and provided that the ratio of its width to depth in cross-section does not exceed 3 to 1. In no case shall any vent or portion thereof have a cross-sectional area of less than twelve (12) square inches of a minimum internal diameter of less than two (2) inches. 603. Every vent, thimble, and inlet shall have a clear and unobstructed cross-sectional area at least equal to the area of the outlet on the gas appliance that it serves. 604. Except as otherwise provided, the area of any vent serving more than one appliance shall be not less than the area of the largest vent connection plus fifty (50) percent of the areas of all other additional vent connections. 605. Each metal vent joints shall be secured by a minimum of three screws. C. GAS VENTS – GENERAL REQUIREMENTS 606. Vents shall, as a minimum, conform to the recommendations of the manufacturer of the appliance being vented. 607. Type "B" gas vents shall not be used with gas appliances that produce flue gas temperature in excess of 550 degrees. They shall not be used for venting: a. Incinerators, or b. Appliances that are or may be converted to the use of solid or liquid fuel, or c. Boilers and high heat producing furnaces. 608. Type "BW" gas vents shall be used only with approved recessed or wall gas heaters listed for use with such vents. 609. Type "C" gas vents shall be used only for runs directly from the space in which the appliance is located. Such vents shall not pass through any attic or concealed space nor through any roof or floor and shall not be used to vent a gas appliance directly to the outside atmosphere. D. PROTECTION OF COMBUSTIBLE MATERIALS 610. Combustible material within twelve (12) inches vertically and six (6) inches horizontally of any vent connection shall be protected by approved fire-resistive material. These distances shall be measured at right angles to the vent connection. 611. Every vent, thimble, and inlet extending into or through any wall, partition, floor, ceiling, or roof of any building shall have a perforated and ventilated sleeve extending the full length of such space between the ceiling and floor above, or through any partition or wall. Such sleeve shall provide at least a three quarter (3/4) inch air space at every point around the vent. Such sleeves or air spaces may be omitted in noncombustible construction. E. HEIGHT OF VENT ABOVE ROOF 612. The flue or vent shall extend high enough above the building or other neighboring obstruction so that wind from any direction will not strike the flue or vent from an angle above horizontal. Flues or vents must extend at least two (2) feet above roofs or two (2) feet above the highest part of wall parapets and peaked roofs within twenty (20) feet horizontally, except that gas vents need not comply with the provision when equipped with an approved device that eliminates down drafts. F. INLET CONNECTIONS TO VENTS 613. Where two or more inlets are provided in any vent or chimney, such inlets shall be offset in such a manner that no section of any inlet shall be opposite to other inlets in such vent and shall be at different levels. 614. Vent inlets not in use shall be tightly closed by means of an approved cap. G. DRAFT HOODS 615. Every flue-connected appliance, except an incinerator (unless its construction serves the same purpose) shall be equipped with an effective draft hood that either (1) has been approved as part of the appliance, or (2) complies with nationally recognized standards for draft hoods. 616. The draft hood shall be attached to the flue collar of the appliance or as near to the appliance as conditions permit and in a position for which it is designed with reference to horizontal and vertical planes. The draft hood shall be so located that the relief opening is not obstructed by any part of the appliance or adjacent construction. H. VENT CAP OR TOP INSTALLATIONS PERMITTED 617. The installation of an approved vent cap or top that will prevent precipitation from entering the vent may be installed. An approved vent cap or top shall be so constructed that it cannot slip down and block the vent opening. A vent cap or top installed on the vent at its terminus shall have a free open area equal to the cross-sectional area of the vent pipe on which it is installed. CHAPTER VII – CHIMNEYS, FLUES, AND VENTS A. CHIMNEY – GENREAL REQUIREMENTS 700. Any chimney that has a clean-out at the bottom, is of solid nonporous construction, and the interior of which has a straight line opening from top to bottom, need not be lined for use as a gas vent provided it is properly cleaned. 701. All other chimneys including block flue pipe shall be provided with a fire clay flue liner or other approved corrosion-resistant liner. 702. No person shall vent any gas appliance into a vent or chimney that serves a solid fuel appliance. B. LABORATORY TESTED, FACTORY BUILT CHIMNEYS 703. Factory built chimneys that are approved as a result of test and listing by a nationally recognized testing laboratory shall be installed in accordance with the conditions of the approval. CHAPTER VIII – UNLAWFUL APPROVAL The issuance or granting of a permit shall not be deemed or construed to be a permit for or approval of any violation of the provisions of these rules or the ICC. No permit purporting to give authority to violate or cancel these provisions shall be valid. CHAPTER IX – NATIONAL RECOGNIZED CODES Regulations pertaining to installation, use, maintenance, alteration, repair, or removal of any gas piping or appliance within the City of Macon not covered herein will be regulated by the ICC. CHAPTER X – MISCELLANEOUS A. CAPACITY OF PIPE OF DIFFERENT DIAMETERS AND LENGTHS IN CU.FT. PER HR.
ANALYSIS OF WORKSYSTEMS, INC. Benefit-cost analysis of WIA programs and regional economic impact analysis of WIB operations Program Year 2009 DECEMBER 2012 Analysis of Worksystems, Inc.—Program Year 2009 i CONTENTS 1 Executive Summary Acknowledgements Economic Modeling Specialists Intl. (EMSI) is pleased to present this report to Worksystems, Inc. (Worksystems), serving Multnomah and Washington Counties in the state of Oregon. Spe cial thanks go to Andrew McGough, Executive Director, who approved the study, and to Rik Mackay, Senior Project Manager, who collected and organized much of the data and information requested. We would also like to thank our reviewers, Dr. Kevin Hollenbeck, Senior Economist at the W.E. Upjohn Institute for Employment Research; Dr. Chris King, Senior Research Scientist and Director of the Ray Marshall Cen ter for the Study of Human Resources and lecturer at the LBJ School of Public Affairs at The University of Texas at Austin; and Dr. David Stevens, Execu tive Director of The Jacob France Insti tute in the Merrick School of Business. Their help greatly improved the quality of our study. The views expressed in this report are solely those of EMSI. Any errors are entirely the responsibility of EMSI and not of any of the above-mentioned insti tutions or individuals. Analysis of Worksystems, Inc.—Program Year 2009 ii EXECUTIVE SUMMARY The report examines the benefits and costs generated by Worksystems, Inc.'s adult, dislocated worker, and youth pro grams, which are largely supported by Workforce Investment Act (WIA) Title I funds. The report also measures the eco nomic benefits generated by the operations of Worksystems in its local service region, defined by Multnomah and Washing ton Counties in the state of Oregon. The time period reflected in the analysis is Program Year 2009 (July 1, 2009 to June 30, 2010). Key findings of the study are as follows: Benefit-cost analysis of WIA programs * The adult, dislocated worker, and youth programs at Worksystems served 48,575 people in PY 2009. Exit cohorts for PY 2009 included 735 adults, 13,321 dislocated workers, and 118 youth who entered employment that same year. * Adult program participants who exited in PY 2009 and who retained employment are projected to generate a present value of $13.6 million in additional taxable income over the next ten-year period. The corresponding income effect of the dislocated worker program is $122.1 million, and the income effect of the youth program is $492,800. * By the end of the ten-year time horizon, the adult pro gram at Worksystems is projected to yield a cumulative added value of $2.48 in added taxable income per dol lar spent to fund the program. Similarly, the dislocated worker program will yield $10.69 for every dollar spent, and the youth program will generate $0.05. 1 1 Variances in results across programs are largely informed by the number of people who retain employment, their associated change in earnings, and the amount spent by the WIB to run the program. If a program returns less than a dollar for every dollar spent, that means that the income effects created by the program over the next ten-year period do not fully recover the costs of supporting the program during the analysis year. The youth program is particularly prone to this phenomenon, since many youth enroll in education rather than seek employment during the program's duration, and those that do find employment often only hold temporary jobs that last no more than a few weeks or months. Analysis of Worksystems, Inc.—Program Year 2009 1 * Overall, the combined adult, dislocated worker, and youth programs at Work systems will generate a cumulative added value of $5.17 in added taxable income for every dollar spent. 2 These benefits accrue to all members of society—higher earnings for participants, increased output for businesses, added tax receipts for government, and a reduced burden on taxpayers. Regional economic impact analysis of WIB operations and community investments * Worksystems' operating expenditures directly and indirectly generated $5.4 mil lion in regional income and supported 67 jobs in the regional economy. * Furthermore, Worksystems' investments in community service providers and local businesses generated an additional $19.5 million in regional income and supported 447 jobs. 2 As discussed later in this report, the benefit/cost ratios presented in this report should not be viewed as standard return on investment (ROI) metrics. This is because the benefits of the investments facilitated by the WIB extend beyond those that accrue to the original investors. Analysis of Worksystems, Inc.—Program Year 2009 2 1. STUDY OVERVIEW Worksystems, Inc. (Worksystems) provides services that can be measured in clear economic terms and generates a wide array of benefits through its WIA programs and its own day-to-day operations. Individuals benefit from workshops, career planning services, and job training programs. Employ ers benefit from consultation services, customized and onthe-job training programs, and a readily accessible pool of potential job candidates. Furthermore, as more jobseekers find in-demand jobs, the public as a whole benefits from higher regional earnings, increased business productivity, and lower unemployment rates. PURPOSE OF THE REPORT This study has two main objectives: (1) to provide a benefitcost analysis of Worksystems' WIA programs, and (2) to examine the regional economic impacts of Worksystems oper ations. These objectives are described more fully below. Benefit-cost analysis of WIA programs As a Workforce Investment Board (WIB), one of the primary roles of Worksystems is to implement the Workforce Invest ment Act (WIA) of 1998, one of the main pieces of federal legislation that seeks to promote workforce development in the United States. The largest funding stream under this leg islation is WIA Title I, which authorizes state and local WIBs to deliver services to jobseekers and establishes the funding formula for the WIA adult, dislocated worker, and youth pro grams. The need for WIBs to demonstrate the benefits and costs of WIA programs is becoming increasingly clear, especially in light of recent questions raised by Congress regarding WIA effectiveness. Currently the common measures required by the U.S. Department of Labor serve as the primary performance metrics for WIA, but they do not address the fundamental question of whether or not the public investment in WIA makes economic sense to the taxpayer. The first purpose of this study, therefore, is to provide an objective, third-party analysis Analysis of Worksystems, Inc.—Program Year 2009 3 of Worksystems' WIA programs, assessing whether or not the benefits that accrue to the public as a whole outweigh the taxpayer costs of supporting the programs. Results are presented from a distinctly national perspective, tracking both public benefits and taxpayer costs on a national accounting basis. Regional economic impact analysis of Worksystems operations The second main purpose of this report shifts from a national to a regional focus, measuring the economic impacts generated by Worksystems' day-to-day activities in the local region. Worksystems is an economic driver through the people it employs, through its local purchases for supplies and services, and through the funds it administers to program operators. These impacts play a role in the local economy that local constituents of WIBs may not realize or acknowledge. Our goal, therefore, is to provide readers with more insight on the positive contribution of Worksystems operations to the local economy. N OT E S O F I M P O R TA N C E There are several notes of importance that readers should bear in mind when reviewing the findings presented in this report. First, benefit-cost analysis is not the same as a return on investment (ROI) analysis. Due to the nature of workforce development programs, far more people stand to benefit from the investment than just the original investors, in this case, the taxpayers. Jobseekers, employers, and the community as a whole are all beneficiaries of WIA activities, generating widely dispersed benefits that do not necessarily return to taxpayers, who pay costs at full measure. In an investment analysis where investors and beneficiaries are not one and the same, therefore, standard ROI measures such as the rate of return and payback period no longer apply. As such, we encourage readers to interpret the results of this study strictly in benefit-cost (as opposed to ROI) terms. Second, this report is not intended to be a vehicle for comparing WIA with other government-funded workforce development programs such as the U.S. Employ ment Service (ES) and others. Other studies about the gains in earnings and employment probabilities in one program relative to another address such questions better and in greater detail. Our intent is simply to provide the WIB management team and stakeholders with pertinent information should questions arise about the extent to which WIA programs contribute to public resources, without reference to the marginal gains over other programs. Finally, this report is useful in establishing a benchmark for future analysis, but it is limited in its ability to put forward recommendations on what the WIB can do Analysis of Worksystems, Inc.—Program Year 2009 4 next. The implied assumption is that a WIB can effectively improve its metrics if it increases the number of people who find and retain employment, helps people find higher-paying jobs, or ensures that people retain their jobs for a longer period of time (all else being equal). Establishing a strategic plan for achieving these goals, however, is not the purpose of this report. REPORT ORGANIZ AT I O N The report has five chapters and five appendices. Chapter 1 provides an overview of the study. Chapter 2 discusses the regional backdrop and WIB profile data required to complete the analysis. Chapter 3 presents the benefit-cost analysis of WIA pro grams. Chapter 4 presents the regional economic impact analysis of WIB opera tions. Finally, Chapter 5 concludes the study and provides suggestions for further research. Analysis of Worksystems, Inc.—Program Year 2009 5 2. REGIONAL BACKDROP AND WIB PROFILE DATA Data requirements for the analysis included the following three types of information: (1) the economic profile of the region that Worksystems serves; (2) employee and finance data, and; (3) WIA program data. EMSI's proprietary database and input-output model provided the economic profile data for the region, while Worksystems provided the profile data for WIB operations and WIA programs. This chapter describes in detail the various data elements that were used to calculate the results of the analysis. It is important to note that the strength of the results is in large part dependent on the quality of the data provided. Much of the data from the WIB is self-reported by par ticipants at the time of registration, and it is impossible to validate all of their responses. Multiple interpretations of reporting methodologies also pose problems for researchers analyzing WIA programs. For example, what one WIB defines as "self-service" may differ from how another WIB defines it, contributing to significant variation in how self-service par ticipants are counted. Such inconsistencies are an important limitation in the data that readers should bear in mind when reviewing the findings in this report. Readers will also find in reviewing the data in this chapter that Worksystems' participant counts are higher than those of traditional WIBs operating under similarly-sized budgets. This is because Worksystems has an integrated service delivery system that allows the WIB to co-enroll participants in more than one program at one time, thereby offering participants a wider variety of services while making more efficient use of public resources. Integrated systems tend to have a higher volume of enrollments and lower cost per participant than tra ditional WIBs do, which has implications on the benefit-cost ratios presented later in this report. For more discussion on how integration affects the results, please see Chapter 3. REGIONAL PROFILE D ATA Worksystems serves a two-county region comprising Mult nomah and Washington Counties in the state of Oregon. For Analysis of Worksystems, Inc.—Program Year 2009 6 the purposes of this analysis, EMSI built a customized input-output (IO) model for the two counties in the region. The data from EMSI's IO model and corresponding multiplier matrix yielded key information for the analysis, including regional labor income, non-labor income, jobs, and Gross Regional Product (GRP), as well as a set of industry-specific multipliers for calculating indirect effects. More information on the EMSI IO model appears in Appendix 2. Table 1 summarizes the major industrial sectors of the region, with details on jobs, labor income, and non-labor income. Labor income refers to wages, salaries, and proprietors' income; non-labor income refers to profits, rents, and other income. Together, labor and non-labor income comprise the region's total gross regional product (or GRP), equal to $75.7 billion. The region also supports approximately 874,400 jobs. Table 1. Jobs and Gross Regional Product by Major Industrial Sector in Region, 2012 \| Agriculture, forestry, fishing and hunting \| $198,411 \| $118,476 \| $316,887 \| \|---\|---\|---\|---\| \| Mining \| $21,739 \| $30,590 \| $52,329 \| \| Utilities \| $200,647 \| $548,819 \| $749,466 \| \| Construction \| $2,502,577 \| $192,566 \| $2,695,143 \| \| Manufacturing \| $7,553,246 \| $7,878,003 \| $15,431,249 \| \| Wholesale trade \| $3,765,190 \| $3,032,353 \| $6,797,543 \| \| Retail trade \| $2,541,171 \| $1,652,015 \| $4,193,186 \| \| Transportation and warehousing \| $1,657,045 \| $602,350 \| $2,259,395 \| \| Information \| $1,778,183 \| $1,826,530 \| $3,604,713 \| \| Finance and insurance \| $2,959,453 \| $3,354,319 \| $6,313,773 \| \| Real estate and rental and leasing \| $1,035,608 \| $3,991,977 \| $5,027,584 \| \| Professional and technical services \| $4,304,222 \| $1,219,206 \| $5,523,428 \| \| Management of companies and enterprises \| $2,152,169 \| $395,717 \| $2,547,886 \| \| Administrative and waste services \| $1,549,975 \| $310,093 \| $1,860,068 \| \| Educational services \| $1,053,213 \| $117,908 \| $1,171,121 \| \| Health care and social assistance \| $5,175,447 \| $613,806 \| $5,789,253 \| \| Arts, entertainment, and recreation \| $419,110 \| $145,006 \| $564,116 \| \| Accommodation and food services \| $1,329,054 \| $737,331 \| $2,066,386 \| \| Other services, except public administration \| $1,325,185 \| $167,610 \| $1,492,795 \| \| Federal government \| $1,272,776 \| $302,986 \| $1,575,762 \| \| State and local government \| $5,188,395 \| $449,224 \| $5,637,619 \| \| Total \| $47,982,813 \| $27,686,889 \| $75,669,702 \| * Data reflect the most recent year for which data are available. EMSI data are updated quarterly. † Numbers may not add due to rounding. Source: EMSI. See www.economicmodeling.com for a full list of data sources used to derive the data in this table. Analysis of Worksystems, Inc.—Program Year 2009 7 EMP LOY E E A N D F I N A N C E D ATA Table 2 and Figure 1 show the annual revenues of Worksystems by program and by source—a total of $24.2 million in PY 2009. As indicated, WIA Title I comprised $17.2 million (or 71%) of total revenue, while revenue to support non-WIA services com prised the remaining $7 million (or 29%), including funds from WIRED, ARRA, and other government and non-government funding sources. The most important figures in this table are those for WIA programs, as these comprise the cost component of our benefit-cost analysis in Chapter 3. Worksystems also employed 34 FTE staff in PY 2009, with a combined payroll of $3 million (excluding benefits). This information appears in Table 3. Staff wages and salaries at Worksystems become part of the region's overall earnings, while the spending of employees for groceries, apparel, and other household expenditures help support local businesses. This creates a ripple effect that generates more jobs, earnings, and sales throughout the local economy. In addition to being an employer, Worksystems purchases supplies and services from vendors and contractors, many of whom are located in the region. Expenditures for supporting activities made up a total of $1.7 million, including benefits, travel, professional services, office expenses, telephone and communications, and facilities expenses. The WIB also paid $19.5 million to third-party contractors and service providers to operate WIB-sponsored programs (see the last row of Table 3). WIA PROGRAM D ATA Adult/Dislocated Worker The WIA adult program provides employment and Table 2. Total Revenues, PY 2009 ($ Thousands) \| FUNDING FOR WIA PROGRAMS \| \| \| \|---\|---\|---\| \| WIA adult \| $3,563 \| 14.7% \| \| WIA dislocated worker \| $7,454 \| 30.8% \| \| WIA youth \| $6,162 \| 25.4% \| \| Total WIA funding \| $17,179 \| 70.9% \| \| FUNDING FOR NON-WIA PROGRAMS \| \| \| \| WIRED—Third Generation \| $3,349 \| 13.8% \| \| Summer ARRA Youth \| $2,603 \| 10.7% \| \| Other \| $1,090 \| 4.5% \| \| Total non-WIA funding \| $7,043 \| 29.1% \| \| Total funding, WIA and non-WIA \| $24,222 \| 100.0% \| * Numbers may not add due to rounding. Source: Data supplied by Worksystems. 11+14+4+71+ WIA TITLE I 70.9% ARRA 10.7% Figure 1. Revenues by Source Table 3. Total Expenditures, PY 2009 ($ Thousands) \| Wages and salaries \| $2,980 \| 12% \| \|---\|---\|---\| \| Benefits \| $756 \| 3% \| \| Travel \| $121 \| 1% \| \| Professional services \| $443 \| 2% \| \| Office expense and supplies \| $80 \| 0% \| \| Telephone and communications \| $11 \| 0% \| \| Facilities expenses \| $313 \| 1% \| \| Contractors & service providers \| $19,518 \| 81% \| \| Total \| $24,222 \| 100% \| * Numbers may not add due to rounding. Source: Data supplied by Worksystems. Analysis of Worksystems, Inc.—Program Year 2009 8 training services to individuals who are 18 years of age or older, with a priority of service favoring people who are unemployed, underemployed, receiving public assis tance, or are from low-income households. The dislocated worker program targets individuals who have lost their jobs due to permanent closure, downsizing, or other reasons outside of the individuals' control. Both programs offer the following three levels of service to participants: 1. Core services include outreach and access to job search tools and labor mar ket information. 2. Intensive services include more comprehensive assessments, one-on-one counseling and career planning development, workshops, basic skills train ing, and other staff-assisted help. 3. Training services include occupational training through qualified training providers. In addition to the three levels of service described above, WIBs may also provide "supportive" services such as transportation, childcare, dependent care, and other forms of assistance designed to address the specific circumstances of individuals and give them the means to participate in the program. Table 4 displays the number of people who participated in the adult and dislocated worker programs at Work systems in PY 2009, along with data on the performance measures collected for the PY 2009 exit cohorts. As shown, Worksystems served 3,848 people in the adult program and 44,004 people in the dis located worker program. Of these, 144 adults and 1,200 dislocated workers received occupational training services, while the remaining people received non-training (i.e., core and intensive) services. The table also shows that 735 adults and 13,321 dislo Table 4. Adult/Dislocated Worker Participants and Common Measures, PY 2009 DISLOCATED Source: Data supplied by Performance Matters Quarterly (PMQ) and Worksystems. \| PARTICIPANTS SERVED \| \| \|---\|---\| \| No. of participants, core and intensive only \| 3,704 \| \| No. of participants, occupational training \| 144 \| \| Total \| 3,848 \| \| ENTERED EMPLOYMENT RATE \| \| \| Entered employment numerator \| 735 \| \| Entered employment denominator \| 1,560 \| \| Entered employment rate (%) \| 47% \| \| RETENTION RATE \| \| \| Retention rate numerator \| 1,490 \| \| Retention rate denominator \| 1,797 \| \| Retention rate (%) \| 83% \| \| EARNINGS CHANGE \| \| \| Six-month average pre-program earnings \| $10,260 \| \| Six-month average post-program earnings \| $12,582 \| \| Average earnings change \| $2,322 \| Analysis of Worksystems, Inc.—Program Year 2009 9 cated workers entered employment in PY 2009. Although others may have entered employment after this time period, those numbers were not tracked for the purpose of this study. 3 Also displayed in Table 4 are the common measures of the adult and dislocated worker programs, including the entered employment rate, the retention rate, and average earnings. Common measures are nationally defined accountability measures used to assess the performance of WIA-funded programs. The U.S. Department of Labor (DOL) defines these measures as follows: 1. Entered employment rate: The number of participants who were employed in the first quarter after the exit quarter divided by the number of participants who exited during the quarter. 2. Retention rate: The number of participants who were employed in both the second and third quarters after the exit quarter divided by the number of participants who were employed in the first quarter after the exit quarter. 3. Earnings change: Total earnings in the second and third quarters after the exit quarter (i.e., post-program earnings) less total earnings in the second and third quarters prior to participation (i.e., pre-program earnings) divided by the number of participants who were employed in the first, second, and third quarters after the exit quarter. The entered employment rate only reflects participants who were unemployed at the date of registration. The retention rate, on the other hand, reflects all participants, regardless of their employment status at the date of registration. As such, it is not uncommon for the number of people who retained their jobs to vary widely from the number of people who entered employment, since the measures reflect two dif ferent cohorts. The denominator for calculating the earnings change, however, is the same as the numerator of the retention rate (i.e., the number of participants who were employed in the both the second and third quarters after the exit quarter). Both the retention rate numerator and the associated earnings change of those par ticipants factor in the benefit/cost calculations presented in Chapter 3. Table 5 presents the number of people who entered employment by program and 3 Some might argue that we understate the results by not counting the benefits generated by participants who were served in one year but who did not enter employment until a later year (either because they enrolled in a training program or were still receiving services from the WIB). However, some of the participants who entered employment incurred a portion of their associated costs in previous program years. Our assumption, therefore, is that the benefits and costs that we do not count on the one hand are counter-balanced by the benefits and costs that we count on the other. by top-level occupation. 4 The two-digit codes shown in the table come from the Standard Occupational Classification (SOC) system used by the Bureau of Labor Statistics to classify workers in occupational categories. As indicated, the highest percentage of adult and dislocated worker participants found employment in pro duction occupations (SOC 51), followed closely by healthcare support occupations (SOC 31). Table 5. Adult and Dislocated Worker Participants who Entered Employment by Top-Level Occupation, PY 2009 DISLOCATED \| (11) Management \| 33 \| 4% \| 589 \| \|---\|---\|---\|---\| \| (13) Business and financial operations \| 24 \| 3% \| 435 \| \| (15) Computer and mathematical science \| 24 \| 3% \| 435 \| \| (17) Architecture and engineering \| 38 \| 5% \| 692 \| \| (19) Life, physical, and social science \| 16 \| 2% \| 282 \| \| (21) Community and social services \| 7 \| 1% \| 128 \| \| (23) Legal \| 0 \| 0% \| 0 \| \| (25) Education, training, and library \| 13 \| 2% \| 231 \| \| (27) Arts, design, entertainment, sports, and media \| 14 \| 2% \| 256 \| \| (29) Healthcare practitioners and technical \| 24 \| 3% \| 435 \| \| (31) Healthcare support \| 139 \| 19% \| 2,510 \| \| (33) Protective service \| 0 \| 0% \| 0 \| \| (35) Food preparation and serving \| 17 \| 2% \| 307 \| \| (37) Building and grounds cleaning and maintenance \| 10 \| 1% \| 179 \| \| (39) Personal care and service \| 14 \| 2% \| 256 \| \| (41) Sales and related \| 33 \| 4% \| 589 \| \| (43) Office and administrative support \| 93 \| 13% \| 1,691 \| \| (45) Farming, fishing, and forestry \| 0 \| 0% \| 0 \| \| (47) Construction and extraction \| 17 \| 2% \| 307 \| \| (49) Installation, maintenance, and repair \| 28 \| 4% \| 512 \| \| (51) Production \| 140 \| 19% \| 2,536 \| \| (53) Transportation and material moving \| 52 \| 7% \| 948 \| \| (55) Military \| 0 \| 0% \| 0 \| * Figures are adjusted to include those allocated to the "unknown" category. Source: Data supplied by Worksystems. Youth The WIA youth program aims to increase the long-term employability of young people between the ages of 14 and 21 by means of education and training programs. 4 Data provided by the WIB included an "unknown" category. For the purpose of this analysis, the "unknown" category was removed and redistributed proportionately across the other categories. This redistribution only affects the estimation of the non-labor income component of WIA benefits, dis cussed in greater detail in the next chapter. Positive outcomes for the youth program may be one or more of the following: 1. Placement in employment; 2. Enrolled in postsecondary education or training; 3. Attained a high school diploma or GED; 4. Attained a post-secondary certificate or degree; 5. Gained one or more educational functional levels (i.e., literacy and numeracy). WIA authorizes youth services to the following two populations: in-school youth and out-ofschool youth. As shown in Figure 2, Worksystems served 371 in-school youth and 352 out-of-school youth, for a total of 723 participants in the WIA youth program in PY 2009. During the analysis year Worksystems was also authorized to deliver a Summer Youth Work Experience program funded by the American Recovery and Reinvestment Act of 2009 (ARRA). However, these services were not included under WIA and are thus not reflected in the benefit-cost analysis presented in Chapter 3. In addition to age eligibility requirements, all youth participants must also be economically disadvan taged and meet one or more of the following barri ers to labor market or education success: 49+51+ OUT OF SCHOOL 352, 49% Figure 2. Youth Participants by Age Group 1. Deficient in basic literary skills; 2. School dropout; 3. Homeless, runaway, or foster child; 4. Pregnant or parenting; 5. Offender; * Youth may have more than one barrier, so the sum of the individual categories does not match the unduplicated total of participants. 6. Requires special assistance to complete an educational program or hold employment; \| Deficient in basic literary skills \| 498 \| \|---\|---\| \| School dropout \| 294 \| \| Homeless, runaway, or foster child \| 161 \| \| Pregnant or parenting \| 111 \| \| Ofefnder \| 39 \| \| Special assistance \| 15 \| \| Total youth participants (unduplicated)* \| 723 \| Source: Performance Matters Quarterly (PMQ). The breakdown of youth participants by barrier appears in Table 6. Readers should note that, because youth may have more than one barrier, the sum does not match the unduplicated total in the bottom row of the table. Additional youth data for PY 2009 appear in Table 7 and Figure 3. Out of 242 youth exiters, 118 entered employment and 103 enrolled in education or training. Another 188 youth participants earned their high school diploma or equivalent. As with Table 6, youth may achieve more than one positive outcome, so the breakdown of exiters by outcome exceeds the unduplicated total number of exiters. The bot tom half of Table 7 displays other measures for youth, including retention rate and associated earnings change. Please see earlier in this section for a definition of these measures. Table 7. Youth Outcomes and Other Measures for Exited Youth, PY 2009 TOTAL/ AVERAGE * Youth may have more than one outcome, so the sum of the individual categories does not match the unduplicated total of exiters. Source: Performance Matters Quarterly (PMQ) and Worksystems. Figure 3. Youth Outcomes 12+10+19 3. BENEFITCOST ANALYSIS OF WIA PROGRAMS Benefit-cost analysis is a standard method for determining whether or not a government program is economically viable, in accordance with the recommended guidelines set by the Office of Management and Budget for analyzing Federal pro grams and projects. 5 This methodology is appropriate where benefits are expected to be distributed over time and where a discount rate must be applied in order to account for the time value of money. The measure most commonly used in benefitcost analysis is the benefit-cost ratio, i.e., the present mone tized value of benefits divided by the present monetized value of costs. If the benefit-cost ratio is greater than 1, then benefits exceed costs and the program is considered feasible. In this study we use benefit-cost analysis to assess Worksys tems' WIA-funded programs. Results are presented from a national perspective, measuring the economic benefits that accrue to the public as a whole and comparing these to the taxpayer funds used to support WIA programs. We include benefits to the entire public in recognition of the fact that far more people stand to benefit from WIA activities than just the taxpayers. This is in keeping with the primary pur pose of WIA, i.e., to provide a public service that increases the employment, retention, and earnings of participants and enhances the productivity and competitiveness of the nation as a whole. Because beneficiaries and funders are not one and the same, however, we encourage readers to distinguish the results from standard return-on-investment (ROI) analysis, where benefits are limited to those that strictly accrue to the original investors. Results of the analysis reflect just WIA because it is the larg est and most prominent federal funding stream received by WIBs to administer workforce development programs, and because the mechanisms for collecting much of the required data are already in place nationwide. There are other non-WIA programs that WIBs facilitate, such as TANF, WIRED, ARRA, and CAWS. Calculating the benefits of these programs falls 5 See the Office of Management and Budget, Circular No. A-94 Revised, "Guidelines and Discount Rates for Benefit-Cost Analysis of Federal Pro grams" (OMB: October 1992). outside the scope of the analysis; however, readers should be aware that the funds administered by Worksystems under the auspices of other Federal and state legisla tion generate quantifiable economic benefits that extend beyond those of just WIA. APPROACH There are a number of high quality studies that evaluate WIA programs. The most common is the quasi-experimental study where researchers measure the impacts of a particular program on the study's participants (i.e., the "treatment" group) relative to those who do not participate in the program (i.e., the "comparison" group). The study typically takes on a pre-post test design that examines the conditions of both the treatment group and the comparison group before and after the treatment to measure what effect takes place and whether or not it is statistically significant. See Hollenbeck, et al (2005) and Heinrich, et al (2008) for examples of a quasi-experi mental impact evaluation of WIA programs. In selecting a comparison group, researchers often apply propensity score match ing techniques that are designed to match treated individuals (in this case, those who participate in WIA programs) with individuals who do not participate in WIA programs but who have similar observable characteristics. These characteristics can range from the individuals' employment history to a wide variety of demographic variables such as age, gender, ethnicity, geographic location, and socioeconomic background. Use of matching techniques allows researchers to better control for fac tors that are unrelated to WIA but that may affect the outcome of the pre-post test results. This is an important advantage when adjusting for potential biases in the analysis. One of the disadvantages of quasi-experimental approaches to WIA program evalu ation is that there is no reliable data pool from which researchers can draw a com parison group of untreated individuals, i.e., people who do not receive services at all. Researchers often rely on observations collected from other workforce development programs such as the Employment Service (ES), since the pool of observations is large and the probability that participants would be eligible for WIA treatment is high (i.e., they have a high propensity score). However, ES and other workforce development programs are themselves a form of treatment, so drawing a comparison group from them generates results that are limited to the marginal benefits of one program over another. These results are valuable when analyzing WIA programs rel ative to alternative treatments, but they do not fully address the question of whether or not WIA is a better alternative to not offering services to jobseekers at all. Another important disadvantage of quasi-experimental methodology regards its applicability in benefit-cost analysis. Because benefit-cost analyses typically exam ine benefits that occur over time, researchers need at least five years' worth of data, preferably more, in order to create a viable benefits stream. Using a comparison group based on empirical data would thus require researchers to either use data that is already five years old or older, or to perform a longitudinal analysis that tracks the treatment and comparison groups for five years or more. The first option generates results that are potentially obsolete because they are based on older data, while the latter option is expensive and time-consuming. In light of the disadvantages of quasi-experimental studies, we adopt a decidedly deductive methodology, which begins with an elaboration of applicable theory and then proceeds through the construction of models to simulate that theory. To do this we develop a pre-post test design without a comparison group, thereby allow ing us to define the upper bound measure of benefits that were correlated with—but not necessarily caused by—the effect of WIA. These benefits we project ten years into the future using theory and assumptions to simulate the employment patterns of participants over time. Our challenge is to control for potential biases without the supporting evidence of a comparison group and to adjust for correlating fac tors other than WIA that might affect the outcomes. This is an essential step in our benefit-cost analysis in order to arrive at a measure of the benefits that we can rea sonably credit to WIA intervention. The results of the analysis are presented in the following sections, with greater detail on the theory, assumptions, and methodology in Appendix 1. However, readers should note that, as with any study of this nature, it is impossible to identify and account for all factors that may inform the success or failure of WIA programs, leav ing the study vulnerable to questions about its internal validity. To head off these concerns, we intentionally apply a conservative methodology and are careful to avoid making assumptions that are unwarranted by the existing empirical data. We also provide a sensitivity analysis to test the uncertainty of the assumptions. In spite of these actions, however, we still encourage readers to interpret the results with caution and to bear in mind the inherent limitations of the approach. Readers are also encouraged to interpret the results in the appropriate context. Worthwhile public projects often generate benefit-cost ratios that are low relative to those in the private sector. This is because the role of government is to provide services that the public wants but that the business sector may find unprofitable. As such, benefit-cost ratios that range from 0.3 to 3.0 in the public sector are nor mal and even expected. Considerable funds are spent on public parks, for example, yet they do not generate sufficient monies to recover the costs of supporting them. However, public parks generate many non-quantifiable benefits that are enjoyed by park users. Similarly, the benefits generated by WIA take on many different forms that do not necessarily translate to jobs and income. These are benefits that are dif ficult to quantify but that still have a positive impact on society. ADU LT / D I S LO C AT E D W O R K E R Adult Program The vast majority of participants in the adult program are either unemployed or underemployed, coming from low income households, or otherwise economically disadvantaged. As such, the WIB's primary role in serving adults is to move people from a position of earning either very little or nothing at all to a position where they are gainfully employed and receiving a steady income. In this study we calculate the benefits of the adult program based on the earnings change of individuals who find employment within a quarter of completion and retain employment for an additional two quarters (i.e., the retention rate numera tor). We then project this earnings change ten years out into the future, adjust for a set of correlating factors in order to control for potential biases, and discount the results back to the present. Finally we convert the future earnings stream to labor income (i.e., earnings) and non-labor income (i.e., profits, rents, and other). Together these two income measures comprise the present value of the added taxable income that accrues to the public as a result of the earnings change of participants. Note that we do not include the indirect (i.e., multiplier) effects in accordance with the recommended guidelines of the OMB. For more detail on the methodology used in these calculations, please see Appendix 1. Table 8 presents the results of the analy sis. As indicated, the 1,490 adults who exited in PY 2009 and who retained employment will generate $8.8 million in added taxable income over the next ten-year period. To derive a benefit-cost ratio, we divide the $8.8 million in ben efits by the associated costs of the adult Table 8. Benefits and Costs of Adult Program ($ Thousands) \| Present value of projected benefits \| $8,845 \| \|---\|---\| \| Costs \| $3,563 \| \| Benefit-cost ratio \| 2.48 \| Source: EMSI. program, equal to $3.6 million, the total amount of WIA funding received by Work systems to fund the program in PY 2009. This calculation yields a benefit-cost ratio of 2.48, i.e., by the end of the ten-year time horizon, the adult program at Worksys tems is projected to yield a cumulative added value of $2.48 in added taxable income per dollar spent to fund the program. The benefit-cost ratio appears in the bottom row of Table 8. There are a couple of items to note regarding the $3.6 million cost component of the benefit-cost ratio. First, a significant portion of WIA funding for the adult program is spent on participants who receive services without finding a job, so by allocating the full cost of the program to those who find and retain employment during the program year, we are essentially overstating the effective cost per com pleter. Limiting the costs to just those incurred by participants who find and retain employment would certainly yield higher benefit-cost ratios. However, the purpose of the analysis is to estimate the benefit-cost ratio for the adult program as a whole. This means taking the benefits generated by all participants—not just those with a positive outcome—and dividing by all costs. Because our analysis is based on the earnings change of participants over the course of the analysis year, the benefits generated by participants who do not retain employment is necessarily assumed to be zero. Second, determining the true cost of the adult program is complicated by a col lection of issues arising from the fungible nature of revenues, sunk capital costs, the indivisibility of certain inputs, and other concerns. For example, revenues that are dedicated to the adult program might be used to support other WIB activities, causing an overstatement of actual WIA costs. However, the reverse occurs as well, where non-WIA funds support WIA activities, causing an understatement of actual WIA costs. For the purpose of this analysis, we assume that overstatement on the one hand is offset by understatement on the other. As such, data provided by the WIB on WIA funding for the adult program is likely a good estimate of the actual operating costs of the program. Dislocated Worker Program The dislocated worker program functions in a manner similar to that of the adult program, although it serves a different cohort of people. Participants do not neces sarily come from low income backgrounds (as is generally the case for adult pro gram participants); in fact, some participants may come from relatively high-paying jobs that they lost because of company closures, downsizing, or other factors outside of their control. In some cases it is difficult for participants in the dislocated worker program to get those wages back, even with training. As a result, it is not uncom mon for the post-program earnings of participants to be less than what they were earning before they enrolled. There is another factor to consider, however. WIA is designed to provide dislocated workers with help searching for jobs and acquiring training vouchers, which puts participants in a much better position to find meaningful employment. As such, participants are more likely to find a job that pays as well or higher than what he or she would have otherwise have been able to find without WIA intervention. Given this phenomenon, the model calculates the average earnings change of dislocated workers, not based on the difference between their post-program earnings and their pre-program earnings (as is the case with adults), but based on the difference between their post-program earnings and what they would have earned had they not registered for government services. How we arrive at this variable is described in Appendix 1. As shown in Table 9, the present value of the projected income benefits of the dislocated worker program amounts to $79.7 million. When compared against the $7.5 million that the WIB spent to fund the program, the overall benefitcost ratio comes to 10.69. This means that over the next ten-year time horizon, Table 9. Benefits and Costs of Dislocated Worker Program ($ Thousands) AMOUNT \| Present value of projected benefits \| $79,668 \| \|---\|---\| \| Costs \| $7,454 \| \| Benefit-cost ratio \| 10.69 \| Source: EMSI. there will be a total of $10.69 in added taxable income that accrues to the public for every dollar spent to fund the WIA dislocated worker program at Worksystems. Combined Table 10 shows the combined benefits and costs of the adult and dislocated work ers programs, along with the associated benefit-cost ratio. Benefits come to $88.5 million in added taxable income, as shown in the top row. This yields an 8.03 ben efit-cost ratio when divided by the $11 million in costs used to fund the programs during the program year. A few words of importance need to be made when interpreting the results shown in Table 10. Worksystems has an integrated service delivery system that generates a significant increase in the volume of clients served relative to tra ditional WIBs. This is because integrated Table 10. Combined Benefits and Costs of Adult and Dislocated Worker Programs ($ Thousands) \| Present value of projected benefits \| $88,513 \| \|---\|---\| \| Costs \| $11,017 \| \| Benefit-cost ratio \| 8.03 \| Source: EMSI. WIBs enroll nearly everyone that comes through their doors, whereas traditional WIBs do not. The sheer volume of clients at integrated sites has led to increased use of capital (e.g., equipment and facilities) and resulting economies of scale that have dramatically reduced the cost of services per client. Although there are not enough observations at this point to help policymakers weigh the benefits and costs of integrated versus traditional WIBs, what we do know is that, with a relatively high number of clients and a reduction in the per-client cost, integrated WIBs are more likely to generate a high overall benefit-cost ratio than traditional WIBs are. This is clearly evident in the case of Worksystems, where the overall benefit-cost ratio of 8.03 is on the high end of the range of benefit-cost ratios typically seen for WIBs. Again, readers should bear in mind that only a few observations have been collected thus far and that more research needs to be done in order to fully evaluate the vari ance in results between integrated and traditional delivery systems. YO U T H In this study we base the benefits of the youth program on the following two vari ables: 1) the number of youth who were employed in each of the three quarters after they exited the program, and 2) their earnings change in the second and third quarters after the exit quarter. Calculating the direct and indirect effects of the earnings change that accrues to youth follows a methodology similar to that of the adult program, with one major difference, i.e., we do not know the occupations or the industries where youth find employment. Because of this, we assume that all of increased earnings enjoyed by youth are spent in the economy in the form of house hold expenditures. 6 This value we funnel through the IO model following the same steps described in Appendix 1. Results of the analysis appear in Table 11. The total income effect is $321,800, equal to the present value of the pro jected benefits that can reasonably be credited to the WIB over the next tenyear period for youth who are placed in employment in PY 2009. Dividing this value by the costs of the program Table 11. Benefits and Costs of Youth Program ($ Thousands) Source: EMSI. yields a benefit-cost ratio of 0.05. Note that results only reflect youth who retained employment for three consecutive quarters after exit; the earnings of youth who were employed for less than three quarters are excluded. It is important to keep in mind that, given the unique nature of the program, employment is not the primary measure of success for youth. Another strong com ponent of the youth program is a wide variety of training and education opportu nities to assist participants attain the hard and soft skills they need for long-term employability. The WIB places strong emphasis on placement in post-secondary 6 This means that the direct sales and income effects are essentially the same. education, recognizing that the same factors that make a good student also make a good employee. As such, there are a number of economic and social benefits that the youth program generates but that are not quantified in Table 11. For example, attaining higher levels of education is statistically correlated with improved social behaviors, such as reduced crime, increased volunteerism, reduced tobacco and alco hol abuse, etc. These are incidental benefits of the youth program that are difficult to quantify but still worth mentioning. OVERALL Table 12 presents a summary of the benefit-cost ratios for the adult, dislocated worker, and youth programs. Benefits comprise the income effects from Tables 8, 9, 10, and 11, while costs comprise the total funding received by Worksystems to run the programs. Dividing the total benefits of all programs by the total costs of the programs yields a 5.17 benefit/cost ratio, i.e., every dollar in WIA funding will gen erate a cumulative added value of $5.17 over the next ten-year period. Table 12. Summary of Benefits and Costs of WIA Programs ($ Thousands) \| Adult program \| $8,845 \| $3,563 \| 2.48 \| \|---\|---\|---\|---\| \| Dislocated worker program \| $79,668 \| $7,454 \| 10.69 \| \| Combined adult/dislocated worker programs \| $88,513 \| $11,017 \| 8.03 \| \| Youth program \| $322 \| $6,162 \| 0.05 \| \| Overall (all programs) \| $88,835 \| $17,179 \| 5.17 \| Source: EMSI IO model. 4. REGIONAL ECONOMIC IMPACT ANALYSIS OF WIB OPERATIONS In the previous chapter we present the results of our benefitcost analysis of WIA programs. In this chapter we address an entirely different issue, namely, the regional economic impacts of WIB operations. Regional impact analysis is a standard approach for measuring the effect of an organization's activities on the structure of a regional economy. Results are typically measured in terms of changes in regional jobs and income. Economic impact analysis is distinct from benefit-cost analysis in that it focuses on a single time period and does not project impacts into the future, nor does it factor in costs incurred by stakeholders. The benefit-cost analysis in this report also has an explicitly national backdrop, tracking both benefits and costs on a national accounting basis. In contrast, the economic impact analysis presented in this chapter has a regional focus, high lighting the role of the WIB in the annual formation of regional jobs and incomes. This information is of particular importance to local constituents interested in learning more about the WIB's "good neighbor" effect on the regional economy. APPROACH Worksystems generates economic benefits in the region in a variety of ways. The WIB is an employer and a buyer of goods and services. On top of this, it brings federal and state dollars into the region, directing a large portion of these to third-party service providers. 7 These various expenditure ripple through the regional economy creating additional jobs and income. 8 7 At the national level, the impact of WIB operations would be near zero, since every dollar of Federal and state funds that were injected into the U.S. economy originated from the U.S. economy anyway. At the regional level this is no longer the case; however, there is wide variance across regions in the degree to which Federal and state funds represent an injection. Until clearer regional cross-hauling effects of public monies can be captured in the data, we chose to assume that all Federal and state dollars received by the WIB during the program year were regional injections. 8 As noted in Section 1, income refers to the sum of labor income (i.e., wages and salaries) and non-labor income (i.e., profits, rents, and other). Together labor and non-labor income comprise a region's total gross regional product, or GRP. In this study we rely on a specialized input-output (IO) model that shows the inter connection of industries, government, and households in a given area. Each category of impacts estimated by the IO model is subdivided into the following two effects: the direct effect and the indirect effect. The direct effect comprises the changes in economic activity due to the first round of spending by the WIB, its employees, and its program operators. The indirect effect refers to the additional jobs and income created in the economy through the action of economic multipliers built into the regional IO model. For more information on the EMSI IO model, please see Appendix 2. In calculating the impacts, we begin by mapping payroll and the WIB's purchases for supplies, services, and other supporting activities to the 21 top-level industry sectors of the IO model (see Table 1). For example, the WIB's expenditures for telephone and communications affect vendors in the "information" industry, so we allocate those expenditures to that industry. Similarly, we allocate the WIB's expen ditures for professional services to the "professional and technical services" industry. All of the WIB's other expenditures are allocated to the different industry sectors in a similar fashion, depending on which industries the WIB's expenditures are most likely to affect. Not all of the WIB's expenditures occur locally, however, so we must adjust the gross figures to account for monies that leak outside the region. To do this, we request data from Worksystems on the percent of funds directed to program operators that are located in the region, an estimated 95%. To Worksystems' remaining expendi tures we apply industry-specific regional purchase coefficients, or RPCs, to deter mine what portion of them occurs in the region and what portion leaks outside the region. 9 With these adjustments, we are able to generate the direct sales effect of Worksystems on the regional economy. The indirect sales effect we calculate by running direct sales through the IO model's multiplier matrix. This provides an estimate of how the spending of Worksystems affects the inputs and outputs of other industries in the region. We then convert both the direct and indirect sales effects to regional jobs and income by means of jobs-to-sales and income-to-sales ratios, also provided by the IO model. Here a brief note on the application of indirect (or multiplier) effects is in order. OMB guidelines explicitly recommend against the inclusion of multiplier effects in national benefit-cost analyses. Following OMB's directive, therefore, our national-level ben 9 Regional purchase coefficients are a measure of the proportion of the total demand for a good or service that is supplied by vendors in the region. An RPC of 0.6, for example, means that 60% of the demand for that commodity is met by local vendors, while the remaining 40% of the demand is met by imports. efit-cost analysis presented in the previous chapter excludes multiplier effects. Here, however, where our focus is not national-level benefits and costs but rather regional economic effects, the inclusion of multiplier effects is most appropriate. RESU LT S Table 13 presents the direct and indirect income and jobs effects of Worksystems. The direct income effect—equal to $3 million—comprises the total salaries and wages (excluding benefits) paid to Worksystems employees during the reporting year. The indirect effect, or $2.5 million, comprises the additional rounds of income created in the region as the WIB and its employees spend money for supplies and services. The associated multiplier is 1.83, i.e., every dollar of payroll at the WIB yields $0.83 in income in the economy. The corresponding jobs effect of Worksystems is 34 direct jobs, equal to the number of FTE employees who work at the WIB. The WIB also accounted for 33 indirect jobs. Altogether the WIB directly and indirectly supported 67 jobs in the regional Table 13. Operations Effect, PY 2009 ($ Thousands) economy, for an overall jobs multiplier of 1.98 (i.e., every FTE employee at the WIB yields an additional 0.98 jobs in the economy). In addition to the impacts generated by Worksystems and its employees, the funds that the WIB administers to third-party service providers to operate programs also have an impact on the economy. As shown in Table 14, these expenditures generate $19.5 million in income and support 447 jobs in the regional economy. Not included in these results but worth mentioning is the regional effi ciency effect that is created in the local economy as the WIB works to match jobseekers to employers, saving both stakeholder groups considerable time \| Direct efefct \| $2,980 \| 34 \| \|---\|---\|---\| \| Indirect efefct \| $2,459 \| 33 \| \| Total \| $5,438 \| 67 \| * Numbers may not add due to rounding. Source: Based on data supplied by Worksystems and out puts of the EMSI IO model. Table 14. Effect of Funds Administered to Program Service Providers, PY 2009 ($ Thousands) \| Direct efefct \| $15,208 \| 355 \| \|---\|---\|---\| \| Indirect efefct \| $4,326 \| 92 \| \| Total \| $19,534 \| 447 \| \| Multiplier \| 1.28 \| 1.26 \| * Numbers may not add due to rounding. Source: Based on data supplied by Worksystems and out puts of the EMSI IO model. and effort. Productivity effects also increase regional income through the increased skills and added productivity of participants who undergo training through a WIBsponsored program. Tracking these effects is a worthy yet costly endeavor that is beyond the scope of the present research. Accordingly, we limit our regional impact analysis to the effect of WIB operations and its program operators, essentially assuming that the efficiency and productivity effects are zero. To the extent that these effects exist, however, our regional impact analysis should thus be considered conservative. 5. CONCLUSION The results of this study demonstrate the benefits and costs of Worksystems' WIA-funded programs and the economic impacts generated by WIB operations in the regional econ omy. Participants of Worksystems' adult, dislocated worker, and youth programs who exited in PY 2009 and who found and retained employment are projected to generate a present value of $88.8 million in direct income over the next ten-year period. These benefits will generate a cumulative added value of $5.17 to the public as a whole for every WIA dollar spent. In addition, Worksystems directly and indirectly generated $5.4 million in income and supported 67 jobs in the region, while the funds that the WIB administered to program service providers generated an additional $19.5 million in income and supported 447 jobs. It is anticipated that the results of this study and subsequent studies can be used as a performance benchmark for Work systems, as well as for other WIBs that participate in the same research. Additional benefits of Worksystems that are not reflected in this study but that are worth mentioning include the following: 1. Increase in income, property, and sales tax revenues as a result of employment outcomes; 2. Avoided welfare and unemployment costs to govern ment; 3. Social benefits related to increased employability (par ticularly for youth), such as reduced crime and improved quality of life; Further research and data collection will be required in order to fully capture the impact of these benefits. APPENDIX 1: ASSUMPTIONS AND METHODOLOGY FOR BENEFIT-COST ANALYSIS This appendix describes the background assumptions and methodology used to derive the future earnings stream and corresponding benefit-cost ratios for WIA programs. Our approach involves the following four steps: 1. Calculate the average earnings change of WIA participants. 2. Project the earnings change ten years out into the future. 3. Estimate the direct non-labor income effects. 4. Derive the benefit-cost ratio. The following sections describe these four steps in greater detail. C A LC U L AT I N G T H E AV E R A G E E A R N I N G S C H A N G E Data collected from the WIB provide the earnings of participants in the second and third quarters prior to receiving WIA services and in the second and third quarters after participants find employment. This information supplies the raw data needed to derive the pre-post test results for participants before and after WIA intervention. As shown in Table 4, the average six-month earnings change for adults is $2,322, equal to post-program earnings of $12,582 less pre-program earnings of $10,260. Post-program earnings are reported in current dollars, so we likewise inflate preprogram earnings to current dollars so that we can determine the real (as opposed to nominal) earnings change. After adjusting for inflation, we convert the six-month earnings change to an annual figure by multiplying it by two, which yields a change in earnings of $3,864 for the entire year. This defines the upper limit earnings change that correlates with the effect of WIA. We calculate the earnings change for dislocated workers and for youth in a similar fashion, with important modifications described later in this section. Limitations of the approach An inherent weakness in calculating the average earnings change using only six months' worth of data is Ashenfelter's dip, i.e., the empirically-observed pattern that the earnings of participants generally decline or "dip" in the period just before participation in a government workforce program. This phenomenon was originally recognized by Ashenfelter (1978) and has been a common pattern in many work force programs to date, including the WIA adult and dislocated worker programs. For dislocated workers this "dip" is not an issue because we do not factor their recorded pre-program earnings into the analysis for reasons stated later in this sec tion. For adults, we assume that any drop in earnings that may occur shortly before participation will persist absent WIA intervention. As such, no adjustment in the pre-post earnings change is necessary. Some might also argue that the analysis is subject to selection bias because we base the results solely on the earnings of individuals who find and retain employ ment, ignoring those who exit the program without a positive outcome. However, participants who exit the program before finding a job (i.e., dropouts or soft exits) incur costs of WIA services, but we do not credit any subsequent benefits that they generate to WIA because they do not find a job through the program. Essentially we assume that their outcome is zero. In our benefit-cost analysis we weigh all WIA costs—including those used to serve participants without a positive outcome— against a benefits stream that is limited only to individuals who retain employment. This approach underscores the conservative nature of the analysis. Simulating dislocated worker pre-program earnings In applying the pre-program and post-program earnings differential, we make the fundamental assumption that the intervention of WIA cannot harm an individual's earning potential. It can only keep the individual's earnings at the same level or increase them from what they were before. This assumption particularly comes into play in the case of dislocated workers where participants are sometimes unable to find jobs that pay as well or better than their previous employment. As such, the difference between their pre-program earnings and their post-program earnings may be zero or even negative. Clearly WIA cannot be held liable for the decline in earnings for dislocated work ers, so our solution is to simulate the pre-program earnings that dislocated workers would have received in the absence of any WIA services. Earnings are in large part informed by the occupations that people hold, so the first step in our simulation is to create an index of earnings by occupation that we use to scale the average postprogram earnings of participants. We then calculate the standard deviation for each occupation code. Our assumption is that the maximum earnings change that WIA can claim for dislocated workers is defined by one standard deviation below the scaled post-program earnings for the occupations where participants find employ ment. However, a portion of the maximum earnings change is attributable to the natural ability of the participants themselves, not to WIA. This is particularly the case for dislocated workers, who tend to have more workforce experience and stronger labor market attachments than other WIA participants. To account for this, we adjust the maximum earnings change according to the earnings percentile where participants find employment. The adjustment is based on the assumption that participants in the lowest earnings percentiles will benefit the most from WIA services (i.e., they are the least likely to find meaningful employment without the help of WIA) and those in the highest earnings percentile will benefit the least from WIA services (i.e., they are the most likely to find meaningful employment without the help of WIA). This reduction is conducted linearly. The final step is to calculate the difference between the simulated pre-program earnings of dislocated workers and their average post program earnings from Table 4 ($16,237). This yields the average six-month earnings change used to calculate the associated benefits of the program, a total of $2,596 per dislocated worker who enters employment. PROJECTING EARNINGS IN TO T H E F U T U R E In the previous section we describe how we derive the average earnings change of participants as a result of WIA intervention. In this section we discuss how we project this earnings change into the future, adjust for counterfactuals and the decay rate, and apply a discount rate to calculate the present value of the participants' future earnings stream. Applying the growth function To project earnings forward we use a standard log-linear earnings growth function as a smooth predictor of earnings over time. See for example Mincer (1974), Willis (2001), and Heckman, Lochner, and Todd (2006). Earnings projections are in con stant dollars, so we use a real discount rate when calculating their present value, as discussed later in this appendix. To increase the plausibility of the assumptions, we limit the time horizon to ten years. This is because a high proportion of WIA participants are likely to have received core services, which are generally short-term and require minimal staff assistance. This type of service often results in benefits that are short-lived, while the benefits of training services tend to be greater and last longer. Adjusting for counterfactuals The fundamental problem in analyzing WIA or any other government program is that no person can be a participant and a non-participant at the same time, mak ing it impossible to observe the outcomes of both situations simultaneously. For this reason, researchers often form a comparison group with a similar economic and employment profile to control for variables outside of WIA that may be caus ally related to the results. However, the only comparison group pools from which researchers can draw a sufficient number of observations are other governmentfunded workforce programs, which are simply another form of treatment under a different legislation. Our solution, therefore, is to forgo the comparison group and simulate a hypotheti cal situation where WIA participants received no treatment at all. The limitation of this approach, however, is that we are unable to empirically account for causal factors that a standard quasi-experimental analysis with a comparison group would implicitly be able to address. Age, gender, ethnicity, educational level, geographic location, employment history, and socioeconomic background are among a wide range of characteristics that can potentially influence an individual's ability to find and retain employment without the intervention of WIA or other government pro grams. We cannot credit to WIA any earnings that participants are able to accrue on their own, so adjusting for these factors is a necessary and inherent part of our benefit-cost analysis. The question we are thus trying to answer is this: If participants do not receive treatment from WIA, how many of them will eventually be able to find and retain employment on their own and achieve the same future earnings stream? We include a time factor in our analysis under the assumption that the probability that par ticipants can find a job that pays equally well as the job they find through WIA is relatively low in the early years of the time horizon. Over time this probability increases as participants seek out and leverage alternative resources to find job open ings, apply for positions, and enhance their short- and long-term employability through skills training. By the end of the ten-year period, we assume that nearly all participants are able get a job of equal pay without the help of WIA, so the por tion of the future earnings stream that we credit to WIA is very small. A sensitivity analysis to test the plausibility of our assumptions appears in Appendix 3. Some might argue that many participants exhaust all of their resources to find a job on their own before they register for WIA or other publicly-funded services. Essentially public services are the last opportunity for these participants to find employment. If this is the case, the counterfactual adjustment that presumes that individuals would be able to find a job without help from WIA is highly conserva tive. Clearly, though, there is a wide variance in the extent to which participants are able to search for a job on their own before registering in a government-funded program. Some participants register for services immediately upon becoming unem ployed, others explore all of their options to find employment before registering, and the rest fell somewhere in between. As such we feel that our counterfactual adjust ment is a reasonable "middle of the road" assumption. An additional counterfactual argument must be mentioned here. When WIA participants find employment, they prevent other potential candidates from get ting the same position, a phenomenon which economists sometimes refer to as the "displacement" factor. Displacement is less of a concern when unemployment is low, since fewer people apply for the same position at the same time. When unem ployment is high, on the other hand, more people apply for the same position, thereby increasing the probability that employers will fill positions with non-WIA participants. The extent to which displacement affects the outcome of the results is unknown, and the data required to estimate its effects is limited at best. Because of this, we encourage readers to bear in mind that there may be some displacement effects that inform the outcomes of the study but that are outside the scope of the analysis to quantify. Applying a decay rate The previous section addresses the question of counterfactuals and the estimated portion of the future earnings stream that can reasonably be credited to WIA. A second question that our analysis addresses is the decay rate of WIA intervention. In other words, at what point does the effect of WIA on the future earnings stream of participants ultimately wear off? Data from the WIB supplies us with information on the retention rates of par ticipants in three consecutive quarters after the quarter in which participants exit the WIA program (i.e., the exit quarter). The DOL common measures define the retention rate as a fraction where the numerator is the number of participants who are employed in both the second and third quarters after the exit quarter, and the denominator is the number of participants who are employed in the first quarter after the exit quarter. Both the numerator and the denominator are based on par ticipants who are employed in the first quarter after the exit quarter. By applying the retention rate we are able to determine the number of participants who drop out of the workforce by the end of the first year in the ten-year time hori zon. Participants leave the workforce for any number of reasons, whether because they are in a short-term position, or because they lack the skill set to maintain longterm employment, or because they have personal or family-related concerns that affect their ability to keep their jobs. Once a participant drops out of the workforce, we assume that the effect of WIA has completely worn off and will not be renewed for the duration of the time horizon. This is the case even if participants register for WIA services again and re-enter the workforce at a later date, since at that point their future earnings are no longer related to the services received in the current program year. Beyond the first year of the time horizon, we simulate the employment retention of participants based on the standard entropy decay equation where N is the normal rate of unemployment, r 0 is the initial retention rate, and k is a negative constant. Given these parameters, the rate of unemployment for partici pants starts off relatively low at the start of the time horizon (when they find jobs), rises steeply in the next few years as individuals drop out the workforce, and then begins to level off as the rate of unemployment approaches normal levels. Because the decay rate is likely to vary by service level, the negative constant k is assumed to be 0.5 for participants who receive core or intensive services (i.e., they have a higher decay rate) and 0.2 for participants who receive training services (they have a lower decay rate). This is because core services are generally short-term and require little to no staff assistance, generating benefits that wear off relatively quickly. The benefits of training services, however, typically last longer because par ticipants receive more staff assistance and because they acquire skills that increase their long-term employability. For a sensitivity analysis of the negative constant k, see Appendix 3. Discounting to current-year dollars Discounting is a standard procedure in benefit-cost analysis where researchers account for the time value of money. For example, $1,000 in higher earnings real ized ten years in the future is worth much less than $1,000 in the present. All future values must therefore be expressed in present value terms in order to compare them with investments (i.e., costs) made today. The rate of interest that converts future benefits to current year dollars is called the discount rate. The selection of an appropriate discount rate can become an arbitrary and con troversial undertaking. As suggested in economic theory, the discount rate should reflect the investor's opportunity cost of capital, i.e., the rate of return one can reasonably expect to obtain from alternative investment schemes. In this study we assume a 1.5% real discount rate, which is already adjusted to eliminate the effect of expected inflation. In today's volatile economy, a 1.5% discount rate is arguably high given that the ten-year real discount rate published by the Office of Management and Budget (OMB) is only around 1%. To the extent that a higher discount rate generates lower present values, our results may be considered conservative. ESTIM AT I N G N O N - L A B O R I N CO M E E F F E C T S Having applied the discount rate to the future earnings stream of participants, we collapse the earnings trajectory to a single number for use in the benefit-cost cal culations. In this section we describe how we derive the direct non-labor income effects associated with this increase in regional earnings. Non-labor (or "non-earnings") income consists of monies gained through invest ments, including dividends, interests, and rent. Growth in the non-labor income share of the economy occurs as increases in regional earnings lead to corresponding increases in investment through the added productivity of new and existing capital (i.e., buildings, equipment, and everything else). Measuring the non-labor income effect requires use of EMSI's regional IO model, which supplies data on labor and non-labor income by industry in the local economy. For more information on EMSI's IO model, please see Appendix 2. Before calculating non-labor income effects, we must first convert the data provided by the WIB into a format that is compatible with the IO model. When participants enter employment, WIBs record their occupation according to the 23 major groups of the Standard Occupational Classification (SOC) system developed by the U.S. Bureau of Labor Statistics. Because EMSI's IO model is organized by industry instead of by occupation, however, we apply inverse staffing patterns to allocate the SOC data provided by the WIB to the 20 top-level NAICS industries where those occupations are likely to occur. We also use the IO model to build an index of regional earnings, which is necessary when allocating the present value of the participants' future earnings stream to the industry sectors of the IO model. We create this index by taking the average earn ings per worker in each industry and dividing them by the overall average earnings per worker in the region as a whole. For example, if the average individual in the region earns $50,000 a year and the average individual in the agriculture indus try sector (NAICS 11) earns $30,000 a year, then the scalar for that industry is 0.6 ($30,000/$50,000). With our SOC-to-NAICS mapping and the index of regional earnings, we take the present value of the participants' future earnings stream and disaggregate it to the industry sectors of the IO model using the scalar for each industry. We then multi ply the disaggregated figures times the number of participants who enter employ ment in each sector to derive the total earnings effect by industry in the region. The next step is to derive the non-labor income effect, which is done simply by multiplying the industry-specific earnings figures times the corresponding ratio of non-labor income to labor income (i.e., earnings) for each industry in the region. The sum of the earnings effect and the non-labor income effect comprises the total benefits against which we weigh the associated costs of the WIA programs to derive the benefit-cost ratio. Note that our calculation of WIA program benefits does not include multiplier effects in accordance with the guidelines set by the OMB for analyzing Federal programs. In general, the OMB recommends that benefit-cost analyses of govern ment programs should assume that all resources are fully employed and should thus exclude the secondary effects of expenditures on jobs and income. By not includ ing multiplier effects in the analysis we are adopting a conservative approach that is likely to understate the benefits of WIA, particularly from the perspective of the region where the greater proportion of benefits occurs. DERIVING THE BENEFIT- CO S T R AT I O In the fourth and final step of the benefit-cost analysis, we take the total benefits generated by each program and divide them by the associated costs of the programs to derive a benefit-cost ratio. Benefits include the sum of the direct earnings effect and the associated non-labor income effect, while costs include the public monies used to fund each WIA program during the analysis year. With regard to the cost component of the analysis, readers should bear in mind that a significant portion of WIA money is spent on participants who receive ser vices without finding a job. Therefore, we are essentially overstating the effective cost per completer by allocating the full cost of the program to those who find and retain employment during the program year. If we were to limit the costs to just those incurred by participants who find and retain employment, the analysis would certainly yield higher benefit-cost ratios. However, the purpose of the analysis is to estimate the benefit-cost ratio for WIA programs as a whole, which means taking all benefits generated by all participants (not just those with a positive outcome) and dividing by all costs. Because our analysis is based on the earnings change of partici pants over the course of the analysis year, the benefits generated by participants who do not retain employment is necessarily assumed to be zero. It is also important to note that determining the true cost of WIA programs is complicated by a collection of issues arising from the fungible nature of revenues, sunk capital costs, the indivisibility of certain inputs, and other concerns. As such, revenues that are dedicated to WIA programs might be used to fund other WIB activities, causing an overstatement of actual WIA costs. However, the reverse might occur as well, where non-WIA funds support WIA activities, causing an under statement of the actual costs of WIA programs. For the purpose of this analysis, we assume that overstatement on the one hand is offset by understatement on the other. APPENDIX 2: EMSI'S INPUT-OUTPUT MODEL EMSI's input-output model represents the economic relationships among a region's industries, with particular reference to how much each industry purchases from each other industry. Using a complex, automated process, EMSI can create regional ized models for geographic areas comprised by counties or ZIP codes in the United States. Primary data sources are the following: 1. The Industry Economic Accounts from the Bureau of Economic Analysis (BEA); specifically the "make" and "use" tables from the annual and bench mark input-output accounts. 2. Regional and national jobs-by-industry totals, and national sales-to-jobs ratios (from EMSI's industry employment and earnings data process). 3. Proprietor earnings from State and Local Personal Income Reports (BEA). The data and information presented in this appendix are for illustrative purposes only and do not reflect a particular industry or region. Additional detail on the technical aspects of the model is available upon request; however, we are unable to provide information that discloses confidential or proprietary methodology. Creation of the national Z matrix The BEA "make" and "use" tables (MUTs) show which industries make or use which commodity types. These two tables are combined to replace the industrycommodity-industry relationships with simple industry-industry relationships in dollar terms. This is called the national "Z" matrix, which shows the total amount in dollars that each industry purchases from other industries. Industry purchases run down the columns, while industry sales run across the rows. Table A1: Sample "Z" matrix ($ millions) \| Industry 1 \| 3.3 \| 1,532.5 \| . . . \| 232.1 \| \|---\|---\|---\|---\|---\| \| Industry 2 \| 9.2 \| 23.0 \| . . . \| 1,982.7 \| \| . . . \| . . . \| . . . \| . . . \| . . . \| The value 1,532.5 in Table A1 means that Industry 2 purchases $1,532,500,000 worth of commodities or services from Industry 1. The whole table is basically an economic double-entry accounting system, configured so that all money inflows have corresponding outflows elsewhere. We create two separate Z matrices since there are two sets of MUTs—annual and benchmark. The benchmark data are produced every five years with a five-year lag and specify up to 500 industry sectors; annual data have a one-year lag but specify only 80 industrial sectors. The basic equation is as follows: where V is the industry "make" table, Ô –1 is a vector of total gross commodity out put, and U is the industry "use" table. In reality, this equation is more complex because we also need to "domesticate" the Z matrix by removing all imports. This is needed because we are creating a "closed" type of national model. In addition, there are a number of modifications that need to be made to the BEA data before the calculations can begin. These are almost all related to the conversion of certain data in BEA categories to new categories that are more compatible with other data sets we use in the process. Describing them in detail is beyond the scope of this appendix. Disaggregation of the national Z matrix The previous step resulted in two national Z matrices—one based on the bench mark BEA data (five years old, approximately 500 industries) and the other based on the annual BEA data (one year old, but only about 80 industries). These initial national Z matrices are then combined and disaggregated to 1,125 industry sectors. Combining them allows us to capitalize on both the recency of the annual data and the detail of the benchmark data. The disaggregation is performed for each initial Z matrix using probability matrices that allow us to estimate industry transactions for the more detailed sectors based on the known transactions of their parent sectors. The probability matrix is created from detailed EMSI industry earnings data, which are available for all 1,125 sectors and are created using a separate process. Creation of the national A matrix The national disaggregated Z matrix is then "normalized" to show purchases as per centages of each industry's output rather than total dollar amounts. This is called the national "A" matrix. Each cell value in Table A2 represents the percentage of a column industry's output that goes toward purchasing inputs from each row industry. Thus, the cell contain ing .112 in the table means that Industry 2 spends 11.2% of its total output to obtain inputs from Industry 1. Table A2: Sample "A" matrix \| Industry 1 \| .001 \| .112 \| . . . \| .035 \| \|---\|---\|---\|---\|---\| \| Industry 2 \| .097 \| 0 \| . . . \| .065 \| \| . . . \| . . . \| . . . \| . . . \| . . . \| \| Industry 1125 \| .002 \| .076 \| . . . \| 0 \| Regionalization of the A matrix To create a regional input-output model, we regionalize the national A matrix using that region's industry mix. The major step in the process is the calculation of perindustry out-of-region exports. This is performed using a combination of the fol lowing standard techniques that are present in the academic literature: 1. Stevens regional purchase coefficients (RPCs); 2. Simple location quotient of value added sales, and; 3. Supply/demand pools derived from the national A matrix. We try to maximize exports in order to account as fully as possible for "cross-haul ing," which is the simultaneous export and import of the same good or service to and from a region. Cross-hauling is quite common in most industries. The A-matrix regionalization process is automated for any given region for which industry data are available. Although partially derived from national figures, the regional A matrix offers a best possible estimate of regional values without resort ing to costly and time-consuming survey techniques, which in most cases are com pletely infeasible. Creating multipliers and using the A matrix Finally, we convert the regional "A" matrix to a "B" matrix using the standard Leon tief inverse B = (I − A) –1 . The "B" matrix consists of inter-industry sales multipliers, which can be converted to jobs or earnings multipliers using per-industry jobs-tosales or earnings-to-sales ratios. The resulting tables and vectors from this process are then used in the actual enduser software to calculate regional requirements, calculate the regional economic base, estimate sales multipliers, and run impact scenarios. APPENDIX 3: SENSITIVITY ANALYSIS Sensitivity analysis is the process by which researchers determine how variations in the background data and assumptions impact the results of the study. When the magnitude of the results is highly sensitive to a particular assumption or variable, it is essential that there be a high degree of confidence in the accepted assumptions. Assumptions that have little impact on the results still need to be reasonable, but the degree of confidence in those variables is less constraining. ASSUMPTIONS In this appendix we test the sensitivity of the results to the following four variables: (1) the discount rate; (2) the average number of years that WIA participants would need to find a job of equal pay without receiving services; (3) the decay rate; and (4) the retention rate. These variables all affect the WIA benefit-cost analysis presented in Chapter 3. More detail on the use of these variables is found in Appendix 1. Discount rate Table A3 tests the sensitivity of the benefit-cost ratio for each WIA program to variations in the assumed discount rate. As discussed in Appendix 1, we apply a real discount rate of 1.5% because the projected earnings stream of participants is in real (as opposed to nominal) terms. Base case results using the 1.5% discount rate appear in the middle column of Table A3, with variations of plus or minus 17%, 33%, and 50% on either side. Analyses are then redone introducing one change at a time, holding all other variables constant. Table A3. Sensitivity Analysis of Discount Rate \| Discount rate \| 0.8% \| 1.0% \| 1.3% \| 1.5% \| 1.8% \| 2.0% \| 2.3% \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| Adult \| 2.51 \| 2.5 \| 2.49 \| 2.48 \| 2.47 \| 2.46 \| 2.45 \| \| Dislocated worker \| 10.81 \| 10.77 \| 10.73 \| 10.69 \| 10.65 \| 10.61 \| 10.57 \| \| Youth \| 0.05 \| 0.05 \| 0.05 \| 0.05 \| 0.05 \| 0.05 \| 0.05 \| \| Overall \| 5.23 \| 5.21 \| 5.19 \| 5.17 \| 5.15 \| 5.13 \| 5.11 \| As expected, the discount rate has an inverse relationship with the results, i.e., reductions in the discount rate lead to corresponding increases in the benefit-cost ratios, and vice versa. For example, lowering the discount rate from 1.5% to 0.8% causes the combined benefit-cost ratio to increase from 5.17 to 5.23. Similarly, rais ing the discount rate from 1.5% to 2.3% reduces the combined benefit-cost ratio from 5.17 to 5.11. In all cases the combined benefit-cost ratio remains above 1.0, even given fairly large variations in the base case assumption. Time to employment without intervention Table A4 demonstrates how the results are affected by changes in the assumed length of time it would take participants to find a job of equal pay on their own had they not registered at the WIB for services (measured in terms of years). This vari able naturally has a high degree of variance depending on the inherent characteris tics of the participants, the level of service they receive, and the type of program in which they enroll. The base case assumption is 2.5 years for participants who receive training-related services and 0.5 years for participants who do not receive trainingrelated services. For the sake of simplicity, we perform the sensitivity analysis on just the 2.5 year assumption for training-related participants. As before, we bracket this assumption by plus or minus 17%, 33%, and 50% variations. Clearly results are sensitive to this variable. This is understandable since, the less time it takes participants to find a job that pays as well as the one they find with WIA's help, the fewer benefits the model is able to credit to WIA intervention. Nonetheless, the results are still reasonable even given the most conservative of assumptions. Table A4. Sensitivity Analysis of Time to Employment Without Intervention BASE \| Time to employment (no. of years) \| 1.3 \| 1.7 \| 2.1 \| 2.5 \| 2.9 \| 3.3 \| \|---\|---\|---\|---\|---\|---\|---\| \| Adult \| 2.38 \| 2.41 \| 2.45 \| 2.48 \| 2.52 \| 2.56 \| \| Dislocated worker \| 10.41 \| 10.5 \| 10.6 \| 10.69 \| 10.78 \| 10.86 \| \| Youth \| 0.05 \| 0.05 \| 0.05 \| 0.05 \| 0.06 \| 0.06 \| \| Overall \| 5.03 \| 5.07 \| 5.12 \| 5.17 \| 5.22 \| 5.26 \| Decay rate Table A5 varies the negative constant, k, from the entropy equation provided in Appendix 1. This variable determines the rate at which the effect of WIA treatment on participants wears off once they enter the workforce. In the model the decay rate is assumed to be 0.2 for participants who receive training-related services and 0.5 for participants who do not receive training-related services. We test the sensitiv ity of the 0.2 assumption for training-related participants in Table A5. Note that increasing the decay rate lowers the benefit-cost ratio while decreasing the decay rate raises the benefit-cost ratio. Although this variable has implications for the spe cific programs, it does not affect the combined benefit-cost ratio to the same extent. Table A5. Sensitivity Analysis of Decay Rate BASE CASE \| Adult \| 2.48 \| 2.48 \| 2.48 \| 2.48 \| 2.48 \| \|---\|---\|---\|---\|---\|---\| \| Dislocated worker \| 10.72 \| 10.7 \| 10.69 \| 10.67 \| 10.66 \| \| Youth \| 0.05 \| 0.05 \| 0.05 \| 0.05 \| 0.05 \| \| Overall \| 5.19 \| 5.18 \| 5.17 \| 5.16 \| 5.16 \| Retention rate Lastly we measure the sensitivity of the results to the retention rate. As described in Chapter 2 and in Appendix 1, the retention rate is a variable supplied by the WIB and is expressed as a percentage where the numerator is the number of people who are in employment in the second and third quarters after the exit quarter. Because each program has a unique retention rate, the sensitivity analysis must be done sep arately for each of the respective program retention rates. The range around the base case is plus or minus 10% unless that exceeds rational bounds (i.e., where retention rates are in excess of 100% or less than 0%). As seen in the table, increasing the retention rate has positive effects on the benefitcost ratio for all programs. This emphasizes the importance of ensuring that partici pants find a job that is well-suited to their skill set and has long-term sustainability. Table A6. Sensitivity Analysis of Retention Rate \| \| ADULT \| \| DISLOCATED WORKER \| \| YOUTH \| \| \|---\|---\|---\|---\|---\|---\|---\| \| RATE B/C RATIO RATE B/C RATIO RATE B/C RATIO \| \| \| \| \| \| \| \| 10% \| 91.2% \| 2.73 \| 89.9% \| 11.76 \| 70.8% \| 0.06 \| \| 5% \| 87.1% \| 2.61 \| 85.8% \| 11.22 \| 67.6% \| 0.05 \| \| Base case \| 82.9% \| 2.48 \| 81.7% \| 10.69 \| 64.4% \| 0.05 \| \| -5% \| 78.8% \| 2.36 \| 77.6% \| 10.15 \| 61.2% \| 0.05 \| \| -10% \| 74.6% \| 2.23 \| 73.5% \| 9.62 \| 58.0% \| 0.05 \| CO N C LU S I O N This sensitivity analysis demonstrates the reasonableness of the accepted assump tions and the range of outcomes that would result were those assumptions increased or decreased. Although some assumptions have a greater impact on the resulting benefit-cost ratios than others, all accepted base case scenarios appear reasonable, if not conservative, even when conditions are changed to the highest or lowest extremes. APPENDIX 4: GLOSSARY OF TERMS Adult/Dislocated Worker programs: Programs offered under the Workforce Invest ment Act (WIA) designed to increase the employment, retention, earnings, and occupational skill attainment of unemployed adults or dislocated workers who have lost their jobs due to plant closure, layoff, or other reasons outside of the individuals' control Average earnings: Of those who are employed in the first, second, and third quarters after the exit quarter, total earnings in the second and third quarters after the exit quarter divided by the number of participants who exit during the quarter; a com mon measure Common measures: Performance measures used to assess program effectiveness; includes the entered employment rate (EER), retention, and average earnings Direct effect: Changes in economic activity due to the first round of spending by the WIB and its employees Entered employment rate (EER): Of those who are unemployed at the date of partici pation, the number of participants who are employed in the first quarter after the exit quarter divided by the number of participants who exit during the quarter; a common measure Income: Sum of labor income (i.e., wages and salaries) and non-labor income (i.e., profits, rents, and other) Indirect effect: Additional jobs and income created in the economy as the businesses patronized by the WIB spend money in the region to purchase even more supplies and services Multiplier: Factor of change that occurs in a region's industries as a result of eco nomic activity in another industry NAICS: North American Industry Classification System Retention rate: Of those who are employed in the first quarter after the exit quarter, the number of participants who are employed in both the second and third quarters after the exit quarter divided by the number of participants who exit during the quarter; a common measure SOC: Standard Occupational Classification Youth program: Program offered under the Workforce Investment Act serving eli gible low income youth, ages 14 to 21 (14 to 24 under ARRA), who face barriers to employment APPENDIX 5: RESOURCES & REFERENCES Ashenfelter, Orley C. "Estimating the Effect of Training Programs on Earnings." Review of Economics and Statistics 60 (1978): 47-57. Heckman, J.J., L.J. Lochner, and P.E. Todd. "Earnings Equations and Rates of Return: The Mincer Equation and Beyond." In Handbook of the Economics of Educa tion, edited by Eric. A. Hanushek and Finis Welch, 307-458. Amsterdam: North Holland, 2006. Heinrich, Carolyn J., Peter R. Mueser, and Kenneth R. Troske. "Workforce Invest ment Act Non-Experimental Net Impact Evaluation: Final Report." Employment and Training Administration, Department of Labor, ETAOP 2009-10, December 2008. Hollenbeck, Kevin, Daniel Schroeder, Christopher T. King, and Wei-Jan Huang. "Net Impact Estimates for Services Provided through the Workforce Investment Act." ETA Occasional Paper 2005-06. Washington, DC: U.S. Department of Labor, Employment and Training Administration, 2005. Mincer, Jacob. Schooling, Experience, and Earnings. National Bureau of Economic Research. New York: Columbia University, 1974. Office of Management and Budget. "Guidelines and Discount Rates for BenefitCost Analysis of Federal Programs." Circular No. A-94 Revised, October 1992. Willis, Robert J. "Wage Determinants: A Survey and Reinterpretation of Human Capital Earnings Functions." In Handbook of Labor Economics, Vol. 1, edited by Ken neth J. Arrow and Michael D. Intriligator, 525-602. Amsterdam: Elsevier Science Publishers, 1986.
ERIKSEN & ASSOCIATES LTD Actuaries & Investment Strategists Eriksen's Master Trust Survey Results to 31 December 2014 Investment Returns The annual rate of CPI fell to 0.7% for the 2014 year. Growth funds returned 8.9% over the year, balanced funds were up 8.4% and conservative funds gained 6.3%. The returns from growth and balanced funds are down from last quarter but conservative funds are up 0.3%. Over the longer term (five years) single sector aggressive funds have been the strongest performers, followed by balanced and growth funds. during 2015, probably mid-year – even at the risk of slowing the economy. US job growth has been strong in recent months which has reduced unemployment below 6% last year. However the true level of unemployment is much higher given the large numbers in part time work who would prefer to be full time and the large number of longer term unemployed. Economic Commentary First up is the dramatic fall in the price of oil which looks likely to cripple the economies of several non-Middle Eastern producers including Russia, Nigeria, Indonesia and Venezuela. While there has been some debate as to whether the price decline is the result of supply or demand factors, both seem to have had an effect. There has been significantly increased supply from non-traditional higher cost sources such as the US shale oil fields and deep water drilling. Demand for oil from the emerging economies (especially China) has also fallen, as it has with other raw materials such as coal and iron ore, as growth has slowed. Usually the fall in demand would be balanced by reduced supplies from OPEC countries. In this case it appears that Saudi Arabia has its own reasons for wanting to keep the oil price down for a time. The effects of the low oil prices on emerging economies are already being seen. Venezuela is in recession and has crippling inflation, the Russian economy is on its knees, Nigeria is struggling and there have been flow on effects to other emerging countries. Next is the Eurozone, after another year in which it failed to resolve its long standing structural problems. Since the political issues involved in agreeing to reform seem largely unresolvable, any periodic crises tend to be dealt with in a manner which makes them go away for the short term, without resolving them for the longer term. The latest crisis involves Greece which has been bullied into austerity by bailouts which just kept increasing its indebtedness, a circumstance which has infuriated its citizens. Now that their latest government has fallen, the Greeks have elected a left leaning populist government which has campaigned on leaving the Euro and returning to the drachma. Given that a new drachma would be valued far below the euro, this would probably mean Greece being unable service its debt and hence defaulting…. At the time of the earlier Greek bailouts policy makers felt a Greek exit from the Euro would have a knock on effect to other struggling countries such as Italy and Spain being unable to find lenders to take their debt. Now the European decision makers (headed by the Germans) seem confident the Eurozone has been reformed sufficiently to handle a Greek exit without disaster. We may shortly find out whether this optimism is justified. Either way an orderly exit process is required. While much of the rest of the world seems likely to struggle through 2015 the US looks likely to continue to recover, with the dollar likely to strengthen against other major currencies. The Federal Reserve has said it is willing to risk inflation rising above 2%. It intends to "normalize policy" and increase interest rates While the US appears to have recovered well over the last few years, its growth just averaged around 2% since 2000. Well below the 3% plus which has traditionally been seen as normal for a healthy economy. This clearly demonstrates the gap between the stock markets at record highs and the real economy. Elsewhere the New Year looks like a continuation of the old one. China has slowed and seems unlikely to grow at above 7% in the immediate future. Japan's experiment with stimulating the economy under Mr Abe seems to have stalled after two quarters of a shrinking economy. Financial markets are still beset by systemic risk. There is a fundamental tension between the inconsistent global economic "recovery" and the share and other asset prices which have been inflated by the massively increased money supply. Global economic events most likely to shape 2015 are likely to be completely unexpected to most of us. In the past only the most prescient were able to predict the global economic crisis. The fall in oil and other commodities prices should enable more consumption for some. Deflation, however, will make it difficult for politicians, Central Bankers and borrowers to pay off debt more quickly. We can but wait and see how long this low interest rate environment can last or will geo-political events intervene? How long will this euphoric state of affairs continue? Our guess is that something will happen this year. We suggest that you expect the unexpected and prepare for the worst while hoping for the best. New Zealand's Official Cash Rate The Reserve Bank of Australia has just announced an OCR cut of 0.25% taking the rate to an all-time low of 2.25%. New Zealand's OCR has stayed at 3.5% since July last year after four rounds of 0.25% hikes. It's unclear at this stage whether the Reserve Bank of New Zealand (RBNZ) will raise or cut rates next, as the latter was hinted at last week by the Governor of the RBNZ. Dairy prices have lifted at the latest auction which has increased many forecasts for next season's pay out from Fonterra. However the drought conditions all over NZ will put a squeeze of farmers and may lift prices more, but only due to a lower output which won't necessarily increase earnings. Our rate of CPI has fallen to just 0.7% after a negative December quarter, and is predicted by many to be negative again for the March quarter however on the flip side the property market is continuing to boom with no sign of slowing. The RBNZ has a difficult track to manoeuvre with many economic indicators seemingly at odds with one another. Contact us: Auckland email@example.com Ph +64 9 486 3144 Wellington firstname.lastname@example.org Ph +64 4 470 6144 © Eriksen & Associates Ltd 2008 - 2014 All rights reserved. Page \| 1 \| Fund Name \| Fund Size $ million \| \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| \| 1 Year \| 2 Year \| 3 Year \| 4 Year \| The material presented here has been compiled from publicly available sources and information from the respective Master Trust providers. Where tax paid returns for PIE compliant funds have not been available, tax paid returns have been calculated using a 33% tax rate up to 31 March 2008, 30% to 30 September 2010 and 28% thereafter. Eriksen & Associates accepts no liability for any errors herein, or any legal or investment decisions made as a consequence of the information shown. Investment decisions or comparisons should not be based on past performances in isolation from other factors. \| Fund Name \| Fund Size $ million \| Annualised Returns (Net of Tax & Expenses) \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| 1 Year \| 2 Year \| 3 Year \| 4 Year \| 5 Year \| \| Balanced Funds AMP ANZ Balanced Plus AMP ASB Balanced AMP Balanced AMP Fisher Balanced AMP Moderate Balanced AMP Nikko AM Balanced AMP's SMT Multi-Manager Balanced Aon Balanced ASB Balanced Aventine's SuperLife Aim60 Aventine's SuperLife Ethica Aventine's SuperLife SuperLife60 Fisher Funds Lifesaver Balanced Mercer Active Balanced All Balanced Funds \| 238.5 55.4 645.3 137.1 146.2 114.0 170.2 47.7 557.0 46.3 12.3 185.1 243.8 71.6 2,670.6 \| 10.6 8.8 7.7 9.4 7.2 9.7 7.6 7.7 8.7 7.7 8.6 7.5 7.6 8.9 8.4 \| 11.8 9.7 8.2 8.8 7.3 10.1 8.5 8.0 10.1 6.1 7.9 7.7 7.1 9.5 8.9 \| 12.2 9.5 8.8 9.3 7.7 10.2 8.8 9.0 10.0 8.0 8.8 9.6 7.6 9.2 9.3 \| 9.1 6.6 6.0 6.3 5.3 7.1 6.0 6.8 7.3 5.6 6.9 6.9 5.6 6.6 6.6 \| 8.4 6.6 5.6 6.3 5.1 6.7 6.0 6.7 7.0 5.8 6.2 6.9 5.5 6.4 6.4 \| Page \| 3 The material presented here has been compiled from publicly available sources and information from the respective Master Trust providers. Where tax paid returns for PIE compliant funds have not been available, tax paid returns have been calculated using a 33% tax rate up to 31 March 2008, 30% to 30 September 2010 and 28% thereafter. \| \| \| 1 Year \| 2 Year \| 3 Year \| 4 Year \| 5 Year \| \|---\|---\|---\|---\|---\|---\|---\| \| Conservative Funds AMP Capital Assured AMP Conservative AMP Moderate AMP's SMT Multi-Manager Conservative Aon Capital Stable Aon Conservative ASB Moderate (previously Conservative) Aventine's SuperLife Aim30 Aventine's SuperLife SuperLife Income Aventine's SuperLife SuperLife30 Fisher Funds LifeSaver Conservative Mercer Conservative All Conservative Funds \| 95.5 244.2 88.7 66.0 5.2 13.2 134.4 35.1 62.7 24.3 22.8 36.1 828.2 \| 5.2 5.8 6.6 5.7 5.8 6.6 7.6 6.9 6.4 6.7 6.2 6.5 6.3 \| 4.1 4.8 6.2 5.1 2.8 4.6 7.3 4.9 4.4 5.1 5.6 5.0 \| 3.4 5.2 6.5 5.5 3.6 5.6 7.5 6.3 6.5 5.4 5.6 5.2 \| 3.3 4.4 4.9 4.9 3.6 5.0 6.0 5.3 5.1 4.8 4.6 4.4 \| 3.3 4.3 4.7 5.0 3.9 5.2 5.9 5.4 4.8 4.7 4.2 \| The material presented here has been compiled from publicly available sources and information from the respective Master Trust providers. Where tax paid returns for PIE compliant funds have not been available, tax paid returns have been calculated using a 33% tax rate up to 31 March 2008, 30% to 30 September 2010 and 28% thereafter. \| Fund Name \| Fund Size $ million \| \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| \| 1 Year \| 2 Year \| 3 Year \| 4 Year \| \| Single Sector Defensive AMP Cash AMP International Fixed Interest AMP New Zealand Fixed Interest AMP's SMT Cash AMP's SMT International Fixed Interest AMP's SMT NZ Fixed Interest AMP's UK Cash Portfolio ASB Cash ASB New Zealand Fixed Interest ASB World Fixed Interest Aventine's SuperLife Cash Aventine's SuperLife New Zealand Bonds Aventine's SuperLife Overseas Govt Bonds Aventine's SuperLife Overseas Non Govt Bonds Aventine's SuperLife UK Cash Aventine's SuperLife UK Income Fisher Funds LifeSaver New Zealand Fixed Income Fisher Funds LifeSaver Preservation Mercer Cash All Single Sector Defensive \| 81.4 0.7 3.6 16.6 3.0 8.7 21.1 61.7 39.2 38.9 108.9 111.0 45.4 51.8 9.6 0.4 11.2 47.2 22.6 682.9 \| 2.2 3.4 5.1 2.3 5.7 5.6 -1.6 2.7 5.0 5.8 2.8 5.6 7.0 7.7 -1.2 2.8 5.4 2.6 2.2 4.0 \| 2.1 2.3 3.5 2.4 -0.1 2.4 2.4 3.0 2.7 3.5 2.0 3.3 0.3 2.7 2.3 2.5 1.9 2.5 \| 2.1 2.3 4.1 2.9 -0.4 2.2 2.8 3.3 2.8 4.2 3.0 5.0 2.8 2.5 1.9 2.9 \| 2.1 2.3 4.6 4.1 -0.4 2.1 4.0 3.8 2.8 5.1 3.8 4.9 4.0 2.4 1.9 3.2 \| \| \| \| 1 Year \| 2 Year \| 3 Year \| 4 Year \| 5 Year \| \|---\|---\|---\|---\|---\|---\|---\| \| Total Funds Cash Benchmark (Net) CPI \| 5,698.6 \| 7.8 2.3 0.7 \| 7.9 2.1 1.2 \| 8.3 2.0 1.1 \| 5.9 2.0 1.3 \| 5.7 2.0 1.8 \| Contact us: Auckland Wellington email@example.com firstname.lastname@example.org Ph +64 9 486 3144 Ph +64 4 470 6144 The material presented here has been compiled from publicly available sources and information from the respective Master Trust providers. Where tax paid returns for PIE compliant funds have not been available, tax paid returns have been calculated using a 33% tax rate up to 31 March 2008, 30% to 30 September 2010 and 28% thereafter. Eriksen & Associates accepts no liability for any errors herein, or any legal or investment decisions made as a consequence of the information shown. Investment decisions or comparisons should not be based on past performances in isolation from other factors.
CUSTOM QUOTATION: Please respond to Group Voyagers, Inc. by the option date listed on your quotation. INCLUDED IN QUOTATION: ACCOMMODATIONS are subject to availability and will be confirmed no later than 30 days prior to date of departure. See attached Terms & Conditions for more details. * Accommodations will be provided in moderate first class or best available superior tourist class hotels. * Rates are per person with existing hotel bedding. All accommodation includes a room with private bath or shower and toilet. Double occupancy accommodation is provided in twin-bedded rooms. Triple occupancy accommodation will be furnished with existing bedding; either three twin beds or two double beds which may be shared. Quad occupancy accommodation will be furnished with two double beds which may be shared. Quad accommodations are not available outside North America. * Overnight chaperones can be included upon request. * Availability of Single and Triple accommodations can be limited. Triples and Quads are not available on tours including cruises. MOTORCOACHES are air-conditioned nearly everywhere while touring. Subway transportation may be used if indicated in the itinerary. No use of the motorcoach other than as specified in the itinerary. SIGHTSEEING as outlined in the itinerary with inside visits (including admission charges) shown in UPPER CASE in the tour description. Sightseeing with local guides where applicable. AIR TRANSPORTATION is covered under a SEPARATE policy. Please refer to the Group Air Policy for policies and terms relating to air inclusive bookings. TOUR DIRECTOR will be provided in accordance with the terms of your itinerary. Tour Directors take care of all the tour details onsite while ensuring your group receives an authentic cultural experience. GRATUITIES for the Tour Director, Motorcoach Driver, and Local Guides have been included in the package price. TRAVEL PROTECTION BENEFITS are included in your package price: Accidental Death and Dismemberment, Accident and Sickness Medical Expense, Dental Expense, Emergency Medical Evacuation & Repatriation, Baggage and Personal Effects, and Baggage Delay (24 hours or more), and One Call Worldwide emergency travel assistance. See Protection flyer for more details and coverage limits. Travel Protection Benefits are not available or included for non-US residents. NOT INCLUDED IN QUOTATION: Airport taxes (where applicable), baggage fees, porterage, meals not included in attached itinerary, all items of a personal nature such as laundry, cleaning, telephone, fax expenses, beverages (except when included at meals), etc. TRAVEL PROTECTION PLUS (ADDITIONAL COVERAGE AVAILABLE FOR PURCHASE) * Travel Protection Plus may be purchased as an additional supplement of $79. The benefits include Trip Cancellation, Trip Interruption, Delayed Arrival & Missed Connection, Occupancy Upgrade, and Travel Delay (12 hours or more). * Travel Protection Plus allows you to cancel your program up to 24 hours (or the prior business day, whichever is farther out) before the scheduled departure. * FOR A COVERED REASON. You will be reimbursed the amount of the cancellation penalty minus the travel protection cost in the form of a refund. Independently arranged air is not covered. * FOR ANY REASON, you will be reimbursed the amount of the cancellation penalty minus the travel protection cost in the form of a travel certificates valid for travel within two years from the date of the original vacation. Independently arranged air is not covered. * Travel Protection Plus must be purchased at the time we receive your initial payment for your program. * If the Travel Protection Plus is purchased, it is understood and agreed that in the event of a covered Trip Cancellation claim, the basis of payment under the travel protection plan will be as follows: * Travel protection protects only the Student Discoveries package price of the tour when passengers cancel. * Travel Agent/Group Contractor shall refund to the participant any additional amounts paid by the participant for the travel arrangements, not included in the item listed above (not including the travel protection plan premium). * Travel Protection Plus premiums are non-refundable within 120 days prior to departure unless the tour is cancelled by the Operator. PLEASE NOTE: No space is held for your group until the signed copy of this policy has been received. XF061333_rev0315 IMPORTANT DATES: INCLUDED IN QUOTATION: \| AAtt ttiimmee ooff bbooookkiinngg \| SSiiggnn && RReettuurrnn PPoolliiccyy \| \|---\|---\| \| AAtt ttiimmee ooff iinnddiivviidduuaall eennrroollllmmeenntt \| IInnddiivviidduuaall DDeeppoossiitt DDuuee FFiirrsstt aanndd llaasstt nnaammeess mmuusstt aappppeeaarr aass tthheeyy ddoo oonn tthhee ppaassssppoorrtt oorr ggoovveerrnnmmeenntt iissssuueedd iidd,, wwiitthh ccoorrrreecctt ssppeelllliinngg!! \| \| 3300 ddaayyss aafftteerr ddeeppoossiitt \| RReevviieeww ooff TToouurr LLiitteerraattuurree \| \| 221100 ddaayyss pprriioorr ttoo ddeeppaarrttuurree \| 110000%% ooff PPaasssseennggeerr NNaammeess,, IInnddiivviidduuaall DDeeppoossiittss,, aanndd EEnnrroollllmmeenntt FFoorrmmss DDuuee BBooookkiinnggss mmaaddee aafftteerr tthhiiss ddaattee mmuusstt hhaavvee nnaammeess aanndd iinnddiivviidduuaall ddeeppoossiittss aatt ttiimmee ooff bbooookkiinngg.. LLaasstt ddaayy ttoo ccaanncceell wwiitthh aa ffuullll rreeffuunndd ooff IInnddiivviidduuaall DDeeppoossiittss \| \| 120 days prior to departure \| 100% of Passenger Names, Individual Deposits and Enrollment Forms Due \| \| 90 days prior to departure \| FBionoakli nrgoso mmaidneg alfistetr i tsh disu dea te must Rhaovoem nainmge sli asnt dm inudsitv iidnudailc daetpeo sits cath taimpee roofn beoso,k minagl.e students, and female students. Last day to cancel with a full refund \| \| 65 days prior to departure \| Fofi nInadl ipviadyumal eDnetpso asirtes due \| \| 90 days prior to departure \| Final rooming list is due \| Rooming list must indicate produce your documentation on time. chaperones, male students, \| 65 days prior to departure \| Individual Cancellation Final payments are due \| Full Group Cancellation Tour arrangements are subject to cancellation if final payment is not \| \|---\|---\|---\| \| After Booking \| \| Irfe tcheei veendt irbey ttohuer disu cea dnacteell.ed by Student Discoveries at 210 days prior \| \| \| CANC \| to departure due to lack of participation, the initial deposit and Travel Protection Plus will be returned. ELLATION TERMS: \| \| 209-65 days prior to departure \| $250 per person canceled* Individual Cancellation \| $250 per person cancelled Full Group Cancellation \| \| Prior to 180 days (air 6in4c-l2u2si vdea)y os rp 1r2io0r dtoay s (land doenplya)rture \| $100 per person canceled* 20% of total price \| If the entire tour is cancelled by Student Discoveries at 180 days or 120 days prior to departure due to lack of participation, the initial deposit and Travel 50% of total price Protection Plus will be returned. \| \| 2210-98 -d6a5y ds apyrsio prr tioor to ddeeppaarrttuurree (air inclusive) \| 3$025%0 o pf etor tpael rpsroicne canceled* \| $250 per person cancelled 75% of total price \| \| 7-1 days prior to departure 119-65 days prior to \| 50% of total price $250 per person canceled* \| 90% of total price $250 per person cancelled \| \| Odenp daertpuarret u(rlaen dda oy nalny)d later \| 100% of total price \| 100% of total price \| \| Revision Fees 64-22 days prior to departure \| A penalty of $30 per change may 20% of total price departure. \| be assessed for any change made to a land reservation within 90 days of 50% of total price \| \| Air Penalties 21-8 days prior to departure \| $300 air penalty will only apply 30% of total price final payment. \| within airline utilization date. Internal air and taxes are non-refundable within 75% of total price \| CANCELLATION TERMS: departure 7-1 days prior to departure 50% of total price IMPORTANT NOTES FOR ALL CUSTOM TOURS: 90% of total price On departure day and later 100% of total price 100% of total price Revision Fees A penalty of $30 per change may be assessed for any change made to a land reservation within 90 days of • Once the policy is signed & returned, only minor revisions can be made to the itinerary. In the instance revisions are possible, additional charges may apply. Your included activities have been confirmed in advance and cannot be changed while on tour. departure. Air Penalties $300 air penalty will only apply within airline utilization date. Internal air and taxes are non-refundable within • Under certain conditions, hotels or special services may require a SPECIAL ADDITIONAL DEPOSIT to reserve the space. If this becomes necessary, you will be notified right away. If the additional deposit is non-refundable once received, or becomes non-refundable at a certain date, you will be advised. final payment. • Reductions for clients who join the tour late or leave early are subject to restrictions and are determined on an individual basis at the sole discretion of Group Voyagers, Inc. IMPORTANT NOTES FOR ALL CUSTOM TOURS: * Once the policy is signed & returned, only minor revisions can be made to the itinerary. In the instance revisions are possible, additional charges may apply. Your included activities have been confirmed in advance and cannot be changed while on tour. * Under certain conditions, hotels or special services may require a SPECIAL ADDITIONAL DEPOSIT to reserve the space. If this becomes necessary, you will be notified right away. If the additional deposit is non-refundable once received, or becomes non-refundable at a certain date, you will be advised. * Reductions for clients who join the tour late or leave early are subject to restrictions and are determined on an individual basis at the sole discretion of Group Voyagers, Inc. * There must be a minimum of 1 adult for every 9 youths. ROOMING LIST * Rooming list must be submitted at 90 days prior to departure which indicates chaperones, male students, and female students. * In North America, quad occupancy rooms will be assigned to all students unless a triple room is needed to balance the male / female student ratio. ENROLLEMENT FORM * An Enrollment Form must be signed by every youth traveling and their parents and submitted to the Globus family of brands along with their individual deposit payment at time of booking. Reservations will not be accepted without a signed Enrollment Form. TRAVEL DOCUMENTS * Travel documents, including any paper air tickets or e-ticket itineraries, are sent by regular ground delivery to one central address for the group approximately two-three weeks prior to departure provided full payment has been received. PLEASE DO NOT SCHEDULE A GROUP DEPARTURE MEETING prior to this time as documents will not be available. * In order to provide these documents, we should receive your rooming list no later than 180 days prior to departure for cruise inclusive packages and no later than 90 days prior to departure for land packages. * If the group requires special document handling including but not limited to overnight delivery and multiple delivery addresses, additional fees will apply. YOUTH GROUPS A youth group is any non-family group in which more than half of the passengers are between the ages of 8 and 17. Youth groups must be identified as such at the time of booking. There must be a minimum of 1 adult chaperone for every 9 youths. Youth groups with 10 or more youths are on request and may require special policies. Youth groups do not qualify for child reductions. Additional documentation is required. Please call your Groups Account Manager for details. OPTIONAL EXCURSIONS * Optional excursions may be offered to your group unless otherwise specified. * Group Leaders: When 20 or more passengers in your group take the optional excursion together, the designated group leader may earn 1 free rebate for that optional. To earn this benefit, the group leader must be identified as such to our office no later than 65 days prior to departure. Restrictions may apply on destinations and excursions not operated by the Globus family of brands. PAYMENT * The Globus family of brands will only accept payment for services provided and outlined in the custom itinerary at the tour price listed. * The tour price is based on the number of passengers traveling per motorcoach. Should individual cancellations necessitate an adjustment in the group size, the tour price will be adjusted and invoices re-issued for immediate payment. Tours cannot be operated if group size falls below 15. PLEASE SIGN AND DATE THE FOLLOWING —FAX TO 303-795 - 0962 I certify that I have read, understand, and agree to the terms specified in the Globus family of brands Student Discoveries Land Policy (including the attached terms and conditions) and the Globus family of brands Custom Group Air Policy (for air inclusive bookings). I also certify that I have provided or will provide to each of my booked passengers a copy of the terms & conditions pages no later than 120 days prior to departure or no later than 7 days prior to departure if already inside 120 days prior to departure. ___________________________________________________________________________ _________________________________ GROUP NAME OR AGENCY NAME TRAVEL DATES ___________________________________________________________________________ _________________________________ AUTHORIZED SIGNATURE SIGNATURE DATE STUDENT DISCOVERIES DE PA R T M E N T 5301 SOUTH FEDERAL CIRCLE \|L I T T L E T O N , C O 8 0 1 2 3 - 2 9 8 0 PHONE: 888.258.0012 \| FA X : 3 0 3 . 7 9 5 . 0 9 6 2 \| S T U D E N T D I S C O V E R I E S . C O M XF061333_rev0315 CHAPERONE RATIO GROUP VOYAGERS, INC. TERMS AND CONDITIONS – CUSTOM GROUPS The Globus Family of brands is pleased to have the opportunity to be of service to you and your clients. PLEASE READ CAREFULLY Travel Protection payments The purchase of any travel services offered by Globus, Cosmos, Avalon Waterways, Monograms, and Student Discoveries ("the Globus family of brands") or Group Voyagers, Inc. ("the Company") constitutes a contractual arrangement between you and the Globus family of brands, and represents your acceptance of the Globus family of brands Terms and Conditions set out herein. Please ensure that you read carefully and understand these Terms and Conditions prior to booking. DEPOSIT & FINAL PAYMENT: We accept checks, money orders, Visa, MasterCard, Discover/Novus, and American Express. Your payment is not deemed made until it is received by the Globus family of brands. A non-refundable, non-transferable deposit of $250 per land vacation per person is required for us to reserve space for you. Please review and verify your booking invoice thoroughly and contact the Globus family of brands immediately if your invoice appears to be incorrect or incomplete, as it may not be possible to make changes later. Globus cannot accept responsibility if we are not notified of inaccuracies within 10 days of sending out the invoice. In the case of billing errors, we reserve the right to reinvoice with correct pricing. responsible in the event it is unable to do so nor is it responsible for any denial of services by air carriers, hotels, restaurants, or other independent suppliers. The Americans with Disabilities Act is only applicable within the United States and facilities for disabled individuals are limited outside its borders. Most transportation services, including the touring motorcoach, are not equipped with wheelchair ramps. We regret that we cannot provide individual assistance to a vacation participant for walking, dining, getting on and off motorcoaches and other vehicles, or other personal needs. A qualified and physically able companion must accompany travelers who need such assistance and must assume full responsibility for their well being. With prior permission and waivers, we will attempt to accommodate motorized scooters on domestic vacations, depending on the suitability of the itinerary. The passenger assumes the full risk of use and of any prohibitions imposed by vendors. Motorized scooters are not typically suitable on international tours. Final payment is due 90 days prior to departure for cruise inclusive packages and 65 days prior to departure for land packages. If we do not receive final payment by the due date, we reserve the right to cancel the reservation and retain your full deposit and any Travel Protection Premiums. We are not responsible for canceled land or air reservations in the event payment is not received by the final payment date. Payment in full is required at time of booking for reservations made within the final payment date of your vacation in order to secure booked space. Acceptance on the vacation is subject to presentation of the Globus Traveler Certificate, which will be available in your final Travel Documents. EXCEPTIONS APPLY TO THESE VACATIONS: The following deposit and/or final payment dates apply to these vacations. Please see your invoice for more information on deposit and/or final payment dates. * Additional $300 non-refundable deposit (total $550 non-refundable) is required for air booked in conjunction with any land vacation (i.e. an air-inclusive vacation). Air can only be booked by Globus in conjunction with a land package. The following taxes and fees will be added to your trip price if you book an air-inclusive vacation with the Globus family of brands. These taxes and fees are dependent upon your itinerary. Please ask your Custom Tour Consultant at time of reservation for more information. * September 11th Security Fee up to $10 per person * Passenger facility charges up to $18 per person * Federal domestic flight segment fees up to $3.50 per segment * U.S. and International arrival and departure, and other government imposed fees up to $300 per person CANCELLATIONS & CANCELLATION FEES: If cancellation is received less than 120 days prior to departure, your non-refundable deposit and Travel Protection premiums will be retained in addition to any airline-imposed fees or penalties. For individual reservations, the following per person cancellation fees apply. STANDARD CANCELLATION FEES: * 210-65 days prior to departure: $250 per person plus Travel Protection payments * 64-22 days prior to departure: 20% of total price plus Travel Protection payments * 21-8 days prior to departure: 30% of total price plus Travel Protection payments * 7-1 days prior to departure: 50% of total price plus Travel Protection payments * On departure day and later: 100% of total price plus Travel Protection payments EXCEPTIONS APPLY TO BELOW VACATIONS: CRUISE INCLUSIVE PACKAGES: * 90-60 days prior to departure: 35% of total price plus Travel Protection payments * 59-30 days prior to departure: 50% of total price plus Travel Protection payments * 29-1 days prior to departure: 80% of total price plus Travel Protection payments * On departure day and later: 100% of total price plus Although some of our ships have elevators, many of our small ships (e.g. river cruise vessels) do not. Passengers requiring ship elevators should inquire before making reservations. Additionally, most stateroom doors and restrooms are not wide enough to allow access by standard wheelchairs, and bathrooms and other doorways may be fitted with coamings. For safety reasons, passengers in wheelchairs cannot be carried on ramps in ports where the ship is at anchor. YOUTH GROUPS: A youth group is any group in which more than half of the passengers are between the ages of 8 and 17. Youth groups must be identified as such at the time of booking. There must be a minimum of 1 adult for every 9 youths. Youth groups with 10 or more youths must travel on a private coach. Youth groups do not qualify for child reductions. Additional forms & documentation will be required. Due to heightened security, many countries have adopted practices to prevent international abductions of children. If a child will be traveling with adults other than the parents or with only one parent, it is recommended that a notarized letter be written by the parents or non-traveling parent granting authorization to travel, including the dates of travel. We suggest that you also contact the appropriate consulate and airlines because they may have additional requirements or recommendations. SMOKING: Smoking is not allowed on transportation that is exclusively provided by the Globus family of brands. On cruise ships, smoking is restricted to certain areas of the vessel. PRICE POLICY: All vacation prices are based on rates (reflecting foreign exchange rates) known at the time of publication and expected to be in effect at the time of departure, and do not include airfare except where noted. Vacation prices are per person, based on double occupancy. Single room supplements and triple and quad room reductions are listed where applicable. Not all accommodation types are available on all vacations. Air is only available to passengers traveling from the United States and only available when booked in conjunction with a land vacation. For more information, please reference the Custom Group Air Policy for your destination. VISAS & PASSPORTS: You are responsible for obtaining and paying for all visas and entry documents, for meeting all health and other requirements, and for any documents required by the laws, regulations, orders, and/or requirements of the countries you will visit. Non-U.S. citizens must consult with appropriate consulates to determine if any visas are needed and are responsible for obtaining all visas and entry documents independently. The Globus family of brands is not responsible for providing you with specific visa and passport information or documentation and the Globus family of brands cannot accept liability for any passenger refused entry onto any transport or into any country due to failure of the passenger to carry correct documentation. All passengers traveling internationally are required to have a passport. Most countries require that the passport be valid for at least six (6) months beyond the conclusion of your trip. It is recommended you have a minimum of three blank pages in your passport when traveling, as many countries require blank pages. Multiple-entry visas are required for some vacations. It is your responsibility to verify all visa and XF061333_rev0315 Cancellation fees may also apply to any additional services, including accommodations, independently supplied services, and optional excursions reserved prior to, during, and after the tour. If flight changes—including flight cancellations or name changes—are requested after full land and air deposit is received, revision fees, change fees, or airline cancellation fees will apply (see "Revision Fees" below). If an air-inclusive vacation is canceled after air tickets have been issued, refunds will be processed after air tickets are returned to the Globus family of brands. In many instances, airline revision or change fees can be up to $250 but in some instances may be up to 100% of the ticket price. Cancellation penalties will be quoted at time of cancellation. We regret that custom tours will operate only when booked by a sufficient number of passengers. We reserve the right to cancel any departure date that has insufficient demand. If a vacation is canceled prior to departure, the Globus family of brands' only responsibility will be to refund to the passenger the amount we have received for the reservation. We will try to re-book passengers on a similar brochure vacation, if possible. Where the Globus family of brands has confirmed flights, we will try to confirm air schedules for the selected new dates, subject to availability. The Globus family of brands cannot assume responsibility for any additional costs or any fees relating to the issuance and/or cancellation of air tickets or other travel arrangements not made through the Globus family of brands. REVISION FEES: A fee of $30 per transaction will be charged for any alteration or revision made to a reservation. Airline penalties may also apply and may be up to 100% of the full ticketed price. Any revisions to a booking may result in the loss of a confirmed airline reservation or an increased airfare which will be payable by the passenger. A change of traveler name, vacation date, or itinerary within final payment will be treated as a full cancellation and new reservation; vacation cancellation fees (as above) apply. PASSENGER NAMES: The passenger is wholly responsible for providing their full name as issued on their passport or government identification. Any charge for incorrectly issued airline tickets due to incorrect information will be the direct responsibility of the passenger. AIR ARRANGEMENTS: The Globus family of brands is not responsible if an airline cancels, reschedules, or delays a flight for any reason. If you miss your departure flight, it is your responsibility to work with the airline on which you are ticketed to reach your destination. The Globus family of brands is not responsible for any additional expenses you may incur prior to joining your trip. The Globus family of brands is not responsible for and will not provide any refund for portions of trips missed due to canceled, rescheduled, or delayed flights. For air purchased through the Globus family of brands, if any air schedule requires an overnight stay in a gateway city, the Globus family of brands can assist you with hotel reservations; however, the cost of the overnight stay (including hotel and meals) are at your expense. Air routings are subject to availability. Routings are not guaranteed and are subject to change at any time. If you make your own flight arrangements, the Globus family of brands will not be responsible for any loss resulting from cancellation or changes in international gateways or travel dates. We recommend that you do not purchase airline tickets with high penalty charges for changes. PARTICIPATION: For the benefit of everyone on your vacation, the Globus family of brands reserves the right to accept or reject any vacation participant and to remove any participant whose conduct is deemed incompatible with the interests of the other participants. We will not refund nor cover any cost or expenses you incur if we have to terminate your vacation arrangements due to your unacceptable behavior. 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LogMap and LogMapLt Results for OAEI 2012 Ernesto Jim´enez-Ruiz, Bernardo Cuenca Grau, and Ian Horrocks Department of Computer Science, University of Oxford {ernesto,berg,email@example.com Abstract. We present the results obtained by our ontology matching system LogMap and its 'lightweight" variant called LogMapLt within the OAEI 2012 campaign. The LogMap project started in January 2011 with the objective of developing a scalable and logic-based ontology matching system. This is our third participation in the OAEI and the experience has so far been very positive. 1 Presentation of the system LogMap [10, 14] is a highly scalable ontology matching system with built-in reasoning and inconsistency repair capabilities. LogMap also supports (real-time) user interaction during the matching process, which is essential for use cases requiring very accurate mappings. To the best of our knowledge, LogMap is the only matching system that (1) can efﬁciently match semantically rich ontologies containing tens (and even hundreds) of thousands of classes, (2) incorporates sophisticated reasoning and repair techniques to minimise the number of logical inconsistencies, and (3) provides support for user intervention during the matching process. LogMap is also available as a "lightweight" variant called LogMapLt, which essentially skips all reasoning, repair and semantic indexation steps. Due to its simplicity, scalability and reasonable quality of its output, LogMapLt has been adopted as baseline in some OAEI tracks [19]. 1.1 Technical challenges Building a scalable, logic-based and interactive ontology matching presents important technical challenges. Moreover, these requirements are in some respects conﬂicting, and design choices require compromises between them. We next provide an overview of the technical challenges we have faced in the design of LogMap. I. Computing Candidate Mappings. Computing mappings requires pairwise comparison of the entities in the vocabularies of the relevant ontologies (e.g., using a string matcher). This leads to a search space that is quadratic in the size of the ontologies (e.g., there are over 4 billion candidate mappings between FMA and NCI). For large ontologies, performing such huge number of pairwise comparisons is unfeasible in practice, even if we rely on the fastest available string matchers. Hence, reducing the search space of candidate mappings is a key challenge for a scalable ontology matching system. II. Detection of unsatisﬁable classes. Ontology O1 ∪O2 ∪M resulting from the integration of O1 and O2 via mappings M may entail axioms that do not follow from O1, O2, or M alone. Many such entailments correspond to unsatisﬁable classes, which are due to either erroneous mappings or to inherent disagreements between O1 and O2. For example, the union of FMA, SNOMED and the UMLS [3] mappings between them (which are the result of careful manual curation) has over 6, 000 unsatisﬁable classes [13], and the number of unsatisﬁable classes may be even higher when mappings are not subject to manual curation. Although state-of-the-art OWL 2 reasoners can efﬁciently classify existing large-scale biomedical ontologies individually (e.g., ELK [16] can classify SNOMED in a few seconds and HermiT [21] can classify FMA in less than a minute), the integration of these ontologies via mappings leads to challenging classiﬁcation problems [9] (e.g., no reasoner known to us can classify the integration of SNOMED and NCI via mappings). III. Repair of unsatisﬁable classes. Standard justiﬁcation-based repair techniques (e.g., [15, 23, 8]) can be used to repair the identiﬁed unsatisﬁable classes in O1 ∪O2 ∪M. These techniques have been implemented in mapping repair systems such as ContentMap [12] and Alcomo 1 [18]. The scalability problem, however, is exacerbated by the number of unsatisﬁable classes to be repaired. For example, computing all justiﬁcations for just one out of the 6, 000 unsatisﬁable classes in the integration of FMASNOMED via UMLS mappings requires, on average, over 9 minutes using HermiT — even with the optimisation proposed in [24]; doing this for all unsatisﬁable classes would require more than 6 weeks. IV. Expert feedback during the matching process is important for use cases requiring very accurate mappings; however, smooth interaction with domain experts imposes very strict scalability requirements. Furthermore, feedback requests to a human expert should not be overwhelming and should be used only when strictly needed. Hence, it is crucial to reduce the number of feedback requests, on the one hand, as well as the delay between successive requests, on the other hand. 1.2 Technical approach In order to meet these challenges, we have relied on the following key elements in the design of LogMap (see [10, 14] for details). Lexical indexation. An inverted index is used to store the lexical information contained in the input ontologies. This index is the key to addressing challenge I since it allows for the efﬁcient computation of an initial set of mappings of manageable size. Similar indexes have been successfully used in information retrieval and search engine technologies [2]. Logic-based module extraction. The practical feasibility of unsatisﬁability detection and repair critically depends on the size of the input ontologies. To reduce the size of the problem, we exploit ontology modularisation techniques. Ontology modules with well-understood semantic properties can be efﬁciently computed and are typically much smaller than the input ontology [5, 17]. 1 Note that Alcomo also implements incomplete reasoning and repair techniques. Propositional Horn reasoning. The relevant modules in the input ontologies together with (a subset of) the candidate mappings are encoded in LogMap using a Horn propositional representation. LogMap implements the classic Dowling-Gallier algorithm for propositional Horn satisﬁability [6, 7], which can be exploited to detect unsatisﬁable classes in linear time. Such encoding, although incomplete, allows LogMap to address challenge II soundly and efﬁciently. Axiom tracking and greedy repair. LogMap extends Dowling-Gallier's algorithm to track all mappings that may be involved in the unsatisﬁability of a class. This extension is key to implementing a highly scalable greedy repair algorithm that can meet challenge III. Semantic indexation. The Horn propositional representation of the ontology modules and the mappings are efﬁciently indexed using an interval labelling schema [1] — an optimised data structure for storing directed acyclic graphs (DAGs) that signiﬁcantly reduces the cost of answering taxonomic queries [4, 22]. In particular, this semantic index allows us to answer many entailment queries over the input ontologies and the mappings computed thus far as an index lookup operation, and hence without the need for reasoning. The semantic index complements the use of a propositional encoding to address challenges II-III and it is the key to meeting challenge IV. 1.3 Adaptations made for the evaluation LogMap's algorithm described in [10, 14] has been extended with basic functionalities to support matching of instance data. LogMap's instance matching module is based on the same lexical indexation techniques used in LogMap to match classes. In order to discover additional instance mappings, LogMap also exploits the property assertions of the input ontologies to analise the structure of their ABoxes. In order to minimise the number of logical errors caused by the instance mappings, LogMap's repair module is also used to detect and repair conﬂicts. 1.4 Link to the system and parameters ﬁle LogMap 2 is open-source and released under GNU Lesser General Public License 3.0. 3 Latest components and source code are available from the LogMap's Google code page: http://code.google.com/p/logmap-matcher/. LogMap distributions can be easily customized through a conﬁguration ﬁle containing the matching parameters. LogMap can also be used directly through an AJAX-based Web interface where matching tasks can be easily requested: http://csu6325.cs.ox.ac.uk/ 2 http://www.cs.ox.ac.uk/isg/projects/LogMap/ 3 http://www.gnu.org/licenses/ Table 1: Results for Benchmark track. \| System \| biblio \| \| \| bench1 \| \| \| bench2 \| \| \| bench2 \| \| \| finance \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| P \| R \| F \| P \| R \| F \| P \| R \| F \| P \| R \| F \| P \| R \| F \| \| LogMap \| 0.73 \| 0.45 \| 0.56 \| 1.00 \| 0.47 \| 0.64 \| 0.95 \| 0.49 \| 0.65 \| 0.99 \| 0.46 \| 0.63 \| 0.95 \| 0.47 \| 0.63 \| Table 2: Results for Anatomy track. \| System \| P \| R \| F \| Time (s) \| \|---\|---\|---\|---\|---\| \| LogMap \| 0.92 \| 0.845 \| 0.881 \| 20 \| \| LogMapLt \| 0.963 \| 0.728 \| 0.829 \| 6 \| 2 Results In this section, we present the results obtained by LogMap and LogMapLt in the OAEI 2012 campaign. 2.1 Benchmark track Ontologies in this track have been synthetically generated. The goal of this track is to evaluate the matching systems in scenarios where the input ontologies lack important information (e.g., classes contain no meaningful URIs or labels). Table 1 summarises the average results obtained by LogMap and LogMapLt. Note that the computation of candidate mappings in LogMap and LogMapLt heavily relies on the similarities between the vocabularies of the input ontologies; hence, there is a direct negative impact in the cases where the labels are replaced by random strings. 2.2 Anatomy track This track involves the matching of the Adult Mouse Anatomy ontology (2,744 classes) and a fragment of the NCI ontology describing human anatomy (3,304 classes). The reference alignment has been manually curated, and it contains a signiﬁcant number of non-trivial mappings. Table 2 summarises the results obtained by LogMap and LogMapLt. The evaluation was run on a machine with 4GB RAM and 2 cores. 2.3 Conference track The Conference track uses a collection of 16 ontologies from the domain of academic conferences [25]. These ontologies have been created manually by different people and are of very small size (between 14 and 140 entities). The track uses two reference alignments RA1 and RA2. RA1 contains manually curated mappings between a subset of the 120 ontology pairs evaluated in the track. RA2 contains composed mappings, based on the alignments in RA1, between all the ontology pairs. Table 3 summarises the average results obtained by LogMap and LogMapLt. The last column represents the total runtime on generating all 120 alignments. Tests were run on a laptop with Intel Core i5 2.67GHz and 4GB RAM. Table 3: Results for Conference track. \| System \| RA1 reference \| \| \| RA2 reference \| \| \| Time (s) \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| P \| R \| F \| P \| R \| F \| \| \| LogMap \| 0.82 \| 0.58 \| 0.68 \| 0.77 \| 0.53 \| 0.63 \| 211 \| \| LogMapLt \| 0.73 \| 0.5 \| 0.59 \| 0.68 \| 0.45 \| 0.54 \| 44 \| Table 4: Results for Library track. \| System \| P \| R \| F \| Time (s) \| \|---\|---\|---\|---\|---\| \| LogMap \| 0.688 \| 0.644 \| 0.665 \| 95 \| \| LogMapLt \| 0.577 \| 0.776 \| 0.662 \| 21 \| 2.4 Multifarm track This track is based on the translation of the OntoFarm collection of ontologies into 9 different languages [20]. Both LogMap and LogMapLt, as expected, obtained poor results since they do not implement speciﬁc multilingual techniques. 2.5 Library track The library track involves the matching of the STW thesaurus (6,575 classes) and the TheSoz thesaurus (8,376 classes). Both of these thesauri provide vocabulary for economic and social sciences. Table 4 summarises the results obtained by LogMap and LogMapLt. The track was run on a machine with 7GB RAM and 2 cores. 2.6 Large BioMed track This track aims at ﬁnding alignments between large and semantically rich biomedical ontologies such as FMA, SNOMED, and NCI [11]. UMLS Metathesaurus has been selected as the basis for the track reference alignments [3]. Since the UMLS mappings together with the input ontologies lead to numerous unsatisﬁable classes, two reﬁnements of the UMLS mappings have also been considered as reference alignments. These reﬁnements have been generated using LogMap's repair facility [10] and the Alcomo debugging system [18]. The track has been split into nine tasks involving different fragments of FMA, SNOMED, and NCI. LogMap has been evaluated with two conﬁgurations in this track. LogMap's default algorithm computes an estimation of the overlapping between the input ontologies before the matching process, while the variant LogMapnoe has this feature deactivated. Tables 5-7 summarises the results obtained by LogMap, LogMapnoe and LogMapLt. Precision and recall represent average values for the three reference alignments. The number of unsatisﬁable classes as a consequence of reasoning (using HermiT [21]) with the input ontologies and the output mappings is also given. 4 Note that LogMap, unlike LogMapnoe, failed to detect and repair a few unsatisﬁable classes in the SNOMED-NCI matching problem since they were outside the computed ontology fragments. The track was run on a server with 16 CPUs and allocating 15GB RAM. 4 Since no OWL 2 reasoner can classify the integration of SNOMED and NCI via mappings [9], the Dowling-Gallier algorithm [6] for propositional Horn satisﬁability was used instead. Table 5: Results for the Large BioMed track: FMA-NCI tasks \| Task 1: Small FMA and NCI fragments \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| System \| Size \| Unsat. \| P \| R \| F \| Time (s) \| \| LogMap \| 2,740 \| 2 \| 0.932 \| 0.876 \| 0.903 \| 18 \| \| LogMapnoe \| 2,740 \| 2 \| 0.932 \| 0.876 \| 0.903 \| 18 \| \| LogMapLt \| 2,483 \| 2,104 \| 0.945 \| 0.806 \| 0.870 \| 8 \| \| Task 2: Big FMA and NCI fragments \| \| \| \| \| \| \| \| System \| Size \| Unsat. \| P \| R \| F \| Time (s) \| \| LogMap \| 2,656 \| 5 \| 0.870 \| 0.793 \| 0.830 \| 77 \| \| LogMapnoe \| 2,663 \| 5 \| 0.872 \| 0.798 \| 0.833 \| 74 \| \| LogMapLt \| 3,219 \| 12,682 \| 0.729 \| 0.806 \| 0.766 \| 29 \| \| Task 3: whole FMA and NCI ontologies \| \| \| \| \| \| \| \| System \| Size \| Unsat. \| P \| R \| F \| Time (s) \| \| LogMap \| 2,652 \| 9 \| 0.860 \| 0.783 \| 0.819 \| 131 \| \| LogMapnoe \| 2,646 \| 9 \| 0.866 \| 0.787 \| 0.825 \| 206 \| \| LogMapLt \| 3,466 \| 26,429 \| 0.677 \| 0.806 \| 0.736 \| 55 \| Table 6: Results for the Large BioMed track: FMA-SNOMED tasks \| Task 4: Small FMA and SNOMED fragments \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| System \| Size \| Unsat. \| P \| R \| F \| Time (s) \| \| LogMap \| 6,164 \| 2 \| 0.910 \| 0.667 \| 0.769 \| 65 \| \| LogMapnoe \| 6,363 \| 0 \| 0.910 \| 0.688 \| 0.784 \| 63 \| \| LogMapLt \| 1,645 \| 773 \| 0.938 \| 0.183 \| 0.307 \| 14 \| \| Task 5: Big FMA and SNOMED fragments \| \| \| \| \| \| \| \| System \| Size \| Unsat. \| P \| R \| F \| Time (s) \| \| LogMap \| 6,292 \| 0 \| 0.833 \| 0.623 \| 0.712 \| 484 \| \| LogMapnoe \| 6,450 \| 0 \| 0.837 \| 0.642 \| 0.727 \| 521 \| \| LogMapLt \| 1,819 \| 2994 \| 0.848 \| 0.183 \| 0.302 \| 96 \| \| Task 6: whole FMA and SNOMED ontologies \| \| \| \| \| \| \| \| System \| Size \| Unsat. \| P \| R \| F \| Time (s) \| \| LogMap \| 6,312 \| 10 \| 0.828 \| 0.621 \| 0.710 \| 612 \| \| LogMapnoe \| 6,406 \| 10 \| 0.816 \| 0.621 \| 0.706 \| 791 \| \| LogMapLt \| 1,823 \| 4938 \| 0.846 \| 0.183 \| 0.301 \| 171 \| Table 7: Results for the Large BioMed track: SNOMED-NCI tasks \| Task 7: Small SNOMED and NCI fragments \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| System \| Size \| Unsat. \| P \| R \| F \| Time (s) \| \| LogMap \| 13,454 \| 0* \| 0.897 \| 0.649 \| 0.753 \| 221 \| \| LogMapnoe \| 13,525 \| 0* \| 0.895 \| 0.652 \| 0.754 \| 211 \| \| LogMapLt \| 10,947 \| 61,269* \| 0.945 \| 0.557 \| 0.701 \| 54 \| \| Task 8: Big SNOMED and NCI fragments \| \| \| \| \| \| \| \| System \| Size \| Unsat. \| P \| R \| F \| Time (s) \| \| LogMap \| 12,142 \| 3* \| 0.874 \| 0.571 \| 0.691 \| 514 \| \| LogMapnoe \| 13,184 \| 0* \| 0.879 \| 0.624 \| 0.730 \| 575 \| \| LogMapLt \| 12,741 \| 131,073* \| 0.812 \| 0.557 \| 0.661 \| 104 \| \| Task 9: whole SNOMED and NCI ontologies \| \| \| \| \| \| \| \| System \| Size \| Unsat. \| P \| R \| F \| Time (s) \| \| LogMap \| 13,011 \| 16* \| 0.814 \| 0.570 \| 0.671 \| 955 \| \| LogMapnoe \| 13,058 \| 0* \| 0.811 \| 0.570 \| 0.670 \| 1,505 \| \| LogMapLt \| 14,043 \| 305,648* \| 0.737 \| 0.557 \| 0.634 \| 178 \| Table 8: Results for Instance matching track. \| System \| Sandbox \| \| \| IIMB \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| P \| R \| F \| P \| R \| F \| \| LogMap \| 0.94 \| 0.94 \| 0.94 \| 0.94 \| 0.91 \| 0.93 \| 2.7 Instance matching LogMap and LogMapLt have participated in the Sandbox and IIMB matching tasks. The SandBox and IIMB datasets have been automatically generated by introducing a set of controlled transformations in an initial ABox, as a result Sandbox and IIMB contains 11 and 80 synthetic ABoxes, respectively. Table 8 summarises the average results obtained by LogMap and LogMapLt. The results are quite promising considering that this is the ﬁrst participation of LogMap in this track. Nevertheless, there is still room for improvement in order to deal with more challenging tasks. 3 General comments and conclusions Comments on the results. LogMap's main weakness is that the computation of candidate mappings relies on the similarities between the vocabularies of the input ontologies; hence, there is a direct negative impact in the cases where the ontologies are lexically disparate or do not provide enough lexical information. Discussions on the way to improve the proposed system. LogMap is now a stable and mature system that has been made available to the community. There are, however, many exciting possibilities for future work. For example we aim at implementing multilingual features in order to be competitive in the Multifarm track. We also intend to extend LogMap's instance matching module with more sophisticated techniques. Comments on the OAEI 2012 measures. Although the mapping coherence is a measure already used in the OAEI we consider that is not given the required weight in the evaluation. Thus, developers focus on creating matching systems that maximize the F-measure but they disregard the impact of the generated ouput in terms of logical errors. Acknowledgements. This work was supported by the Royal Society, the EPSRC project LogMap and the EU FP7 projects SEALS and Optique. We also thank the organisers of the OAEI evaluation campaigns for providing test data and infrastructure and Anton Morant and Yujiao Zhou who have also contributed to the LogMap project in the past. References 1. 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In: ArXiv e-prints (2012), http://arxiv.org/abs/1208.3148v1 20. Meilicke, C., Castro, R.G., Freitas, F., van Hage, W.R., Montiel-Ponsoda, E., de Azevedo, R.R., Stuckenschmidt, H., ˇ Sv´ab-Zamazal, O., Sv´atek, V., Tamilin, A., Trojahn, C., Wang, S.: MultiFarm: a benchmark for multilingual ontology matching. J. Web Sem. (2012) 21. Motik, B., Shearer, R., Horrocks, I.: Hypertableau reasoning for description logics. J. Artif. Intell. Res. 36, 165–228 (2009) 22. Nebot, V., Berlanga, R.: Efﬁcient retrieval of ontology fragments using an interval labeling scheme. Inf. Sci. 179(24), 4151–4173 (2009) 23. Schlobach, S., Huang, Z., Cornet, R., van Harmelen, F.: Debugging incoherent terminologies. J. Autom. Reasoning 39(3) (2007) 24. Suntisrivaraporn, B., Qi, G., Ji, Q., Haase, P.: A modularization-based approach to ﬁnding all justiﬁcations for OWL DL entailments. In: Asian Sem. Web Conf. (ASWC) (2008) 25. ˇ Sv´ab, O., Sv´atek, V., Berka, P., Rak, D., Tom´aˇsek, P.: OntoFarm: towards an experimental collection of parallel ontologies. In: Int'l Sem. Web Conf. (ISWC). Poster Session (2005)
Amtrak Fact Sheet, Fiscal Year 2014 State of Illinois Illinois FY14 at a Glance 56 Amtrak trains a day Over $91 million in Amtrak procurement Nearly 5 million riders at Illinois stations 1,430 residents employed by Amtrak Nearly 218,000 Illinois residents are members of the Amtrak Guest Rewards frequent user program Total resident employee wages, over $103 million Amtrak-State partnerships: Chicago-St. Louis Lincoln Service, ChicagoCarbondale Illini/Saluki, Chicago-Quincy Illinois Zephyr/Carl Sandburg, ChicagoMilwaukee Hiawatha Service Amtrak Service & Ridership Amtrak serves Illinois with 56 daily trains, including the following long-distance services: - The California Zephyr (daily Chicago-Denver-Salt Lake City-Bay Area) - The Capitol Limited (daily Chicago-Cleveland-Pittsburgh-Washington, D.C.) - The Cardinal (three-times-weekly Chicago-Indianapolis-Cincinnati-Washington, D.C.) - The City of New Orleans (daily Chicago-Carbondale-Memphis-New Orleans) - The Empire Builder (daily Chicago-St. Paul-Seattle/Portland) - The Lake Shore Limited (daily Chicago-Cleveland-Buffalo-Boston/New York) - The Southwest Chief (daily Chicago-Kansas City-Los Angeles) - The Texas Eagle (daily Chicago-St. Louis-Dallas-San Antonio, tri-weekly through car service to Los Angeles via the Sunset Limited) Amtrak also operates the following corridor services: - The Hiawatha Service (seven-times-daily, Chicago-Milwaukee) - The Illinois Zephyr and Carl Sandburg (twice-daily, Chicago-Galesburg-Quincy) - The Lincoln Service (four-times-daily, Chicago-Springfield-St. Louis) - The Illini and Saluki (twice-daily, Chicago-Champaign-Carbondale) - The Hoosier State (four-times-weekly Chicago-Indianapolis) - The Wolverines (three-times-daily, Chicago-Detroit-Pontiac) - The Blue Water (daily, Chicago-East Lansing-Port Huron) - The Pere Marquette (daily, Chicago-Grand Rapids) During FY14 Amtrak served the following Illinois locations: *Chicago is the 4th busiest station in the Amtrak System. Procurement/Contracts Amtrak spent $91,475,711 on goods and services in Illinois in FY14. Much of this amount was in the following locations: Employment At the end of FY14, Amtrak employed 1,430 Illinois residents. Total wages of Amtrak employees living in Illinois were $103,824,251 during FY14. PRIIA Section 209 and State-Supported Services The Passenger Rail Investment and Improvement Act of 2008 (P.L. 110-432) required, by October 2013, an equitable arrangement of cost sharing between Amtrak and state or public agency partners that provide funding for short-distance, intercity train services. Agreements were reached with all parties, including Illinois, by the deadline, and the services continued to run without interruption. The State of Illinois supports the operation of trains on three routes between Chicago and Downstate Illinois: - Chicago-Bloomington/Normal-Springfield-St. Louis (Lincoln Service, 4 daily round trips) - Chicago-Champaign-Carbondale (Saluki and Illini, 2 daily round trips) - Chicago-Galesburg-Quincy (Carl Sandburg and Illinois Zephyr, 2 daily round trips) In addition, the State of Illinois, jointly with the State of Wisconsin, supports seven daily round trip trains, branded Hiawatha Service, between Chicago and Milwaukee. Service Improvements Illinois Department of Transportation (IDOT) received Federal Railroad Administration (FRA) High Speed and Intercity Passenger Rail (HSIPR) grant program funds for several projects to advance the goal of bringing more frequencies, reduced trip times, more reliable operations and new service on Amtrak routes in the state. 3 Amtrak worked with the several Midwest state partners, Illinois, Michigan, Missouri, and Wisconsin, to bring complimentary AmtrakConnect Wi-Fi service to customers on all short-distance corridors in those states, in 2014. Chicago-St. Louis: The corridor was awarded $1.102 billion for improvements, including planning for additional, long-range, high-speed enhancements. A running speed of 110 mph has begun on the first 15 miles of a planned 210 miles on the route. Amtrak continues to work with IDOT on review of design plans for improvements to several stations along the corridor, including Dwight, Pontiac, Lincoln, Carlinville, and Alton. Upgrades to the corridor financed by federal and state capital funds and carried out by the line's owner, Union Pacific Railroad, are ongoing. Once complete, trip times will be reduced from 5½ hours to 4. Chicago-Michigan: Construction continues on the $126 million project to grade-separate the ChicagoDetroit corridor from a busy commuter rail line at Englewood in Chicago. Construction began in October 2011, with expected completion in 2015. The Englewood flyover will ease traffic flow and improve service reliability at one of the most delay-prone junctions for Amtrak in the Midwest. New passenger cars: Rochelle-based Nippon Sharyo/Sumitomo was awarded a $352-million, multi-state contract for construction of 130 bi-level passenger cars. These cars will be used on passenger rail corridors in California, Michigan, Missouri, and on all Amtrak, Illinois state-supported routes. Illinois transportation bond funds are combined with a Federal HSIPR grants to acquire these new rail cars. Expansion Planning Chicago-Quad Cities: IDOT was awarded $177 million in Federal HSIPR grants for development of new passenger rail service between Chicago and Moline (Quad Cities). Amtrak provided staff resources to support the application submitted by the DOT and is handling negotiations with host railroads on the route. The grant, to be matched with state and local funds, will rehabilitate track, establish a new rail to rail connection, install a new signal system, finance the acquisition of rolling stock, and support station development. Design work for the route is ongoing. Chicago-Dubuque: Amtrak continues to work with IDOT and freight railroads on developing plans for establishing new passenger rail service between Chicago and Dubuque, Iowa, via Rockford, Freeport and Galena. IDOT announced on April 10, 2014, that the route east of Rockford would use Metra and Union Pacific tracks, with intermediate stops at Elgin, Huntley, and Belvidere. IDOT has projected that ChicagoRockford service will begin in 2015. Quad Cities-Danville: Amtrak is studying potential rail service between the Quad Cities and Danville. Intermediate stops would include Galesburg, Peoria, Bloomington-Normal, and Champaign-Urbana. The route could be extended east to Indianapolis. This would serve as a cross-state belt line, connecting all existing state-supported Amtrak services in Illinois. Sometimes referred to as the I-74 Corridor Study, connecting bus service is being looked at as an interim service. Major Facilities Chicago Union Station: Union Station is owned by an Amtrak subsidiary, the Chicago Union Station Company (CUSCO). The station was designed by famed Chicago architect Daniel Burnham and opened in 1925 after ten years of construction at a cost of $75 million dollars. The main physical attraction of Amtrak's Great Hall at Union Station is the 300-foot-long barrel-vaulted skylight that soars 115 feet over the room. Chicago Union Station is a major transportation asset of the West Loop, in Chicago's central business district. Metra, the Chicago area's commuter rail operator, is the largest tenant at Union Station. It is the busiest of the four major downtown stations served by Metra, with more than 240 trains per day serving in excess of 110,000 daily commuters. More than 31 million passengers annually, on 300 daily Amtrak and Metra trains, pass through Chicago Union Station. Brighton Park: Chicago's Brighton Park Maintenance Facility provides preventive maintenance on trains operating from Chicago on a 92- and 365-day cycle. Chicago Coach Yard: South of Chicago Union Station, Amtrak operates a switching yard that is responsible for maintaining coaches, sleeping and food service cars, baggage cars and locomotives used on all trains dispatched from Chicago. Trains are serviced, cleaned and stocked. Locomotives are fueled and maintained on a regular cycle. Central Division: Chicago is the headquarters of Amtrak's Central Division. Central Division personnel in the Claims, Diversity, Engineering, Environmental, Government Affairs and Corporate Communications, Human Capital, Mechanical Operations, Passenger Services, Police, and Safety departments support the operation of Amtrak trains in 18 Midwestern states. Chicago Control Center: Amtrak's state-of-the-art control center at Chicago Union Station manages and dispatches Amtrak and other rail traffic in four geographically separate areas, including Chicago Union Station North, Chicago Union Station South, New Orleans Terminal, and the Amtrak Michigan District. Operations at the center involve interconnections with territories owned by the Metra, Norfolk Southern, BNSF, and Canadian National railroads. Station Improvements Alton: A new Alton Regional Multimodal Transportation Center is planned, at a different location than the current station on College Avenue. That station, built in 1928 by the Chicago & Alton Railroad after relocating its main line away from the Mississippi River front downtown, is owned by the Union Pacific Railroad. Chicago: During Fiscal 2013, Amtrak contracted with U.S. Equities Realty to determine the range of market possibilities for unused space in the Union Station headhouse building. The eight-story office building above the station and retail spaces around the Great Hall are vacant. Realizing a vision that encompasses more commercial revenue for these spaces would contribute to Amtrak income and help underwrite passenger train operations and maintenance. Galesburg: Amtrak is working with the city to expand the size of the station, built in 1984, to accommodate growing ridership and the city's desire to better accommodate intercity motor coach passengers. Galesburg received federal transit grants to pay for the waiting room expansion. Amtrak has an interline (Amtrak Thruway) agreement with the motor coach operator at Galesburg, providing connecting service to eight communities in Illinois, Iowa, and Indiana. Work began in November 2014. Joliet: The City of Joliet continues work on a redevelopment and expansion project at Joliet Union Station. The $50-million project will include a 500-space parking garage, new transit bus facility, track and platform realignment to improve train flow, passenger safety and accessibility improvements, and a new Amtrak ticketing and waiting hall. Joliet is served by 52 weekday commuter trains and 10 Amtrak trains on the Chicago-St. Louis Lincoln Service and Chicago-San Antonio Texas Eagle routes. E ast Dubuque TO MILWAUKEE Empire Builder Hiawathas Warren Durand Harvard S outh Beloit Zion Galena S tockton R oscoe Lake Winnebago Gurnee Waukegan Fox Lake Lena Pulaski Alexander Massac Union J ohnson Pope Hardin Williamson S aline Gallatin J ackson Franklin Perry R andolph Hamilton White J efferson Washington Monroe Wabash E dwards Wayne S aint Clair Clinton Marion R ichland Lawrence Clay Madison B ond J asper Crawford E ffingham Fayette J ersey Cumberland Calhoun Clark Greene Macoupin Montgomery S helby Coles S cott Moultrie Christian Pike Morgan Douglas E dgar S angamon Macon B rown Cass Menard Adams Piatt S chuyler De Witt Logan Champaign Mason Vermilion McDonough Hancock Fulton Tazewell McLean Woodford Peoria Ford Iroquois Warren Henderson Livingston Marshall K nox S tark K ankakee Putnam Mercer Grundy Henry B ureau La S alle K endall Will R ock Island Lee Whiteside Dupage K ane DeK alb Cook Carroll Ogle B oone S tephenson J o Daviess Mounds Brookport Jonesboro Vienna R osiclare Cobden Carrier Mills De S oto S hawneetown R oyalton R idgway S teeleville Norris City New Athens Grayville Okawville Wayne City Wamac S andoval Louisville Hardin Benld S aint E lmo R amsey Palestine Teutopolis Witt Greenfield Pleasant Hill Greenup Toledo Morrisonville Neoga Martinsville Windsor Winchester Barry Assumption Griggsville Payson E dinburg Moweaqua Bethany Meredosia Blue Mound Jerome Macon Mount S terling Virginia Camp Point Athens Williamsville Cerro Gordo Forsyth Chrisman Bement Mount Pulaski Maroa Philo Astoria Homer Atlanta Colchester Delavan Thomasboro Manito Cuba Fisher Dallas City R ossville R oseville Hudson Lexington E lmwood Oquawka Milford Chenoa Forrest Onarga Chatsworth Princeville Gilman Washburn Flanagan Minonk Wyoming Toluca Toulon Clifton Odell Chebanse S aint Anne Orion Granville Gardner S heffield Port Byron Walnut E rie Prophetstown E arlville S omonauk S habbona Hinckley Ashton Milledgeville Lanark Kirkland Tamms Xenia S ainte Marie Keithsburg Joy Hanover Mount Carroll Hennepin Yorkville E ureka Mound City Golconda Wyanet Murphysboro Harrisburg West Frankfort Highland Bethalto Olney Paris Monmouth Peru La S alle R ock Falls R ochelle Metropolis Chester Du Quoin Benton Waterloo Columbia Mount Carmel S alem Vandalia Jerseyville Litchfield R obinson Chatham Clinton Bartonville Peoria Heights Princeton Geneseo S ilvis Channahon Mendota Cairo Anna S parta Carmi Fairfield Flora Greenville Lawrenceville S taunton Hillsboro Carlinville Pana S helbyville Pittsfield S ullivan Mount Zion Tuscola Beardstown Monticello Paxton Hoopeston Chillicothe Watseka Dwight Braidwood Manteno Wilmington Morrison Johnston City Christopher Pinckneyville R ed Bud McLeansboro Marissa Nashville Freeburg New Baden Albion Carlyle Bridgeport Brighton Mount Olive Gillespie Newton Altamont Carrollton Nokomis White Hall R oodhouse Girard Casey Virden Auburn Pawnee Marshall R ochester Arcola Arthur R iverton S herman Petersburg Villa Grove R ushville Tolono Georgetown Mason City S avoy Westville Havana Catlin Carthage Mahomet Farmer City Lewistown Heyworth Le R oy Bushnell Gibson Farmington Abingdon E l Paso Metamora Knoxville Fairbury Lacon Aledo Galva Henry Cambridge S eneca Peotone Manhattan S heridan Amboy Fulton Polo Oregon S avanna Mount Morris Byron Genoa Cherry Valley Mazonia Rockford Davenport Rock Island Moline Carbondale Marion Herrin Mount Vernon Belleville O'Fallon E ast S aint Louis Centralia Collinsville Granite City E dwardsville Alton Godfrey E ffingham Taylorville Mattoon Charleston Jacksonville Quincy Lincoln Urbana Danville Macomb R antoul Canton Pekin Normal Morton E ast Peoria Washington Gales burg Pontiac S treator K ewanee K ankakee Bradley Bourbonnais Ottawa Morris Lockport S terling Dixon DeKalb S ycamore Algonquin Freeport Belvidere Crystal Lake Loves Park Machesney Park Woodstock Libertyville McHenry Fort Madison Burlington St. Louis KCS TRRA Decatur Champaign B loomington-Normal J oliet E lgin E vanston Arlington Heights Plano Homewood S ummit La Grange Road Peoria Aurora Naperville Chicago Glenview S pringfield Amtrak UP BNSF CSX NS CP CN Other TRACK OWNERSHIP TO KANSAS CITY TO OMAHA TO SOUTH BEND/KALAMAZOO TO INDIANAPOLIS California Zephyr Southwest Chief Texas Eagle Lincoln Service City of New Orleans Cardinal-Hoosier State Illini - Saluki Illinois Zephyr - Carl Sandburg Metra AMTRAK ROUTES IN ILLINOIS TO MEMPHIS McHenry
A Critique of Common Lisp Rodney A. Brooks and Richard P. Gabriel Stanford University Abstract A major goal of the COMMON LISP committee was to deﬁne a Lisp language with suﬃcient power and generality that people would be happy to stay within its conﬁnes and thus write inherently transportable code. We argue that the resulting language deﬁnition is too large for many short-term and medium-term potential applications. In addition many parts of COMMON LISP cannot be implemented very eﬃciently on stock hardware. We further argue that the very generality of the design with its diﬀerent eﬃciency proﬁles on diﬀerent architectures works against the goal of transportability. Support for this research was provided by the Air Force Oﬃce of Scientiﬁc Research under contract no.: F49620-82-C0092, and by the Defense Advanced Research Projects Agency DARPA/MDA90380-C-0102 Permission to copy without fee all or part of this material is granted provided that copies are not made or distributed for direct commercial advantage, the ACM copyright notice and the title of the publication and its date appear, and notice is given that copying is by permission of the Association for Computing Machinery. To copy otherwise, or to republish, requires a fee and/or speciﬁc permission ⃝ c 1984 ACM 1 1. Introduction The COMMON LISP language was designed by a committee of over 30 interested people from academia and industry. As the ﬁnal touches were put on the speciﬁcation a small core, 5 people, made most of the decisions. The quinquevirate of ﬁnal decision-makers are all well-respected and knowledgable Lisp implementors, and each one had a deﬁnite opinion on the best means of implementation. Several members of the COMMON LISP core group were working on—and believed in—Lisp implementations on micro-codable machines. The remainder of the COMMON LISP core group—including one of the authors of this paper, Dick Gabriel—was working on a highly-optimizing Lisp compiler for a supercomputer-class computer. This computer, the S-1 Mark IIA, has outstanding hardware support for numeric calculations, including complex numbers, and non-trivial support for Lisp function-calls and tags. The main bulk of the decisions made in designing COMMON LISP were either made directly by this group or under considerable inﬂuence from this group. As it happened, there was no strong voice from Lisp implementors working on Vaxes, MC68000's, or any truly 'stock' hardware. The original goal of the COMMON LISP committee was to specify a Lisp that was close enough to each member of a family of descendants of MacLisp that the guardians of those implementations would be willing to evolve them towards that common deﬁnition; this goal was achieved. A major subgoal of the committee was that programs written in this COMMON LISP would be source-transportable between implementations, regardless of the underlying hardware. Every decision of the committee can be locally rationalized as the right thing. We believe that the sum of these decisions, however, has produced something greater than its parts; an unwieldy, overweight beast, with signiﬁcant costs (especially on other than micro-codable personal Lisp engines) in compiler size and speed, in runtime performance, in programmer overhead needed to produce eﬃcient programs, and in intellectual overload for a programmer wishing to be a proﬁcient COMMON LISP programmer. 1.1 What should have happened There are some desirable properties of computer languages against which any language design can be evaluated: 1. Intellectual Conciseness. A language should be small enough for a programmer to be able keep all of it in mind when programming. This can be achieved through regularity in the design and a disciplined approach to the introduction of primitives and new programming concepts. PASCAL is a good example of such a language, although it is perhaps too concise. 2. Compiler Simplicity. It should be possible to write a compiler which produces very eﬃcient code, and it should not be too great an undertaking to write such a compiler—perhaps a man-year at the outside. 3. Runtime Eﬃciency. There should be minimal inherent runtime ineﬃciencies. Furthermore a small program should run in a small amount of physical memory. Small programs should not lead to inherently poor paging performance. 4. Ease of Programming. It should be simple and pleasant for the programmer to write eﬃcient programs in the language. In an untyped language the programmer should not be forced to make large numbers of declarations in order to gain reasonable run-time eﬃciency. The design of COMMON LISP should have heeded these design criteria or should have been prepared to do more than simply design the language. For example, regarding point 2, if the COMMON LISP designers believed that a language should be such that a simple compiler is impossible, then the COMMON LISP committee ought to take steps to produce such a compiler. Lisp talent is in short supply; Lisp is not a very commercially lucrative business; and COMMON LISP is a complex language requiring not only a complex compiler, but a complex runtime system and many auxiliary functions. Expecting the Lisp community to provide COMMON LISP for little or no cost is not sensible; nor is it sensible to expect a software house to devote its resources to a project that does not justify its cost to that company with high proﬁts. Therefore, the COMMON LISP group was in the position of advocating, as a standard, a Lisp which is diﬃcult to implement and which would not be available on many machines outside of the machines with which the implementors within the COMMON LISP were working. The COMMON LISP design group did not heed these design criteria, nor did they provide very much help with compilers for stock hardware. 2. What happened We believe COMMON LISP suﬀers from being designed by implementors with beliefs in what is possible, rather than by users with beliefs in what is probable. In particular we believe that the committee went wrong in the following ways: * There was a belief (hope) that in the near future all Lisp users would have individual workstations, micro-coded for Lisp, with large amounts of physical memory. We argue otherwise in section 4.4. * Too much emphasis was placed on the ability of micro-coding to hide the cost of type dispatching. * The cost of invisible pointers was ignored for micro-coded machines and underestimated for stock architectures. Invisible pointers are like indirection bits in some architectures: Whenever a memory reference is made to a particular address, if that address contains an invisible pointer, the memory fetch logic fetches the contents of the memory location to which the invisible pointer points. Suppose that memory location, m1, contains an invisible pointer, ip 2 , that points to memory location m2. Any memory reference that attempts to load from or store into m1 will actually load from or store into m2. Displaced arrays are a construct in COMMON LISP borrowed from FORTRAN. It is possible to alias two arrays to the same storage locations. That is, it is possible to state that the array elements A(0)–A(j) are identical to the array elements B(k)–B(l) where A and B are arrays and j = l − k. Notice that A and B may overlap with some elements of B not part of A if k0. There are primarily two ways to implement this sharing: 1.) Invisible pointers can be used as the entries to B, or 2.) the two arrays could actually share storage. Assume that array A has already been allocated. Then if method 2 is used, then allocating the array, B, could mean re-locating A, because there may be no room for elements 0 through k − 1 of B in front of A. This could result in a garbage collection to re-locate objects. * Too many costs of the language were dismissed with the admonition that 'any good compiler' can take care of them. No one has yet written—nor is likely to without tremendous eﬀort—a compiler that does a fraction of the tricks expected of it. At present, the 'hope' for all COMMON LISP implementors is that an outstanding portable COMMON LISP compiler will be written and widely used. Recall that the Production Quality Compiler Compiler (PQCC) project at CMU was a research project just a few years ago; this project's goal was to produce a high-performance portable compiler for an algorithmic language—their goal has still not been achieved. * Too much emphasis was put on existing implementations of inherently ineﬃcient ideas—in particular MIT-style Lisp machine arrays. In COMMON LISP such arrays are called general arrays as contrasted with simple vectors. Even with special hardware the cost of structure references under these schemes is enormously more than it should be. Here are some examples of how a micro-coded Lisp machine could improve the performance of general arrays. COMMON LISP requires that any reference to an array be within the array bounds, and the dimensionality and bounds for each dimension are stored in an area called the array header. A micro-coded machine can cache the array header when the array is fetched; the array bounds can be veriﬁed in parallel with the index calculation. The semantics of COMMON LISP allow the dimensionality of arrays to change dynamically. If such an array is being access within a loop, like this: ``` (DO ((I 0 (1+ I)) (M 0 (1+ M))) ((= I 101) . . .) . . .(AREF foo 54 M). . .) ``` there is no reason to presume that the array, foo, would retain constant through this loop. Therefore, the indexing arithmetic for foo, involving 54 and M, would need to be re-computed each time through the loop. This would require 100 re-computations of an arithmetic expression including a multiplication by 54. Micro-coded machines could do this several ways: 1.) The re-computation could be done in parallel with other operations needed to access the array, such as ﬁnding its base; or 2.) That part of the computation that remains constant through the loop could be cached somewhere, and only if the array were changed so as to invalidate this cached value would it be re-computed. In either of these cases, stock hardware would be at a disadvantage as compared with a micro-coded machine. Method 2 requires at least on additional memory reference, a memory reference which may not necessarily be done cheaply by a cache-memory, stock-hardware system. Therefore a micro-coded Lisp machine will be able to implement this method more eﬃciently than a stock-hardware machine. * Too much eﬀort was put into extending transportability mechanisms to extremes. Examples of this are: potential numbers, branch cuts of complex numbers, and pathnames. Most of these issues do not eﬀect most users. They add to the cost for all users however. Quite an eﬀort was made to deﬁne appropriate behavior for ﬂoating-point arithmetic. Programmers who do extensive ﬂoating-point computations spend a great deal of time understanding the hardware characteristics of their host computer in order to adjust their algorithms to converge or to attain suﬃcient accuracy. Most such programmers will expect that the languages they have on their machines will take advantage of the characteristics of those machines. In COMMON LISP a little too much control was placed on ﬂoating-point arithmetic. And certainly, although the correct behavior of a ﬂoating-point-intensive program can be attained, the performance may vary wildly. * There was a belief that Lisp is the correct language for systems programming. This is a religious belief, especially in light of the fact that only a few operating systems, for example, have been written in Lisp so far. * There was an implicit assumption that all programs should be transportable invisibly. That is, it was assumed that the user would never be concerned with the underlying hardware or operating system, and furthermore that the user was incapable of organizing large systems into large transportable pieces with small system dependent modules. * There was an implicit assumption that incredibly complex existing programs, such as editors, should become source transportable with the right language deﬁnition. Some of these programs were written with large eﬀorts towards tuning them for a particular hardware/software environment. * A spirit of compromise left many issues undeﬁned. Thus, although programs written in COMMON LISP would be transportable, it is trivial to write programs which look syntactically like they are written in COMMON LISP but which dynamically are not, and will not work in another COMMON LISP implementation. An example is (EQ 3 3): It is not speciﬁed whether this is true or false. A second example is SUBST. SUBST is a function which takes a tree and a description of old sub-trees to be replaced by new ones. That is, let T be a tree, t be a subtree of T , new and old be trees, and p be a predicate; then new will be substituted for t in the result of SUBST if p(t, old) ̸= nil. SUBST does not specify whether structure sharing occurs between the input tree and the output tree. Thus in one implementation, some structures may be EQ after a SUBST, while in another these structures will be only EQUAL. A third example is the meaning of ''(A ,B). Backquote (') is a read macro in COMMON LISP which is useful for building tree structures from templates. '(A ,B) is roughly equivalent to (LIST 'A B). COMMON LISP does not specify whether the template and the result share any substructures. Therefore, the form of what is produced by a backquote expression is implementation-dependent, and hence it is diﬃcult to write a machine-independent pretty-printer that will print tree-structures in backquote equivalent forms the same way over new implementations. The result was a deﬁnition of COMMON LISP which is enormous. It requires either specially micro-coded machines, a fantastically complex compiler (which relies on copious declarations from the poor incompetent user), or very slow running time. Due to the complexity of the deﬁnition any programs written in COMMON LISP which do run in other COMMON LISPs may have vastly diﬀerent performance characteristics, redeemable only by gross changes to algorithms and data structure representations. To be a bit more speciﬁc about this last point, programmers who use a particular dialect of Lisp will adjust the style of their programming to the performance proﬁles of that Lisp. Let us consider a conceptually valid, but actually bogus, example. 1 In one dialect the construct: 1 This is bogus because a real programmer would use LET rather than either of the two alternatives discussed, and we can presume that LET will expand into the most eﬃcient construct in any implementation. may be much more ineﬃcient than: ``` (PROG (X) (SETQ X <expr>) < form1 > ... (RETURN < formn >)) ``` An unwitting programmer might believe that the performance proﬁle which has the LAMBDA application slower than the PROG form is universal over all machines. If the programmer realizes that this may not be the case, he can write a macro which initializes variables and then performs some computations. In some implementations this macro could expand into a LAMBDA application, while in others it could expand into a PROG form. The choice would then be machine dependent. The eﬀect, of course, is that COMMON LISP code might be trivially transportable in terms of operational semantics, but not in terms of performance. Thus the robe of transportability hides the fact that programmers still need to program for their own implementations, and the programs so produced may not be transportable to the degree one might be led to believe. The true test is that, even though the bulk of COMMON LISP was reasonably welldeﬁned in the summer of 1982, there are still no widely-available COMMON LISP's, despite many large eﬀorts (e.g. CMU Spice project, DEC COMMON LISP project, Rutgers COMMON LISP project, Symbolics COMMON LISP project, S-1 COMMON LISP project). 3. Common Lisp is Good COMMON LISP adopted many of the good ideas developed by the various MacLisp descendants. In particular, much of the good theoretical activities during the late 1960's and the entire 1970's with respect to Lisp was considered by the COMMON LISP committee. Among the good ideas is lexical binding. A good Lisp compiler tries to code lambdavariables as lexical variables as often as it can, so that references to them are to locations on the stack via a display oﬀset. Dynamic variables requires explicit binding and unbinding code to reﬂect lambda-binding, while lexical variables only require simple display updates to reﬂect this. Because lexical binding is frequently what programmers intend when they write LAMBDA's, and because lexical binding leads to programs that are easier to debug and understand, lexical binding is a deﬁnite improvement over the dynamic binding that older Lisps support. SETF generalizes assignment in a natural and understandable way. If a programmer writes a piece of code with an abstract data structure, and he wants to update that data structure, he has a stylized way of doing this that interacts well with the structure-deﬁning forms. If he deﬁnes his abstract data structure with defstruct, then he is assured that SETF can be used to update his data structure without any further work by him. Closures are a means of capturing an environment for further use. They are a means for achieving 'own' variables which can be shared among the closures in a module-like arrangement. Although closures has not been fully exploited yet, the intellectual simpliﬁcation they represent is important. Much of the integer division standards clean up the arithmetic situation, especially with respect to the rounding modes (truncate, ﬂoor, ceiling, and round), although not all hardware can support these modes easily. Nevertheless, they are easily coded by compilers. Multiple values solve a problem that has been poorly solved by programmers—how to get several distinct pieces of information back through a function-return. Usually a programmer will either deﬁne special variables or construct a data structure to accomplish this. Because almost any hardware could support a more eﬃcient means of accomplishing this, placing this within COMMON LISP is a good idea. 4. Common Lisp is Bad 4.1 Generic Arithmetic One of the major ways that COMMON LISP falls down is that all arithmetic is generic. Although this might be a good idea for people whose use of arithmetic involves adding a couple of numbers every several hundred million instructions, it is not a good idea for those who want to write a lot of numeric code for non-Lisp machines. Currently there is no computer that excels at both Lisp processing and numeric processing. For people who want to do number-crunching in Lisp on such machines, writing type-speciﬁc numeric code requires wordy type-declarations. To write an addition of two integers requires writing either: ``` (DECLARE (integer x y)) (+ x y) ``` or: ``` (+ (the integer x) (the integer y)) ``` Neither of these is esthetically pleasing, nor is it likely that the average Lisp programmer is going to bother all the time. Micro-coded machines have an advantage in that they can leave until runtime decisions about what the types of objects are. For example, one could write (+ x y) in COMMON LISP and a micro-coded machine could determine the types of x and y on the ﬂy. 4.2 Arithmetic Explosion A large class of number types was introduced. These include 4 sizes of ﬁxed precision ﬂoating point numbers, rational numbers, complex numbers made up of pairs of these (after long debate the committee at least restricted the types of the real and complex parts to be the same), ﬁxed precision integers, and arbitrary precision integers. All these number types take up a large number of tag values and require extensive runtime support, as the types are orthogonal from the functions which operate on them. Besides addition, subtraction, multiplication and a few varieties of division, there are trigonometric functions, logarithmics, exponentials, hyperbolic functions, etc. In addition, the inclusion of complex numbers has opened a Pandora's box of confusion and controversy surrounding the selection of branch cuts. The current COMMON LISP deﬁnition follows a proposed, but yet to be accepted, APL deﬁnition. Mathematicians do not have deﬁnitions for the various branch cuts, but they tend to deﬁne them a particular way depending on the situation. 4.3 Function Calls Too Expensive Function calls are the hallmark of Lisp. Everyone expects that Lisp code will be sprinkled with many function calls. With the argument-passing styles deﬁned by COMMON LISP, function calling must be expensive on most stock hardware. COMMON LISP allows optional, keyword, and &rest arguments (along with a few others). Optional arguments are arguments that may or may not be supplied; if they are not supplied, then they are defaulted by the called function. Keyword arguments are useful for those times when one cannot remember the order of arguments. For instance, MISMATCH takes two sequences, a ﬂag stating whether to scan from left to right or from right to left, and starting and ending indices for both sequences. Oh, and there's a test that is used to test the mismatch. Who could remember the order, so one can write: where the symbols preﬁxed by (:) are keyword names and the symbols after those keyword names are the arguments associated with those keywords. And one more thing: it also is possible to supply a not-test instead of the test to not mismatch using the keyword :test-not. An &rest argument will be bound to a list of all of the arguments supplied that are neither bound to required parameters nor to optional parameters. Included in this list are all keyword-name/keyword-value pairs which appear to the right of the &rest parameter in the deﬁning lambda-list. Thus a programmer is able to supply as many extra arguments as he wants to functions deﬁned with an &rest argument in its lambda-list. We will now look at a particular function, SUBST—and how it might be deﬁned in COMMON LISP—to illustrate the expense of function calls and the advantage that microcoded machines might have over stock hardware. Having brieﬂy looked at SUBST before, let us look at it a little more closely. The COMMON LISP deﬁnition of SUBST states that it takes a new tree, an old tree, a :test or a :test-not keyword argument (but not both), and a :key keyword argument. We have explained all of these arguments except for :key. Recall that the :test keyword argument is a predicate that is used to decided whether to perform a substitution on a particular subtree. The :key argument is a function of one argument which takes a subtree as its argument, and returns an object to which old and :test are applied. For example, will return (HERE HERE) because we have asked SUBST to substitute HERE for all lists in the tree with B as their second element. Here is a possible deﬁnition for SUBST: ``` 1 (defun subst (new old tree &rest x 2 &key test test-not key) 3 (cond ((satisﬁes-test old tree :test test 4 :test-not test-not 5 :key key) 6 new) 7 ((atom tree) tree) 8 (t (let ((a (apply #'subst 9 old new 10 (car tree) x)) 11 (d (apply #'subst 12 old new 13 (cdr tree) x))) 14 (if (and (eql a (car tree)) 15 (eql d (cdr tree))) 16 tree 17 (cons a d)))))) ``` Notice that if a subtree is not altered it is not copied (lines 14–17). The interesting part is the &rest argument, x; it is used to do the recursive calls to SUBST in lines 8–13. In those lines we APPLY SUBST, and x holds all of the keyword arguments, which are then passed on to SUBST. We use APPLY so that SUBST does not need to ﬁgure out which keyword arguments were actually passed and so that SUBST does not have to default any unsupplied arguments. What happens when SUBST is invoked? First it checks to see how many arguments were supplied; if too few were supplied, that is an error—SUBST expects 3 required arguments. Next it must associate the keyword arguments with the correct lambda-variables. If no keyword arguments were supplied, then this amounts to a check of the number of keyword arguments passed. Finally it must construct the list of arguments for the &rest argument, x. If some keyword arguments are passed, then this requires a list to be constructed. Constructing a list usually requires allocating storage in the heap. To avoid such CONSing for each function call, an implementation can choose to allocate this list on the stack, as a vector. That is, the arguments to SUBST will be supplied (in most implementations) on the stack. If the &rest argument is never returned as part of the value of a function, then there is no need to actually CONS up that list. However, to treat the items on the stack as a list requires either a very fancy ﬂow analysis by the compiler or else CDR-coding. Supporting CDR-coding is easily done with a micro-coded machine if there are enough bits in the word to accomodate the CDR-code bit. On the other hand, if the &rest argument list is to be returned as part of the value of the function, then a CONS in the heap must be done sooner or later. This can either be accomplished with extensive compiler analysis or with special hardware and micro-code using that hardware. If a programmer uses SUBST without any of the keywords, then the overhead required is to check the number of required arguments, to check whether any keywords were supplied, and to construct a null list for x. Checking the number of required arguments supplied is necessary for all functions, but the other checks are not. If the programmer uses the COMMON LISP SUBST routine, as he is encouraged to do, then he faces this overhead. If the programmer uses some keywords, then the overhead is very much higher. If the call to SUBST is simply (SUBST new old tree :test #'baz) then one might hope that the association of keywords supplied with appropriate lambdavariables could be eliminated at compile-time, but this could only happen if there are entries for each combination of keyword arguments or if there were separate functions for each such combination. Thus, the programmer faces either a performance or a space penalty for this generality on stock hardware implementations. 4.4 Computer Size COMMON LISP requires a large computer memory. To support only the function names and keyword names alone requires many kilobytes. To support the many copies of keywordtaking functions to improve the speed of COMMON LISP on stock hardware would require megabytes of memory. The compiled code for functions is large because of the amount of function-call overhead at the start to accomodate both possible keyword and optional arguments and also the inline type dispatches. §4 Memory costs, while declining, still account for most of the cost of a large computer system. For high-performance computers, it is essentially the case that one buys the memory and gets the CPU free. In the next few years much research will be done with distributed computing. If each computing node needs to cost $100,000 and up, very large networks of them will not be built. 4.5 Good Ideas Corrupted Another common theme of the COMMON LISP design is to take a very good simple idea and to over-generalize it. This has the eﬀect of complicating both the implementation and the intellectual eﬀort required to understand and use the idea. FORMAT is a way to do stylized printing—the user speciﬁes a template with empty slots, he speciﬁes the contents of the slots, and FORMAT prints the template with the slots ﬁlled in. The idea is borrowed from the FORTRAN FORMAT statement. Here is an example of a FORMAT statement: Try to guess what it does—you'll ﬁnd out after the next paragraph. Although this idea is simple, COMMON LISP took FORMAT to its ultimate generalization. With FORMAT it is possible to do iteration, conditional expressions, justiﬁcation, non-local returns within iterations, and pluralization of words according to the values for the slots. The language used by FORMAT is not Lisp, but a language that uses strings with special escape characters that either represent substitutions, substitutions with speciﬁc printing control, or commands. This language is somewhat large by itself, but the main problem is that it isn't Lisp. Many language designers believe that the diction for expressing similar constructions should be similar. With FORMAT the COMMON LISP committee abandoned this goal. The sample FORMAT statement prints: Twenty-three losers. To a lesser extent the same charge can be leveled at SETF. SETF is a generalization of SETQ. One can SETQ the value of a variable like this: If one wants to alter the CAR of a CONS cell, one must write: SETF allows one to say, instead: ) SETF works on all of the data structures in COMMON LISP, for instance, arrays, property lists, vectors, and user-deﬁned structures. The principle is that if part of a data structure can be accessed using some form, that SETF ought to be able to change the value of that part. So far, so good. Now note that often a programmer will deﬁne a data structure as a complex of macros: Some macros create a data structure and others access them. When the user chooses to deﬁne a data structure with a complex of macros, he is usually content to deﬁne special value-altering macros. SETF has been generalized so that it has extremely complex mechanisms for describing the semantics of user macros to SETF. This way SETF can be used to alter the values of user-deﬁned data structures. For such complex macros it makes little sense to try to force them into the mold of being a data substructure reference. 4.6 Sequences The COMMON LISP deﬁnition introduces the notion of generic sequence. A sequence can be represented as a list or a one-dimensional array. Many of the standard Lisp functions (e.g., LENGTH, REVERSE, NREVERSE, DELETE, SORT) have been re-deﬁned to work on any sequence, and a whole host (about 24 base functions each with a large number of keyword modiﬁers) of new functions. Lists and one-dimensional arrays have fundamentally diﬀerent access time characteristics (constant for arrays, linear for lists). They have even greater fundamentally diﬀerent characteristics for being shortened and lengthened. We believe that trying to hide these diﬀerences behind generic function names will be a source of programmer overhead and will lead to ineﬃcient programs. As generic functions, the eﬃciency of dispatch on argument type for all the sequence functions needs to rely on either 1.) detailed declarations which implies the need for greater programmer overhead and compile time use of those declarations with associated increased compiler complexity or 2.) a cost to runtime performance, especially on stock hardware. In addition the sequence functions are the primary example of keyword–combination explosion, with the associated costs on compiler complexity and possibly paging performance at runtime. The large number of function/keyword possibilities is itself a source of programmer overhead. 4.7 Arrays COMMON LISP arrays are incredibly complex. As a concession to non-micro-coded machines, vectors, simple vectors, and simple strings were included as types. The resulting tangle of types (all simple vectors are vectors, all simple strings are strings, all strings are vectors, but no simple strings are simple vectors) is clearly a political compromise and not something that would exist after careful design. Simple vectors are a ﬁxed-size set of pointers in contiguous locations; they are called simple because they don't have ﬁll pointers, are not displaced, and are not adjustable in size. Cleary such vectors can be implemented much more eﬃciently on stock hardware than can general arrays. Unfortunately the default assumption is that a vector is not simple unless explicitly declared simple—making the programmer using stock hardware have to work harder to acheive eﬃciency, and making programs which work well on micro-coded machines perform poorly on stock hardware. 4.8 Subsets of COMMON LISP We believe that these points argue for a standard subset of COMMON LISP, especially for small, stock hardware implementations. The COMMON LISP committee has not deﬁned a standard subset, and it appears that at least one subset, if not many such subsets, will appear. Unless these subsets are co-ordinated and widely adopted, then we will see one of the major goals of COMMON LISP—transportability—lost. 5. Conclusions Our goal in this paper is to discuss the shortcomings of COMMON LISP. In doing so we do not want to only criticize COMMON LISP: Both authors agree that the world is better having a COMMON LISP than not. We wish only that COMMON LISP could have been designed with more, varied machines in mind. We fear that COMMON LISP will not live up to some of its goals because of these design decisions. Perhaps good compilers will come along and save the day, but there are simply not enough good Lisp hackers around to do the jobs needed for the rewards oﬀered in the time desired. References [Brooks 1982] Brooks, Rodney A., Gabriel, Richard P., and Steele, Guy L. S-1 Common Lisp Implementation in Proceedings 1982 ACM Symposium on Lisp and Functional Programming, Pittsburgh, Pa, August, 108–113. [CL Committee 1984] Many People, Mail messages concerning the development of Common Lisp in COMMON.∗[COM,LSP]@SAIL. , [Knuth 1965] Knuth, Donald E. Fourteen Hallmarks of a Good Programming Language Unpublished. [Steele 1984] Steele, Guy Lewis Jr. et. al. Common Lisp Reference Manual, Digital Press, 1984. [Weinreb 1981] Weinreb, Daniel, and Moon, David. LISP Machine Manual, Fourth Edition. Massachusetts Institute of Technology Artiﬁcial Intelligence Laboratory, Cambridge, Massachusetts, July 1981. [Wichman 1984] Wichman, Brian A. Is ADA Too Big? A Designer Answers the Critics in Communications of the ACM, (27)98–103.
Upcoming Meetings INSIDE THIS ISSUE: Wednesday, December 21st Bangor Public Library Lecture Hall, 6:00 pm "And these are a few of my favorite things…" Come for an evening of holiday cheer and member sharing! Share favorite resource materials, research websites, ancestor or relative. Check out page 3 for details. Wednesday, January 18th LDS Family Research Center, 6:00 pm 639 Grandview Ave Wednesday, February 15th Bangor Public Library Lecture Hall, 6:00 pm Molly Larsen will speak on Genealogy and the Internet \| Queries \| 2 \| \|---\|---\| \| Research Assistance \| 2 \| \| December Meeting \| 3 \| \| Cookbook Progress \| 3 \| \| GenBytes \| 3 \| Articles accepted for publication must be of genealogical nature. Share your research experiences (your successes and your disappointments) or information about your Penobscot County ancestors. Submissions should be forwarded to the Newsletter Editor. President's Message Greetings to All—our New Members and to those who have rejoined our Society for another year! I hope everyone had a nice Thanksgiving and I hope to see you at our December meeting. It will be on the 21 st of December at the Bangor Public Library's Lecture Room on the third floor and will be about our own ancestors. As incoming President I have a very large pair of shoes to fill as our outgoing President, Dale, had a great knack with not only the computer but with members as well. I am very happy to know Dale is there for support if I need him, which will be often until I get my leadership skills up to speed. We are starting our fourth year and it's hard for me to imagine how quickly time has flown by. It seems only a short time ago I was contacted by Dale, a former student of my Introduction to Genealogy class which I taught at Bangor Adult Education, asking if I thought a genealogy group would work in this area. The only response I could give was to try it and see as you never know unless you ask. Well he did and in short we have been 150 strong for the last three years and to date our roster is steadily growing back to that number with new member and renewals coming in on a weekly basis. Shortly, we'll have a list of the up and coming meetings which the Executive Committee worked on last year and hope there is something of interest to all of you. As always, you are asked to write myself or others members of the committee with suggestions or thoughts of what you would like to see for future meetings. You are also invited to attend our quarterly Executive Meetings to see what happens and provide input. This has helped in the past and with the support of members will continue into the future. The Executive Committee is comprised of the Society's Officers and are listed on the website. While you are there checking that out, check out the new look our new webmaster has created! http://www.rootsweb.com/~mepcgs/ Queries To post a query, email firstname.lastname@example.org CHASSE I have the Chasse family book from the reunion. My direct line and cousins are not mentioned in it even though I know that some cousins attended the reunion. I am searching for Pierre Chasse born about 1835 in either LaBeauceville or Lacole, Que. He was married in Bangor, Me and died at sea April 1853. He married Henriette Morin ne Ethel Murray born about 1836 Lower Canada and died in Skowhegan 20 Feb 1886. If you have any information on these people please let me know the cost and I'll send it by snail mail. Edna-Marie Chasse email@example.com TEMPLE - WYMAN - IRELAND I am looking for the parents of Abigail Temple who married Abraham Ireland. I would be grateful for any help with this family. I am also looking for the parents of Rhoda Wyman who married Coburn Ireland in 1837. For anyone interested I have recently acquired copies of pictures of Coburn, Rhoda, and their children. These pictures were taken after this family moved to Colorado. Thanks. Jerri Inman firstname.lastname@example.org SOULE I am trying to find information on Gaius Soule family. Gaius born 1803, Rome, ME; Lavinia Tobie born 1809 Montville, ME, and their daughter? Helen Augusta M. Soule b 1829. Gaius and Lavinia's publishment and marriage were 1828/1829-he of Liberty, she of Montville. Helen was of Montville when she married Cleveland Bachelder in 1845. I believe the family lived with Asa Soule in 1830 in Garland. Gaius is mentioned in Garland History as being there in 1820's with father Asa and brothers. The ages of males/females in Asa's household match Asa, Ruth,his wife, Gaius, Lavinia, and Helen. Gaius may have died early before 1838 as he is not mentioned in Asa's will. He may be buried in a Penobscot cemetery Are there any other sources of Garland history that may be accessed? Thank you. George Degner email@example.com MILLETT I am looking for proof of father and son between Samuel Millett (middle initial I, I think) and Abner Millett of Corinth, Maine. They are both buried in the Hill Top Cemetery. Samuel was married to a Nancy born about 9 Nov 1783. Samuel I Millett died 22 Feb 1853. Abner was born abt. 1823 and married Sarah Page 17 April 1843. They all lived together until the elder Millett's died. Would also like information of Nancy (her maiden name might have been Smith). Also looking for information on Richard PAGE supposedly born in Orono,Maine 5 April 1802 but can find no record of it. He married Mary MOREY on 1 Jan 1821. Thanks. Judy Ferren Clark 22655 Summit Rd., Los Gatos, CA 95033 firstname.lastname@example.org WASHBURN/FARNHAM Looking for info on Edward WASHBURN (17861872) and Betsey FARNHAM (1797-1887) who married 5 Apr. 1814 in Sangerville. Both are buried in Corinna Center Cemetery, Corinna. They moved froom Guilford sometime between 18501870 to live near their youngest daughter, Achsay L. (WASHBURN) PHILBRICK, wife of Jacob PHILBRICK. Edward & Betsey had abt. 11 children, but the only names I know are Ira, Mary, Jane N. and Achsay L. I'm trying to find evidence that Edward is the son of Stephen WASHBURN (1736-1812) of New Gloucester. Amy Maceo Wooten email@example.com SPENCER—DOANE—CLARK Looking for any relations or information of Waldo P. Spencer b. abt 1861 in Bradley, ME and his wife, 1) Josephine M Doane b abt 1863 and 2) Helen M. Clark b 1883 in Franklin, ME. John Spencer firstname.lastname@example.org December Meeting These are a few of my favorite things…. Raindrops on roses and whiskers on kittens... Bright copper kettles and warm woolen mittens... Nope – not those favorite things. This is a time for sharing with others your favorite ancestors, resources (whether books, magazines or websites), genealogical adventure or discovery, software, or the best genealogical tip you've received. Our members together have so much information, we like to occasionally just open up an evening to try to share some of that info. We all have our favorites – let's brag about them. You may just go home with a new favorite! A special note - we will have a laptop set up with a projector so we can all see favorite websites as they are discussed. PCGS Ancestors Cookbook Progress Report Below are the accomplishments made by the Cookbook Committee as outlined by John Nelligan. 1. Formed a cookbook committee. 2. Appointed a Secretary, Jeannine Peters, and Assistant Edith Cushing. 3. Appointed a Vice Chairman, Hugh Hestings. 4. After researching cookbook publishers selected the one that best fits our needs. Fundcraft Publishers, Collierville, TN. 5. Got ideas from other organizations that have published a cookbook. 6. Agreed on 300 recipes and 500 books to purchase. 7. Selected the best time and place for meetings. 8. Had the PCGS set aside $500.00 'seed money' or 'just in case' we need cash. 9. Agreed any profit after expenses would be given to the Bangor Public Library, Bangor Room. 10. Selected a name 'Penobscot County Genealogical Society Family Cookbook'. 11. Came up with the final invitation letter and standard recipe form that will be given to contributors. 12. Found a secure dry space to store the books when received. Will have the President and Treasurer keep inventory of sales. 13. Selected a cover design and received many old pictures and shields that could be used. 14. No discount on advanced sales. 15. Will invite other genealogy, history societies and museums to advertise in the back at a small fee. 16. Have our own EMAIL address. 17. Have our own web address ID and password for the chairman, secretary 18. Will have our own letterhead and envelopes printed. 19. Limit recipes to 2-3 per contributor. 20. Saving .40 cents per book by using the Shortcut Online Method provided by the publisher. 21. Publisher will provide a free Capitol Cookie Cookbook for each contributor. 22. Have our own personal customer representative (Beverly) and toll free number at the Publisher to guide us and answer questions. EXCELLENT JOB COOKBOOK COMMITTEE!! GenBytes by Dale Mower The Internet is such a powerful source of information, as was evidenced during our recent Open Research night. Taking advantage of the Bangor Public Library's wireless network, I was able to access online census images and other databases to help others track down ancestors. An interesting site to check out is "Colonial Massachusetts and Maine Genealogies" located at: http://home.earthlink.net/~anderson207/ index.html The site contains not only the work of Bob Anderson, but has several links incorporated as well. A number of early New England families are included. I quickly noticed "Brackett" listed as one of the families, and clicking on it discovered the focus was on Anthony Brackett, an early Penobscot County Genealogical Society c/o Jacque Rump 3019 S. 204th St #28 Seatac, WA 98198 For more information: www.rootsweb.com/~mepcgs e-mail: email@example.com or contact President Phil Getchell, PCGS 145 Harlow Street Bangor, ME 04401 GenBytes, continued from page 3 settler of Rye, New Hampshire, my 9th-great-grandfather. The table of contents had: 5 links to descendant outlines out on the web, 2 links to published documents, an index to 177 Bracketts and their spouses, 8 links to family narratives of Anthony Brackett and various descendants, a link to an "English Census and Parish Records," e-mail links to 13 other researchers of the Brackett family. A wealth of resources assembled on one web-page. One of the links to published resources was James Savage's Genealogical Dictionary of the First Settlers of New England. I recalled Dick Eastman mentioning this in a recent Eastman's Online Genealogy Newsletter (www.eogn.com). This is a 4-volume work completed 1860-62 that still remains a recommended starting point if you find yourself with an ancestor in New England during the 1600s. A free-access, transcribed version of this work can be found on line at http://www.usgennet.org/usa/topic/newengland/savage Do you have a favorite website you'd like to share? If so, please email the address to me at firstname.lastname@example.org.
THE NEWSLETTER OF THE BDO INSURANCE PRACTICE ALTERNATIVE CAPITAL AND ITS IMPACT ON THE REINSURANCE SECTOR By Imran Makda The popularity of alternative capital entering the reinsurance market has increased by approximately 600 percent over the last 10 years, according to Aon Benfield. This trend, coupled with good underwriting results and lower catastrophic losses in the previous few years, has resulted in the reinsurance buyer experiencing the lowest cost of underwriting capital in a generation. This article offers a look at what's behind the trend and the most common types of alternative reinsurance capital vehicles. u FOUR COMMON ILS VEHICLES Alternative reinsurance capital – more commonly known as Insurance Linked Securities (ILS) – is akin to asset-backed securities. The key difference is an assetbacked security uses an asset as collateral, whereas an ILS is backed by a reinsurance contract. There are four common types of ILS: Catastrophe Bonds (Cat Bonds), Industry Loss Warranties (ILWs), Reinsurance Sidecars and Collateralized Reinsurance Investments (CRI). Cat Bonds and CRIs are the most common types. An ILS is typically structured by establishing a special purpose vehicle or insurer (SPV or SPI) which enters into a reinsurance agreement with a sponsor. The SPV receives premiums from the sponsor in exchange for providing the reinsurance coverage via the issued securities. The SPV issues the securities to investors Read more DID YOU KNOW... Losses from severe winter events averaged $1.2 billion annually over the past 20 years; for 2014, losses will likely exceed $2.5 billion, according to the Insurance Information Institute. The outstanding catastrophe bond and insurance-linked securities market reached a new all-time high in November of $23.4 billion, based on transactions listed in the Artemis Deal Directory. A majority of directors say their boards are more involved in cybersecurity than a year ago (59 percent) and have increased cybersecurity investments (55 percent), according to the 2014 BDO Board Survey. A new U.K. Royal Society report finds that risks from extreme weather are "significant and increasing," calling for changes to global financial accounting and regulation to make related risks more explicit. A report from IT firm Cognizant suggests that property adjusters may be early adopters of drone technology, which have the potential to improve the efficiency of risk assessment surveys and claims settlement by up to 50 percent. Marsh & McLennan Cos. estimates that the U.S. cyberinsurance market could double this year to $2 billion in gross written premiums from an estimated $1 billion in 2013. CONTINUED FROM PAGE 1 ALTERNATIVE CAPITAL and receives principal amounts in return. The principal is then deposited into a collateral account, where they are typically invested in highly rated money market funds. The investor coupon or interest payments are made up from interest that the SPV makes from the collateral and the reinsurance premiums received from the sponsor. If a loss trigger event occurs, the SPV liquidates the collateral to make the required payment and reimburse the sponsor according to the terms of the reinsurance agreement. If no trigger event occurs, then the collateral is liquidated at the end of the term and investors are repaid. A Cat Bond is the reinsurance of low probability and high severity events such as hurricanes, winds, severe thunderstorms, windstorms, typhoons, wildfires and earthquakes. Catastrophe modeling is vital to Cat Bond transactions to provide analysis and measurement of events that could cause a loss, as well as to define the exposed geographical region. CRIs are often created by transforming reinsurance contracts, using an offshore entity, into securities that are bought and so collateralized. This provides investors access to the return of the reinsurance market. This side of the market is growing and allows investors to access much broader classes of insurance risk should they choose. u POPULARITY AND PERFORMANCE The popularity of these securities has increased significantly as hedge funds, mutual funds and other institutional investors seek investments in vehicles that are not directly correlated to the financial markets. This class of investors accounted for approximately 55 percent of the total investment in the ILS sector in 2013. The total alternative or ILS capital jumped from approximately $37.5 billion at the end of 2012 to approximately $50 billion at the end of 2013. The capital increased by another 18 percent to $58.6 billion during the first six months of 2014. According to Aon Benfield, the 12-month period ended June 30, 2014, was ground breaking for the ILS market: Cat Bond issuance reached $9.4 billion, an increase of 41 percent compared to the prior year. To satisfy the increasing appetite of these investors, new ILS products are being introduced, such as non-U.S. perils and indemnity-based triggers. We are also seeing the introduction of risk bundling. For example, South American and Canadian earthquake exposures are added to U.S. exposures; in other cases, hurricane, earthquake, severe thunderstorm and wildfire risks are being bundled. interest payments to investors. This trend will likely continue in the near future unless a major catastrophe changes the risk premium and the desired yields. u REVERBERATIONS IN REINSURANCE Global reinsurance capital has steadily inclined over the last 10 years, except during the period of financial crisis in 2008 and 2009. It amounted to $570 billion as of June 30, 2014, an increase of approximately $30 billion from December 2013. While the ILS market makes up approximately 10 percent of today's total global reinsurance capital, it – along with the absence of costly disasters – has been a drag on reinsurance pricing for a number of years. Several hedge funds have formed offshore reinsurers with cost-efficient platforms that are taking market share away from already established traditional reinsurers. In other words, supply has clearly exceeded demand, which has resulted in continuing soft market trends with no relief in sight for the near future. This has also slowed down the stock price performance for the reinsurance sector, and several rating agencies continue to have a negative outlook on this sector. For more information, please contact Imran Makda at email@example.com. The continuing inflow of capital in this sector has resulted in tightening spreads and lower \| Return for period ended 6/30 \| \| \| \|---\|---\|---\| \| 2014 \| 2013 \| 2009-2014 \| \| 8.94% \| 13.19% \| 10.81% \| \| 4.33% \| 6.89% \| 5.99% \| \| 1.75% \| -0.61% \| 3.15% \| \| 10.11% \| 7.50% \| 11.21% \| \| 22.04% \| 17.92% \| 16.34% \| \| 3.91% \| 1.55% \| 7.28% \| \| 4.26% \| 4.73% \| 10.32% \| Read more LOSS RESERVE VARIABILITY – DEVIATING FROM THE EXPECTED By Cory Zass, Principal & Consulting Actuary, ARM THE WINTER 2014 ISSUE OF INSURANCE ADVISOR INCLUDED AN ARTICLE ON UNDERSTANDING LOSS RESERVE DEFICIENCIES; IN THIS ARTICLE, WE GO DEEPER INTO A COMMON ISSUE WITH LOSS RESERVES: MIS-ESTIMATION. As a result of uncertainty and randomness, in reality there is less than a two percent chance that a single point loss reserve estimate perfectly mirrors the funds necessary to pay the actual losses that will emerge. This implies that over 98 percent of the time the reported point estimate found on the balance sheet (and guarding against the respective future losses) is either too high or too low. The impact to earnings and solvency, with raised eyebrows from regulators and rating agencies, is exacerbated by the amount of deviation between the loss reserve estimates and the actual loss development. The theory goes that that a financial reporting actuary continually refines his/her original loss reserve estimate using acquired knowledge since the last estimate. Over time, that same loss reserve estimate converges toward the actual level of loss ultimately becoming zero when there is zero likelihood of future losses. If the loss reserves end up too large, then there is some concern that estimates are too conservative, which may draw attention from the IRS or the SEC. The flip side raises the alarm that the loss reserving methods are potentially too aggressive, thus understating the funds necessary to cover future loss obligations, bringing financial stability and solvency into question. As in life, there are definitely two ends of the spectrum and a whole bunch of views in between the goal posts that must be considered. On the one side, we have reserve setters who appear to have done little more than a quasi back–of-the-envelope calculation, with little attention to the specifics of the organization. At the proverbial other end, there are numerous reserve setters who use complex methods to assess reserve estimates using various deterministic and stochastic simulation estimation techniques. Just like the monkey beating the stock pickers, there are times that luck appears as the best method; albeit over the long run, a hindsight view will show that the better reserve setters are those having a recurring objective of low variability with their estimates. Both the U.S.-based Society of Actuaries and the Casualty Actuarial Society (CAS) have frequently produced professional development sessions, workshops and white papers discussing the accuracy of loss reserve estimates. Some of the more common high-level questions that arise around loss reserve estimates include: Q1 Why are loss reserves so difficult to estimate, considering the current availability of sophisticated financial models? The very nature of loss reserves are volatile for a number of reasons, including disconnect between the reserving process and the pricing cycle, and the difficulty of identifying changing trends. While not too dissimilar as loss reserving for health claims, let's turn to the P&C insurance space. Despite extensive research prior to 2005, the CAS Working Party on Quantifying Variability in Reserve Estimates (circa 2005) concluded that financial reporting actuaries did not have adequate tools or means of measuring uncertainty. As a result, in recent years, there has been a shift by some actuaries toward using complex stochastic techniques to aide actuaries in evaluating the variability in the casualty arena. Unfortunately you will always find actuaries who continue to use a combination of less robust methods and a set of assumptions representing an "industry" view without any regard to the nuances of the underlying company and/ or product line. So in the end, accurate loss reserving requires both a decent tool and an experienced user, much akin to the effects of the sharpest knife being used by a novice person – mistakes will be made and, with luck, no limbs will be lost! Q2 How can you measure the accuracy of the loss reserve estimates? One barometer is the hindsight test in which the loss reserves are effectively trued up for knowledge that has become available since the development of the point estimate. The Read more 3 CONTINUED FROM PAGE 3 LOSS RESERVE VARIABILITY \| High \| 2002 \| 2003 \| 2004 \| 2005 \| 2006 \| 2007 \| 2008 \| 2009 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| -25% \| 11.8% \| 16.2% \| 20.0% \| 23.1% \| 24.0% \| 22.6% \| 17.1% \| 11.1% \| \| -10% \| 13.7% \| 18.1% \| 21.5% \| 25.9% \| 29.3% \| 32.0% \| 26.3% \| 27.4% \| \| 10% \| 30.5% \| 37.2% \| 40.0% \| 36.4% \| 34.0% \| 32.9% \| 45.5% \| 51.4% \| \| 25% \| 22.4% \| 16.4% \| 9.8% \| 8.4% \| 7.4% \| 7.9% \| 7.0% \| 6.3% \| \| 100% \| 21.5% \| 12.1% \| 8.7% \| 6.3% \| 5.3% \| 4.5% \| 4.1% \| 3.9% \| \| \| 100.0% \| 100.0% \| 100.0% \| 100.0% \| 100.0% \| 100.0% \| 100.0% \| 100.0% \| test looks across accident (incurred) years as well as product lines. If access is available, a similar analysis is conducted against competitors or major product line players. A company can use these hindsight tests to recast the previously reported earnings to provide a clearer picture of earnings with that luxury of hindsight. With respect to the deviations between the original estimates and the hindsight-based estimates, a company should consider the results on a major product line basis to minimize the effects of an overstatement on one line and understatement on another. This insight certainly aids a company in understanding the drivers of change in the loss reserve estimates. Q4 Can you manage loss reserve risk? u CLOSING THE GAP Q3 When will you know if the loss reserve estimate is accurate? The obvious answer about when the loss reserve estimate is accurate is when there are no more claims. This is simply not plausible with longer tail risk programs or even some shorter term risk programs. The reality is that each product line or program is different and the best barometer is the completion factor (or loss development factor), which will demonstrate whether the loss development is essentially completed in months or years or decades. It is this background that provides the basis of observation periods to use to determine whether the hindsight test follows the law of diminishing returns. In other words, if the historical experience of a group medical line shows that losses are almost always known after 10 months, then the test of the adequacy of a group medical loss estimate will likely not produce a materially improved prediction by waiting for 36 months to pass to make the test. A recent study of the entire P&C insurance sector for the period between 2002 and 2010 indicated that with hindsight (measured as of 2011), the accuracy of loss projections for the industry have been better in some periods and worse in others. The table above provides a breakdown of the distribution of the entire U.S. P&C industry over the observation period. Not surprisingly, there are few cases in more recent accident years where the original estimates are significantly over or under the true losses because not enough time has elapsed for loss experience to emerge. For example, as of 2011, 70 percent of the insurers had their 2010 loss reserve estimate within 10 percent of the revised estimate one year later. This can be contrasted to 2002, which shows that one-quarter of the industry had loss estimates that were at least 10 percent deficient, while only 30 percent of the industry was within a reasonable 10 percent (plus or minus); the balance inherently had conservatism in their estimates since paid losses through 2011 showed actual losses to be lower than projected loss reserve estimates. Remember that some underlying lines of business will have loss development periods well in excess of the nine years since the original 2002 period. So if we were to evaluate the distribution of the industry three years later in 2014, we would expect that the 2002 period may well show some shifts in the variance categories defined in the table. There are also some clear trends that occur such as the results from the active hurricane period of 2005. What is not seen in these numbers may be the more telling, variance results at a product line level. Whether the product line is casualty in nature or falls into the health insurance realm, the keys to more accurate loss reserve estimation is to understand loss development drivers. Some of those drivers include the characteristics specific to product lines, underwriting cycles (casualty), or regulation (Obamacare). Another overarching influence is the company's general risk aversion appetite that can implicitly include conservatism or aggressiveness. In addition, loss reserve setters and their respective C-suite should consider other approaches, where appropriate and data permitting, that result in refining their loss reserving projections. The days of a simple "lag triangle study" to compute the loss reserves should be relegated to the pasture like the horse and buggy! In closing, the process of reserving requires a dose of science, a dash of art and a whole lot of experience to understand the nuances of the line of business or product line that triggers a loss event. The adage is that learning from the past can lower the chance of history repeating itself; this is especially important with loss reserving given that some of the most frequently used actuarial projections are predicated on history repeating itself. The goal for more accurate loss reserving should also consider the evaluation and ultimate transition toward new robust loss reserving techniques, where possible. Learn more by contacting the BDO Alliance actuarial firm, Actuarial Risk Management, at info@ actrisk.com Read more 5 NAIC FALL 2014 NATIONAL MEETING HIGHLIGHTS By Richard Bertuglia The National Association of Insurance Commissioners (NAIC) held its Fall 2014 National Meeting in midNovember. Hot topics discussed related to the new reinsurance model regulation aimed at XXX and AXXX reinsurance captives and guidance on accounting for the risk-sharing provisions of the Affordable Care Act. XXX/AXXX Reinsurance Model For more than two years, the NAIC has been working to address life insurers' use of captive reinsurers to finance reserves for certain term life insurance or universal life insurance policies. The reserves are known as "XXX reserves" for the term life insurance policies, and "AXXX reserves" for the universal life insurance policies. The NAIC's primary concern is that commercial insurers may be entering into reinsurance transactions with captives and special purpose vehicles (SPVs) solely to provide relief from statutory accounting, and companies could actually have a higher level of solvency risk because these entities are regulated differently from commercial insurers. Most states allow captive insurers to recognize letters of credit (LOCs) as admitted assets, but this accounting practice is not available to commercial insurers. Other potential abuses relate to unsecured LOC agreements, whereby the LOC is contingent and may not provide the funds when needed by the insurance company or where the commercial insurer takes credit for reinsurance without appropriate transfer of risk. In order to curb these potential abuses, the NAIC Principles-Based Reserving (PBR) Implementation Task Force was charged with developing a PBR Implementation Plan to enhance transparency and regulatory oversight of XXX/AXXX transactions involving affiliated captive insurance companies. Key developments at the meeting included: AG 48 Clarification Actuarial Guideline XLVIII (AG 48) was forwarded to the Executive and Plenary Committee for adoption. It will require captive transactions to hold assets meeting the definition of a Primary Security up to the reserve amount determined using a modified Valuation (VM)-20 methodology. The PBR Task Force decided the Primary Security designation should be limited to cash, commercial mortgages with Risk Based Capital (RBC) ratings of CM-3 and higher and Securities Valuation Office-listed securities. For funds withheld and modified coinsurance reinsurance arrangements, the PBR Task Force agreed to allow policy loans, commercial mortgages and derivatives specifically to hedge the risk of the product being sold. Excluded are any synthetic letters of credit, contingency notes, credit-linked notes or other similar securities that operate in a manner similar to a letter of credit. The PBR Task Force agreed that AG 48 will apply to policies and reinsurance agreements issued on or after Jan. 1, 2015, and exclude policies that were part of a reinsurance arrangement before Dec. 31, 2014. The group also approved a requirement for the qualified actuarial opinion in situations when companies are not in compliance with AG 48. A call will be scheduled before Dec. 31, 2014, to consider adoption of AG 48. The NAIC Statutory Accounting Principles Working Group (SAPWG) exposed a note to the audited financial statements that would require disclosure of any departures from the security amounts required by the AG 48 or NAIC XXX/AXXX Reinsurance Model Regulation. The comment period ends Jan. 16, 2015. Small Company Exemption The American Council of Life Insurers (ACLI) presented a proposal at the NAIC 2014 Summer National Meeting that would exempt small companies from PBR requirements. The proposed threshold for exemption was companies with less than $300 million of ordinary life premiums and group insurers with less than $600 million of ordinary life premiums. The NAIC Life Actuarial Task Force (LATF) recommended that the PBR Task Force consider adoption of the ACLI Proposal, and determine whether the proposed threshold was appropriate. To help evaluate this consideration, the PBR Task Force exposed the small company exemption with a chart indicating how many companies could be excluded from the PBR requirement based on different premium thresholds. The table includes lower premium thresholds than the ACLI proposal and also incorporates the impact of the Company RBC criteria. Using the ACLI proposed threshold, 362 companies, representing $9 billion (less than 5 percent) of the industry premium will be exempted. The comment period ends Jan. 16, 2015. Risk Sharing Provisions of the Affordable Care Act The SAPWG adopted Issue Paper No. 150 – Accounting for the Risk-Sharing Provisions of the Affordable Care Act and the related Statement of Statutory Accounting Principles (SSAP) No. 107 was exposed with a comment period ending on Dec. 8, 2015. The SAPWG adopted SSAP No. 107 on Dec. 12, 2014. This guidance provides accounting for three Affordable Care Act programs known as the "three Rs" – risk adjustment, reinsurance and risk corridors – that take effect in 2014. The SSAP No. 107 incorporates the following revisions to previously exposed guidance: * removed guidance to nonadmit risk adjustment distributions owed to the reporting entity, which are in excess of the reporting entity's risk adjustment payable, until notification of distribution; * added criteria that incorporates conservatism and sufficiency of data in order for risk adjustment receivables to be admitted; and * removed the guidance that would require risk-adjustment distributions that are 90 days overdue to be nonadmitted to be consistent with other government receivables. Receivables will be evaluated for collectibility. For more information, please contact Richard Bertuglia at firstname.lastname@example.org. Read more MARK YOUR CALENDAR… FEBRUARY March 23-24 February 23-25 2015 National Association of Health Underwriters (AHU) Capitol Conference Hyatt Regency on Capitol Hill Washington, D.C. February 26-27 ACI's 9th National Forum on Insurance Regulation The Carlton Hotel New York, N.Y. MARCH March 3-4 SIFMA's Insurance and Risk Linked Securities Conference Grand Hyatt New York, N.Y. March 11-12 AHIP National Health Policy Conference The Ritz-Carlton Washington Washington, D.C. March 18-20 LIMRA's 2015 Regulatory Compliance Exchange Crystal Gateway Marriott Arlington, Va. BDO INSURANCE PRACTICE BDO's Insurance practice understands the complexities of the industry and the implications for your business. Whether you're looking to tap our extensive SEC experience in order to enter the public market, discuss the latest insurance accounting and reporting requirements from the NAIC, or comply with state regulatory agencies, BDO's Insurance practice provides proactive guidance to our clients. We know that no two insurers are alike, and we tailor our services accordingly. We're proud of our industry focus and experience, and our commitment to delivering the right team with relevant industry experience, both as we begin our relationship and for the long term. ABOUT BDO BDO is the brand name for BDO USA, LLP, a U.S. professional services firm providing assurance, tax, financial advisory and consulting services to a wide range of publicly traded and privately held companies. For more than 100 years, BDO has provided quality service through the active involvement of experienced and committed professionals. The firm serves clients through 58 offices and more than 400 independent alliance firm locations nationwide. As an independent Member Firm of BDO International Limited, BDO serves multi-national clients through a global network of 1,328 offices in 152 countries. BDO USA, LLP, a Delaware limited liability partnership, is the U.S. member of BDO International Limited, a UK company limited by guarantee, and forms part of the international BDO network of independent member firms. BDO is the brand name for the BDO network and for each of the BDO Member Firms. For more information please visit: www.bdo.com. Material discussed is meant to provide general information and should not be acted on without professional advice tailored to your firm's individual needs. © 2015 BDO USA, LLP. All rights reserved. ACI's 10th National Advanced Forum on Cyber & Data Risk Insurance Fairmont Chicago Millennium Park Hotel Chicago, Ill. March 29-April 1 PLRB Claims Conference & Insurance Services Expo Anaheim Convention Center Anaheim, Calif. APRIL April 13-15 LIMRA's 2015 Life Insurance Conference Crystal Gateway Marriott Arlington, Va. April 19-21 2015 AAIS Main Event Conference Four Seasons Hotel Santa Barbara, Calif. April 26-29 RIMS 2015 Annual Conference & Exhibition New Orleans Ernest M. Morial Convention Center New Orleans, La. CONTACT: RICHARD BERTUGLIA Assurance Partner / New York 212-885-8342 / email@example.com DOUG BEKKER Tax Partner / Grand Rapids 616-776-3685 / firstname.lastname@example.org PHIL FORRET Assurance Partner / Dallas 214-665-0769 / email@example.com CARLA FREEMAN Assurance Partner / Los Angeles 310-557-0300 / firstname.lastname@example.org JAY GOLDMAN Assurance Partner / Atlanta 404-979-7237 / email@example.com JOHN GREEN Assurance Partner / New York 212-885-8174 / firstname.lastname@example.org BRENT HORAK Assurance Partner / Dallas 214-665-0661 / email@example.com TIMOTHY KOVEL Sr. Tax Director / New York 631-501-9600 / firstname.lastname@example.org ALBERT LOPEZ Partner and Regional Business Line Leader / Miami 305-420-8008 / email@example.com IMRAN MAKDA Assurance Partner and Insurance Practice Leader / New York 212-885-8461 / firstname.lastname@example.org BARB WOLTJER Assurance Partner and Insurance Practice Leader / Grand Rapids 616-802-3368 / email@example.com
Women's Center of Montgomery County Womenews Womenews Father's Day Pledge to End Gender Violence Domestic violence is a pervasive and life-threatening crime that aﬀ ects millions of people across our nation. The ﬁ rst National Intimate Partner and Sexual Violence Survey in 2012 found that more than 1 in 3 women and more than 1 in 4 men in the United States have experienced rape, physical violence or stalking by an intimate partner during their lifetime. Among states, Pennsylvania ranked 15th in the U.S. in terms of violence against women, and ranked 25th in violence against men. Domestic and sexual violence aﬀ ect us all – either directly or through people we know. Men, in their role as fathers, uncles, brothers, mentors, and role models, have many opportunities to end domestic and sexual violence. On Father's Day, a day for hailing both the mundane and the extraordinary things that fathers do every single day, celebrate by taking a stand. Celebrate fatherhood by standing up for what is right. Fathers: be the role models your kids deserve. Break the silence— speak out. If you see violence in your community, your place of worship, your workplace: call it out. Take the Father's Day pledge against violence. Say NO MORE to men's violence against women and children. I WILL WORK TO END GENDER VIOLENCE AND PLEDGE TO: * Not use violence of any form in my relationships * Speak up if another man is abusing his partner or is disrespectful or abusive to women and girls. I will not remain silent. * Be an ally to women who are working to end all forms of gender violence. * Mentor and teach boys about how to be men in ways that don't involve degrading or abusing girls and women. I will lead by example. To sign the pledge, go to www.PASaysNoMore.com LEGISLATIVE UPDATE ON HOUSE BILL 1051 TENANTS' RIGHTS IN CASES OF DOMESTIC VIOLENCE, SEXUAL ASSAULT OR STALKING (modiﬁ ed from a document prepared by Abigail Hurst, Policy Specialist, PCADV) On May 17, 2016 the Urban Aﬀ airs Committee of the state House of Representatives passed House Bill 1051 creating important housing protections for survivors of domestic violence, sexual assault and stalking. The bill now awaits consideration from the full House of Representatives. BACKGROUND House Bill 1051, sponsored by Representative Madeleine Dean (D-Montgomery), makes safety a priority for victims and survivors of domestic violence, sexual assault and stalking who face signiﬁ cant obstacles to ﬂ eeing a perpetrator. Perhaps the most critical factor in enabling survivors of domestic violence to escape further abuse is the ability to obtain physical separation from the abusive partner. However, a survivor who is party to an unexpired lease agreement may face overwhelming challenges to safety. For example, under Pennsylvania landlord-tenant law, victims would be liable for rent if they ﬂ ee the premises. This would have a signiﬁ cant impact on a victim's ﬁ nancial stability. SUMMARY OF HOUSE BILL 1051 PCADV POSITION: In Support There are diﬀ erent eligibi lity criteria to be met, depending on the names on the Lease: 1) Tenant / Victim is sole name on the Lease: House Bill 1051 would allow a tenant to end a lease if he or she has a reasonable fear that remaining in the home would pose a risk of continued abuse. A tenant would need to provide written notice and veriﬁ cation of the abuse that may include forms of documentation such as police reports, medical records, or a statement from a domestic violence advocate. If a tenant is in danger, House Bill 1051 would also allow a victim to change the locks on the property immediately at the tenant's expense. Extending the right for victims to change their own locks would help keep victims safer in their current homes, reducing the need for emergency or transitional housing assistance. 2) Perpetrator's name is also on the Lease: If a perpetrator is a party to the Lease, the locks or other security devices may not be changed or rekeyed under subsection (A) unless there is a court order, other than an ex parte order, expressly requiring the perpetrator to vacate the dwelling unit or prohibiting the perpetrator from having any contact with the tenant or an immediate family member and a copy of the order has been provided to the landlord. House Bill 1051 also expressly prohibits landlords from discriminating against victims of domestic violence, dating violence, sexual assault and stalking as a result of their victimization. Click here to read the bill as amended in House Urban Aﬀ airs Committee. Board of Directors and Annual Meeting Announcement The next meeting of the Women's Center of Montgomery County Board of Directors – which is also the annual membership meeting - will be held on Thursday, June 23rd at 6:30 pm in the Community Room at the Elkins Park oﬃ ce. As with all Board meetings, this meeting is open to current members of the Center. Additionally current members can also join most of our Board committees. If you have an interest on serving on our standing committees – Finance, Special Events, Planning, Governance or Development – please contact our Board President Sandy Capps c/o the Elkins Park oﬃ ce. The annual membership meeting is also the meeting in which we announce the results of our Board elections which includes a slate of new and incumbent members. In order to ensure that our Board operates at its most eﬀ ective levels, we continue the search through the year for prospective nominees for Board candidacy. If you or someone you know would consider serving our Center at this level, please feel free to discuss with a Committee member or our executive director at our Elkins Park Oﬃ ce (215-635-7340). We are at present seeking persons with expertise/interest in the areas of ﬁ nance, development, market and/or strategic planning, as well as connections to local corporations. Please remember this is YOUR board and its composition and service reﬂ ects your interests and concerns. Your input is of great value to those of us currently on Board. We appreciate and honor each of you for all that you do. We look forward to hearing from you! As the 2016 baseball season begins, we wanted to share this article from Think Progress that reﬂ ects on the impact of the reforms implemented to address domestic violence in the Major Peague. The Problem With Focusing On Major League Baseball's First Domestic Violence Punishment BY KILEY KROH MAR 4, 2016 10:32 AM Major League Baseball was widely praised this week after handing down its ﬁ rst oﬃ cial punishment under a sweeping new domestic violence policy that promises to take a diﬀ erent approach to crimes committed against women. But as sports leagues increasingly feel the pressure to make a meaningful diﬀ erence on this complex set of issues, focusing on the punishment doesn't capture the full picture. Just a few months after baseball's new policy was ﬁ nalized last year, it faced its ﬁ rst major test as three players were placed under investigation for domestic violence. Outside observers wondered whether the league's next actions would live up to its stated commitment to take domestic violence seriously. From the outside, things appear to be on the right track. Last week, Commissioner Rob Manfred announced he was placing Colorado Rockies shortstop Jose Reyes on paid leave while he awaits trial for domestic abuse. And on Tuesday, the league suspended New York Yankees closer Aroldis Chapman for 30 games without pay for his involvement in a domestic dispute last October. Charges weren't pressed in Chapman's case, though his girlfriend told police he "choked" her and she hid in the bushes while he ﬁ red eight rounds from a handgun in their garage. Chapman repeatedly maintained his innocence and vowed publicly to appeal any suspension, but both he and the MLB Player's Association, the sport's union, accepted Manfred's decision. Speaking to the media on Wednesday, Chapman emphasized that he was only apologizing for his actions with the ﬁ rearm: "I want this to be clear — I'm apologizing because the use of the gun. It was bad judgment on my part. But I also want to say that I never hurt my girlfriend… I'm taking this punishment because of my bad judgment. [It's] something that I deﬁ nitely want to put behind me and move on." What else are you doing aside from punishing? The reaction to the punishment has been largely positive — clearly, avoiding a drawn-out appeals process while simultaneously sending the message that, regardless of the justice system, MLB is no longer turning a blind eye to this sort of conduct is a good ﬁ rst step — but it's been focused on just that: the punishment. continued on Page 7 3 Women's Center of Montgomery County Board of Directors Nominating News: The following individuals have been nominated by the Board of Directors as proposed new Board members. The slate of candidates has been distributed to active/voting members of the Women's Center, with ballots due back by the annual membership meeting scheduled for Thursday June 23 rd in Elkins Park. In addition to the bios provided for new and incumbent candidates, this year, prospective new candidates were asked to answer two questions to help our members evaluate their candidacy: What do you see as the top two responsibilities of the WCMC Board of Directors? What expertise, resources, etc. do you personally bring to the Board? Proposed New Board Candidates Theresa Hummel-Krallinger: Theresa is a well-respected senior training professional and performance consultant, but it is her work as a humorist and motivational speaker that sets her apart. Known for her lively and interactive presentation style, she is a frequently requested speaker on topics of employee morale, professional development, performance improvement and workplace communications. Her experience as a professional stand-up comedian enables her to add fun and humor to her consulting and training work. No stranger to the corporate world, Theresa brings over 25 years practical business experience. She has held executive leadership roles in both the ﬁ nancial services and pharmaceutical industries. She is highly regarded for her ability to help organizations put in place meaningful performance enhancement processes that improve employee engagement and achieve ﬁ nancial results. She graduated from the prestigious leadership development organization, Women Unlimited in New York City, where she has served as a mentor to rising female leaders. With certiﬁ cations in Human Resource Management, Behavior Styles training/coaching, Instructional Design, Adult Learning, and Technical Writing, Theresa has a broad array of business tools and educational experience from which to draw. She is on the non-credit faculty at Temple University, where her popular course, "What's Your Point?" is a key requirement for their Project Management and Leadership certiﬁ cate programs. Theresa is the Past President of the Greater Philadelphia Chapter of ASTD (American Society for Training & Development) and is the Past President for a local club of Toastmasters International. She was appointed to serve as a member of National Advisors for Chapters in ASTD. She has been published in several professional journals and is writing a book. She has been a featured speaker at numerous regional and international conferences for ASTD, SHRM (Society for Human Resource Management), DIA (Drug Information Association), Training Directors Forum and others. What do you see as the top two responsibilities of the WCMC Board of Directors? From my humble seat on the bus, I believe the two biggest responsibilities are to: (1) Partner with organization leadership to insure the funding, trained staﬀ , tools, and resources to support all victims of domestic violence in Montgomery County that reach out to us. (2) Build a strong, recognizable brand and reputation for making a real and valuable diﬀ erence in the community and in the lives of those who come to the organization for help. What expertise, resources, etc. do you personally bring to the Board? I would like to focus on building our brand and recruiting a following on social media with Facebook, Twitter, and LinkedIn. I am well-versed in the use of social media to build business, build branding, and grow a supportive online community. I am also well-versed in the use of technology for event management (Eventbrite), online group management (Facebook, LinkedIn, Google Groups, etc.), live event broadcasting (Periscope, Facebook), education delivery/webinars. I also have leadership experience with non-proﬁ t groups (president of Blue Bell Toastmasters, president of Philadelphia ASTD, National Advisor for Chapters ASTD.) Professionally I serve as a workplace consultant on matters of organizational culture, leadership development, team building, interpersonal communications, change management, conﬂ ict management, and strategy facilitation. continued on Page 5 Daniel Sean Kaye: Daniel Sean Kaye, 48, is currently the Director of Life Enrichment for Rydal Park, a continuing care retirement community in Abington Township. Prior to coming to this position, he was an award-winning writer and editor, overseeing such magazines as Parents Express, the Art of Living Well, and multiple regional versions of House & Home magazine. Daniel is an Abington School Board Director in his second term and has served (or is currently serving) on the boards of Katie's Foundation for Child Safety, Citizens and Police Together, the Abington Educational Foundation, Abington Community Taskforce, Montgomery County Intermediate Unit, and Jenkintown Rotary. He still writes monthly for several magazines, has a comic strip in GRID magazine, and is the author/illustrator of the children's book "Never Underestimate a Hermit Crab" and its forthcoming sequel. He and his wife, Wendy, and their son, Aidan, live in Abington What do you see as the top two responsibilities of the WCMC Board of Directors? I think board members need to play an active role in crafting a group's message (based on input from all levels of staﬀ ) and then actively advocate for that message. Yes, they need to determine policy and objectives, oversee budgets, and monitor the organization's performance. But maybe more than that, they need to support and cheerlead for the work being done. In all the groups of which I have been part, an eﬀ ective board believes deeply in the organization, willingly and eﬀ ectively building bridges with diverse communities and individuals. Part P.R., part shepherd, the best board members say "yes" and then back it up with knowhow, encouragement, and direction. What expertise, resources, etc. do you personally bring to the Board? I have done quite a bit of writing, editing, marketing, and public relations over the years. This includes a lot of social media, events, networking, and "friend" building. As an elected oﬃ cial, I have been very fortunate to meet some amazing people – both elected and otherwise – who are incredibly adept at helping to grow nonproﬁ ts. I love creativity and thinking diﬀ erently, which is necessary in today's nonproﬁ t world. But I also enjoy listening to those who have come before, learning what they believe worked best and ﬁ nding out ways to make the less-successful endeavors have new life. Patricia Metzger: Patricia Metzger is the founder of Lorian LLC, whose mission is to assist individuals in opening their minds and their hearts so that they may receive all the possibilities and ﬁ nd their passion, so they may be able to say that they are truly "Loving Life". Each of us approaches life diﬀ erently and ﬁ nds peace; joy and love diﬀ erently. Some examples are through exercise; yoga; meditation; volunteering; cooking; and entertaining. Pat's hope is that she can help others ﬁ nd what they "love" to do so that they can also experience life and love more fully. Pat is currently undergoing certiﬁ cation to become a Law of Attraction Life Coach. Through this training, it is her intention to guide individuals through their issues to help ﬁ nd clarity through contrast, peace from their struggle, and love from their opening themselves to more possibilities than they ever dreamed possible. She is also dedicated to ﬁ nding the path to help empower women to become independent through both ﬁ nancial training and coaching for emotional and spiritual stability. Pat enjoys volunteering with the Women's Center to seek new avenues for reaching this passion! Pat would love to join the Board of Directors because she feels our missions are aligned. What do you see as the top two responsibilities of the WCMC Board of Directors? I feel the responsibilities of the board should be to investigate as many processes as possible to bring multiple avenues to empower and enrich the women it is serving and to advocate on their behalf. Technology is moving so quickly and I believe we need to keep these women current through education and opportunities for them to communicate back to us with their concerns. What expertise, resources, etc. do you personally bring to the Board? I have worked in the corporate world as a manager/director for many years and feel my expertise in this area could help create a program to enrich these women's lives. continued on Page 6 5 Dov Weiner: Dov has been self-employed since 1980. During the 90's she helped run a family manufacturing company. The company made aptitude tests – called hand dexterity boards - for the Dept. of Labor. When that company was eventually sold, she and her husband together founded a new company – Aaron Weiner Construction based in Jenkintown. Dov has been a WCMC volunteer since 2006. As a direct service counselor/advocate she does regularly weekly at-home and in-oﬃ ce hotline shifts. She also provides court accompaniment in preliminary hearings at district court. Dov also participates in our community education and outreach eﬀ orts, assisting with information tabling events when possible. Since 2015, in addition to her direct service volunteerism, Dov has been Co-chair of the WCMC 5K Run/3K Walk Special Event Committee. As Dov says, "Being involved at the Women's Center of Montgomery County has been a big part of my life. I love the people and the ideals of the Center." What do you see as the top two responsibilities of the WCMC Board of Directors? Board members should inspire volunteers, etc. Also, they should have the ﬁ nancial responsibility of raising money. We should raise the membership fee to build our reserves. What expertise, resources, etc. do you personally bring to the Board? I bring ﬁ duciary and ﬁ nance skills, and a passion for the Center, to the Board. Incumbent Board Members Running for Re-election Carol Chwal - Carol Chwal is the Nurse Director and Service Line Administrator for Women's and Children's Services at Abington Memorial Hospital. She is a master's prepared professional in both nursing and business administration, and is certiﬁ ed as a Nurse Executive through the American Nurse Credentialing Center. Areas of responsibility include: Labor & Delivery, Mother Baby Unit, Special Care Nursery, Pediatrics, Maternal Fetal Medicine, Prenatal Testing, OB/GYN Center and a variety of clinics. In her role she creates and implements the strategic plan and growth initiatives for Women's and Children's Services. Carol has over 20 years of experience in nursing and has held a variety of staﬀ and management positions. She is a member of Sigma Theta Tau, the American Organization of Nurse Executives and is actively serving on the board of the Southeastern Pennsylvania Organization of Nurse Leaders, as their Treasurer. Seeking re-election to her second term Sandy Hyman – Survivor, single parent. With a degree in accounting, Sandy currently works as a realtor and is a member of the Willow Grove Chamber of Commerce, and Hadassah; in the past she has been a spokeswoman for WCMC; currently resides in Newtown. Sandy previously served on the WCMC Board from 2001 until 2007. Rejoined Board April 2012, served as Treasurer from June 2012 through the present. Seeking re-election to her third term Beth Rubin - Beth is a retired teacher and ESL Coordinator with the Philadelphia school system for over 32 years. Prior to that, she taught English in Israel. She is a graduate of American University, Vermont College of Norwich, and Ben Guriun University of Negev. Beth has been a volunteer counselor advocate and community educator with the Center since 1998, and is a resident of Elkins Park. Beth is mother to three adult daughters. Served on Board July 1, 2007 through June 30, 2013. Rejoined Board July 1, 2014. Seeking re-election to her second term Amy Stern - Amy is a family law attorney and partner in the esteemed law ﬁ rm of Rubin, Glickman, Steinberg & Giﬀ ord in Lansdale. A graduate of Temple Law School, Amy is a member of the Pennsylvania and Montgomery Bar Associations, and has practiced family law for over 18 years. She is also a trained family law mediator. Amy has served on the North Penn and Eastern Montgomery County Red Cross Boards of Directors, and is currently a community ambassador for ALS. She resides in Maple Glen with her husband and 2 children. Appointed to Board September 2012 Establishing a meaningful, systemic approach to both addressing and preventing crimes like domestic violence and sexual assault can't be measured in games missed or dollars lost, said Rachel Smith Fals, vice president of Futures Without Violence, a well-established domestic violence awareness organization that advised MLB and the union last year. Fals received numerous requests to comment on the suspension and whether it was fair. And while she acknowledged that the number of games does send a message, she wanted to see the conversation around MLB's response turn to a broader set of questions: "What else are you doing aside from punishing?" she said. "Where does the program stand in terms of education the players are getting; with respect to outreach to victims and their families, what are the services and support that are being put into place for those who abuse but also those who are victimized?" Oﬃ cials within baseball were clear last year that their focus was long-term — they intended to work in concert with the union and outside experts to not only establish a transparent procedure for punishing and treating players, but also to change the entire culture toward violence against women and children throughout the sport. And, advocates emphasize, the second part is critical to achieving any sort of appreciable progress on these issues. "You're not going to change the culture in 60 to 90 minutes, once a year," Fals said. Paul Mifsud, MLB's deputy general counsel for labor relations, said the league is well aware of the challenge and commitment required. "It doesn't happen overnight," he said. "You have to build programs around it and then you have to convince the stakeholder that it's the right thing to do. It's a process and we're doing pretty well in that process." This year every major league club will once again participate in informational sessions, hosted by the Players Association, during Spring Training. "The purpose of each meeting is to continue to help inform the players about the issue of domestic violence, discuss the sport's new policy, the resources available to players and their signiﬁ cant others, discuss ways players can help others (as bystanders) they think might be subjected to DV as well as using their voices as celebrities to help raise awareness of an issue that, unfortunately, is a societal issue and knows no boundaries," Greg Bouris, communications director for the union, said via email. Bouris added that the union is "committed to these eﬀ orts," while at the same time, it remains "committed to protecting and ensuring the rights granted to players under the applicable provisions of the new policy." Negotiating the policy with the union is an important strength, Fals noted — and a key distinction between MLB and the NFL — because it allows the league to move forward with its own punishment outside of whatever legal processes the player may face. (In the case of Reyes, Manfred cited a provision in the policy that allows the Commissioner to suspend a player with pay until the resolution of criminal or legal proceedings if allowing them to play "would result in substantial and irreparable harm" to either the club or the league.) Beyond punishment, the policy also contains speciﬁ c steps for treatment and intervention once the league becomes aware of a credible allegation against a player. While the conﬁ dentiality provisions in the policy preclude the league or the union from discussing the speciﬁ cs of this process as it pertains to Chapman or Reyes, Mifsud said MLB has taken care to keep the disciplinary and treatment-based aspects separate: "You want to encourage the player to be forthright and get treatment without the threat of penalty and we actually have done that." Looking forward, Mifsud said the hope is to implement a series of education and awareness programs that would continue through the season and in the oﬀ season. To help facilitate that, the league hired Ricardhy Grandoit, who formerly oversaw the gender-based violence prevention program at Northeastern University's Center for the Study of Sport in Society, to serve as its ﬁ rst social responsibility specialist. In his new role, Grandoit is working with individual clubs, minor league players, front oﬃ ce personnel, and the commissioner's oﬃ ce to help develop and institutionalize violence prevention programs. Other support services established by the policy include a 24-hour hotline for major and minor league players, in English and Spanish, staﬀ ed by professionals, and local resources made available to spouses and families. And Mifsud said they're even working on building further support into an app for players' phones. There's certainly still work to be done, however. Fals said she'd like to see "a real independent investigation, an outside investigator doing their job and bringing you the evidence for both parties involved," rather than the in-house investigators MLB is using to examine cases now. And one only need look as far as recent comments made by Washington Nationals manager Dusty Baker and Boston Red Sox designated hitter David Ortiz defending the players accused of domestic violence — and in Baker›s case, blaming the victim — to realize what a challenge cultural change will be. But Fals said she's encouraged by what she's seen so far. "Based on our relationship and conversations with them, I do feel like they're honoring the spirit of the policy with respect to getting experts in house and really approaching it in a very thoughtful way, and I mean that for both sides, so I'm glad to see that," she said. 7 Address Confidentiality Program The Address Confidentiality Program (ACP) helps victims of domestic violence, sexual assault or stalking keep their new home address safe from their perpetrator after they have left an abusive or dangerous situation. ACP is not a witness protection or a relocation program. Participants are encouraged to use the program as part of a larger overall safety program. ACP has two basic parts: Government Agencies 1. Provides a substitute address for victims who have moved to a new location unknown to their perpetrator 2. Provides participants with a free first-class confidential mail forwarding service. Human Services If you visit a county assistance office for services such as food stamps or Temporary Assistance for Needy Families (TANF), use your ACP address. Education A process to release a student's records without informing the former school district of the ACP participant's whereabouts is provided. School districts need to take care if it is necessary to contact any former school district regarding an ACP student, so this contact does not jeopardize the family's safety. Transportation ACP keeps your new address secure for a vehicle registration, title certificate and applying or renewing of title a PA driver's license or a PennDOT identification card. Courts If an ACP participant is a victim, witness, plaintiff or defendant involved in an ongoing civil or criminal case, after certification, notice of the ACP participant's substitute address to appropriate court officials in which an ACP participant is a victim, witness, plaintiff or defendant. State Participants cannot register to vote at the Pennsylvania Department of Transportation (PennDOT) or with other state agencies. Our program works directly with the county voter registration office. Before an election, ACP participants will receive a ballot and use this ballot to vote. The participant returns the ballot to the director at the county voter registration office. www.paacp.pa.gov Private Companies Employers More and more employers are acknowledging and accepting the obligation to assure and provide a safe workplace environment by putting into effect domestic and workplace violence policies. Not only do employers have an obligation to respond to their own employees but also to maintain any safety and security measures within a company that offers a service to the public. Financial Institutions Banks are required to accept the substitute ACP address. An ACP participant's account profile must indicate the customer's ACP substitute address, including their ACP #. All correspondence, including any potential legal correspondence, must be sent to the customer's substitute address. Utilities Many companies work to protect a participant's actual address the best way they can. Utility companies may require your residential address for service. If a participant must have their name on the account, use minimal personal information required to open an account and place additional security settings on the account where possible. 312 participants are registered with ACP 232 children are registered with ACP 9 11 11 Second Chances Shoppe 201 Leedom Street, Jenkintown, PA 19046 215-885-0651 Monday - Friday 10:00 am to 5:00 pm Saturday 10:00 am to 4:00pm Women's Center of Montgomery County DATED MATERIAL Elkins Park Oﬃ ce 215-635-7344 FAX: 215-635-7347 Thrift Shop: 215-885-0651 Norristown Oﬃ ce 610-279-1548 FAX: 610-279-7740 Pottstown Oﬃ ce 610-970-7363 FAX: 610-970-0705 Bryn Mawr Oﬃ ce 610-525-1427 FAX: 610-525-1429 Colmar Oﬃ ce 215-996-0721 FAX: 215-996-0725 www.wcmontco.org 1-800-7732424 Women's Center of Montgomery County 8080 Old York Road, Suite 200 Elkins Park, PA 19027 ADDRESS SERVICE REQUESTED Wo mene ws Newsletter Copyright WCMC 2016. Produced by the staﬀ and volunteers of the Women's Center of Montgomery County.
CHARTER SCHOOL LEGAL BRIEF Table of Contents PAGE 1-3 The Issue: Jurisdiction and Applicable Law over Employee/Employer Labor Relations (continued) PAGE 3-5 The Issue: School Closure at Renewal Charter schools are free from most state and local laws affecting district schools. However, charter schools must follow federal law, New York State's Charter Schools Act and meet the same health and safety, civil rights and student assessment requirements applicable to district schools. See Education Law Section 2854(1). While this may sound clear cut, it often is not, and charter schools sometimes end up in court litigating these issues. The Charter Center team tracks and monitors all cases, investigations, and legal matters related to charter schools in New York City. These briefs are intended to document resolutions that impact the sector as a whole. PAGE 5-6 The Issue: Equitable Funding for Charter Schools Disclaimer: The information in this brief is provided by the New York City Charter School Center for educational and informational purposes only, and should not be construed as legal advice or an offer to perform legal services. In this update, we will look at three cases that: examine changes to labor law governing charters; review authorizers' non-renewal decisions; and, study a constitutional challenge to the funding system for New York's charter schools. Please feel free to contact Corey Callahan, Director of Legal Affairs, should you or your legal team have any questions about any of these matters. THE ISSUE: Jurisdiction and Applicable Law over Employee/Employer Labor Relations Background: Collective bargaining rights and unionization are generally governed for private employers/employees by the federal labor law known as the National Labor Relations Act (NLRA). State law, in contrast, governs public employers/ employees including employees of school districts. The New York Charter Schools Act of 1998 as amended (the "CSA") delineates that charter school employers and their employees are public and therefore asserts that labor relations are governed by New York state law, the New York Public Employee's Fair Employment Act, otherwise known as the Taylor Law. See Education Law Section 2854(3). The federal NLRA and the state's Taylor law differ in important ways. For example, under the Taylor Law a public section union can be formed by a majority of employees signing a card authorizing a union to represent them, known as the "card check" method of creating a union. In contrast, under the federal NLRA, an employer can require that a secret ballot election be held to determine whether a majority of employees want to form a union. Whether federal or state labor law applies is a function of whether the employer is deemed a public or private sector employer. Importantly, a state cannot make an employer "public" for purposes of labor law simply by having its state labor law declare that employer to be public. In a 2013 dispute before the board that administers the state's Taylor Law (the Public Employment Relations Board or "PERB"), a charter school first raised the issue of whether PERB properly had jurisdiction over charter school teachers. The charter school argued that the matter fell within the scope of the NLRA because the employees were not in fact public employees; therefore the appropriate body to adjudicate the dispute was not PERB, but the NLRB pursuant to federal labor law and not state law. See Buffalo United Charter Sch. v. New York State Pub. Empl. , 107 A.D.3d 1437 (4th Dept 2013). In the Buffalo United Charter case, the New York State court declined to decide, instead asking that the federal board that administers the NLRA (the National Labor Relations Board or "NLRB") " determine in the first instance" whether they had jurisdiction over the case. Id . at 1438. Other charter schools followed suit bringing labor disputes not before PERB but before the NLRB arguing that this federal body had jurisdiction and that the NLRA applied. Finally, in August 2016, the NLRB ruled on the issue of whether or not it had jurisdiction over New York State charter schools and their employees in the Hyde Leadership Charter School Matter. 364 NLRB No. 88 (2016). The Case: In Hyde, the NLRB found that a charter school was a private sector employer as defined by the NLRA, and not, as the CSA asserts a political subdivision/public employer. In reaching its decision, the NLRB relied on the test set forth by the United States Supreme Court case in NLRB v. National Gas Utility District of Hawkins County, 402 U.S. 600 (1971). That test, known as "Hawkins County" is a two-prong test that looks at (1) whether the entity was created directly by the state and (2) whether the entity is "administered by individuals who are responsible to public officials or the general electorate." Id. at 604-605. WHAT'S NEXT? All charter schools need to become familiar with the National Labor Relations Act and what these new labor laws now mean for their school. As mentioned there are significant differences between the NLRA and Taylor Law including the ways in which employees can certify a union ("card check" versus secret ballot election), the role of supervisors in the bargaining unit, how collective bargaining agreements are implemented if there is no agreement, and whether are not workers are allowed to strike. In particular, the NLRB has been active in the last few years in defining the appropriate language that employers must include in employee handbooks, such as what constitutes protected speech and activity around employees discussing/joining together to improve their wages and working conditions. The Charter Center has already offered one session to charter schools and will offer future programming to assist schools in learning about this new (to NYC charters) law. It is also important to understand that the NLRB's decision in the Hyde case may not be the last word on this issue. Hyde is not the only charter school case in which the NLRB has found jurisdiction; there are other cases from Illinois and Pennsylvania where the NLRB asserted jurisdiction over charter schools. Also, now that charters will be regulated by the NLRB it is possible that this issue eventually will make its way through the federal courts (employers and employees can appeal NLRB decisions on unfair labor practices to the federal courts). While federal courts generally give deference to NLRB decisions on jurisdiction, there has not been a charter school jurisdiction case heard at the federal level. Moreover, to put it politely, the decisions that the NLRB reaches can change based on which political party makes appointments to the NLRB, i.e., who is the president of the United States (NLRB members are appointed by the President and confirmed by the Senate for five-year terms, with one member's term expiring each year). It is certainly not without precedent that a decision by one group of NRLB members is overturned by another, e.g., very recently the NLRB decided that graduate students were employees (and not simply students as universities have asserted) and therefore entitled to unionize, a decision that overturned a previous decision by the NLRB finding precisely the opposite. In Hyde, the NLRB found that the school, the entity serving as the employer, was not created directly by the state as it was the charter school's founding board of trustees that prepared the comprehensive application to establish the school and once the school was approved by the Board of Regents, it was the founding board that promulgated the school's governing and operating documents. Furthermore, under the second prong of the Hawkins County test, the NLRB determined that a charter school in New York is not administered by individuals who are responsible to public officials or to the general electorate. The NLRB reasoned that the school's board is run as a private corporation with members privately appointed and removed. The NLRB was unpersuaded by the argument that since the Board of Regents has the authority to remove a trustee of a charter school for malfeasance (an authority it has for trustees of all educational institutions in New York) this was equivalent to the trustees having direct personal responsibility to public officials. Because the NLRB found that a New York charter school is not a political subdivision of the state, its conduct with respect to labor matters is under the jurisdiction of the federal NLRA statute and not the state's Taylor Law. See Hyde at p.5-7. Despite the finding that the Hyde Charter School was an employer covered under the federal NLRA, the NLRB could still have discretionarily declined to assert jurisdiction over the matter if it deter- mined that "the effect of the dispute on commerce [was] not sufficiently substantial to warrant the exercise of its jurisdiction." 29 U.S.C. §164 (c)(1). Despite arguments from the United Federation of Teachers (UFT), which was the defendant in this case, that the NLRB should decline jurisdiction because of the state's regulation and oversight of charter schools and language in the Charter Schools Act defining teachers as public school teachers, the NLRB did not use its discretion to decline. Instead, it maintained jurisdiction over the charter school stating that it routinely asserts jurisdiction over private entities that provide services, under contract, to governmental bodies. See Hyde at p. 7-9. WHAT DOES THIS MEAN FOR OTHER CHARTER SCHOOLS? While the case was specific to Hyde, it is very likely that other New York State charter schools similarly created and situated (that is, a new charter and not a charter converted from a district school) would also be subject to NLRB jurisdiction. In fact, in October 2016, the NLRB affirmed a decision of one of its regional directors (who first decide cases brought before the NRLB) that allowed a charter school teacher's decertification petition to go through under NLRA procedures even though the school had been unionized under PERB. See Riverhead Charter School, 29-RD-132061 (2016). It is less clear what Hyde might mean for charter schools that currently have or are negotiating bargaining agreements under PERB. For instance, it has not yet been decided whether a charter school itself (as opposed to its teachers) could move to decertify a union because that union had been created by card check and the employer had no chance to require a secret ballot election. There also are questions about whether a conversion charter school would be considered a political subdivision under the Hawkins analysis given that it used to bea district school or whether the NLRB would, in fact, use its discretion to decline jurisdiction over this subset of charters effectively having them governed by the state's Taylor Law. There are many unanswered questions for schools that have existing unions and collective bargaining units and these schools should seek guidance from lawyers who specialize in the practice of labor law to get their questions answered. THE ISSUE: School Closure at Renewal Background: Under the New York State Charter Schools Act (CSA), successful applicants for a charter school are granted provisional charters that can last only a maximum of five years. This means that schools must apply for renewal at least once every five years (sometimes less, if they receive a short-term renewal). Authorizers are not required to renew a school's charter and have the power to deny the application for renewal and close the school. See Education Law Section 2851(4). Additionally, authorizers have always viewed their decision to not renew www.nycCharterSchools.org page: 3 a charter as similar to their decision to initially authorize a school in that such decision is "final and shall not be reviewable in any court by any administrative body." Education Law Section 2852(6). Despite this statutory framework, several charter schools that have received nonrenewal decisions by their authorizer have sought judicial review of this decision and, in 2016, the Second Department of the Appellate Division (the appeals court for Brooklyn, Queens and Staten Island) came down with a decision on the issue. Prior to the Second Department's decision, the Fourth Department of the Appellate Division had already determined that an upstate charter school's non-renewal decision was not subject to judicial review, but there had not been any decisions by courts in New York City. See Pinnacle Charter Sch. v. Board of Regents of the Univ. of the State of N.Y., 969 N.Y.S.2d 318 (4 th Dept 2013). 1 WHAT'S NEXT? While charter schools in the First Department (Manhattan, the Bronx) have yet to bring a similar case, there is no reason to believe the outcome would be different than that in Fahari and Pinnacle. A charter school that receives a final non-renewal decision from its authorizer should expend its time and energy finishing out the school year in good form and working with the New York City Department of Education to ensure that students are transferred to the best possible schools available. the school must be closed. The school then appealed to the Supreme Court in Brooklyn. The Case: In the Matter of Fahari Academy Charter School v. Bd. of Educ. of City School Dist. of City of New York, the Chancellor of the NYC Department of Education, the school's authorizer, denied the renewal application of the Fahari Charter School ("Fahari"). 27 N.Y.S.3d 688 (2d Dept 2016). The Chancellor denied the charter renewal application after determining that the school had failed to meet the academic benchmarks set forth in its charter. This decision for non-renewal came after the school was given a short-term renewal the previous year with specific academic benchmarks it was required to meet. When the school failed to meet these benchmarks, the Chancellor allowed the school an opportunity to present oral and written submissions to address these deficiencies, and then ultimately decided The Supreme Court ruled that it lacked the jurisdiction to review the Chancellor's non-renewal decision based on the language in the Charter Schools Act. Fahari Academy Charter School v. Board of Educ. Of City School Dist. Of City of New York, No. 8109/15 (N.Y. Sup. Ct., 2015). The Court found, relying on the Pinnacle case, that "the plain wording of the statute in question deprive[d] this Court of subject matter jurisdiction" as schools do not have a constitutional right to an administrative review of their non-renewal decision. Id. at 11. The Court did note that while schools are not entitled to judicial review of a non-renewal decision this would not preclude review if the Chancellor had acted "illegally, unconstitutionally or in excess of her jurisdiction." Id. at 10. In Fahari, the Court did not find the Chancellor's conduct to be "conscience shocking or oppressive in a constitutional sense" as the Chancellor had notified the school in writing about the decision to not renew and provided the school with an opportunity to present to a panel. Fahari appealed the lower court's decision to the Appellate Division, where the Court affirmed the Supreme Court's decision finding that non-renewal was not subject to judicial review as the Charter Schools Act expressly acknowledges that charters may be renewed and notes that the denial of an application for a charter school is final and shall not be reviewable in any court. See Fahari, 27 N.Y.S.3d at 690, citing Matter of New Covenant Charter School Educ. v. Board of Trustees of the State Univ. of N.Y. , 2010 WL 5468692 at *2 (Albany Sup. Ct., 2010). The Appellate Division affirmed state law, citing both New Covenant and Pinnacle, by holding that Fahari Academy Charter School did not have a right to judicial or administrative review of its non-renewal decision. Fahari appealed to the Court of Appeals (highest court in the state), but similar to Pinnacle, the school was denied leave to appeal, meaning that the decision of the Appellate decision was final. See Fahari Academy Charter School v. Board of Educ. Of City School Dist. Of City of New York , 27 N.Y.3d 1120 (2016), and Pinnacle Charter School v. Board of Regents of University of State of New York , 22 N.Y.3d 951 (2013). 2 1 New York State is divided into four judicial departments in which there are trial courts (known as supreme courts) and then appellate courts (known as appellate division courts). A decision by a trial or appellate division court in one department is relevant to a court in another department but the precedent is not controlling. 2 Like the United State Supreme Court, New York State's highest court, the Court of Appeals, has, in certain circumstances, the choice of which cases it wishes to hear and review. WHAT DOES THIS MEAN FOR OTHER CHARTER SCHOOLS? With the Fahari decision, it is increasingly clear that charter schools, whether in New York City or upstate, seeking judicial review of non-renewal decisions will generally not be granted such review; nor will they generally be granted more than very short temporary injunctive relief. The statute is clear and several courts across the state have been unanimous in upholding that non-renewal decisions - absent some illegal or conscience-shocking conduct by the authorizer - are not subject to judicial or administrative review. In fact since Fahari, another charter school filed for judicial review of its non-renewal decision and the Supreme Court, relying on Fahari, also dismissed the matter and the school closed at the end of the school year. See The Beginning with Children Charter School v. New York City Dept. of Educ., 52 Misc.3d 1216(A) (N.Y. Sup. Ct., 2016). Charter schools that receive non-renewal decisions and that do not have clear evidence of misconduct or bias should focus on creating transition plans for students and families. THE ISSUE: Equitable Funding for Charter Schools Background: In 2014, the New York State legislature passed the Facilities Access Law that provides rental assistance to new and expanding New York City charter schools. See Education Law Section 2853(3)(e). However, this legislation did not provide facilities funding for any charter school outside of New York City and many New York City charter schools received only partial or no funding. Funding between charter schools and their district counterparts remains highly inequitable with the Independent Budget Office estimating that disparity at close to $3,000 for such schools in New York City. 3 If anything, these disparities are even greater upstate. Unequal funding of charter schools exists against a backdrop of successful litigation against the State for failure to adequately and equitably fund district schools, including, most importantly, the landmark Campaign for Fiscal Equity cases. See Campaign for Fiscal Equity, Inc. v. State, 86 N.Y.2d 307 (1995) ("CFE 1995"), Campaign for Fiscal Equity, Inc. v. State, 100 N.Y.2d 893 (2003) ("CFE 2003"). In response, the State adopted the Foundation Aid formula and committed to adding billions in additional state aid to school districts. Using these successful cases as precedent, the Northeast Charter Schools Network (NECSN) along with five families in Buffalo and Rochester filed a lawsuit in 2014 challenging the funding system for New York's charter schools as inequitable, inadequate, and, therefore, unconstitutional. The Case: In Brown v. New York, NECSN, as a representative for its New York state charter school members, and five charter school families residing in Buffalo and Rochester ("Plaintiffs") brought a case in Buffalo challenging the funding disparity caused by the current charter funding formula and the lack of capital funding for charter schools. Plaintiffs' suit included three legal claims regarding constitutional adequacy, equal protection, and disparate impact discrimination. Plaintiffs alleged that because the state's funding formula results in charter students receiving no facilities funding, charter students have been denied access to a sound basic education (adequacy claim) and this creates gross disparities between charter schools and district schools (equal protection claim). In addition, the suit alleges that the funding scheme has a disproportionate and discriminatory impact on minority students (disparate impact claim). The suit was filed against State of New York, the Governor, State Assembly, State Senate, State Budget Director, Division of Budget, Board of Regents, and Commissioner of Education (Defendants). The WHAT'S NEXT? Plaintiffs are not appealing the case to the Court of Appeals, ending the case. 3 New York City Independent Budget Office, Charter Schools Versus Traditional Public Schools: Comparing the Level of Public Support in School Year 2014-15 (July 2015), available at http://www.ibo.nyc.ny.us/iboreports/charter_schools_versus_traditional_public_schools_comparing_the_level_of_public_support_in_school_year_2014_2015_ july_23_2015.pdf. Defendants filed a motion to dismiss, arguing that the Plaintiffs failed to state a cause of action, NECSN lacked capacity to bring the action, and the other Plaintiffs lacked standing under the Education Law. The Supreme Court dismissed Defendants' motion (but allowed the case to be dismissed against all parties but the State of New York), and the State of New York appealed to the Appellate Division. See Brown v. New York, No. I2014-810534 (Erie Sup. Ct. 2015). In October, the Appellate Division agreed with the State of New York (Defendant) that Plaintiffs failed to state a cause of action and dismissed all claims. See Brown v. New York, 2016 N.Y. Slip Op. 06566 (4 th Dept, 2016). The claims and the Courts' reasoning for dismissal are discussed in detail below. Plaintiffs' first claim was brought under the "adequacy" clause of New York State's Constitution. This clause requires that the State "provide for the maintenance and support of a system of free common schools, wherein all the children of the state may be educated." (N.Y. Const., Art. XI, §1). New York case law has interpreted this mandate to mean that each public school student is entitled to a "sound basic education," which includes not only the "basic literacy, calculating, and verbal skills necessary to enable children to eventually function productively as civic participants capable of voting and serving on a jury," but also "minimally adequate physical facilities." CFE 1995 at 316, 317. The crux of Plaintiffs' argument was that because of the state's failure to provide facilities funding charter schools have (1) inadequate teaching because they can't hire sufficient staff; (2) inadequate facilities such as insufficient classroom space, place for physical exercise and inadequate cafeterias; and (3) inadequate instrumentalities of learning such as lack of libraries, computer labs, and quality curriculum programs to meet Common Core standards. The Appellate Division found that because "a system of charter schools" was created to operate independently of the existing schools and school districts and are in fact, governed by an independent self-selecting board, charter schools are not mandated by the Constitution and therefore the Education Article cannot serve as the "legal basis for challenging the constitutionality of charter school funding legislation." See Brown (4 th Dept) at 4-5. In addition, the Court concluded that a successful education article claim requires that plaintiff pleads deficient inputs such as inadequate teaching, facilities, or instrumentalities (which Plaintiffs did), but this must be plead as a "district-wide" failure. Id. The Appellate Division also dismissed the second claim, which alleged that because the state's funding system results in students in Rochester and Buffalo receiving only 60 to 68 percent of funding as compared to district students, New York's funding scheme violates the constitutional rights of Plaintiffs to equal educational opportunities. New York State Constitution's equal protection clause provides that "[n]o person shall be denied the equal protection of the laws of this state or any subdivision thereof. No person shall, because of race, color, creed or religion, be subjected to any discrimination in his or her civil rights by any other person or by any firm, corporation, or institution, or by the state or any agency or subdivision of the state." (N.Y. Const., Art. I § 11). Because New York holds education as a civil right under N.Y. Exec. Law § 291(2), Plaintiffs alleged that the State cannot create a system of public education that treats charter school students differently than district schools when there is no rational basis to do so. The Appellate Division found that to the extent there is disparity between charter and district funding for facilities, there is a rational basis for this disparity, which includes that charters are "exempt from costly regulations that apply only to traditional public schools, have the discretion to limit their enrollment, are nonunion… have access to sources of funding that public schools do not…[and] charter schools are experimental and more likely to be transitory." Brown (4 th Dept) at 6. Lastly, the Appellate Division dismissed Plaintiffs' claim that the funding disparity between district and charter students has a disparate impact on racial and ethnic minority students, which would violate New York's civil rights law. See N.Y. Exec. Law § 291(2). Plaintiffs claimed that there is a disparate impact because over 90% of the students attending charter schools in the State of New York are minorities, compared to 40.74% of students attending all public schools being minorities. As a result, Plaintiff's claim that the inequitable charter school funding has a disproportionate impact on the education of minority students. The Appellate Division dismissed this claim because Plaintiffs were unable to plead that the State had discriminatory intent when creating the funding system. WHAT DOES THIS MEAN FOR OTHER CHARTER SCHOOLS? While there may be other legal theories that have yet to be explored and tried, it is likely that the courts will not provide the avenue for achieving parity in funding between charter schools and their traditional district counterparts. However, the case, while pending, highlighted publicly the large disparity in funding that successful charter schools experience. Both NECSN and the New York City Charter School Center will seek to leverage this understanding to obtain additional funding through the budget process.
MORAL RIGHTS: ATTRIBUTION Ronan Deazley and Kerry Patterson 1. Introduction When undertaking a digitisation initiative, it is important to understand when attribution of authorship is required. This briefing note explains the protection which UK law provides for the moral right of attribution – the right to be identified as the author of a work. It considers the implications of this right for non-commercial digitisation initiatives and addresses a number of related questions. 2. In Practice To help determine whether you need to be concerned about this right, consider the charts at the end of the document in section 8. 3. Legislative Context In addition to the bundle of economic rights that make up the scope of copyright protection, the Copyright Designs and Patents Act 1988 (the CDPA) also provides for certain moral rights in relation to certain types of work (sections 77-89). There are four types of moral right to be aware of: - the right to the privacy of privately commissioned photographs or films - the right to object to false attribution of the work - the right to be identified as the author of the work (attribution) - the right to object to the derogatory treatment of a work (integrity) The moral rights of attribution and integrity are intended to protect an author's noneconomic and non-proprietary interests in their work. In this note, we identify a number of features common to both the right of attribution and the right of integrity, before considering how the right of attribution might impact the digitisation of material held in archive and other cultural heritage collections. Details about the moral right of attribution are set out in sections 77-79 and 86-89 of the CDPA. 4. Attribution and Integrity: common features The right of attribution and the right of integrity share a number of common features. First, they only extend to certain types of copyright-protected work: literary, dramatic, musical and artistic works, and films. They do not apply to sound recordings, broadcasts or the typographical arrangements of published editions. Second, each right lasts for as long as copyright subsists in the work. That is, both rights last for the life of the author plus 70 years from the end of the year in which the author died. When copyright expires so too do the author's moral rights. Third, while neither right can be assigned to another person (that is, the rights cannot be transferred from the author to a third party) the rights can be waived in certain circumstances (CDPA s.87). In effect, this means the author can agree not to assert their rights of attribution and integrity. So, if you think that your use of a work might contravene either of the moral rights for some reason (perhaps you are cropping an image of an artistic work to post it online and are concerned that cropping might constitute a derogatory treatment) then you could always ask permission of the author and they might waive their moral right of integrity in relation to your use. Fourth, there are specific rules to bear in mind regarding the existence of these rights when dealing with works created before 1 August 1989 (when the CDPA came into force). We deal with these rules in the next section. 5.1. Works made before 1 August 1989 Both the right to be identified as the author of a work (s.77) and the right to object to derogatory treatment of the work (s.80) apply to all relevant works created on or after the CDPA came into force, that is: 1 August 1989. In relation to works created before 1 August 1989, however, the rights do not apply to the following: - literary, dramatic, musical or artistic works created by an author who died before 1 August 1989 - any film made before 1 August 1989, regardless of whether the author is alive or dead So, when dealing with films, what matters is when the film was created: if it was created before 1 August 1989 the attribution and integrity rights do not apply. In relation to the other types of protected work – that is, literary, dramatic, musical and artistic works – what matters is when the author died. If the author died before 1 August 1989 the attribution and integrity rights do not apply. We can summarise this as follows: WHEN DO MORAL RIGHTS APPLY? \| \| AUTHOR DIED BEFORE 1 AUGUST 1989 \| AUTHOR ALIVE ON 1 AUGUST 1989 BUT WORK CREATED BEFORE THAT DATE \| \|---\|---\|---\| \| LITERARY \| No Moral Rights \| Moral Rights May Apply* \| \| DRAMATIC \| No Moral Rights \| Moral Rights May Apply* \| \| MUSICAL \| No Moral Rights \| Moral Rights May Apply* \| \| ARTISTIC \| No Moral Rights \| Moral Rights May Apply* \| \| FILM \| No Moral Rights \| No Moral Rights \| * The right of attribution only applies to these works in certain circumstances: see section 4.1 below for further discussion. 6. The Moral Right of Attribution 6.1. Excluded material The right of attribution applies to literary, dramatic, musical and artistic works, as well as films, but even in relation to these categories of work there are a number of exceptions to keep in mind. For example, the right does not apply to: - computer programs and computer-generated works (s.79(2)) - any work that was made for the purpose of reporting current events (s.79(5)) - Crown and Parliamentary copyright material, unless the author or director has previously been identified as such in or on published copies of the work (s.79(7)) - any literary, dramatic, musical or artistic work made for the purpose of publication in a newspaper, magazine or similar periodical, or in an encyclopaedia, dictionary, yearbook or other collective work or reference (s.79(6)) - works in which copyright vests in certain international organisations, 1 unless the author or director has previously been identified as such in or on published copies of the work (s.79(7)) So, for example, making a newspaper article available online as part of a digitisation project but without attribution details (perhaps you have not been able to identify who wrote the article) will not trigger any liability under this moral right on the basis that the work was both created for reporting current events (s.79(5)) and/or for publication in a newspaper (s.79(6)). Within the Edwin Morgan Scrapbooks, examples of excluded material include cuttings from newspaper articles (s.79(5)) and artistic works such as cartoons that were created for publication in a newspaper, magazine or periodical (s.79(6)). 6.2. No infringement unless the right has been asserted The CDPA states that while the author of a relevant work may enjoy the moral right of attribution in that work, the right is not infringed unless the author has asserted her right of attribution (s.77(1)). That is, without asserting the right the author cannot complain of a breach of that right. Typically, assertion involves the author creating a signed, written document which states they are asserting their moral right. Alternatively, a provision asserting the attribution right might be written into a contract when the author is contracting with a publisher, producer, and so on. In relation to artistic works, this might involve providing details about the author on the work itself whenever it is being publicly exhibited (e.g., on the work, or on the frame, mount or other thing to which it is attached). The fact that the right of attribution must be expressly asserted by the author is an important consideration when dealing with the types of work that are typically held in archive and other heritage collections. Think, for example, of the number of copyright works that you create in the course of an ordinary day: a letter drafted for work purposes, an email written to a friend, or a photograph taken on your phone and posted to a social media site. These are all likely to be protected by copyright, but the moral 1 See CDPA s.168 and the Copyright (International Organisations) Order 1989 for further details of the relevant international organisations. right of attribution is never likely to arise as you are unlikely ever to assert your moral right in relation to this type of everyday ephemera, none of which is created with commercial exploitation in mind. And so it will be with the records and documents typically held in archives and other heritage collections: they are accessioned to a collection because of their evidential value – they speak to the fact that something happened in the world, information that is worth preserving for future generations – but rarely were these records created with the possibility of commercial or other forms of public exploitation in mind, and rarely will author have expressly asserted their moral right of attribution. 6.3. Scope of protection If the work qualifies for protection, and the author has asserted their right of attribution, the right applies in relation to the use of the work in its entirety or to any substantial part of the work (s.89(1)). So, even a partial reproduction of the work, if substantial, will require attribution under the right. 6.4. Infringement If the right of attribution can exist in relation to a particular work, and that right has been asserted by the author, then what constitutes infringement of the right? Infringement is only triggered by making use of the work in certain circumstances without properly identifying the author. Moreover, the types of activity that trigger infringement will vary depending on the type of work you are dealing with. So, whereas doing something with a literary work without attribution might constitute infringement, doing the same thing with a musical work may not. The following table provides an overview of when an offence might be committed, although you should refer to the provisions set out in s.77 for further details. POTENTIALLY INFRINGING ACTS* \| \| LITERARY \| DRAMATIC \| MUSICAL \| ARTISTIC \| FILM \| \|---\|---\|---\|---\|---\|---\| \| PUBLISH COMMERCIALLY \| Y \| Y \| Y \| Y \| - \| \| ISSUE COPIES TO THE PUBLIC \| - \| - \| - \| - \| Y \| \| ISSUE TO THE PUBLIC AS PART OF A FILM OR SOUND RECORDING \| Y \| Y \| Y \| Y \| - \| \| EXHIBIT IN PUBLIC \| - \| - \| - \| Y \| - \| \| PERFORM IN PUBLIC \| Y \| Y \| - \| - \| - \| \| SHOW IN PUBLIC \| - \| - \| - \| - \| Y \| \| INCLUDE IN A FILM SHOWN IN PUBLIC \| - \| - \| Y \| Y \| - \| \| BROADCAST \| Y \| Y \| - \| Y \| Y \| \|---\|---\|---\|---\|---\|---\| \| MAKE AVAILABLE ONLINE \| Y \| Y \| - \| Y \| Y \| *Refer to the provisions set out in s.77 for further details. In relation to the table above, it is important to note that the lyrics that accompany a song (that is, any literary work 'intended to be sung or spoken with music') are treated as if they were a musical work. So, whereas broadcasting or performing a literary work in public (for example, reciting a poem) should be accompanied by an appropriate attribution, when broadcasting or playing a song in public it is not necessary to attribute the author of either the music or the lyrics of that song. In addition, in relation to musical works (including songs and song lyrics), it is worth noting that authorial attribution is not required when communicating the work to the public, which involves making the work available online. 6.5. Qualification of the right: work created by employees The CDPA qualifies the application of the right of attribution in relation to work created by employees where copyright originally vested in the employer (that is, work created in the course of employment) (s.79(3)). So, as long as you have the permission of the copyright owner (rather than the author) to make use of the work, then the right of attribution does not apply. For example, if the author was an employee at the time she created the relevant work the copyright in that work may well have first vested in her employer: in this situation, as long as you are using the work with the employer's permission, the author cannot complain of any potential breach of her moral rights (whether attribution or integrity). This would be of particular significance when dealing with corporate or other business archives. 6.6. Exceptions to the right Even if the moral right of attribution exists in relation to a work, and you are making use of the work in a manner that triggers the need for attribution (as set out in the table above), the CDPA also provides for a number of exceptional circumstances in which attribution is not required. The right does not apply to anything done by or with the authority of the copyright owner where copyright in the work originally vested in the author's or director's employer (as discussed in 2.1. above). In addition, attribution is not required when the use of the work relates to the reporting of current events (as defined by s.30 of the CPDA), or when the work has been incidentally included in an artistic work, sound recording, film or broadcast (as defined by s.31 of the CDPA), neither of which are likely to be of great relevance when digitising archive material to make it available online. 7. Legal References Copyright Designs and Patents Act 1988 c.48 (www.legislation.gov.uk/ukpga/1988/48/) Copyright (International Organisations) Order 1989 SI 1989/989 8. Do I need to be concerned about this right? The charts in 8.1 and 8.2 can help you to determine if you need to consider the right to attribution in your project This is one in a series of notes on aspects of UK Copyright law that may affect digitisation projects. It was created as part of Digitising the Edwin Morgan Scrapbooks, through support by the RCUK funded Centre for Copyright and New Business Models in the Creative Economy (CREATe), AHRC Grant Number AH/K000179/1. This note has been edited by K. Patterson and is included in the CREATe Working Paper: Digitising the Edwin Morgan Scrapbooks: Copyright Guidance Notes (2 nd Edition). The first version of this note is part of R. Deazley, K. Patterson & P. Torremans, Copyright Guidance Notes (1 st Edition) (2017), available at: www.digitisingmorgan.org/resources Date Created: March 2017 Cite as: R. Deazley & K. Patterson, Guidance Note: Moral Rights: Attribution, 2 nd ed. (2017), available at www.digitisingmorgan.org/resources 8.1 Type of work & date of creation 8.2 Asserting Rights, Exceptions & Permissions
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Recommendations are based on historic and well-known market theories that makes it possible for anyone without regard to portfolio size to access stateof-the-art portfolio management. Each portfolio recommendation is designed to maximize long term returns and minimize major draw downs and is customized based on the investment options made available to the client via their employer sponsored retirement plan. We create an investment strategy and advise Clients' as to when and what changes to make to their retirement portfolio. Advice is provided via FTP web site, email, twitter and/or direct texts as provided in the account opening documentation. Specific recommendations include: 1) the optimal fund or funds in which to invest, and in what percentage 2) which fund or funds to direct new contributions, 3) the most appropriate time to rebalance the Client's portfolio. C. Tailored Services and Investment Restrictions FTP tailors its recommendations to the individual retirement plan options available to each of its Clients. FTP is a software based financial advisor service whose goal is to use its advanced algorithms, and technical analysis which are based on academic behavioral economics research, to maximize an investor's potential retirement account balance. Clients need to understand that FTP's long-term investment process may conflict with an individual's short-term risk tolerances. For more on suitability please see our company website. Clients cannot limit investment options beyond the limitations of their retirement plan. D. Wrap Fee Programs FTP Does not participate in wrap fee programs. E. Assets Under Management As disclosed in Fund Trader Pro's Form ADV Part 1, Fund Trader Pro does not manage client assets that we custody directly. Clients receive periodic investment advice and specific investment recommendations via email alerts and posts on our website at www.Fundtraderpro.com Item 5 Fees and Compensation A. Advisory Fees Fund Trader Pro is compensated for its advisory services by charging a flat fee for our advice. Fund Trader Pro reserves the right, in its sole discretion, to negotiate, reduce or waive the advisory fee for certain Client Accounts for any period of time determined by Fund Trader Pro. In addition, Fund Trader Pro may reduce or waive its fees for the Accounts of some Clients without notice to, or fee adjustment for, other Clients. Fund Trader Pro's software-based investment advisor service charges a monthly fee of $20. B. Billing Fund Trader Pro's fees are charged in advance. We offer secure credit card payments through Stripe credit card processing. C. Additional Fees FTP does not custody client assets and therefore does not control fees and expenses associated with their retirement account. Clients should contact their employer for a list of fees associated with their retirement plan. A minority of mutual funds will charge a surrender fee if a fund is not held for a minimum time period. At FTP we try and avoid funds with hold periods (minimum hold time to avoid the surrender fee). There is no guarantee that we will be able to do so with the large number of mutual funds used across different retirement plans. FTP is not liable should such a fee be incurred. We strongly urge clients that see such a charge to notify us immediately. We will eliminate any fund with a surrender fee that requires a hold period greater than 7 days from investment consideration. In general, most funds' charges are short term (7 days) and should not be a factor. A very small number of funds require a 30 day hold period. FTP's proprietary program sets a 1 month hold period as a minimum for any purchase. However, exceptions may occur when market conditions dictate a sale in a shorter time period. We feel that any surrender charge incurred would be minimal compared to market losses that we are attempting to avoid. Of course, there is no guarantee that future results will meet that goal. D. Fee Payment Fees are charged monthly, in advance. Accounts must be current to receive investment recommendations for that month. Clients can terminate the service at any time. If receipt of notice to terminate is received at least 10 days prior to recommendations being sent out for the month, client will receive full refund of their monthly fee. E. Additional Compensation FTP receives no compensation other than the client fee. We receive no payments from any investment that we recommend, thus eliminating any and all possible conflicts of interest in the advice that we provide. Item 6 Performance-Based Fees and Side-by-Side Management Fund Trader Pro does not charge performance-based fees. There are no conflicts of interest that could be presented by having custody of client accounts. We provide an advice for fee service only. Our advisory fees are only charged as disclosed above in Item 5. Item 7 Types of Clients There is no minimum amount required to open and maintain a Fund Trader Pro Account. As a result of the automation associated with offering its services online, Fund Trader Pro makes it possible for retirement account investors to access its service with much lower account minimums than normally available in the industry. At any time, a Client may terminate an Account without incurring termination fees. Investors evaluating Fund Trader Pro's software based financial advisor service should be aware that Fund Trader Pro's relationship with Clients is likely to be different from the "traditional" investment advisor relationship in several aspects: 1. Fund Trader Pro is a software based financial advisor which means each Client must acknowledge her ability and willingness to conduct her relationship with Fund Trader Pro on an electronic basis. Under the terms of the Account Agreement, each Client agrees to receive all Account information and Account documents (including this Brochure), and any updates or changes to same, through her access to the Site and Fund Trader Pro's electronic communications. Unless noted otherwise on the Site or within this Brochure, Fund Trader Pro's advisory service, the signature for the Account Agreement, and all documentation related to the advisory services are managed electronically. Fund Trader Pro does make individual representatives available to discuss servicing matters with Clients. 2. To provide its advisory services, Fund Trader Pro may collect information from each Client, including specific information about her investing profile such as financial situation, investment experience, and investment objectives. Fund Trader Pro maintains this information in strict confidence subject to its Privacy Policy, which is provided on the Site. The software based financial advisor service includes mutual funds and ETF's that are provided to Clients' in their 401(k) or other retirement plan. Fund Trader Pro is not involved in your plan's investment options. Our service is limited to direct specific advice as to which of the many options available to the client, the client should own at any one time. Selection criteria is described below. Item 8 Methods of Analysis, Investment Strategies and Risk of Loss For its software based financial advisor service, Fund Trader Pro provides Clients with financial advice that is based on proven investment strategies. FTP believes that there is a retirement crisis in the United States. Primarily, but not exclusively due to demographics – the aging of a very large segment of the population coupled with increasing longevity. Our social welfare safety net is and will continue to be stretched to the limits of solvency. Most certainly either benefits will be cut, or co-pays and premiums will increase. In addition, multiple industry studies suggest that, in general, the American worker has not saved enough to maintain their lifestyle throughout retirement. And yet popular investment advice centers on mitigating short term risk at the expense of maximizing long term investment returns. At FTP we use a proprietary momentum model designed to keep investors in the market when the market is trending upwards and move into money market or short-term bond investment funds when the market is trending downward. Investment literature is full of studies that document the "momentum anomaly" in investing. One of the founders of FTP, William DeShurko has received the prestigious Charles H. Dow award from the Market Technicians Association in 2008. DeShurko, along with Professors Stanley Eakins and Samuel Tibbs authored "Using Style Index Momentum to Generate Alpha". The paper documented the superior returns and risk profiles investors could achieve using a momentum model to rotate investment capital between different Russell indexes. Many mutual funds today benchmark their returns against these same Russell indexes. The paper can be found here: http://docs.mta.org/pdfs/2008DowAwardWinner.pdf Further documentation on the effectiveness of using a momentum model to develop an investment strategy can be found in the book, Dual Momentum Investing: An Innovative Strategy for Higher Returns with Lower Risk by Gary Antonacci For each 401(k) plan invested in by our clients, FTP back tests and models a momentum model designed to be the most effective based on the client's investment choices within their own plan. We do not use a generic trading model and simply hope it works across all plans. Once a model is chosen that plan will be evaluated on a regular basis, based on the results of back testing with that plans investment choices. Typically plan holdings are evaluated every 1 - 6 months. Regardless of model used all plans are evaluated, but not necessarily traded on a regular basis. More information can be found at our web site: www.FundTraderPro.com under the tab, "How We Do It" We feel that the desire to be in the best performing investment option at any one time is consistent among all investors. It is also consistent with a long-term goal of maximizing retirement account balance. Risk is mitigated across all investors by defining "best" performing as a positive return. In the case of a long-term market decline, our proprietary model will keep investors out of the stock market entirely, until positive momentum returns. Tax-Loss Harvesting Tax-loss harvesting is a technique used to lower your taxes while maintaining the expected risk and return profile of your portfolio. It harvests previously unrecognized investment losses to offset taxes due on your other gains and income. FTP DOES NOT use tax loss harvesting as part of our management models. Since our service is designed for tax deferred accounts, tax loss harvesting is not an issue. We strongly advise against using the FTP models in a non-tax deferred account. RISK CONSIDERATIONS FTP cannot guarantee any level of performance or that any Client will avoid a loss of Account assets. Any investment in securities involves the possibility of financial loss that Clients should be prepared to bear. When evaluating risk, financial loss may be viewed differently by each Client and may depend on many different risk items, each of which may affect the probability of adverse consequences and the magnitude of any potential losses. The following risks may not be all-inclusive but should be considered carefully by a prospective Client before retaining FTP's services. These risks should be considered as possibilities, with additional regard to their actual probability of occurring and the effect on a Client if there is in fact an occurrence. Market Risk – The price of any security or the value of an entire asset class can decline for a variety of reasons outside of FTP's control, including, but not limited to, changes in the macroeconomic environment, unpredictable market sentiment, forecasted or unforeseen economic developments, interest rates, regulatory changes, and domestic or foreign political, demographic, or social events. If a Client has a high allocation in a particular asset class it may negatively affect overall performance to the extent that the asset class underperforms relative to other market assets. Conversely, a low allocation to a particular asset class that outperforms other asset classes in a particular period will cause that Client Account to underperform relative to the overall market. While the goal of a momentum model is to be invested in the asset classes that are performing better within a client's account options, there is no guarantee that the objective will be met. What our studies show, is that we consistently will be in funds that perform relatively well to other options, and that we can avoid the really bad performances that accompany long term market sell offs. Advisory Risk –There is no guarantee that FTP's algorithm, judgment or investment decisions about particular securities or asset classes will necessarily produce the intended results. FTP's judgment may prove to be incorrect, and a Client might not achieve her Investment objectives. FTP may also make future changes to the investing algorithms and advisory services that it provides. In addition, it is possible that Clients or FTP itself may experience computer equipment failure, loss of internet access, viruses, or other events that may impair access to FTP's software based financial advisory service. FTP and its representatives are not responsible to any Client for losses unless caused by FTP breaching its fiduciary duty. Volatility and Correlation Risk – Clients should be aware that FTP's asset selection process is based in part on a careful evaluation of past price performance in order to evaluate future performance. It is probable that different asset classes may exhibit similar price changes in similar directions which may adversely affect a Client and may become more acute in times of market upheaval or high volatility. Past performance is no guarantee of future results, and any historical returns, expected returns, or probability projections may not reflect actual future performance. Credit Risk – FTP cannot control and Clients are exposed to the risk that financial intermediaries or security issuers may experience adverse economic consequences that may include impaired credit ratings, default, bankruptcy or insolvency, any of which may affect portfolio values or management. This risk applies to assets on deposit with any Broker utilized by Client, notwithstanding asset segregation and insurance requirements that are beneficial to Broker clients generally. In addition, exchange trading venues or trade settlement and clearing intermediaries could experience adverse events that may temporarily or permanently limit trading or adversely affect the value of Client securities. Finally, any issuer of securities may experience a credit event that could impair or erase the value of the issuer's securities held by a Client. FTP cannot affect or limit such risk as we do not neither offer proprietary investments nor even select the investments available to a client within their own 401(k) plan. Legislative and Tax Risk - Performance may directly or indirectly be affected by government legislation or regulation, which may include, but is not limited to: changes in investment advisor or securities trading regulation; change in the U.S. government's guarantee of ultimate payment of principal and interest on certain government securities; and changes in the tax code that could affect interest income, income characterization and/or tax reporting. Foreign Investing and Emerging Markets Risk - Foreign investing involves risks not typically associated with U.S. investments, and the risks may be exacerbated further in emerging market countries. These risks may include, among others, adverse fluctuations in foreign currency values, as well as adverse political, social and economic developments affecting one or more foreign countries. In addition, foreign investing may involve less publicly available information and more volatile or less liquid securities markets, particularly in markets that trade a small number of securities, have unstable governments, or involve limited industry. Investments in foreign countries could be affected by factors not present in the U.S., such as restrictions on receiving the investment proceeds from a foreign country, foreign tax laws or tax withholding requirements, unique trade clearance or settlement procedures, and potential difficulties in enforcing contractual obligations or other legal rules that jeopardize shareholder protection. Foreign accounting may be less transparent than U.S. accounting practices and foreign regulation may be inadequate or irregular. Inflation, Currency, and Interest Rate Risks - Security prices and portfolio returns will likely vary in response to changes in inflation and interest rates. Inflation causes the value of future dollars to be worth less and may reduce the purchasing power of an investor's future interest payments and principal. Inflation also generally leads to higher interest rates, which in turn may cause the value of many types of fixed income investments to decline. In addition, the relative value of the U.S. dollar-denominated assets primarily managed by FTP may be affected by the risk that currency devaluations affect Client purchasing power. Mutual Fund Risk – Most 401(k) and other self-directed retirement accounts rely primarily on mutual fund investments. While mutual funds offer many investor advantages such as diversification, style attributes and transparency, they are not ideal for FTP purposes. Specifically, most mutual fund companies will deem FTP's trading within a general overview of a "market timing activity". Mutual fund companies will restrict trading in their funds over the course of a calendar year. At FTP we will be aware of most fund trading restrictions. However, it is not possible to follow all funds at all times. Occasionally our activities will trigger what we call a "nasty gram" letter that will say that your account has been flagged and to stop your "excessive" trading. If you do receive such a notice we do ask that you notify our customer service department so we can note the potential restriction for your account. Other than the limits on trading we have found that mutual funds offer strong momentum tendencies and can provide positive results for our clients. Risks Associated Specifically with Fund Trader Pro's Momentum Models – A specific risk of any momentum-based investment model is the risk of being "whipsawed". Whipsaw refers to times when once a fund is chosen, its return becomes negative in either relative terms to the other options or in real return terms. Conversely, once a fund is sold its performance could accelerate and be superior to the fund that replaced it in a client's portfolio. Whipsawing will happen. Simply put, if momentum, or any one of multiple investment strategies (including buy and hold strategies) worked perfectly – we would all be rich! Whipsawing can be a serious problem and can if allowed to continue cause real losses to a client's portfolio. AT FTP we follow our portfolios performance and monitor them for effectiveness. At the advisor's discretion, if we feel that the market is not conducive to our strategy we will go to a buy and hold diversified strategy if we feel it is in the clients' best interest. We feel that should this happen it will be a short-term market reaction. Any changes to strategy will be posted on our web site in a timely fashion. Market Loss – At FTP we do utilize a "dual momentum" strategy. That is, we first pick one or more funds that exhibit current strong relative strength to other investment choices. Second, we only invest in funds that exhibit positive momentum. During sustained market sell offs all equity investments may have a negative return based on our look back criteria. We do not pick "the best of the worst", i.e. a fund with the lowest loss just for the sake of diversification. By avoiding all down trending funds, we feel we can significantly lower the short-term investment risk to our clients, by being entirely out of the market during sustained market downturns. We provide examples of back tested data through the 2000-2002 and 2008 downturns when fund data is available. Relative Performance – FTP does not attempt to "beat the market" or any other bench mark over the short run. In fact, we feel one of the strongest plusses of our models is that they do not correlate highly to the overall stock market. We do suggest that some investors might like to pair our investment recommendations with investing in an index fund for strategy diversification. Form ADV Part 2 Client Brochure Item 9 Disciplinary Information Like all registered investment advisors, FTP is obligated to disclose any disciplinary event that might be material to any Client when evaluating our services. We do not have any legal, financial, regulatory, or other "disciplinary" item to report to any Client. This statement applies to our firm and to every employee of our firm. Item 10 Other Financial Industry Activities and Affiliations FTP is a private independently owned SEC registered Investment Advisor. William DeShurko, 50% owner of FTP is also the managing partner and Investment Advisor Representative of 401 Advisor, LLC. Mr. DeShurko is also a registered representative of Ceros Financial Services and is a licensed insurance agent in the State of Ohio. Individuals interested in services beyond the scope of FTP may contact Mr. DeShurko directly via email at firstname.lastname@example.org. Currently 401 Advisor services are only offered to new clients in the state of Ohio. Item 11 Code of Ethics, Participation or Interest in Client Transactions and Personal Trading FTP's paramount ethical, professional, and legal duty is to act at all times as a fiduciary to its Clients. This means that FTP puts the interests of its Clients ahead of its own, and carefully manages for any perceived or actual conflict of interest that may arise in relation to its advisory services. FTP has adopted a Code of Ethics, which is designed to ensure that we meet our fiduciary obligation to Clients, enhance our culture of compliance within the firm, and detect and prevent any violations of securities laws. FTP's Code of Ethics is detailed in a Statement of Policies and Procedures ("Statement"), which establishes standards of conduct for FTP's officers and employees ("Supervised Persons" as defined in the Statement) and is consistent with the Code of Ethics requirements of Rule 204A-1 under the Investment Advisers Act of 1940, as amended. The Statement includes general requirements that all Supervised Persons comply with their fiduciary obligations to Clients and applicable securities laws, and specific requirements relating to, among other things, personal trading, insider trading, conflicts of interest, and confidentiality of client information. Each new FTP employee receives a copy of the Statement when hired by FTP. FTP sends copies of any amendments to the Statement to all Supervised Persons, who must acknowledge in writing having received the Statement and the amendments. Annually or as otherwise required, each Supervised Person must confirm to FTP that he or she has complied with the Statement during such preceding period. Under the Statement, FTP's directors and Supervised Persons may personally invest in the mutual funds recommended to our clients. Item 12 Brokerage Practices Unlike many investment advisors, FTP does not engage in any "soft dollar" practices involving the receipt of research or other brokerage service in relation to client commission money, nor do we receive any research or other products in connection with Client transactions. Since we only provide advice, not custodial service, there are no commissions, marketing or "shelf space" fees paid to FTP. AT FTP our only compensation is that which is paid to us from our clients. We feel that we are truly objective and free from conflict in the advice we offer. Item 13 Review of Accounts Since accounts are custodied with their individual company's 401(k) provider, all account information is typically available via the provider's own web site or account portal. FTP does not provide separate account performance reporting. Clients receive periodic e-mails describing investment recommendations, and market related information. Additional market and investment commentary will be posted and updated on the FTP web site and/or blog. Item 14 Client Referrals and Other Compensation FTP expects from time to time to run promotional campaigns to attract Clients to open Accounts on the Site. These promotions may include additional Account services or products offered on a limited basis to select Clients, more favorable fee arrangements, and/or reduced or waived advisory fees for Clients. These arrangements may create an incentive for a third-party or other existing Client to refer prospective Clients to FTP, even if the third-party would otherwise not make the referral. FTP may also pay pre-determined fees to third-parties for driving new users to FTP, which may be in the form of so-called CPM, CPC or CPA arrangements (respectively, impressions, clicks or actions through other websites). FTP may engage solicitors whom it pays for Client referrals. If so FTP discloses this practice in writing to the affected Clients and complies with the requirements of Rule 206(4)-3 under the Investment Advisers Act of 1940, as amended, to the extent required by applicable law. Item 15 Custody FTP does not maintain custody of any Client funds or securities. FTP provides instructions to the client directly through posts on our web site, emails, and /or text messages regarding the investment recommendations of the Client's assets. Trade confirmations, balances and investment performance is typically available by the client's 401(k) or other retirement plan provider. Item 16 Investment Discretion FTP does not assume discretionary trading and investment authority over the Client's assets held with their retirement account provider or custodian. All trades are executed by the client at the client's discretion. Item 17 Voting Client Securities FTP as a matter of policy does not have responsibility for voting proxies for portfolio securities. Item 18 Financial Information This Item is not applicable because FTP does not require or solicit the prepayment of advisory fees more than 90 days in advance and does not custody client assets. 203 W Franklin St. Centerville, Oh 45459 www.Fundtraderpro.com Form ADV Part 2B Client Brochure Supplement March 17, 2018 This Brochure Supplement provides information about certain Fund Trader Pro employees listed below that supplements the Fund Trader Pro Brochure you should have received above. Please contact Fund Trader Pro at (937) 434-1790 or email@example.com if you did not receive FTP's Brochure or if you have any questions about the contents of this Brochure Supplement. Additional information about William DeShurko is available on the SEC's website at www.adviserinfo.sec.gov. FTP's investment advice is provided by William DeShurko. Mr. DeShurko has been in the investment advisory business since 1994. He is also known as a financial author and contributor to multiple financial media outlets. Mr. DeShurko's proprietary investment model is responsible for the day-to-day advice provided to Clients. Form ADV Part 2A & B William DeShurko, born 1957 Education BA, University of Rochester, NY 1980 Business Background 1994 – Present President, DeShurko Investment Services, Inc 2004 – present Managing Member, 401 Advisor, LLC 1987 – Present – Licensed Life, Health Agent in Ohio 2014 – Present Board Member and Finance Committee Member, Homefull, Inc. 2007 – Author, "The Naked Truth About Your Money" Disciplinary Information None Other Business Activity None Additional Compensation Freelance Financial Writer Supervision Mr. DeShurko serves as the Chief Compliance Officer, and as such is not subject to additional supervision. Form ADV Part 2A & B Michael Holka, born 1963 Education BS, Ferris State College, MI 1985 Business Background 1998 – 2005 Managing Member, Great Lakes Technology Partners, LLC 1998 – Present President, Advanced Computing and Management, Corp Disciplinary Information None Other Business Activity None Additional Compensation None Supervision Mr. Holka is supervised by Mr. DeShurko
MEDICARE: A POTENTIAL INCOME-GENERATING ACTIVITY FOR CUBA IN THE FUTURE Sergio Díaz-Briquets 1 Cuba's future economic prosperity lies with the services sector. While agriculture and mining, the country's two traditional resource-based sources of wealth, will remain important contributors to economic well-being, one of the most promising areas of economic activity, as it is already occurring, will be tourism. Even under the current circumstances, when tourists from the United States are barred from travelling to Cuba, close to two million tourists a year are visiting the country. The gains accruing to Cuba from tourism, although still limited—due to the well-known circumstances of the present—could increase many-fold under more propitious economic and political conditions as the country begins to maximize the forward and backward linkages associated with this sector. In fact, even under the current less than promising situation, this is beginning to happen as the government has gradually taken steps to capture a growing share of tourism revenues (in domestic transportation, provision of foodstuffs, other services). ing petroleum in exchange for medical services provided to selected patients from that nation flown to Havana. Creating the conditions to allow Medicare beneficiaries to receive medical services in Cuba is a logical, and potentially profitable, extension of similar policies initiated under the island's current government to attract foreign paying patients. If implemented, this strategy could bring substantial revenues to the Cuban economy and help employ many of the country's health care personnel. Under a more economically rational health care system, attentive to cost issues and market signals, many of Cuba's health personnel would become redundant or be grossly underutilized. One option would be to have a considerable number of them providing health services to patients from abroad with the cost of those medical services being covered by Medicare, the world's largest medical insurer. Official policy even extends to the promotion and provision of what has come to be known as medical tourism. Through medical tourism, Cuba offers to foreign patients its medical facilities and personnel to treat a wide array of maladies at internationally competitive prices, as compared to those offered in the United States and Europe. More recently, through a bilateral agreement with Venezuela, Cuba is acquir- The United States could benefit as well from such policy initiative. By extending Medicare services to Cuba, it would provide financial resources to help with the country's economic recovery and thus with its political stability. Emigration pressures from Cuba would diminish and the burden on the U.S. Treasury of providing development assistance to Cuba would be commensurately reduced. Over the mid- to longterm, potential financial outlays associated with the provision of Medicare services could well reach a 1. Helpful comments and suggestions on an earlier version of this paper were made by Ricardo Puerta and Francisco León. point were they exceed foreign financial assistance requirements and enhance the country's attractiveness as the destination for foreign direct investment. The United States, further, would marginally reduce its Medicare federal outlays, as medical services could be purchased at lower costs in Cuba. For purposes of this discussion, it is assumed that the benefits that would accrue to Cuba from extending Medicare coverage to program beneficiaries residing in the country would begin to have their full impact five to ten years after they initially become available. Such a time period will be minimally required to resolve a host of legal and regulatory issues in both countries before Medicare services can be provided in Cuba. Assuming that a transition in Cuba begins during the 2001-2010 decade, this would coincide with the period (end of the first decade of the 21 st century) when Medicare enrollments in the United States will begin to rise from 1.4% per year in 2010 to 2.4% per year in 2030. By about 2010, U.S. baby-boom cohorts will begin to reach retirement age, at the same time as the number of workers per Medicare beneficiary begins to decline, from 3.8 in 1997 to 2.2 by the year 2030 (Antos 1998:47). Due to the confluence of these developments, the political and financial climate in Washington may be propitious to gain Congressional and Executive approval to extend Medicare benefits to eligible recipients willing to avail themselves of these services in Cuba. CUBA'S HEALTH CARE SYSTEM Cuba's ability to internationally market medical services is tied to the major investments in health care made by the Castro government over the last four decades, as this sector was assigned the highest domestic priority. The history behind this development is well documented and is only summarized here. This emphasis was driven by the Revolution's populist objectives and was accentuated during the 1960s by the emigration of close to half of the country's stock of physicians. As a result, the health authorities were forced to institute a crash physician-training program to address a growing deficit that was being further aggravated by a rapid rate of population increase. In time, and in tandem with an expanding number of hospitals and other medical facilities, the number of national medical training institutions expanded considerably. By 1989, Cuba had 263 hospitals, many of them used as medical training institutions, with more than 66,000 beds distributed across the nation's territory (Feinsilver 1993:58; Pan American Health Organization 1999). The growth in medical facilities was accompanied by an equally rapid and very considerable increase in the number of physicians. By 1997, Cuba had 62,624 physicians. In fact, by 2001, Cuba had probably achieved one of the lowest population to physician ratio in the world, approximately 175. Also, and for several decades, Cuba has been training foreign physicians in its universities and associated teaching institutions. The most recent example, begun in the late 1990s, was the establishment of the International School of Medicine at the facility formerly occupied by the country's Naval Academy in Mariel, where thousands of foreign students are being trained in the field of medicine. These efforts have also been accompanied by large-scale expenditures for the establishment of a national biotechnology industry. As a result of these developments, Fidel Castro for years has been boasting that Cuba has become an "international medical power," and was offering medical aid, mostly in the way of internationalist physicians, to developing countries around the world. The Nature and Quality of Health Care in Cuba Quantitative indicators, of course, have little to say about physician quality. It is known, for instance, that the quality of physician training suffered appreciably during the 1960s and 1970s, as poorly qualified candidates were rushed through medical training (the period of the so-called "siete-mesinos" doctors) as large-scale emigration exacerbated the scarcity of physicians. Most indications suggest, however, that with the passing of time, physician training improved as Cuba adopted many of the educational practices developed in the West to improve the quality of physician education. Current practices rely on training approaches similar to those utilized in the United States. That is, an initial stage of formal education in the biological sciences, followed by intense on-hands internship experience and later post-doctoral training—for those choosing and permitted to do so—in the various medical specialties. Quality assurance procedures appear to be standard, as are the processes of medical certification, continuing education and review. In general, and before the Special Period, Cuba had managed to import and assimilate most modern medical practices and equipment, and is even credited with having pioneered in the use of several primary health care approaches that are widely utilized in the developing world today. Many questions have been raised about the economic rationality of the national health care system crafted by the revolutionary authorities, however. It was long assumed that the health care policies pursued in Cuba were partly made possible by the very significant financial subsidies the country received from the Soviet Union, its former foreign patron. Despite its assumed primary care emphasis, the Cuban health care system relied heavily on expensive capital expenditures and included significant and very costly curative components. The development and implementation of the Cuban health care model was also driven and sustained by political priorities in support of domestic and international symbolic objectives dear to the leadership (Feinsilver 1993). As a result, the sector received a disproportionate and excessive amount of resources (given other national needs), a course of affairs that served to mask the health system's managerial and structural inefficiencies. The ratio of physicians to population, for example, is well above what is required according to internationally recommended criteria. The family doctor concept, while beneficial in many respects, is wasteful of resources and very expensive to sustain, as are certain medical norms that regulate the recommended number of contacts between patients and physicians (Díaz-Briquets 1986; Alonso, Donate-Armada and Lago 1994). The inefficiency and extravagance of the Cuban health care sector became painfully apparent when Soviet subsidies ended in the early 1990s. Many services deteriorated markedly as the ability to acquire foreign, and often very expensive, health inputs contracted sharply. Shortages of essential medicines and basic hospital supplies became common place. In the absence of external subsidies, it became unmistakably clear that the provision of first world health care services in capital intensive hospital settings staffed with an overabundance of health care personnel could not be sustained with the resources of a third world nation mired in a deep economic contraction. EXTENDING MEDICARE SERVICES TO CUBA Despite the problems faced by the Cuban health system during the Special Period, the basic medical infrastructure, although severely deteriorated, remains in place. If properly reactivated, and reorganized to provide services to particular populations, it could have an important role in preserving the Cuban people's health standards and could become an important pillar of the country's service economy. It could generate important revenue streams with which to finance the needs of the national public health care system and help create employment opportunities for many thousands of skilled and unskilled workers. Allowing accessibility to Medicare benefits to eligible beneficiaries could also have important secondary economic benefits since resident Medicare beneficiaries will also be prone to spend their Social Security pension earnings in Cuba, as well as retirement income received from other sources (private pension plans and lifetime savings). For Medicare services to be extended to program beneficiaries in Cuba, the country must first complete a political and economic transition to a more pluralistic and market oriented system. It is also assumed that such a transition will lead to friendly and close relations with the United States, and that the United States, in turn, will implement the requisite measures to make the availability of Medicare services in Cuba a reality. The Medicare Program Established by the Social Security Act of 1965, the Medicare program is the federal health insurance program for individuals 65 years and older; the program also serves younger disabled people. Medicare consists of two parts: Part A for Hospital Insurance and Part B for Medical Insurance. The first is financed primarily by payroll taxes, whereas about a fourth of Part B is financed by beneficiaries' monthly premiums, and the rest by the federal government's general revenues. In dollar terms, the size of the Medicare program is gargantuan. Net outlays for the program are expected to reach $292 billion in 2002, or close to 3% of U.S. Gross Domestic Product (Antos 1998:44). Most Medicare beneficiaries have supplemental coverage provided by their former employers or unions, or purchase Medigap Insurance from private companies or groups. Medigap policies, however, are not permitted for beneficiaries enrolled in Medicare managed health maintenance organizations (HMOs). Many capitated (fixed Medicare payments to HMOs per enrolled beneficiary) managed care plans, instead, provide to their members—as part of their cost structure—the equivalent of supplemental insurance costs, some times providing medicines and other medical supplies, although for some specialized services they are allowed to charge additional premiums. Eligibility for Medicare enrollment commences at the beginning of the month when an individual turns 65 years of age, whether the person is working or not. To become eligible, a person must have worked in the United States for at least 20 quarters, a particularly germane consideration for older immigrant workers. Non-working spouses are also covered once this condition is met. Under current laws and regulations, Medicare benefits, barring some minor exceptions, can only be obtained within the United States. Populations Likely to Utilize Medicare Services in Cuba Two different populations are likely to take advantage of the availability of Medicare services in Cuba. Perhaps the most important is the sub-population of elderly Cuban-Americans that after years of working in the United States and contributing to the system, have become eligible for Medicare services. Elderly resettlement in the country of birth would not be unique to Cuba; former emigrants to the United States from other source countries, such as Mexico and Poland, often return to their countries of birth upon reaching retirement age. With a political change in the island, many elderly Cuban-Americans may consider resettling in their country of birth and retire on their Social Security earnings (as well as other retirement plans and personal savings), both for emotional reasons and to take advantage of Cuba's lower living costs. By the time of the 2000 census, several hundred thousand Cuban-Americans 65 years of age and older resided in the United States, a number likely to increase further in the years ahead. By 1999, the number of Medicare beneficiaries in Florida's Dade County alone, home to the majority of the Cuban-American population, was approaching 300,000. A second important potential population of Medicare beneficiaries likely to utilize these services is composed of retired U.S. citizens of non-Cuban ethnicity that could choose either to reside on a full- or part-time basis in Cuba during certain times of the year. Many retired Americans currently living in countries such as Mexico and Costa Rica rely on similar residential arrangements. Lower living costs, Cuba's proximity to the United States, and the attractiveness of the country's climate during the winter months, make Cuba a desirable retirement destination. A friendly policy environment could be used to supplement these economic and geographic advantages to promote Cuba as a retirement and tourist destination for U.S. citizens. One such policy initiative is negotiating access for U.S. citizens for Medicare services in Cuba. At the same time, providing Medicare services in Cuba could act as a powerful incentive for increasing U.S. tourism flows to the country, particularly among the elderly. Lack of quality health care services in tourist destinations acts as a deterrent to travel if the elderly tourist suffers from chronic conditions requiring close monitoring or regularly scheduled care, or if s/he fears the absence of proper care when dealing with emergencies. Thus, the availability of Medicare services could serve to attract retirees, but could also be a significant inducement for the elderly to select Cuba as a tourist destination. POLICY ISSUES IN EXTENDING MEDICARE TO CUBA The first requirements for this to occur is that a future Cuban government show a willingness to consider this option and design the necessary policy and regulatory procedures to make feasible the extension of Medicare benefits to eligible individuals in the country. These requirements should be relatively easy to achieve with the proper political will given the country's need to reactivate the economy and employ its work force. Far more complex and difficult are the policy issues that must be resolved before the U.S. government looks with favor on the notion of allowing beneficiaries to receive Medicare-approved services in Cuba and pay for them. Many hurdles will have to be overcome, not least of which are legal barriers against paying for Medicare services (except for some minor exceptions) beyond U.S. borders. A team of researchers, led by David C. Warner at the Lyndon B. Johnson (LBJ) School of Public Affairs, University of Texas at Austin, has studied these issues in some detail (Warner 1997, 1999; Warner and Reed 1993; Policy Research Project 1999a, 1999b). Undertaken as part of a broader research effort to examine U.S.-Mexico health care issues within the North American Free Trade Agreement (NAFTA) framework, these studies were designed to assess the conditions under which it would be feasible to extend Medicare services to beneficiaries residing in Mexico. In doing so, the research team took into account the nature of Medicare benefits and several issues related to the mechanisms currently available or that could be proposed to extend the coverage. Among the latter were the current Mexican health infrastructure and the availability of U.S. health care providers (e.g., HMOs) interested in expanding to Mexico to serve beneficiaries there. The sections that follow summarize and examine some of the major findings and conclusions of the LBJ School research team and what they imply regarding the possibilities of extending Medicare coverage to beneficiaries in Cuba. The issues are complicated and highly technical in nature and are only discussed schematically here. Interested readers are referred to the detailed treatments presented in the sources cited in the references. Legal Constraints to the Extension of Medicare Services Abroad As noted by Warner and his colleagues (Policy Research Project 1999a; 12-16), if Medicare coverage were to be extended to Mexico or any other country, Cuba included, the U.S. Congress and/or the Centers for Medicare and Medicaid Services, CMS (formerly the Health Care Finance Administration, or HCFA) must waive several Medicare laws and regulations. The language restricting the use of Medicare services to within the United States is unambiguous. As stated in Sec. 1862. (a) (4) of the Social Security Act of 1965 [42 U.S.C. 1395y]: No payment may be made under Part A or Part B for any expenses incurred for items or services which are not provided within the United States (except for inpatient hospital services furnished outside the United States under the conditions described in section 1814(f) and, subject to such conditions, limitations, and requirements as are provided under or pursuant to this title, physicians' services and ambulance services but only for the period during which such inpatient hospital services were furnished). Even if this law were to be amended, it would be necessary to waive other legal requirements, e.g., Sec. 424.123 of the Code of Federal Regulations that requires that beneficiaries be residing in the United States in order to qualify for inpatient hospital services abroad under those [few] circumstances currently allowed. That is, foreign disbursements are only permissible currently for U.S. residents whose homes are closer to a Mexican than to an American hospital along the U.S.-Mexican border, or for those transiting through Canada. It would also be necessary to obtain flexibility waivers from the CMS if a demonstration project (see below) were to be approved, particularly if it appears that the provision of the Medicare services in question could adversely affect quality of care or restrict access to services. Research and Demonstration Waivers As Khurshid and Lawrence (1999:21) have noted: In order to adapt successfully to the rapidly changing environment in which health care is provided, the CMS [formerly HCFA] employs various mechanisms to assess the condition of the health care market and determine what changes are needed to make both Medicare and Medicaid more efficient and effective programs. The waiver is one such instrument of modification…. The 1115 "research and demonstration" waiver is a more generic waiver that applies to Medicaid, Medicare, and other Social Security Act programs. Unlike the Medicaid program waivers, the 1115 waiver does not have the constraints associated with the 1915(a) and (b) waivers. Demonstration waivers can be requested to custom fit programs to specific areas, allow certain specific services, or modify other structural aspects of programs. The important requirement that CMS places on demonstration waivers is that they be budget neutral, that is, that they generate no additional cost over what CMS would normally spend. These waivers are usually fiveyear projects, after which an evaluation of their success is completed. Securing such a waiver would be the first step towards extending Medicare coverage to Cuba. This could lead to the establishment of a research and demonstration project, tightly designed and restricted to a small number of beneficiaries, and with the approval of the CMS. The CMS would then determine, within the next five years, if the demonstration project maintains the standard quality of care, does not unreasonably restricts access to services, and is budget neutral. Warner and his associates posit that such a research and demonstration waiver could be designed to evaluate several service options, ranging from the provision of Part A (Hospital Insurance) or Part B (Medical Insurance) services only, to a limited Part A program restricted solely to emergency care, to emergency care with Part B coverage (Daniel and Madden 1999). Waivers could also be used to evaluate the feasibility of some of the newer funding mechanisms created under the Balanced Budget Act of 1997, in particular the Medical Savings Account option, whereby beneficiaries retain maximum control and flexibility over the allocation of their Medicare dollars. There are several waiver options, each with its own set of advantages and disadvantages: * For example, beneficiaries could only be entitled to receive Medicare-paid hospitalization services while they would have to bear all other costs. This would be an improvement over a situation in which beneficiaries residing abroad are prevented from accessing any Medicare benefits. * A limited Part A with emergency care only would provide assurances to beneficiaries abroad that they could be covered for unanticipated emergencies, with the understanding that they would be responsible for Part B services and that they should receive scheduled, non-emergency Part A services in U.S.-based facilities. * Still another option would combine emergency care under Part A exclusively, but with Part B coverage included. Some of these options would require more oversight from the CMS than others, although in all instances a minimum level of oversight is mandated. Quality Assurance Requirements Even if demonstration waivers were extended, , , , providing Medicare services in Cuba or other countries would be difficult since the provision of these services must meet exacting and well-defined quality assurance criteria that are part and parcel of the American medical system. Some of these have to do with medical education practices, licensing and certification of physicians and other health care personnel. As noted earlier, Cuba's current system of medical education, licensing and certification appears to resemble quite closely that of the United States. However, for the CMS to certify Cuban physicians as capable of providing services to Medicare beneficiaries, Cuban physician training and certification procedures would have to be harmonized, or at least be found to be consistent, with those in the United States, and procedures established to determine that quality of service is maintained. The same would apply to other medical professionals (e.g., nurses) that must be certified, and to medical facilities that must conform to strict U.S. specifications. The Joint Commission of Accreditation of Healthcare Organizations (JCAHO) is responsible for these functions in the United States (Davenport 1999). A similar body with comparable criteria and acceptable to the CMS would have to be established and certified in Cuba. Quality assurance for Medicare providers in the United States is also promoted through the work of the Health Care Quality Improvement Program (HCQIP), whereby the CMS interacts with Peer Review Organizations (PROs) and other such entities to develop performance measures and monitor beneficiaries' levels of satisfaction. PROs (Khurshid and Lawrence 1999:132-133): Comprised of groups of physicians or physician associations, are paid by the federal government to monitor the care of Medicare patients in hospitals, ambulatory clinics, and HMOs. The PROs are contracted by the CMS, and hospitals and physicians are required to cooperate with PROs as a condition for participation in the Medicare program. The PROs follow the Health Care Quality Improvement Program, which became effective in 1993, for Medicare quality assurance. According to the CMS, "HCQIP objectives are to: monitor and improve quality of and access to care; build a community of those committed to improving quality; communicate with beneficiaries and providers of care to promote informed health choices; protect beneficiaries from poor care; and create supporting infrastructure to make these achievements possible." Similar regulatory functions for hospital and other medical facilities are provided by the Medicare Provider Certification Program. Institutional mechanisms with a similar intent would have to be created in Cuba to provide quality assurance over those professionals and institutions certified as capable of providing optimum care to Medicare beneficiaries. Administrative Requirements In their review of the Mexican case, Warner and his associates examined the health care landscape in that country, ranging from the national public health care system to private, for-fee facilities. They also took into account the potential role U.S.-based health maintenance organizations (HMOs) could have in the extension of Medicare benefits to Mexico if allowed to do so absent current limitations. How to fulfill the administrative requirements of the Medicaid program is of more than passing interest since Medicare's financial billing and disbursements procedures are handled through intermediaries, generally state PROs. One option evaluated in some detail was expanding the area of service of existing HMOs in Southern California to Mexico. This approach is appealing since the burden of managing the program and promoting quality assurance lies directly with the HMOs that would provide services to enrollees in Mexico through "point of service" arrangements. HMOs would also manage the payment of fees to health care providers, while implementing health maintenance and cost containment measures within the context of capitated or fixed payments per beneficiary. The assumption here is that the quality assurance provisions being exercised over U.S.-based operations will be extended to Medicare services being provided abroad. POTENTIAL ALTERNATIVES FOR A POST-TRANSITION CUBA While in principle the idea of seeking to extend Medicare services to Cuba makes a great deal of sense from a political and economic standpoint, it will not be easy to formulate the concept in practice, let alone to implement it. The first hurdles to be overcome are of a legal and statutory nature. The Medicare program by law cannot pay for services abroad although it appears that this prohibition may be relaxed under some of the more liberal provisions associated with the research and demonstration waivers and reforms introduced with the Balanced Budget Act of 1997. Congressional action will most likely be required to amend the Social Security Act of 1965 limiting the provision of Medicare services to the United States, although other less drastic options appear to be feasible. A favorable attitude on the part of Congress to support Cuba's transition and a united stance on the part of the Cuban-American Congressional delegation (currently with three members) and its political allies in that body could be conducive to a proposal for approval of a research and demonstration waiver. This could provide an opportunity for Congresional members interested in extending similar benefits to Mexico to bring their interests to bear. This would constitute a first and important step to eventually seek a more lasting legislative amendment. Optimism must be guarded, however. Despite almost a decade of research and lobbying in favor of such changes, supporters of extending Medicare benefits to Mexico have yet to be able to marshal enough Congressional support to pursue a waiver and associated demonstration project. As was noted at a conference held at the University of Texas in Austin in 1998 (Policy Research Project 199b), few demonstration projects have been approved, and those that have been approved have usually arisen at the instance of Congress. If the Congress so mandated, a demonstration project—be it in Mexico, Cuba, or some other country—would have to be conducted. In such case, "the statutes would not have to be amended and Congress could waive the regulations and the statutes and the study could address some of the quality and access issues" (Policy Research Project 1999b: 40-41). Assuming that a demonstration project could be initiated, with the anticipation that it will ultimately meet the four criteria of access, quality, efficiency and cost (Khurshid and Lawrence 1999:22), the most appropriate delivery venue would be one of the HMOs catering to Cuban-Americans in the Miami area. These HMOs employ board-certified Cuban American physicians already licensed to practice medicine in the United States who have been trained in Cuba or the United States, or in both countries. If these U.S.-licensed physicians were to act as key medical providers (in conjunction with physicians licensed by Cuba) for Medicare beneficiaries receiving services in Cuba, some of the most thorny licensing issues could be by-passed (at least during a transition period), as would be those associated with the equally complex question of liability insurance. The assumption here is that the U.S.-based HMO would assume responsibility as well for malpractice liability claims that might be filed against its Cuban operations. South Florida-based HMOs operating in Cuba are likely to draw most of their membership in Cuba from former residents or part-time residents of the Miami area. Provision of services could be largely cir- cumscribed to metropolitan La Habana, the region from which a disproportionate number of the Cuban-American emigrants came to the United States. A Miami-based HMO could consolidate its operation and manage both its U.S.- and Cuba-based operations from a single central location, while ensuring that Medicare quality standards applied in the United States are also implemented in Cuba, waived requirements aside. U.S.-based HMOs, in fact, could provide the foundation for the reemergence in Cuba of mutualist health care provider associations, venerable institutions that prior to the revolution covered with relative efficiency and at a reasonable cost the health care needs of nearly half of La Habana's population (Danielson 1979:120-21). U.S.-linked HMOs and Cuban mutualist health care organizations, together with the public health care sector, can be envisioned as playing complementary roles in Cuba's post-transition health care system. Cuba would stand to gain from this arrangement on two scores. First, it would be better placed to assimilate from abroad (via the HMOs) and disseminate within the country modern medical advances and technologies, as well as managerial practices. And second, by providing services to foreign patients (through the HMOs) and private health care options to paying Cuban patients (through the mutualist associations), the private health care sector would help relieve pressures on a financially starved national public health care system, increasingly burdened by the demands of a rapidly aging population. Once restrictions are lifted, and as the demonstration project is fully evaluated, it could be anticipated that competitors, in association with Cuban providers, would begin to enter the private Cuban health care market. This presupposes a marked increase in average national income and on Cubans having a choice between public and privately provided health care services. If this were to be the case, HMOs would be catering to permanent and temporary Medicare beneficiaries residing in Cuba, as well as competing for a share of the national private health insurance market. As this happens, the Cuban economy would receive a healthy boost from Medicare expenditures and many otherwise underemployed health workers could manage to hold on to more productive jobs. The public health care sector would also benefit, as would the economy in general, as Medicare transfers made possible by taxing corporate and personal earn- REFERENCES José F. Alonso, Ricardo A. Donate-Armada and Armando M. Lago, "A First Approximation Design of the Social Safety Net for a Democratic Cuba," in Cuba in Transition—Volume 4, Washington: Association for the Study of the Cuban Economy, 1994:88-154. Joseph R. Antos, "Preparing for the Retirement of the Baby Boomers," in Robert D. Reischauer, Stuart Butler and Judith R. Lave, editors, Medicare: Preparing for the Challenges of the 21 st Century, National Academy of Social Insurance, Washington, D.C., 1998:43-51. Shiloh Daniel and David Madden, "Options for Extending Medicare Benefits to Mexico," in Policy Research Project on Medicare Payment for Medical Services in Mexico, Three Technical Papers on a Research and Demonstration Waiver for Medicare Coverage in Mexico, U.S.-Mexican Policy Studies Program, LBJ School of Public Affairs, Occasional Paper No. 7, The University of Texas at Austin, 1999:1-21. Ross Danielson, Cuban Medicine, Transaction Books, New Brunswick, New Jersey, 1979. Susan Davenport, "Quality Assurance for Providers," in David C. Warner, editor, Getting What You Paid For: Extending Medicare to Eligible Beneficiaries in Mexico, LBJ School of Public Affairs, Policy Report 10, University of Texas at Austin, 1999:155-171. Sergio Díaz-Briquets, "How to Figure Out Cuba: Development, Ideology and Mortality," Carib- ings flow into national coffers. A certain amount of competition between the public and private sectors would also be healthy since the state will not have the monopolistic lock that invariably results in less than optimal care and considerable waste. bean Review, Volume 15, Number 2, Spring 1986. Julie M. Feinsilver, Healing the Masses, University of California Press, Berkeley, California, 1993. Anjum Khurshid and David M. Lawrence, "Medicare Benefits and Waivers,"in David C. Warner, editor, Getting What You Paid For: Extending Medicare to Eligible Beneficiaries in Mexico, LBJ School of Public Affairs, Policy Report 10, University of Texas at Austin, 1999:7-25. Pan American Health Organization, Health in the Americas, Volume II, Scientific Publication No. 569, Washington, D.C. 1998. Policy Research Project on Medicare Payment for Medical Services in Mexico, Three Technical Papers on a Research and Demonstration Waiver for Medicare Coverage in Mexico, U.S.-Mexican Policy Studies Program, LBJ School of Public Affairs, Occasional Paper No. 7, The University of Texas at Austin, 1999a. Policy Research Project on Medicare Payment for Medical Services in Mexico, Medicare Benefits for Recipients Living in Mexico: Proceedings of a Conference, U.S.-Mexican Policy Studies Program, LBJ School of Public Affairs, Occasional Paper No. 8, The University of Texas at Austin, 1999b. Robert D. Reischauer, Stuart Butler and Judith R. Lave, editors, Medicare: Preparing for the Challenges of the 21 st Century, National Academy of Social Insurance, Washington, D.C., 1998. J. Robert Treanor, Dale R. Detlefs, and Robert J. Myers, Mercer Guide to Social Security and Medicare 2000, William M. Mercer, Incorporated, 1999. David C. Warner, editor, Health Care Across the Border: The Experience of U.S. Citizens in Mexico, LBJ School of Public Affairs, Policy Report No. 4, The University of Texas Press at Austin, 1993. David C. Warner, editor, NAFTA and Trade in Medical Services between the U.S. and Mexico, LBJ School of Public Affairs, Policy Report No. 7, University of Texas at Austin, 1997. David C. Warner, editor, Getting What You Paid For: Extending Medicare to Eligible Beneficiaries in Mexico, LBJ School of Public Affairs, Policy Report 10, University of Texas at Austin, 1999.
Report 2017 Toward Promotion of International Discussions on AI Networking - Overview - July 28, 2017 The Conference toward AI Network Society AI networking "AI networking" means that AI systems' connection with the Internet or other information and communications networks, thereby forming collaboration with other AI systems or other kinds of systems. (Note) AI networks (Networked AI Systems) are systems that include AI systems as components connected to information and communications network, such as the Internet. (Remarks) Conventionally called "AI Network Systems." Relationship of “Data”, “Information”, “Knowledge”, “Intelligence” and “Wisdom” Data Fragmented facts/numerics/texts Information Combination of Data with meaning Knowledge Systematic accumulation of Data/Information Intelligence Function to learn and analyze Data/Information/Knowledges so as to create brand-new Data/Information/Knowledges Wisdom Human’s ability to use Intelligences based on Data/Information/Knowledges so as to design the appropriate status of humans or societies and resolve relevant issues "Wisdom Network Society" (WINS) Wisdom Network Society (WINS) is a concept of a human-centered society in which humans live with Networked AI Systems symbiotically, and create, distribute and link data/information/knowledges freely as well as safely to formulate Wisdom Networks, and thereby progress mutual cooperation among persons/things/events in various fields beyond the boundaries of respective spaces, and consequently creative and dynamic developments are expected to be brought about. * Symbiosis of Humans with Networked AI Systems * Free and safe creation, distribution and linkage of data/information/knowledges to formulate Wisdom Networks * Progress of mutual cooperation among persons/things/events in various fields beyond the boundaries of spaces Symbiosis Networking Cooperation Creative and dynamic developments are expected to be brought about. <Basic philosophies of Wisdom Network Society> * All people's enjoyment of benefits * Human dignity and individual autonomy * Innovative R & D and fair competition * Controllability and transparency * Participation of stakeholders * Harmonization between physical space and cyberspace * Realization of vibrant communities by cooperation beyond the boundaries of spaces * Solving global problems by distributed cooperation Chapter 1: Recent Trends in AI Networking (1) [Japan] ■International Forum toward AI Network Society (March 13-14, 2017) Stakeholders from Industry, academia, the civil society and the governments (Japan, the United States and European countries) exchanged ideas with the aim of promoting international discussions. < Main Consensus through Discussions > Consensus building through global discussions: Consensus building is important through open and global discussions to be held continuously by various stakeholders. Establishment of a human-centered society: A human-centered society should be established, in which people would widely enjoy the benefits of AI networking. Education and human resource development are important. Governance of AI networking: A non-regulatory and non-binding approach (so-called soft law) would be appropriate. It is important for developers to fulfill their accountability. ■Declaration to be the World's Most Advanced IT Nation―Basic Plan for the Advancement of Utilizing Public and Private Sector Data (the Cabinet Decision on May 30, 2017) Promotion of the international sharing of the assessment of the socioeconomic impact and risks of AI networking and study on the ideal state of governance contributing to the solution of related social, economic, ethical, and legal issues through international discussions at G7, OECD, and other international organizations. [Overseas] ■The U.S Government (the Executive Office of the President) [From May 2016] The White House co-hosted four workshops with universities and nonprofit organizations, and discussed AI benefits and risks brought to the society. After a Request for Information process, a report entitled "Preparing for the Future of Artificial Intelligence" was released in October 2016 to recommend AI-related policies, as well as "The National Artificial Intelligence Research and Development Strategic Plan" was formulated. Another report on economic and employment impact was released in December 2016. ■Partnership on AI [From September 2016] Partnership on AI was established by Amazon, DeepMind/Google, Facebook, IBM and Microsoft to serve as an open platform to research and form best practices of AI technology, improve the public's understanding of AI, and discuss and involve in AI and its social impact. After Apple's participation in January 2017, other several corporations, including Sony, joined the Partnership in May 2017. ■The Institute of Electrical and Electronics Engineers (IEEE) The IEEE's "Ethically Aligned Design" (December 2016) presented issues to encourage engineers' discussion on how to design AI that harmonizes with humans according to moral values and ethical principles. ■Future of Life Institute (FLI) [From March 2014] FLI is an nonprofit organization of researchers, entrepreneurs, etc., conducting research to realize robust and beneficial AI. It unveiled the "Asilomar AI Principles" in February 2017, which set out guiding principles on the safety and ethics of AI. Purpose In the process of the evolution of AI networking (that is a formation of networks in which AI systems are connected, over the Internet or other information-and-communication networks, to each other or to other types of systems), while enormous benefits are expected for humans as well as the society and the economy, concerns about risks such as lack of transparency will exist. It is essential to share guidelines, which serve as non-regulatory and non-binding soft law, and their best practices among stakeholders through open discussions to foster an international consensus. Protecting the interests of users and deterring the spread of risks, thus achieving a human-centered society by way of increasing the benefits and mitigating the risks of AI systems through the sound progress of AI networks. Basic Philosophies To achieve a human-centered society where all human beings across the board enjoy the benefits from their life in harmony with AI networks, while human dignity and individual autonomy are respected To share the Guidelines, as non-binding soft law, and their best practices internationally among stakeholders To ensure an appropriate balance between the benefits and risks of AI networks, so as to: (a) promote the benefits from AI networks through innovative and open R&D activities and fair competition; and (b) mitigate the risk that AI systems might infringe rights or interests, while fully respecting the value of the democratic society such as academic freedom and freedom of expression. To ensure technological neutrality and to be mindful that developers are not imposed of excessive burden To constantly review the Guidelines and flexibly revise them as necessary, and to strive for broad and flexible discussions Definition of Terms and Scope "AI" refers to a concept that collectively refers to AI software and AI systems. * "AI software" refers to software that has functions to change its own outputs or programs in the process of the utilization, by learning data, information, or knowledge or by other methods. (For example, machine learning software is classified into this category.) * "AI systems" refers to systems that incorporate AI software as a component. (For instance, robots and cloud systems that implement AI software are classified into this category.) "Developers" and "users" of AI systems are defined as follows, although it should be noted that they are relative concepts in that who are developers or users depends on the situation: * "Developers" refers to those who conduct the R&D of AI systems (which includes R&D using AI systems), including those providing to others AI-network services using AI systems that they have developed on their own. * "Users" refers to those who use AI systems, including end users as well as providers who provide third parties with AI-network services developed by others. The Guidelines cover AI systems that can be networked (i.e. connected to networks) The Guidelines cover broadly all developers as defined above. The Guidelines cover development at a stage of connection to networks, but not include one within closed spaces (such as laboratories or sandboxes in which security is sufficiently ensured) Chapter 2: Draft AI R & D Guidelines for International Discussions (4) AI R&D Principles Comments Chapter 2: Draft AI R & D Guidelines for International Discussions (5) AI R&D Principles Comments Chapter 2: Draft AI R & D Guidelines for International Discussions (6) AI R&D Principles Comments (7) Principle of ethics Chapter 2: Draft AI R & D Guidelines for International Discussions (7) Roles Expected to Be Taken by Related Stakeholders Environmental improvements for promoting dialogue among various stakeholders by governments and international organizations Dialogues of stakeholders, including the developers and the users of AI systems, their sharing of best practices and common perceptions about the benefits and the risks of AI Preparation and release of recommended models by standardization bodies Government's assistance to AI-developer communities and active promotion of policies that support the R & D of AI 10 Preliminary Assessment and Assessment by Usage Field A scenario-based analysis of the impacts (mainly positive impacts or benefits) and risks of AI networking was made on the basis of a scenario assuming specific use scenes (i.e., use cases). Preliminary Assessment (1) Disaster response, (2) Transportation (vehicles), (3) Health, (4) Education and human resource development, (5) Retail and logistics, (6) Manufacturing and maintenance, (7) Agriculture, (8) Finance (loan), (9) Public works and infrastructure, (10) Living Assessment by Use Field (from the viewpoint of AI system users) [Public] [Individuals] Town development, Public governance, Crisis management Health, Transportation, Living, Education/learning, Work, Property, Hobbies/entertainments [Industry] Products, Money In this report, assessments are conducted on three areas underlined so far. 11 Chapter 3: Socioeconomic Impact of AI Networking (2) ■Typical suggestions obtained from scenario analysis Collaborations among various AI systems will become possible. As a result, significant impacts, such as the real-time optimization of the entire operations using AI systems in collaboration, will be brought in addition to the conventional impacts from the AI systems. Employment opportunities in some business fields are expected to decrease. However, the transfer of employees to higher value-added positions or the creation of new employment opportunities is expected. There are common risks assumed in each use case. It is important to deal with these risks. Impact on Employment and Working Style ■It is pointed out that the service industry and transportation industry, which have functioned as absorbers for the influence to employment due to the development of the information and communications field, will be affected by the spread of AI systems and serious unemployment may occur. * It should be kept in mind that this has been based on subjective forecasting, the reliability of which is not ensured, and that the possibility of new job creation has not been considered. ■The degree of aggregation of routine tasks is high in the Japanese labor market, and there is a view that non-regular workers, who are susceptible to the spread of AI systems, may be greatly affected. ■Prompt response to employment opportunities to be newly created will be important, along with education for the smooth transition of job seekers to the new opportunities and human resource development. 12 ■ ■ Chapter 3: Socioeconomic Impact of AI Networking (3) Points to be Kept in Mind (1/3) ■ Problems caused by mixing various AI systems - e.g. The competition or conflict among networked AI systems differing in property, performance or purpose may force them to negotiate with or adjust to each other. ■ Problems associated with the coexistence of those who use AI systems and those who do not or cannot. - e.g. There may be a difference in services for those who use AI systems and those who do not or cannot. The allocation of responsibility in the case of the manifestation of AI system risks, such as the occurrence of an accident. - e.g. Problems will arise in the allocation of responsibility in the case of the occurrence of an accident caused by an autonomous vehicle or the infringement of privacy as a result of the leakage of personal data. The balance between the flow of data/information and the protection of personal data and privacy - e.g. In the acquisition of images captured by cameras, problems may arise as to how to get approval for their use from those who are the data sources. 13 Chapter 3: Socioeconomic Impact of AI Networking (4) Points to be Kept in Mind (2/3) ■The nature of data/information handled by AI systems - e.g. Careful handling is required for highly private or confidential data/information. - e.g. From a viewpoint of intellectual property protection, problems may arise from the handling of AI products or learning data. ■Securement of fair competition in the ecosystem formed with the progress of AI networking - e.g. Business activities may be affected by whether their AI systems are allowed to be connected to influential AI networks or by conditions if allowed. - e.g. Competing AI system operators can reduce or restrict the competition by cooperative pricing for their services. ■Role sharing between humans and AI (robots) - e.g. Problems will arise in the role sharing between humans and AI (robots), such as whether humans are satisfied with services provided by interactive robots or nursing robots, and whether they may reject the services. - e.g. Problems will arise in the range of matters that can be entrusted to the functions of AI systems at the time of making important decisions (e.g. diagnosis, recruitment and personnel evaluation). 14 Points to be Kept in Mind (3/3) ■Improvement in literacy on AI systems - e.g. Improvements in elderly people's literacy concerning AI systems will be particularly important for them to enjoy the benefits of AI systems. ■Gaps among regions and uneven distribution - - It is pointed out that attention will need to be paid to the income disparity and the redistribution of income with the progress of AI networking e.g. Regional differences may occur in the spread of AI systems depending on the financial situation of users (e.g. municipalities) or the attitude of each user to the use of AI systems. ■Costs of Introduction and use of AI systems - e.g. Problems will arise in costs of the introduction and use of AI systems for small and medium-sized businesses. ■Problems with the black-boxed judgment of AI systems - e.g. For the black-boxed judgment of AI systems, users (such as governments and businesses) may not be able to respond appropriately to requests for information disclosure, explanation to customers, and inspections and audits of supervisory authorities. 15 Chapter 4: Future Challenges (1) Matters concerning the sound progress of AI networking ■ Toward the formulation of the AI R&D Guidelines: A follow-up to international discussions towards the formulation of the AI R&D Guidelines as international guidelines. ■ Toward the formulation of the AI Utilization Guidelines: Study on the formulation of the AI Utilization Guidelines as international guidelines. ■ Smooth collaboration of AI systems: e.g. A study on the range of related information expected to be shared among stakeholders and the ways to share it. ■ Competitive ecosystem: Keeping watch on the trends of related markets. ■ Protection of the interests of users: e.g. Study on how developers or AI network service providers voluntarily provide necessary information to users and how to protect users (with insurance or other means). ■ Challenges related to technology development: e.g. Promotion of R&D technologies that can supervise (with monitoring and warning, etc.) and control other AI (by stopping, disconnecting the AI from the networks, repairing the AI, etc.). Matters concerning the information and data circulating on AI networks ■ Security measures: e.g. Study on how to implement the security into AI systems ■ Protection of privacy and personal data: e.g. Study on how to obtain individuals' consent and on data processing (e.g. anonymization and encryption) ■ Institutional issues relating to contents: e.g. Improvement of environment for the promotion of creating learning data, appropriate protection and promotion of use of learned models. 16 Chapter 4: Future Challenges (2) Matters concerning the evaluation of the socioeconomic impact of AI networking ■ Scenario analysis on the socioeconomic impact of AI networking: Continuation and international sharing of scenario analysis ■Establishment of evaluation indicators for the impact of the progress of AI networking and evaluation indicators on richness and happiness: Study on setting indicators ■ Fostering social acceptability on the use of AI systems: Keeping watch on society's acceptance of the use of AI systems. Matters concerning human-related issues in society where AI networking will progress ■ Study on the relationship between humans and AI systems: e.g. Study on the role sharing of professionals (doctors, lawyers, accountants, etc.) and AI systems ■ Study on the relationship between stakeholders: e.g. Study on the responsibility allocation corresponding to the manifestation of AI system risks ■ Education, human resource development, and work environmental improvements compatible with AI networking: e.g. Education and human resource development according to the change of employment and work with the progress of AI networking ■ ■ Literacy cultivation on AI systems and prevention of the AI network divide: e.g. Study on measures to improve the literacy of information-weak people such as elderly people Safety net development: e.g. Keeping watch on labor market trends and study on measures to prevent the unfair disparity, such as the redistribution of income with the progress of AI networking 17 Vice Chairperson Members Toshio IWAMOTO Nobuhiro ENDO Hiroshi OHASHI Takehiro OHYA Masaru KITSUREGAWA Elly KEINAN Noriko KONDO George SHISHIDO Toshiya JITSUZUMI Hideaki SHIROYAMA Fumio SHIMPO Masashi SUGIYAMA Shoko SUZUKI Koichi TAKAHASHI Katsunori TANIZAKI Hiroshi NAKAGAWA Executive Adviser Yuichiro ANZAI Makoto NAGAO Shojiro NISHIO Junichi HAMADA (Names listed without honorifics; the order of the Japanese syllabary except for the Chairperson and the Vice Chairperson) Members for the "Conference Toward AI Network Society" Chairperson Osamu SUDOH (Professor, Graduate School of Interdisciplinary Information Studies, the University of Tokyo; Director for the University of Tokyo Center for Research and Development of Higher Education) for Global Advanced 18 Members for the Committee on AI R&D Principles/Committee on Impact & Risk Assessment Committee on AI R&D Principles Committee on Impact & Risk Assessment Chairperson Susumu HIRANO Vice Chairperson Technical Advisor George SHISHIDO Koichi HORI Members Yoichiro ITAKURA Arisa EMA Katsumi EMURA Hideaki OZAWA Takehiro OHYA Hisashi KASHIMA Shigeo KAWASHIMA Keisuke KATSUKI Shikou KIKUTA Minao KUKITA Tsuyoshi KITANI Kazushi KUSE Tatsuya KUROSAKA Satoshi KURIHARA Masahiro KOBAYASHI Hiroyuki SANBE Akira SAKAKIBARA Toshiya JITSUZUMI Fumio SHIMPO Hideaki SHIROYAMA Yoshitaka SUGIHARA Norihiro SUZUKI Koichi TAKAHASHI Mayu TERADA Hideaki TAKEDA Hiroshi NAKAGAWA Norihiro HAGITA Takafumi NAKANISHI Shuya HAYASHI Kensaku FUKUI Shinya FUKAMACHI Yutaka MATSUO Hiroshi YAMAKAWA Norio MURAKAMI Harumichi YUASA (Dean, Chuo University Graduate School of Policy Studies; Professor, Chuo University Faculty of Policy Studies) Chairperson (Professor, the University of Tokyo Graduate Schools for Law and Politics) (Professor, the University of Tokyo Graduate School of Engineering) (Attorney at Law) (Assistant Professor, Komaba Organization for Educational Excellence College of Arts and Sciences Project, the University of Tokyo) (Executive Vice President and CTO, NEC Corporation) (Professor, Keio University Faculty of Law) (Head of Media Intelligence Laboratories, NTT Corporation) (Professor, Kyoto University Graduate School of Informatics) (Secretary-General, Movements for Internet Active Users) (Associate Professor, Aoyama Gakuin Women's Junior College, Department of Contemporary Liberal Arts) (Senior Vice President, Fujitsu Limited) (Director and Executive Vice President, NTT Data Corporation) (Associate Professor, Nagoya University Graduate School of Information Science) (Vice President, IBM Research & Development, IBM Japan, Ltd.) (Director, Artificial Intelligence eXploration Research Center, UEC Tokyo) (Project Associate Professor, Keio University Graduate School of Media and Governance) (Attorney at Law) (Executive Officer and CTO, Microsoft Japan Co., Ltd.) (Attorney at Law) (Professor, Chuo University Faculty of Policy Studies) (Professor, the University of Tokyo Graduate Schools for Law and Politics) (Professor, Keio University Faculty of Policy Management) (Public Policy & Government Relations at Google Japan G.K.) (Vice President and Executive Officer, CTO and General Manager of Research & Development Group, Hitachi, Ltd.) (Team Leader, Laboratory for Biochemical Simulation, RIKEN Quantitative Biology Center) (Professor, Principles of Informatics Research Division, National Institute of Informatics) (Associate Professor, International Christian University, College of Liberal Arts) (Professor, Information Technology Center, the University of Tokyo) (Associate Professor, International University of Japan Center for Global Communications) (Director, ATR Intelligent Robotics and Communication Laboratories, Advanced Telecommunications Research Institute International) (Professor, Nagoya University Graduate School of Law) (Professor, Graduate School of Law and Politics, Rikkyo University) (Attorney at Law) (Project Associate Professor, the University of Tokyo Graduate School of Engineering) (President, Norio Murakami Office Co., Ltd.) (Chief of the Dwango Co., Ltd. Artificial Intelligence Laboratory) (Advisor to the President; Professor, the Institute of Information Security Faculty of Information Security) (Names listed without honorifics; the order of the Japanese syllabary except for the Chairperson, the Vice Chairperson and the Technical Advisor) Takehiro OHYA (Professor, Keio University Faculty of Law) Members Yoichiro ITAKURA (Attorney at Law) Shin-ichiro INABA (Professor, Department of Sociology, Meiji-Gakuin University) Tomohiro INOUE (Associate Professor, Komazawa University Faculty of Economics) Arisa EMA (Assistant Professor, Komaba Organization for Educational Excellence College of Arts and Sciences Project, the University of Tokyo) Katsumi EMURA (Executive Vice President and CTO, NEC Corporation) Shinya OUCH (Professor, the Kobe University Graduate School of Law) Yoshihiro OHTA (Project Professor, the University of Tokyo Graduate School of Mathematical Sciences) Hiroshi OHASHI (Professor, the University of Tokyo Graduate School of Economics) Takafumi OCHIAI (Attorney at Law) Keisuke KATSUKI (Secretary-General, Movements for Internet Active Users) Daisuke KAWAI (Assistant Professor, the University of Tokyo Interfaculty Initiative in Information Studies) Minao KUKITA (Associate Professor, Nagoya University Graduate School of Information Science) Kazushi KUSE (Vice President, IBM Research & Development, IBM Japan, Ltd.) Tatsuya KUROSAKA (Project Associate Professor, Keio University Graduate School of Media and Governance) Noriko KONDO (Secretary-General, the Study Group for Elderly-assisting Technologies) Akira SAKAKIBARA (Executive Officer and CTO, Microsoft Japan Co., Ltd.) Toshiya JITSUZUMI (Professor, Chuo University Faculty of Policy Studies) Yoshitaka SUGIHARA (Public Policy & Government Relations at Google Japan G.K.) Hiroya TANAKA (Professor, Keio University Faculty of Environment and Information Studies) Koichi TAKAHASHI (Team Leader, Laboratory for Biochemical Simulation, RIKEN Quantitative Biology Center) Hiroshi NAKAGAWA (Professor, Information Technology Center, the University of Tokyo) Takafumi NAKANISHI (Associate Professor, International University of Japan Center for Global Communications) Norihiro HAGITA (Director, ATR Intelligent Robotics and Communication Laboratories, Advanced Telecommunications Research Institute International) Shuya HAYASHI (Professor, Nagoya University Graduate School of Law) Masayuki HAYASHI (Visiting Research Fellows, International University of Japan Center for Global Communications) Hirotaka HARA (Director, Fujitsu Laboratories Ltd.) Kensaku FUKUI (Attorney at Law) Norio MURAKAMI (President, Norio Murakami Office Co., Ltd.) Hiroshi YAMAKAWA (Chief of the Dwango Co., Ltd. Artificial Intelligence Laboratory) Isamu YAMAMOTO (Professor, Keio University Faculty of Business and Commerce) Akemi YOKOTA (Associate Professor, Chiba University Graduate School of Humanities and Social Sciences) Tomoaki WATANABE (Project Associate Professor, Keio University Graduate School of Media and Governance) 19 Hideaki SHIROYAMA (Professor, the University of Tokyo Graduate Schools for Law and Politics) Vice Chairperson Takehiro OHYA (Professor, Keio University Faculty of Law)

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