Split (1)

train · ~481k rows (showing the first 208k)

text stringlengths 1.36k 1.27M
Synthesis Algorithm for Application-Speciﬁc Homogeneous Processor Networks Jason Cong, Fellow, IEEE, Karthik Gururaj, Guoling Han, and Wei Jiang Abstract—The application-speciﬁc multiprocessor system-on-achip is a promising design alternative because of its high degree of ﬂexibility, short development time, and potentially high performance attributed to application-speciﬁc optimizations. However, designing an optimal application-speciﬁc multiprocessor system is still challenging because there are a number of important metrics, such as throughput, latency, and resource usage, which need to be explored and optimized. This paper addresses the problem of synthesizing an application-speciﬁc multiprocessor system for stream-oriented embedded applications to minimize system latency under the throughput constraint. We employ a novel framework for this problem, similar to that of technology mapping in the logic synthesis domain, and develop a set of efﬁcient algorithms, including labeling and clustering for efﬁcient generation of the multiprocessor architecture with application-speciﬁc optimized latency. Speciﬁcally, the result of our algorithm is latency-optimal for directed acyclic task graphs. Application of our approach to the Motion JPEG example on Xilinx's Virtex II Pro platform FPGA shows interesting design tradeoffs. Index Terms—Clustering, design space, labeling, multiprocessor, task-level pipeline. I. INTRODUCTION T HE costs and technical challenges of designing application-speciﬁc integrated circuits (ASIC) have increased substantially as we move into nanometer technologies. At the same time, the exponential increase in silicon capacity has made it possible to integrate multiple processors in a single chip. This has fueled great interest among microprocessor manufacturers such as Intel [29] and AMD [30] and has led to the development of general-purpose computers with multiple cores on a single chip. In fact, a large IC (over a billion transistors) in today's CMOS technology (e.g., 45 nm) can easily hold hundreds to thousands of simple cores (of the complexity 100 K to 1 M transistors 1 ). Therefore, it is possible to use a complex network of customized processors for efﬁcient implementation of a speciﬁc application. With this goal in mind, we introduce the concept of application-speciﬁc processor network (ASPN). In general, an ASPN consists of a set of processor cores chosen from a Manuscript received October 26, 2007; revised March 15, 2008. First published March 16, 2009; current version published August 19, 2009. This work was supported in part by the MARCO/DARPA Gigascale Silicon Research Center (GSRC), in part by the National Science Foundation under Grants CNS 0647442 and CNS-0725354, and in part by a grant from Xilinx, Inc., under the California MICRO program. The authors are with the Computer Science Department, University of California, Los Angeles, CA 90095 USA (e-mail: email@example.com; karthikg@cs. ucla.edu; firstname.lastname@example.org; email@example.com.). Digital Object Identiﬁer 10.1109/TVLSI.2008.2004874 1For example, the ﬁrst version of the Intel 486 Processor has about 1 M transistors [29]. library of predesigned processors, memories, communication channels, and peripherals connected in an application speciﬁc manner, to provide just enough computing power to satisfy the performance and power requirements of the given application and thus saving the energy and implementation cost as much as possible. The IBM Cell processor [16] may be viewed as an ASPN targeted towards gaming applications. Effectively, we are extending the current standard-cell based ASIC design methodology to application-speciﬁc processor-based design methodology—instead of synthesizing a RTL design into a network of standard cells, we now map a system-level description (often speciﬁed in C, C++, or SystemC) into a network of processors. ASPN-based design methodology raises the level of design abstraction, thus reducing the design complexity. Since most of the hardware details are abstracted out by the ISA of the processors, developers, especially the software programmers, can comfortably work with the programming languages and environments that they are familiar with. The smooth transition enables higher productivity and signiﬁcantly shortens the time-to-market period. ASPN-based design methodology also allows reuse of the processor library. Additionally, it provides greater ﬂexibility, both during design time as well as at deployment time. Obviously, there is great similarity between the ASPN concept and the MPSoC design style which has been practiced recently [5], [9]. However, in today's MPSoCs, there is typically one or several of embedded processors, determined a priori, together with a large amount of customized logic, while we emphasize a processor-centric methodology, where the number, type, and conﬁguration of the processors are determined at the synthesis time. For an ASPN-based design, designers need to carefully partition tasks, allocate resources, map tasks to the processing elements, and build application-speciﬁc communication networks. Obviously, the huge design space makes exploration extremely difﬁcult for human designers. Currently, designers must iteratively go through the partitioning, mapping and simulation in order to ﬁnd the optimal architecture for the applications. This process is time-consuming, tedious and error-prone. To ease these challenges, our work is to develop a systematic approach for ASPN synthesis. Our aim is to build an automatic exploration tool to help designers construct the optimal architectures and mapping solutions. Our system targets throughput-constrained, stream-oriented applications, such as multimediaandnetworkapplications,forwhichthecomputation and communication time can be obtained easily in advance. Since most of these applications have requirements on stream throughput (e.g., 30 frames/s for MPEG decoding), the multiprocessor systems should provide just enough performance to satisfy the required throughput. Meanwhile, it is desirable to minimize the application latency under the throughput constraint, i.e., the time elapsed to process an individual data set. For instance, video conference applications always prefer a small latency to allow real-time conversation. Therefore, our ASPN synthesis system optimizes the application latency with a given throughput constraint. Given the application speciﬁed as a task graph, we construct a network of homogeneous processors connected by point-to-point FIFOs. Our exploration tool automatically decides the number of processors used in the system, communication buffer sizes, and processor interconnections, as well as the mapping of tasks onto the synthesized system. The remainder of the paper is structured as follows. We ﬁrst discuss related works on multiprocessor design space exploration and mapping in Section II. Section III describes the multiprocessor architecture model used in our system and problem formulation. The synthesis ﬂow and algorithm is presented in Sections IV and V. We have applied our exploration tool to a set of task graphs generated by TGFF [3] and the motion JPEG application under various design constraints. The exploration results for the motion JPEG on Xilinx FPGA boards are presented in Section VI. We conclude the work with future directions in Section VII. The preliminary results of this work have been published in [2]. We have extended the work by allowing a more general pipeline execution model to achieve better performance (see Section V). II. RELATED WORKS Over the past two decades, there have been other efforts that involved solving the multiprocessor design space exploration problem. The previous work can be categorized into two groups based on their optimization objectives, i.e., optimizing latency or throughput. The work in [20] proposes a compile time scheduling and clustering technique to minimize the parallel execution time. Given a task graph, it ﬁrst iteratively merges the best pair of blocks greedily to minimize the critical path length. After a partition is obtained, it applies list scheduling to schedule the blocks onto processors. In the SOS system [17], the multiprocessor synthesis and task mapping problem is solved by creating a mixed-integer linear programming model (MILP) to minimize the system latency. The model is composed of a set of relations that ensures proper ordering of various events in the task execution, as well as completeness and correctness of the system. The work in [25] proposed a heuristic solution to synthesize a heterogeneous multiprocessor system. The objective is to minimize the hardware cost under latency constraint. After obtaining the initial solution, their algorithm iteratively reallocates tasks and processing elements to minimize cost. On the throughput optimization side, Hoang [8] proposes a heuristic approach to schedule a DSP program onto multiprocessors for maximizing system throughput. It applies a modiﬁed list scheduling to schedule the tasks onto a given number of processors. MOGAC [4] synthesizes real-time heterogeneous multiprocessor architectures using an adaptive multi-objective genetic algorithm. Similarly, Grajcar [7] uses a genetic algorithm based on list scheduling to minimize the makespan on a bus-based multiprocessor. The work in [11] adopts modulo scheduling to map programs onto a pipeline of multiprocessors. In this architecture, multiprocessors are organized in a pipelined fashion where each stage processes a subset of the tasks for system throughput improvement. Pipelining, a commonly used technique for both hardware and software design, has been extensively used at instruction-level and loop-level previously. [11] and our work have applied the concept to task-level for multiprocessor designs. In the rest of the paper, we will use pipeline to represent task-level pipelining for the purpose of simplicity. More recently, Jin [10] formulates the task mapping with a ﬁxed number of processors as an integer linear programming problem (ILP). Due to the complexity of the ILP, it would be difﬁcult for this approach to scale to larger problem sizes. [22] is the only work that optimizes latency in the presence of a throughput constraint. However, they can only handle programs simply composed of a chain of tasks. In contrast, our proposed algorithm can take general directed-acyclic task graph as input and provide latency optimal solutions under given throughput constrains. Our contributions in this work are twofold. First, it is the ﬁrst work proposed that considers the throughput and latency simultaneously for general task graphs. Second, we provide a complete synthesis ﬂow for the design space exploration of an ASPN system. It includes efﬁcient labeling, scheduling and clustering algorithms which take the inter-processor communication cost into consideration. The proposed synthesis algorithms generate latency-optimal results for acyclic graphs subject to throughput constraint. They can also be easily extended to cyclic data ﬂow graphs. We demonstrate our methods and tools by running reallife applications on the Xilinx FPGA platform, which adds more credibility compared to the pure simulation methods. III. PROBLEM STATEMENT A. System Model Dataﬂow process network model [14] is commonly used in designing and implementing signal processing applications. Especially, the synchronous dataﬂow model [13] in which the rates at which data is produced and consumed are constants for every dataﬂow edge, is widely adopted because bounds on the memory requirement and deadlock-free execution order can be determined statically in ﬁnite time. Since any synchronous dataﬂow graph can be transformed to a homogeneous task graph [21] where all the tasks are executed at the same rate, we will assume that the application is represented as a periodic task graph, which is executed repeatedly to process the incoming data streams, in our system. The task graph is a directed graph in which each node represents a task and each edge corresponds to the data communication between the tasks. Each edge in the task graph will be mapped to a physical communication channel if task and task are mapped to different processors. Otherwise, they are executed on the same processor and just use the memory to communicate data. Each vertex in the task graph is annotated with the estimated task computation time. The computation time is measured by proﬁling the task on an architecture simulator or a real processor. Note that some tasks may have variable execution time caused by different execution paths and memory behaviors, we will use the worst case time (i.e., maximal execution time) in order to guarantee the hard-constrained throughput requirement. Each edge in the task graph has an attached attribute: volume ( ). The communication volume speciﬁes the amount of data that need to be transferred for one execution. The communication volume can be obtained from proﬁling or user speciﬁcation. If the sending task and the receiving task are mapped to the same processor, we only need internal memory to pass data so that the inter-processor communication is avoided. If they are mapped to different processors, the inter-processor communication, which is usually much slower than the intra-processor communication, is required. The inter-processor communication also requires memory storage to buffer the incoming data at the destination side. The buffer requirement of edge on a processor is determined by the communication volume and the distance of the pipeline stages between the source and destination tasks. We denote the pipeline stage where the task is executed as stage . The distance of two pipeline stages ( and ) is deﬁned as stage stage . Scheduling a task on processor requires that buffers hold data from all of the input edges. Thus, the buffer requirement on destination processor running task , denoted as buffer , is In our work, we target the architecture template of homogeneous processors connected by point-to-point FIFOs (as illustrated by an example in Fig. 1). Each microprocessor has its own local memory to store all the instructions and data. The intertask communication and synchronization are done by means of FIFOs. If inter-processor communication is required, the sender must explicitly send data to the receiver through FIFOs. The FIFO sizes are determined by the calculation of buffer . The execution of tasks will be blocked if they read from an empty FIFO or write to a full FIFO. Since inter-processor communication needs the processors to transmit and receive data, it also brings communication delay. The synthesis tool can use any communication model to calculate the communication costs. In this paper, we use a linear model [6] in our work to model the FIFO communication cost. Speciﬁcally, if the startup cost to initiate a data transfer is , and the cost to transfer one data unit is , the estimated communication cost will be calculated as Comm . Although other more complicated communication models could be easily plugged in, this simple model is accurate enough to capture the point-to-point FIFO communications. Actually, our synthesis algorithm will not depend on this communication model, and it is quite easy to replace it with models that reﬂect the target architecture. B. Homogeneous ASPN Synthesis Problem Before we present the formal problem formulation, we deﬁne some notations used in this paper. * The stage period is deﬁned as the reciprocal of the throughput. When we cluster a set of tasks into one pipeline stage on one processor, their total execution time should not be larger than . The total execution time is deﬁned as the sum of their computation time and communication time. * In a pipelined multiprocessor system, the application latency is deﬁned as the elapsed time from the data input streams to the output streams. Since the stage period is ﬁxed with a given throughput constraint, the latency is determined only by the difference between the input stage and output stage. * A task cluster is convex if there exists no path from a node in to another node in and involves a node that is not in the cluster. Fig. 2 shows an example of a non-convex cluster. Node receives data from the cluster while it also sends data back to the cluster. We formulate our ASPN synthesis problem as follows. 1) Homogeneous ASPN Synthesis Problem: Given a task graph with proﬁling information, user-speciﬁed throughput constraint, construct a homogeneous ASPN system by 1) partitioning the tasks into convex clusters, and 2) mapping the clusters onto the processors and inter-processor communication to FIFOs so that the application latency is minimized under the constraint that the required throughput can be satisﬁed. The convex constraint is to ensure the existence of a feasible scheduling. Since we assume that the tasks in a cluster will be executed at the same pipeline stage, correct scheduling may not exist to ensure the data dependency if the cluster is not convex. For the example in Fig. 2, the pipeline stage of node should be after the pipeline stage of due to the edge . However, edge indicates a reversed order, which generates a contradiction. In addition to the convex constraint, the synthesis result should also honor the data dependency relationship in the task graph. If task sends data to task , the consumer task cannot execute until all the data are available. Thus, if two adjacent tasks are clustered together and scheduled at the same pipeline stage, their execution order within the processor should ensure that executes ﬁrst. If they are mapped to different pipeline stages, the data producer should be scheduled at the prior data consumer stage. Fig. 3 shows an example with nine tasks. For this example, we assume that all the tasks have a ﬁxed execution time. The nodes are labeled with the computation times (in s). In this example, for any pair of tasks connected by an edge, the communication time is assumed to be one if the two tasks are mapped to different processors. Executed on a single processor, the system cannot process new inputs until all the tasks have been executed once. Thus, the stage period is 41 s. We assume that we wish to obtain a stage period of 14 s. By exploiting the task-level parallelism and pipelining the tasks, we can improve the throughput. Fig. 3(a) shows a naive ﬁve-stage pipeline implementation with nine processors. Note that the tasks in each dotted box are mapped onto one processor in this ﬁgure, and the dotted lines represent pipeline stages. We can ﬁnd that on each processor the total execution time, including the communication time to transmit data, is no more than 9 s. Therefore, we could achieve a stage period of 14 s and a 3.4 X throughput improvement. Fig. 3(b) shows another pipeline implementation with six processors. It can also achieve the stage period of 14 s. However, the latency has been reduced to three stages. Actually, the optimal solution, as shown in Fig. 3(c), only needs two pipeline stages and ﬁve processors. Although the three implementations achieve the same system throughput, their latencies and required processors could differ by a factor of 1.67 and 2.5, respectively. This example illustrates the possible huge exploration space in multiprocessor synthesis and the importance of optimizing the throughput and latency at the same time. each pipeline stage. By allowing inter-processor communication within a pipeline stage, we can take full advantage of the task-level parallelism and achieve better latency. In the rest of this paper, we will call it parallel execution model. Given the task graph, proﬁling information, and the design constraints, our algorithm, called ARMS (Application-speciﬁc, Rate-constrained Multiprocessor Synthesis), solves the multiprocessor synthesis problem in three steps. The ﬁrst step, called stage period checking, calculates the theoretic lower bound of the stage period. The next two steps, task labeling and clustering are then performed to obtain a latency-optimized solution. With the synthesized result, we ﬁnally generate a hardware conﬁguration for the underlying platform and corresponding software program. Note that the synthesis algorithms only differ at the labeling step for the two aforementioned models. To differentiate them, we call the algorithm ARMS-S and ARMS-P for the sequential execution and the parallel execution respectively. IV. ARMS-S A. Stage Period Checking The stage period is the total time budget to execute tasks on one processor in one pipeline stage. In a pipelined implementation, data will iteratively enter the system and be processed every time units. Since a computation node can be scheduled onto only one processor, the minimal stage period should be no less than the computation time of any task node in the graph, i.e., The users should decompose those tasks with the largest computation time if the desired throughput cannot be achieved. Usually, decomposition might incur more communication. In order to balance the computation and communication cost, we assume that the execution time of a task should be no less than the communication time, i.e., Otherwise, it may not be beneﬁcial to decompose a task further since the communication cost will be larger than the gain from task decomposition. This assumption is used throughout this paper. B. Labeling In the following description, we will ﬁrst assume that the task graph is a directed acyclic graph (DAG) and present a latencyoptimal labeling and clustering algorithm. We shall then discuss the extension of the algorithm to cyclic graphs. The previous example (which we will use throughout the remainder of this paper) demonstrates a simple pipeline execution model, called sequential execution model, where no communication is allowed between processors within the same pipeline stage. Alternatively, if we have a loose stage period constraint and the task graph contains enough task-level parallelism, it is possible to construct a parallel implementation for We observe that the problem of ﬁnding the minimum latency clustering for multiprocessor synthesis is analogous to the problem of circuit clustering for delay minimization in VLSI physical design, which has been well investigated [12], [18], [1]. Circuit clustering problem tries to minimize the longest path delay subject to the cluster capacity constraint. A simpliﬁed general delay model, which assumes a uniform interconnect delay, is usually used. In multiprocessor synthesis, the inter-processor communication cost may vary signiﬁcantly. Therefore, our labeling algorithm should take the nonuniform communication cost into consideration. In addition, the circuit clustering assumes that each cluster has a limited number of inputs and outputs. This is not necessarily true in the multiprocessor synthesis scenario. For a given directed acyclic task graph , let be the subgraph consisting of the node and its predecessors in . We deﬁne the node label as the earliest pipeline stage where can be executed in an optimal clustering of . We can see that for a node , the minimum label in any clustering of is at least the label obtained in the . This can be derived from the fact that any cluster in induces a cluster in . In addition, we have the following observation. Lemma 1: The total execution time of a cluster increases monotonically when adding more predecessors into the cluster. Let be the set of nodes in the predecessors of which have the maximal label , the minimum label of can be obtained based on the following lemma. Lemma 2: The label of node exceeds by at most 1. The labeling algorithm, which is similar to Lawler's algorithm [12], assigns labels to each node of the graph in a topological order. Each primary input (PI) node, i.e., that node does not have any predecessors, can be executed at the ﬁrst pipeline stage. Therefore, we assign label 0 to it. Since labeling is done in a topological order, a node is not processed until all of its predecessors have been labeled. We just need to sort the predecessors in the nondecreasing order based on the value of their labels. Then we determine whether those nodes with the greatest label value could be clustered together with node , and set 's label accordingly based on Lemma 2. Fig. 4 shows a task graph with the labeling result. We assume that each edge has one unit of communication cost, except edge , whose communication cost is two. The stage period constraint is 14 time units. The labels of PIs are set to be 0. Since node and can be clustered together with a total execution time of 10, 's label is 0 as well. Similarly, we set the label of node to be 0. Now we proceed to label . Since the total execution time of , , , and is 23, which is the sum of the computation time of the tasks and communication cost 3. We cannot accommodate all the nodes in a single cluster. Therefore, the label of is 1. predecessors of and all have the same label. Thus, in the worst case, for each task to be labeled, all the tasks labeled in previous steps need to be considered. Hence, the worst case complexity of ARMS-S is given by where is the number of tasks in the task graph. C. Clustering In this step, a latency-optimal clustering of the task graph will be generated using the labels and clusters computed in the previous phase. We maintain a list of nodes, which are the roots of the clusters in the optimal solution. Initially, we put all the primary output (PO) nodes, i.e., those nodes do not have any successors, on the list . Each time we take a node from the list and generate a cluster rooted at the node, which includes all its predecessors with the same label, the immediate input nodes to this clusterarepushedtothelist .Then,thisprocessisrepeateduntil is empty. For the example shown in Fig. 4, we ﬁrst put the primary output node into the list . Since its label is different from thelabelsofallitsinputs,wegenerateaclusterconsistingofnode only. Then, the node 's inputs ( and ) are put to and processed similarly. Fig. 3(b) shows the ﬁnal clustering solution. Based on Lemma 1 and 2, we calculate the minimal label for each node by traversing the graph in topological order. The clustering step will generate latency optimal solution ﬁnally. Therefore, we can prove the following theorem. Theorem 1: The labeling and clustering algorithms generate latency-optimal pipeline solutions for directed acyclic task graphs in polynomial time. D. Extension to Cyclic Graphs The labeling and clustering algorithms work well for DAG. We need to enhance the algorithm to handle those cyclic data ﬂow graphs. A loop in a data ﬂow task graph represents the inter-iteration data dependency. The tasks in a loop require data generated from the previous iterations. This data dependency is speciﬁed by the dependence distance, which is deﬁned as the difference between the iteration instances of the target and source iterations [24]. The inter-iteration dependency will limit the minimum achievable stage period. Consider the example shown in Fig. 5(a). There are three tasks, each with execution time of 10 s. The ﬁrst task performs the calculation with the new input data and the data generated from the previous iteration. Thus, the dependence distance for the back edge is one as annotated. We can see that any pipeline partition cannot satisfy the inter-iteration data dependency. In general, suppose that the sum of the dependence distance along a cycle is , the cycle cannot be partitioned into more than stages [8]. Let be a task graph and let be a cycle in . By removing the back edge, we can follow the same routine to obtain a clustering solution. Suppose that the sum of the dependence distance along cycle is , the labeling result is valid if and only if When the ARMS-S algorithm labels a task , it looks at all the predecessors of which have the highest label. Suppose tasks are labeled before task is considered. Since we proceed in topological order, in the worst case, all the tasks are the This condition ensures that the inter-iteration data dependency is correctly maintained. For the example shown in Fig. 5(a), all of the labels along that cycle should be the same. If the dependence distance on the back edge is two as shown in Fig. 5(b), we can make a partition on the forward path as shown in Fig. 5(c). This can be viewed as moving the dependence distance around to maximize throughput. For cyclic graphs, the inequality is checked for every cycle after labeling. If it cannot be satisﬁed, the throughput constraint needs to be reduced in our system, and we perform binary search to ﬁnd the optimal throughput. E. Packing The labeling and clustering algorithm generates optimized clustering for latency minimization. Each cluster of tasks occupies one processor, and its total execution time can be less than the stage period. Therefore, some processors may not have been fully utilized. The packing phase tries to reduce the used processors by merging the clusters while maintaining the throughput. Unfortunately, this packing problem is NP-complete since the bin-packing problem, known to be NP-complete, can be reduced to it in polynomial time. In our work, a simple yet efﬁcient heuristic, namely ﬁrst ﬁt decreasing, is used. We sort the clusters in decreasing order according to the value of their total execution time, and then pack the clusters following the sorted order. For each cluster, the algorithm searches the clusters in front of it to ﬁnd the largest one possible to pack with it, if their total execution time does not exceed the stage period. We repeat this procedure until all the clusters have been processed once. V. ARMS-P The relaxation of sequential execution model per pipeline stage may help us to get ASPN systems with lower application latency. Continuing to use our example in Fig. 4, we observe that the optimal application latency is 3 pipeline stages as shown in Fig. 6(a) if the sequential model is used. However, the optimal application latency can be reduced to 2 pipeline stages as shown in Fig. 6(b). Let us look at node in the parallel execution model. In this clustering solution, inputs of are executed in parallel on two processors. The ﬁnish times for task and are 9 and 7, respectively. Taking the communication time from to into account, the starting time of is 9 and its ﬁnish time is 13. Therefore, we can label node as 0. Let us ﬁrst deﬁne the notations used in the following sections. at which the input data from arrives at cluster . This includes the communication time if node and cluster are mapped to different processors. The ready time of a task is the maximum ready time among all its inputs. * The minimum ﬁnish time MinTime MinTime is deﬁned as the minimum time at which task completes execution. For instance, MinTime is 13 for the previous example. * CommTime CommTime is deﬁned as the communication time between node and its successor . * ExecTime ExecTime is deﬁned as the execution time of node . * FinishTime FinishTime is deﬁned as the completion time for cluster according to the optimal schedule for . A. Complexity of Parallel Execution Model The parallel execution model is signiﬁcantly more complicated because inherently we need to solve a multiprocessor scheduling subproblem for each pipeline stage. To ensure that a node ﬁnishes execution in pipeline stage , we need to ensure that node and all of its predecessors executing on stage can ﬁnish execution by time where is the stage period speciﬁed in the problem. We observe that the problem we are tackling is at least as hard as multiprocessor scheduling problem for task graphs with precedence constraints: Given a set of tasks with precedence constraints and identical execution times of one time unit each, map the tasks to an arbitrary number of identical processors and schedule them such that the total makespan of set is less than a speciﬁed time . This scheduling problem has been proved to be NP-Hard [23]. Hence, we have the following lemma. Lemma 4: The homogeneous ASPN synthesis problem is * The ready/release time for a task in cluster is deﬁned as the minimum time at which the task can begin execution in cluster . The ready time for an input of a cluster , denoted by ReadyTime ReadyTime , is deﬁned as the minimum time NP-Hard if the parallel execution model is allowed. In the sequential execution scenario, all inputs of a cluster were available at the start of the pipeline stage. However, the ﬁrst thing we observe for the parallel execution model is that the ﬁnish time of a cluster depends on the ready times of its inputs and the corresponding scheduling solution. The problem of scheduling tasks on a uniprocessor system to minimize total latency subject to precedence constraints is well studied and an optimal schedule can be found in time (where is the number of tasks in the cluster) by listing the tasks in nondecreasing order of their release/ready times [15]. For example, consider the cluster shown in Fig. 7. The number inside each node is the task's execution time. Since we consider a single cluster , there is no communication cost between the tasks of cluster . The ready times of the inputs of are 5, 2, and 10 as shown in the ﬁgure. We determine the ready times of tasks , , , and to be 5, 2, 10, and 13, respectively. Thus, the optimal scheduling of tasks is given by with which cluster ﬁnishes execution at time 18. Note, that we had to choose whether task or will be the ﬁrst to be executed. However, since the ready time of is larger than that of , scheduling task ﬁrst would lead to a schedule with which execution of ﬁnishes at time 21. We also observe that the MinTime of each task needs to be stored apart from its label. This time is then used to compute the ready time of its successors and to compute the ready time for any cluster that has the current task as one of its inputs. Thus, for each task , we store a tuple MinTime where is the label of . Note that we still only consider convex clusters for parallel execution model. Next a branch and bound algorithm and effective pruning techniques will be presented. B. Bounds of Our clustering approach computes the minimum ﬁnish time of tasks in topological order. Interestingly, we ﬁnd that the lower and upper bounds of MinTime can be calculated based on the MinTime values of its inputs, which is useful for pruning the search space. The lower bound of MinTime is LowerBound Max MinTime ExecTime (3) Proof: Consider the task shown in Fig. 8 with its inputs . The minimum ﬁnish time of the input of is given by MinTime . Task cannot start execution until all it inputs are ready. Hence, task cannot begin execution earlier than MinTime . So, the lower bound on the MinTime is given by (3). The upper bound of MinTime is UpperBound Max MinTime Comm ExecTime (4) Fig. 9. ARMS-P algorithm. Proof: Consider the task shown in Fig. 8. Now, suppose we create a new cluster consisting only of task . The ready time for input of the cluster is given by MinTime Comm . Hence, node cannot begin execution earlier than MinTime Comm . Thus, we have obtained a cluster rooted at task which can ﬁnish execution in time ExecTime . Since MinTime FinishTime for all clusters rooted at , , which is the same as the right hand side in (4), is an upper bound on MinTime . C. Branch and Bound Algorithm We now present the branch and bound algorithm for clustering tasks to obtain a solution with optimal latency. In our algorithm, shown in Fig. 9, we compute the values of the tuple MinTime of the tasks in topological order. Because we label the node in topological order, the values of MinTime for all inputs of have been computed already. Fig. 10. FindMinTime function. When considering task , we construct a decision tree for enumerating a series of convex clusters rooted at node consisting of nodes in the set . The tasks in are placed in a list in reverse topological order. Initially, the cluster consists of a single task . Each node of the decision tree takes the next task in and decides whether to grow cluster by adding to (lines 15–23 in Fig. 10) or to keep by ignoring and moving to the next node in the list (line 27 in Fig. 10). Let the highest label among all tasks in be . We initialize MinTime to be its upper bound before the search begins. For each cluster rooted at , we ﬁrst determine the ready time for all of its inputs. This is obtained as follows: We then compute the minimum ready time for each task in cluster by traversing the subgraph in topological order. The tasks in are then scheduled to run in nondecreasing order of their ready times, which gives us an optimal schedule for cluster (lines 18–19 in Fig. 10). With this schedule, we determine the ﬁnish time of cluster , and hence the ﬁnish time of task . If this ﬁnish time is less than the current MinTime , we update MinTime accordingly. and 14, respectively. We create a new cluster , with the MinTime and start building the decision tree. Task is ﬁrst considered and included in cluster . The new cluster has an optimal scheduling order of followed by . The ﬁnish time of cluster is 14, which is the same as the current value of MinTime . Suppose, we then consider task and include it in cluster to get a new cluster . The ﬁnish time of is 13 and hence, we update the value of MinTime . Note that 13 equals to the lower bound of MinTime ; therefore, we can terminate the search immediately. D. Pruning Techniques The number of clusters rooted at any task might become unmanageably large if we simply enumerate all convex clusters. Hence, we introduce several effective pruning techniques to achieve acceptable computation times. The pruning techniques can be classiﬁed into two kinds. 1) Bound Based: These techniques utilize the bounds computed on the MinTime of a task as well as the stage period constraint given in the problem. Using the previous example, we show in Fig. 11 the working of the algorithm when it examines task in the graph. Part (a) of Fig. 11 shows how the cluster rooted at grows while part (b) shows what the decision tree looks like. The MinTime of the inputs of have been computed to be 7 and 9 for and , respectively. The lower and upper bounds of MinTime are 13 Stage Period-Based Pruning: If the LowerBound of is greater than the stage period , then there does not exist any cluster rooted at such that can be labeled . Hence, we need not enumerate any cluster rooted at and label as straightaway. Ready Time-Based Pruning: The second pruning technique avoids computing the optimal schedule for a given cluster if it is able to determine that the cluster cannot lead to a better solution. Consider cluster rooted at task and a task that provides input data for some task in cluster . Let us denote by the value Essentially, represents the time at which the output of is available for cluster . Now, consider cluster , and compute the time at which the output of is available to the rest of the tasks in the cluster . Denote this value by If , then we need not compute the optimal schedule for cluster . This is because including task in cluster does not improve the minimum starting time of any node in and hence cannot give a better solution than (lines 16–17 in Fig. 10). However, we still need to grow further along the inputs of . For the example in Fig. 12, if we consider the branch which adds node to cluster , we get a new cluster as shown in Fig. 12. In this cluster, is given by 8 which is the same as the value of in cluster . We note that in cluster , the minimum ready time of any task will not decrease and the value of MinTime does not decrease. Thus, we can avoid determining the optimal schedule for cluster . 2) Structure Based: The structure-based pruning technique is based on the fact that we shall consider only convex clusters. As explained in the previous section, we use a decision tree to enumerate convex clusters rooted at a task . Suppose we are at node in the decision tree, is the cluster built when we reach node and is the next task to be considered. If adding task to makes the resulting cluster nonconvex, we can prune the whole branch at node that adds task to (line 15 in Fig. 10). Recall that the decision tree is constructed in reversed topological order. We can guarantee that there does not exist a set of tasks in the subtree of such that is a convex cluster. VI. EXPERIMENTAL RESULTS We implemented our algorithms in a C++/Unix environment. First, a set of task graphs generated by TGFF [3] tool are used to evaluate the run time of the algorithm. The TGFF tool is ﬁrst used to generate 20 acyclic task graphs with 25 to 100 tasks for each graph. We set the tasks' average execution time to be 100 and the variation to be 50. Fig. 14 shows the comparison of the sequential execution and parallel execution models in terms of application latency. The curve shows the percentage of latency reduction due to parallel execution under various stage period constraints. When the stage period is tight, there is no substantial latency improvement. Increasing the stage period from 120 to 250, we can see that the latency reduction improves signiﬁcantly thanks to the task-level parallelism. On average, the highest average reduction is about 52%. When we further increase the stage period, latency improvement drops slowly because sequential model can grow a large cluster as well under loose period constraints. The associated cost with parallel execution is more processor usage. On average about 30% more processors will used to achieve 50% latency reduction. For example, in Fig. 13, suppose we reach the node in the decision tree where we have cluster , task is not added and task is being considered for inclusion in . This makes the cluster nonconvex as shown in Fig. 13, and hence we need not proceed further along the branch, i.e., we need not consider tasks and along this branch. We have also measured the effectiveness of our pruning techniques. Thirty tasks graphs were generated by TGFF with various number of task nodes. We set the stage period to be inﬁnite so that the performance of the labeling algorithm can be accurately measured. As shown in Fig. 15, if the number of nodes in the graphs is less than 20, the speedup is negligible. When the graph size increases, the average speedup goes up to 11 X and 20 X on average for graphs with less than 30 and 40 nodes, respectively. When graph sizes increase to more than 40 nodes, pruning techniques bring signiﬁcant performance improvement over the brute-force search. On average, the speedup is about 2500 X. For some cases, the run time is tremendously long (more than 20 hours) with the brute-force search while the search with our proposed pruning needs less than ﬁve seconds. Therefore, our proposed pruning techniques can effectively reduce the computation time while proving optimal solutions. In addition, a real life benchmark, Motion JPEG (MJPEG) encoder, which was provided to us by the UC Berkeley Metropolis Group, is also used as an example to evaluate our system. MJPEG is a video codec where each video frame is separately compressed into a JPEG image. The resulting quality of intraframe video compression is independent from the motion in the image which differs from MPEG video. MJPEG is best suited for broadcast resolution interlaced video or IP-based video cameras. It consists of data preprocessing, discrete cosine transform, quantization, and Huffman encoding. To optimize the throughput, we process in parallel the three color components Y, Cb and Cr shown in Fig. 16 by taking advantage of the data parallelism. To evaluate the synthesis result, a Xilinx XUP Virtex II Pro development system [28] is used. The Microblaze [28], which is a single-issue, in-order RISC soft core provided by Xilinx, is used as our processor. The dedicated point-to-point inter-core communication links are implemented with the Xilinx's Fast Simplex Link. The Xilinx's EDK 8.1 and ISE 8.1 are used to construct and synthesize the processor network on the FPGAs. Our tool can automatically generate the hardware and software conﬁguration for EDK, which signiﬁcantly shortens the development time. of 96 72. Since the tasks operate on 8 8 blocks, we measured the throughput of the system with the number of processed blocks per second. We use our tool to search all the interesting design points. If all the tasks are implemented on a processor, we have the upper bound for the stage period. Since the execution time of DCT module is the largest among all the tasks, we can use its execution time as the lower bound for the feasible stage period. Then the tool tries all the stage periods in this range. For those generated conﬁgurations which use the same number of processors, we only keep the result with the smallest stage period. Finally, the tool ﬁnds ﬁve different conﬁgurations. The higher the throughput required, the more resources used to process tasks simultaneously. In the ﬁve conﬁgurations, the slowest processing occurs when using a single processor to achieve a throughput of 2.76 Kblocks/s. When using seven processors, we could achieve 16.6 Kblocks/s, which is more than 6 X improvement. Fig. 17 shows the required and actual throughput in the synthesis results. The actual throughput is at most 4.7% and on average 1.9% away from the required throughput. So we can see that our cost model and synthesis algorithm is accurate enough to capture the system behavior. As a result, the estimated throughput is very close to the actual throughput measured on the FPGA board. We have applied our tool to explore the different design tradeoffs for the MJPEG example. The raw images have a dimension The number of pipeline stages and latency of these conﬁgurations are shown in Fig. 18. When a tighter stage period is required, we usually need to increase the pipeline stages. As shown in Fig. 18, the single processor implementation has only one pipeline stage, while other implementations need 2, 3, and 5 pipeline stages, respectively, to process the data. However, Fig. 19. Communication costs of various implementations. TABLE I RESOURCE USAGE FOR VARIOUS IMPLEMENTATIONS the actual latency, measured by the product of the number of pipeline stages and the stage period as shown in Table I, may not increase since the stage period is shortened. The seven-processor implementation achieves the best throughput and latency. We also compare the communication costs among all the implementations. Fig. 19 shows the data transfer of various implementations. The data communication increases signiﬁcantly when we map the tasks onto more processors. When all of the tasks are scheduled on a processor, there is no data transfer. The seven processor implementation needs to transfer 126.6 kB of data for each frame. Apart from the experiments presented above, we also compare our results with the ILP solutions. In our ILP formulation, we try to minimize the resources under a throughput constraint. The ILP constraints are similar to [10]. We use the LPsolve [27] as the ILP solver and set the timeout to be four hours. Our experiment shows that ILP solutions take an unacceptable amount of time for some conﬁgurations (more than four hours), while our tool can ﬁnish all the computation in less than one second. For the ﬁve different throughput constraints, the results generated by our tool use the same number of processors as the ILP results. Moreover, most of the ILP solutions need more pipeline stages to process data as the ILP formulation does not consider latency minimization. In the worst case, the number of pipeline stages increases by 50%. VII. CONCLUSION In this paper, we present the theory and a framework for synthesizing ASPN systems for stream-oriented embedded applications. A set of efﬁcient algorithms have been proposed to optimize latency and resources under the throughput constraint. This framework can help designers quickly explore the design space and make preferred tradeoffs. Extensive experiments show the efﬁciency of our approach. The application of our approach to the MJPEG encoding example shows interesting results by trading off costs for performance. In our future work, we are going to investigate synthesis techniques and extend our current work for application-speciﬁc heterogeneous multiprocessor system synthesis. The systems contain various heterogeneous processing elements such as programmable cores, DSP cores, and coprocessors, which would be more efﬁcient for speciﬁc applications in terms of performance, cost, and power. ACKNOWLEDGMENT The authors would like to thank Dr. I. Bolsen from Xilinx, Inc., for his stimulating discussion on synthesis of networks of soft-core processors. They would also like to thank the UC Berkeley Metropolis Group, including Prof. A. SangiovanniVincentelli, D. Densmore, and A. Davare for providing them the Motion JPEG example. REFERENCES [1] J. Cong, H. Li, and C. Wu, "Simultaneous circuit partitioning/clustering with retiming for performance optimization," in Proc. ACM Design Automation Conf., 1999, pp. 460–465. [2] J. Cong, G. Han, and W. Jiang, "Synthesis of an application-speciﬁc soft multiprocessor system," in Proc. 15th ACM/SIGDA Int. Symp. Field Programmable Gate Arrays, Monterey, CA, Feb. 2007, pp. 99–107. [3] R. P. Dick, D. L. Rhodes, and W. Wolf, "TGFF: Task graph for free," in Proc. 6th Int. Workshop Hardware/Software Codesign, Mar. 1998, pp. 97–101. [4] R. P. Dick and N. K. Jha, "MOGAC: A multiobjective genetic algorithm for hardware-software cosynthesis of distributed embedded systems," IEEE Trans. Comput.-Aided Des. Integr. Circuits Syst., vol. 17, no. 10, pp. 920–935, Oct. 1998. [5] S. Dutta, R. Jensen, and A. Rieckmann, "Viper: A multiprocessor SOC for advanced set-top box and digital TV systems," IEEE Design Test, vol. 18, no. 5, pp. 21–31, Sep. 2001. [6] H. El-Rewini, T. Lewis, and H. Ali, Task Scheduling in Parallel and Distributed Systems. Englewood Cliffs, NJ: Prentice-Hall, 1994. [7] M. Grajcar, "Genetic list scheduling algorithm for scheduling and allocation on a loosely coupled heterogeneous multiprocessor system," in Proc. 36th ACM/IEEE Conf. Design Autom., New Orleans, LA, 1999, pp. 280–285. [8] P. D. Hoang and J. M. Rabaey, "Scheduling of DSP programs onto multiprocessors for maximum throughput," IEEE Trans. Signal Process., vol. 41, no. 6, pp. 2225–2235, Jun. 1993. [9] A. Jerraya and W. Wolf, Multiprocessor Systems-on-Chip. New York: Elsevier, 2005. [10] Y. Jin, N. Satish, K. Ravindran, and K. Keutzer, "An automated exploration framework for FPGA-based soft multiprocessor systems," in Proc. Int. Conf. Hardware/Software Codesign Syst. Synth., Sep. 2005, pp. 273–278. [11] I. Karkowski and H. Corporaal, "Design of heterogenous multi-processor embedded systems: Applying functional pipelining," in Proc. Conf. Parallel Architectures Compilation Tech. (PACT '97), San Francisco, CA, 1997, pp. 156–165. [12] E. L. Lawler, K. N. Levitt, and J. Turner, "Module clustering to minimize delay in digital networks," IEEE Trans. Comput., vol. C-18, no. 1, pp. 47–57, Jan. 1966. [13] E. A. Lee and D. G. Messerschmitt, "Synchronous dataﬂow," Proc. IEEE, vol. 75, no. 9, pp. 1235–1245, Sep. 1987. [14] E. A. Lee and T. M. Parks, "Dataﬂow process networks," Proc. IEEE vol. 83, no. 5, pp. 773–799, May 1995. , [15] J. K. Lenstra, A. H. G. R. Kan, and P. Brucker, "Complexity of machine scheduling problems," Ann. Discrete Math., vol. 1, pp. 343–362, 1977. [16] D. Pham, S. Asano, M. Bolliger, M. N. Day, H. P. Hofstee, C. Johns, J. Kahle, A. Kameyama, J. Keaty, Y. Masubuchi, M. Riley, D. Shippy, D. Stasiak, M. Suzuoki, M. Wang, J. Warnock, S. Weitzel, D. Wendel, T. Yamazaki, and K. Yazawa, "The design and implementation of a ﬁrst-generation CELL processor," in ISSCC Dig. Tech. Papers, Feb. 2005, pp. 184–185. [17] S. Prakash and A. C. Parker, "SOS: Synthesis of application-speciﬁc heterogeneous multiprocessor systems," J. Parallel Distrib. Comput., vol. 16, pp. 338–351, 1992. [18] R. Rajaraman and D. F. Wong, "Optimal clustering for delay minimization," in Proc. ACM Design Autom. Conf., 1993, pp. 309–314. [19] K. Ravindran, N. Satish, Y. Jin, and K. Keutzer, "An FPGA-based soft multiprocessor system for IPv4 packet forwarding," in Proc. 15th Int. Conf. Field Programmable Logic Applicat., Aug. 2005, pp. 487–492. [20] V. Sarkar and J. Hennessy, "Compile-time partitioning and scheduling of parallel programs," in Proc. SIGPLAN'86 Symp. Compiler Construction, 1986, pp. 17–26. [21] S. Sriram and S. S. Bhattacharyya, Embedded Multiprocessors: Scheduling and Synchronization. New York: Marcel Dekker, 2000. [22] J. Subhlok and G. Vondran, "Optimal use of mixed task and data parallelism for pipelined computations," J. Parallel Distrib. Comput., vol. 60, no. 3, pp. 297–319, 1997. [23] J. D. Ullman, "NP-complete scheduling problem," J. Comput. Syst. Sci., vol. 10, pp. 384–393, 1975. [24] M. Wolf, "The deﬁnition of dependence distance," ACM Trans. Programming Lang. Syst., vol. 16, no. 4, pp. 1114–1116, 1994. [25] W. Wolf, "An architectural co-synthesis algorithm for distributed, embedded computing systems," IEEE Trans. Very Large Scale Integr. (VLSI) Syst., vol. 5, no. 2, pp. 218–229, Jun. 1997. [26] Altera Corp. [Online]. Available: http://www.altera.com. [27] LPsolve. [Online]. Available: http://www.cs.sunysb.edu/~algorith/implement/lpsolve/implement.shtml. [28] Xilinx, Inc. [Online]. Available: http://www.xilinx.com. [29] Intel Corp. [Online]. Available: http://www.intel.com. [30] Advanced Micro Devices, Inc. [Online]. Available: http://www.amd. com. Jason Cong (S'88–M'90–SM'96–F'00) received the B.S. degree from Peking University, Beijing, China, in 1985, and the M.S. and Ph.D. degrees, both from University of Illinois at Urbana-Champaign, Urbana, in 1987 and 1990, respectively, all in computer science. Currently, he is a Professor and the Chairman of the Computer Science Department of University of California, Los Angeles (UCLA). He is also a Codirector of the VLSI CAD Laboratory. He served on the ACM SIGDA Advisory Board, the Board of Gov- Board of a number of electronic design automation (EDA) and silicon IP companies, including Atrenta, eASIC, Get2Chip, Magma Design Automation, and Ultima Interconnect Technologies. He was the Founder and President of Aplus Design Technologies, Inc., until it was acquired by Magma Design Automation in 2003. Currently, he serves as the Chief Technologist Advisor at Magma. Additionally, he has been a Guest Professor at Peking University since 2000. His research interests include CAD of VLSI circuits and systems, design and synthesis of system-on-a-chip, programmable systems, novel computer architectures, nanosystems, and highly scalable algorithms. He has published over 230 research papers and led over 30 research projects supported by Defense Advanced Research Projects Agency, NSF, SRC, and a number of industrial sponsors in these areas. Dr. Cong received the Best Graduate Award from Peking University in 1985, and the Ross J. Martin Award for Excellence in Research from the University of Illinois at Urbana-Champaign in 1989. He received the NSF Young Investigator Award in 1993, the Northrop Outstanding Junior Faculty Research Award from UCLA in 1993, and the ACM/SIGDA Meritorious Service Award in 1998. He has received three best paper awards including the 1995 IEEE TRANSACTIONS ON COMPUTER-AIDED DESIGN Best Paper Award, the 2005 International Symposium on Physical Design Best Paper Award, and the 2005 ACM Transaction on Design Automation of Electronic Systems Best Paper Award. He also received SRC Inventor Recognition Awards in 2000 and 2006, and the SRC Technical Excellence Award in 2000. He served on the technical program committees and executive committees of many conferences, such as Asia and South Paciﬁc Design Automation Conference, Design Automation Conference (DAC), FieldProgrammable Gate Arrays, International Conference on Computer Aided Design, International Symposium on Circuits and Systems, International Symposium on Physical Design (ISPD), and International Symposium on Low Power Electronics and Design (ISLPED), and several editorial boards, including the IEEE TRANSACTIONS ON VERY LARGE SCALE INTEGRATION (VLSI) SYSTEMS and the ACM Transactions on Design Automation of Electronic Systems. Karthik Gururaj received the B.S. degree from IIT Madras, Chennai, India. He is currently pursuing the Ph.D. degree at the University of California, Los Angeles. His research interests include processor-based synthesis for low power and reliability. Guoling Han received the B.S. and M.S. degrees in computer science from Peking University, Beijing, China, in 1999 and 2002, respectively, and the Ph.D. degree from University of California, Los Angeles, in 2007. His current research interests include platform-based system-level synthesis, and compilation techniques for reconﬁgurable systems and high-level synthesis. Wei Jiang received the B.S. and M.S. degrees in computer science from Peking University, Beijing, China, in 1999 and 2002, respectively. He is currently pursuing the Ph.D. degree at the University of California, Los Angeles. ernors of the IEEE Circuits and Systems Society, and the Technical Advisory His current research interests include program analysis and transformation techniques for behavioral and system-level synthesis.
RESEARCH ARTICLE Awareness of Breast Cancer among Female Care Givers in Tertiary Cancer Hospital, China Negalign Getahun Dinegde 1 , Li Xuying 2 * Abstract Objective: Breast cancer is a worldwide public health issue and most common cancer diagnosed among women including China, where advanced stages at diagnosis appears to be increasing and an ever-rising incidence twice as fast as global rates. The study was conducted to describe the awareness of breast cancer and associated factors among care giver women in tertiary Cancer Hospital, China. Methods: Institutional based cross-sectional study was conducted among 261 women selected by systematic random sampling. Information provided by the participants was converted into awareness scores for analysis using SPSS version 23. Awareness scores were dichotomized in to 'good awareness and 'poor awareness' taking median score=11 as the cut-off point. Data analysis was performed using the binary logistic regression. A p-value of <0.05 was considered statistically significant. Result: The study showed that 46.7% of the respondents had good awareness. Breast lump was the most commonly known symptom of cancer by 61.7% of the respondents. Slightly more than half of the study participants acknowledged having a past history of breast cancer, drinking alcohol and having close relative with breast cancer as potential risk factors for breast cancer (63.6%, 58.6%, and 55.6% respectively). Nevertheless, a vast majority of the study participants were unable to appreciate modifiable risk factors of the disease. More than half of the participants had never/rarely checked their breasts and all of the participants wrongly answered breast cancer knowledge age related risk. Awareness level was significantly associated with entertainment preference (OR=3.57; 95%CI=1.71, 7.44) and residence setting areas (OR=2.4; 95%CI=1.04, 5.69). Conclusion: The study indicated suboptimal awareness while entertainment preference and residence setting were significantly associated with awareness level. Public awareness campaigns should be made by dissemination of information about breast cancer through health education and printed Medias with great emphases on women living in rural areas. Keywords: Awareness- breast cancer- female care givers Asian Pac J Cancer Prev, 18 (7), 1977-1983 Introduction Breast cancer is a worldwide public health issue malignant tumor that starts in the cells of the breast, and the most common cancer diagnosed among women in the world, regardless of race or ethnicity, with incidence appears to be increasing (Boyle, 2005; CDC. Cfdcap, 2016). According to GLOBOCAN estimates, more than half (52.9%) of 1.67 million new breast cancer cases were diagnosed in developing countries in 2012, while the corresponding figure for 1980s was only 35% (Hossain MS et al., 2014; Ferlay et al., 2015). In China, the health burden of breast cancer is increasing, with 248,620 breast cancer patients newly diagnosed in 2011, accounting for 17.1% of all female cancers (Chen et al., 2013). According to the Chinese National Central Cancer Registry, the disease is the most common cancer among urban women and the fourth most common cancer in rural areas with an estimated incidence of 25.89 cases per 100,000 women (Fan Lei et al., 2014; Ferlay et al., 2015; Wang et al., 2016). In the past two decades, China experienced an ever-increasing incidence of breast cancer, twice as fast as global rates (Wang and Yu, 2015). Zheng et al., (2016) found that women breast cancer prevalence estimates in China for 5 years was 1.02 million. Unless this trend is slowed, incidence of breast cancer in China is expected to rise from less than 60 cases per 100, 000 women aged 55–69 years to more than 100 cases per 100,000 women by 2021, reaching 2.5 million cases overall by 2021. The mean age at diagnosis of breast cancer in China is 45-55 years, much younger than 65 years in the United States and as well as other western countries (WHO, 2011). Early diagnosis of breast cancer has been clearly shown to reduce mortality and improve survival (Berry et al., 2005; Guvenc et al., 2012). China has no nationwide screening program for breast cancer at present, however, National Health and Family Planning commission of China began to carry out the relevant screening program since 2010 in rural Chinese women, which is called "Two-cancer" (cervical cancer and breast cancer) screening (Federations. TMoHaWs, 2010; Fan et al., 2014). Findings from a multicenter nationwide study in China showed that 15·7% of patients were diagnosed at stage I, 44·9% at stage II, 18·7% at stage III, and 2·4% at stage IV disease (Wang and Yu, 2015). Increasing comprehensive knowledge and awareness of breast cancer could facilitate its early detection. It can be more effectively treated in an earlier stage than when clinical signs and symptoms present, justifying early detection efforts (Lannin et al., 1998; Karayurt et al., 2008; Olajide et al., 2014). The percentages of females who had experienced breast cancer early detection test was low, and more in advanced stage at diagnosis among those tested for the case. In addition, there is a marked underutilization of existing public screening services for breast cancer (Bao et al., 2014; Fan et al., 2014; Liu et al., 2014). The same study indicated an inadequate awareness of and misconceptions about breast cancer were identified as barriers that affect the utilization of the existing public screening services. Breast cancer awareness and effective screening program improve cognitive level and health behaviors of women for the prevention and treatment of breast cancer thereby reducing the incidence and mortality of breast cancer. Planning these interventions effectively requires knowledge about the prevalent awareness about breast cancer and women's health-seeking behavior. However, a few studies were done to evaluate comprehensive awareness levels about risk factors, early warning signs, and therapeutic and screening modalities as well as the predictive factors. This study aimed to determine breast cancer related knowledge, awareness, risk factors and screening behaviors among Chinese female care givers in order to introduce the best intervention plans. Materials and Methods The descriptive cross-sectional study design was conducted in tertiary cancer hospital to describe awareness of breast cancer and determine whether sociodemographic and potential determinant factors were predictive of breast cancer awareness level. The source population of the study was all from 18 to 65 years old female caregivers in the hospital from September 5, 2016 through October 20, 2016. Care givers were family, friend, or relative person who help and protect patient with activities of daily living throughout the admission period. Ethical permission to conduct the study was granted by Central South University institutional review board (2017008). Verbal consent was taken and participants who freely agreed to participate were enrolled in this study. A total of 261 volunteered and successfully completed the questionnaire. Data collection methods and tools The Breast-Cancer Awareness Measure developed by Cancer Research UK, King's College London and University College London in 2009 and validated with the support of Breast Cancer Care and Breakthrough Breast Cancer was adopted as data collection tool. Breast Cancer Awareness Measure (Breast CAM) Toolkit was updated in February 09, 2011 (Cancer Research UK KsCLaUCL, 2011). The questionnaire used in this study had a total of 27 knowledge questions, of which 11 assessed knowledge about symptoms of breast cancer, 9 assessed knowledge related to breast cancer risk factors, 2 assessed about confidence, skills and behavior in relation to breast changes, 3 assessed breast cancer detection methods, treatment and prevention, and 2 assessed about knowledge of age related and lifetime risk. The Brislin double scale localization and translation method was used to adopt the scale to the current study setting. Six experts evaluated the content validity of the questionnaire and content validity index (CVI) was 0.93. The result of internal consistency was analyzed using Cronbach 's alpha coefficient, which was 0.964. The revised Chinese version had Pearson correlation coefficient of 0.782 (P < 0.01), suggesting the revised Chinese Breast - CAM scale has good validity. The whole scale Guttman binary coefficient was 0.867 and retest reliability was 0.763 which found within the acceptable range. A cross-sectional survey used structured questionnaires with randomly selected sample of 261 and self-administered questionnaires were used, and in case where participants were unable to fill the questionnaire (due to illiteracy) an interviewer assisted the respondent in filling the questionnaire. Data processing and analysis Data double entered in to Epidata 3.1 and analyzed using the statistical package of social sciences (SPSS) version-23. Descriptive statistics and logistic regression were used. The 95% confidence interval (CI) was estimated and the P-value < 0.05 was considered as significant level. Each correct answer on the knowledge domain questionnaire was assigned a score of 1 (aware), while an incorrect answer was awarded a score of 0 (not aware). A total score for each participant was computed by summing the number of correct answers. The knowledge domain has a total of 27 questions and median of awareness score (11) was used as a cut-off point. Based on cut-off points participants were categorized in good awareness (scores above 11) and poor awareness (scores of 11 and less). Also, for each response the proportion of women who have known the right answer was calculated to give the prevalence of awareness. Results Sociodemographic characteristics A total of 261 women participated in the study with 100% response rate. The mean age was 35.93 years. The sample was fairly educated with 86.2% of the respondents attended at least secondary school and about half of the respondents (51%) were house wife and farmer by occupation. Participants were mostly nonreligious (81.5%) and married (75.9%). Table 1 summarizes sociodemographic characteristics of respondents of the study. Awareness of breast cancer and recall of its warning signs and risk factors More than half of the study participants acknowledged having a past history of breast cancer, drinking alcohol and having close relative with breast cancer as potential risk factors for breast cancer (63.6%, 58.6%, and 55.6% respectively). A vast majority of the study participants were unable to recognize moderate physical activity (71.6%), late menopause (68.2%), and starting period at early age (67.4%) as potential risk factors (see Figure 2). In this study, 122 (46.7%) women had good awareness about breast cancer and 139 (53.3%) poor awareness. Breast lump or thickening in breast' was the most commonly known symptom of cancer (61.7%), whereas recall of none lamp warning signs was poor. Only one in four women (24.1%) know a nipple rash sign. The percentage of participants who had scores indicating correct knowledge regarding warning signs shown in Figure 1. History and information source of breast cancer Around four in five (82.4%) study participants had ever heard of information about breast cancer. Media was the most common information source (73%) followed by family/friend 74 (34.4%), health care worker 68 (31.6%), and NGO campaigns 10 (4.7%). Half of 120 (48.6%) the respondents reported that they had positive families' and/ or friends' history of breast cancer among which family history occupies 59 (49.1%) while friends' history was 61 (50.9%). Insurance access and entertainment preference The vast majority of the participants have access to insurance 195 (78.9%) and few of them have personal Table 1. Sociodemographic Characteristics of Study Participants in Hunan Cancer Hospital, Changsha, China, April, 2017 (N=261) \| Category \| Answer \| n \| % \| \|---\|---\|---\|---\| \| Age group(years) \| ≤33 \| 114 \| 43.7 \| \| \| 34-49 \| 117 \| 44.8 \| \| \| ≥50 \| 30 \| 11.5 \| \| \| Mean(SD) \| 35.93 (10.29) \| \| \| Educational status \| Primary school and below \| 36 \| 13.8 \| \| \| Secondary school \| 117 \| 44.8 \| \| \| College and above \| 108 \| 41.4 \| \| Marital status \| Without partner \| 63 \| 24.1 \| \| \| With partner \| 198 \| 75.9 \| \| Occupation \| Students \| 28 \| 10.9 \| \| \| Employed \| 96 \| 37.4 \| \| \| Farmer \| 50 \| 19.5 \| \| \| House wife \| 83 \| 32.3 \| \| Income(annual) \| <15,000 \| 108 \| 46.2 \| \| \| ≥15,000 \| 126 \| 53.8 \| \| Residence setting \| Urban \| 135 \| 52.1 \| Religion not reported by 13 participants; Occupation not reported by 4 participants; Income not reported by 27 participants history of chronic disease 22 (8.4%). Mass media was the most common entertainment preference 190 (72.81%) followed by physical activity 137 (52.5%), music and parties 113 (43.3%), and reading 81 (31%). Breast checkups and knowledge of age related risk Of 261 participants asked about frequency of breast checkups, 159 (60.9%) had never/rarely checked their breasts, 46 (17.6%) checked their breasts at least once every 6 months, 23 (8.8%) checked their breasts at least once a month, 33 (12.7%) don't have knowhow about. All (100%) of the participants wrongly answered breast cancer knowledge age related risk and only 53 (20.3%) correctly recognized the estimated lifetime risk of developing breast cancer to be 1 in 8 for a woman. Screening, management and campaigns of breast cancer The most widely used methods for the early detection were breast self-examination (60.5%), mammography (42.5%) and ultrasound (41.4%). Around 125 (47.9%) of Table 2. Factors associated with Awareness of Breast Cancer among Care Giver Women Attending Hunan Cancer Hospital, Changsha, China, 2017 (N=261) * Significant at p<0.05; AOR, adjusted odds ratio; OR, Odds ratio; CI, Confidence intervals. \| Characteristics \| Awareness level n (%) \| \| COR (95%CI) \| \|---\|---\|---\|---\| \| \| Good \| Poor \| \| \| Respondents’ educational status \| \| \| \| \| Primary and less \| 10 (27.8%) \| 26 (72.2%) \| 0.21 (0.09-0.48) * \| \| Secondary school \| 42 (35.9%) \| 75 (64.1%) \| 0.3 (0.18-0.53) * \| \| College and above \| 70 (64.8%) \| 38 (35.2%) \| 1 \| \| Cohabitation \| \| \| \| \| Living alone \| 37 (58.7%) \| 26 (41.3%) \| 1.2 (1.06-3.36) * \| \| Living with partner \| 85 (42.9%) \| 113 (57.1%) \| 1 \| \| Income status \| \| \| \| \| <15,000RMB \| 50 (46.3%) \| 58 (53.7%) \| 0.98 (0.59-1.64) \| \| ≥15,000RMB \| 59 (46.8%) \| 67 (53.2%) \| 1 \| \| Occupation \| \| \| \| \| Students \| 17 (60.7%) \| 11 (39.3%) \| 2.46 (1.02-5.93) * \| \| Employed \| 53 (55.2%) \| 43 (44.8%) \| 1.96 (1.08-3.57) * \| \| Farmer \| 17 (34%) \| 33 (66%) \| 0.82 (0.39-1.71) \| \| House wife \| 32 (38.6%) \| 51 (61.4%) \| 1 \| \| Reading as entertainment \| \| \| \| \| Yes \| 57 (70.4%) \| 24 (29.6%) \| 4.2 (1.06-3.36) * \| \| No \| 65 (36.1%) \| 115 (63.9%) \| 1 \| \| Residence \| \| \| \| \| Urban \| 77 (56.6%) \| 59 (43.4%) \| 2.32 ( (1.41-3.82) * \| \| Rural \| 45 (36%) \| 80 (64%) \| 1 \| \| Age \| \| \| \| \| 18-33 \| 67 (58.8%) \| 47 (41.2%) \| 2.12 (0.94-4.86) \| \| 34-49 \| 74 (36.8%) \| 43 (63.2%) \| 0.87 (0.38-1.98) \| \| 50-65 \| 12 (40%) \| 18 (60%) \| 1 \| \| Health worker as information source \| \| \| \| \| Yes \| 41 (60.3%) \| 27 (39.7%) \| 1.81 (1.01-3.25) * \| \| No \| 67 (45.6%) \| 80 (54.4%) \| 1 \| the respondents believed that breast cancer could be cured after early detection, about 103 (39.5%) believed that it is always curable, 27 (10.4%) don't know and 6 (2.3%) of the respondents believed that breast cancer is none curable. The finding showed that only 70 (26.8%) of the respondents had heard campaign about breast Screening Programme. Among 70 (26.8%) of the respondents who had heard campaign about breast Screening Programme, 41 (15.7%) have been invited for screening; however only 26 (10%) of the respondents have ever screened for breast cancer. As many as 179 (68.6%) of the respondents believed that breast cancer is preventable. Associations between awareness, sociodemographic factors and entertainment preferences Table 2 portrays factors that can predict and impose impact on acquiring good awareness about breast cancer using binary logistic regression. Among these variables, reading as an entertainment preference was significant and participants preferred reading as entertainment method were more aware than the others (OR=3.57, CI=1.71-7.44). In addition, Women living in urban setup showed better awareness level than those living in rural setting (OR=2.4, CI=1.04-5.69). Other variables; showed no significant association with awareness level. Discussion It is known that grounds for high breast cancer mortality comprise suboptimal information about the disease warning signs, risk factors, diagnosis and treatment. An increase in awareness about risk factors and risk-reducing strategies are important for the primary prevention of breast cancer and awareness-based early detection as an intervention for improving breast cancer survival as well. This study indicated that the level of awareness of breast cancer is poor among care giver women at a tertiary cancer hospital, Changsha. While most subjects (82.4%) had heard of breast cancer, only 46.7% had good awareness of it. A similar study done in eastern part of China reported that only 18.6% of women showed good breast cancer awareness (Liu et al., 2014). Even though both studies indicated suboptimal awareness level, observed percentage variation could be due to, in the eastern China study, 75% of the women attended less than high school and 72.2% of them were residents of rural setting. In addition, studies from other developing countries showed inadequate knowledge and awareness of breast cancer (Mahfouz et al., 2013; Radi, 2013; Al-Sharbatti et al., 2014; Karadag et al., 2014; Sathian et al., 2014; Tazhibi and Feizi, 2014; Grosomanidis et al., 2015; Dey et al., 2016; Islam et al., 2016; Terzioğlu et al., 2016). The similarity may be partially due to, in China and other developing countries there are no organized national or regional breast cancer programs. The most cheering finding from the study was that most of the participants (61.7%) were aware that breast lump is a symptom of breast cancer. However, the none lamp breast cancer symptoms were answered by less than half the respondents. These results were in line with other studies conducted in UK, Pakistan, Iran and Nepal, which also showed poor awareness of breast cancer symptoms (Linsell et al., 2008; Maqsood et al., 2009; Robb et al., 2009; Radi, 2013; Sathian et al., 2014). Contrary to this finding, in study done in Turkey and Saudi Arabia there was sufficient breast cancer awareness, this might be due to their sample was drawn from patients who visited private clinic with medical consultation and a breast health clinic and, the subjects were likely to be motivated by concerns about breast health, as a result they might be expected to be more knowledgeable than other women (Aydogan et al., 2015; Almutairi et al., 2016). In addition, this result is inconsistent with the study done in Nigeria as it revealed that 71.3% of the participants had sufficient knowledge of breast cancer, the reason might be the participants were women in Obafemi Awolowo University community comprising of students, academic and nonacademic staff, which could make them in more consciousness about breast cancer than others (Adebimpe and Oladimeji, 2014). Several factors affect an individual's risk of developing breast cancer, some of which are modifiable and largely related to lifestyle, social, economic and environmental factors. It is essential for women to know about these factors early in life so they can make the right lifestyle choices concerning these risk factors, since an increase in women's awareness can change their risk perceptions and behaviors. In this study, more than half of participants correctly identified that a personal and family history of breast cancer was a risk factor, which correlates with other researchers' findings conducted in UAE, Saudi Arabia and Eastern China (Radi, 2013; Al-Sharbatti et al., 2014; Liu et al., 2014; Almutairi et al., 2016). However, vast majority of the respondents were not well-informed about the risk possessed by hormone replacement therapy, having children latter on in life or not at all, body overweight, starting period at early stage and late menopause. These results were in line with other studies conducted in India and eastern part of China, which also showed poor awareness of breast cancer risk factors (Liu et al., 2014; Gupta et al., 2015). As the mean age of the participants are in the age range of making reproductive choices; they should, therefore, be aware about the risks linked with oral contraceptive use. Most of the biological risk factors are non-modifiable, however, behaviors like use of oral contraceptive, physical exercise, breastfeeding and initiation of regular BSE at an early age can reduce the risk of developing breast cancer. In this study, 158(60.5%) participants correctly identified early detection of breast cancer by BSE which is similar to the finding of a study done among Iranian adult women as 79% of the participants answered correctly (Radi, 2013). Similarly, Almutairi et al., (2016) study consistently indicated breast self-examination (BSE) awareness as 81.6% among Saudi women. Several studies suggest that BSE practice on a regular basis influences treatment, prognosis and survival rates. Furthermore, the majority of the participants were unaware that mammography is a useful method for the early detection of breast cancer which correlates with other researchers' findings (Al-Sharbatti et al., 2014; Sathian et al., 2014). A greater emphasis is required to address this poor awareness in future educational campaigns. There were also a substantial number of women who rarely or never checked their breasts and had a lack of confidence in being able to detect a breast change. This is in agreement with the studies conducted in UK by (Linsell et al., 2008) which found out that 31% of women reported low levels of confidence to detect a breast change and 19% rarely or never checked their breasts. It is shocking that the study revealed all of the participants not aware of the increased risk of breast cancer with age. This is also consistent with (Linsell et al., 2008) study which found out that 75% were not aware as age is a risk factor. This study showed that only 70 (26.8%) of the respondents had heard about breast Screening Programme, among which only 26 (10%) of the respondents have ever screened for breast cancer. The finding might have originated from the fact that in China there is no organized national or regional breast cancer screening programs. Breast cancer screening awareness in China as presently organized is ad‑hoc, by many NGOs using public service programs, the media and campaigns in the form of lectures and demonstration. The residence setting is also another effective In this study, reading as entertainment preference was found to be a significant determinant of breast cancer awareness. It was found that participants those used reading as entertainment preference had significantly higher awareness in comparison to other participants. This finding is similar to a study of (Hall et al., 2015) which indicated that print media was effective in increasing mammogram uptake in Savannah among low-income, African American women. Similarly, Siero et al., (1984) found out that after reading the pamphlet women showed greater intention to perform BSE regularly. This could be attributed to a higher estimation of the chance of recovery through early detection of lumps (efficacy) after reading the pamphlet. The health messages also appeared to have a positive influence on compliance with recommended behavior: women examined their breasts more in the prescribed way. Furthermore, several studies suggest that reading influence awareness of breast cancer (de Oliveira et al., 2012; Melnyk and Shepperd, 2012). predictor about breast cancer awareness level in this study. Accordingly, women living in urban area had significantly higher awareness level in comparison to those living in rural areas. This result was consistent with the study done in eastern part of China and Turkey (Liu et al., 2014; Aydogan et al., 2015). This might be due to residents of rural areas tend to have completed fewer years of education, face greater socioeconomic disadvantage and live farther from health care resources than their urban counterparts. In conclusion, the study revealed suboptimal awareness of breast cancer with reading as entertainment and residence setting are reported to be significantly associated with the awareness level. The study found out that majority of the respondents answered the most common symptom of breast cancer. while one fifth of the participants rarely or never checked their breasts, significant number of the participants were unaware that mammography is useful methods for the early detection of breast cancer. Vast majority of the respondents were not well-informed about the modifiable risk factors. Developing of public screening and educational program through health care system more emphasis on rural areas and less educated women. Promoting breast cancer awareness would lead to early detection and reduce the stage at diagnosis, potentially improving the odds of survival and cure with simpler and more cost-effective treatment. This study showed no significant correlation between the level of awareness and educational background. The study done by Gupta et al., (2015) is in line with this study which revealed low cancer literacy of breast cancer risk factors among Indian women, irrespective of their socio-economic and educational background. On the other hand, Grosomanidis et al., (2015) showed that Low breast cancer awareness was associated with low education. This might be due to the vast majority of participants lived in urban areas (83.4%), and as to the educational level, 71% were university graduates (or above), 26% were high school graduates and only 3% had graduated from elementary. In addition, several previous studies (Linsell et al., 2008; Karadag et al., 2014; Grosomanidis et al., 2015; Gupta et al., 2015; Dey et al., 2016) indicated that educational status positively correlated with awareness level of breast cancer. The effect of health professionals' exclusion in this study should be noted and also holding high educational qualification may not be related to the effect of the awareness level; especially as majority (73%) of the women considered the media to be the main source of their information. Funding Statement This work was supported by the Central South University and ministry of commerce, people's republic of China (grant number: CSC No 2015MPA503). Statement conflict of Interest We have NO affiliations with or involvement in any organization or entity with any financial interest and non-financial interest in the subject matter or materials discussed in this manuscript. References Adebimpe OA, Oladimeji BY (2014). Knowledge, attitude and awareness of breast and cervical cancer among women in Obafemi Awolowo University, Ile-Ife, Nigeria. Gender and Behaviour, 12, 6238-46. Almutairi KM, Ahmad M, Vinluan JM, Almutairi A (2016). Random cross-sectional determination of the level of awareness among female Saudi patients about breast cancer. J Cancer Educ, 31, 131-5. Al-Sharbatti SS, Shaikh RB, Mathew E, Al-Biate MA (2014). Assessment of breast cancer awareness among female university students in Ajman, United Arab Emirates. Sultan Qaboos Univ Med J, 14, e522-9. Aydogan U, Doganer YC, Kilbas Z, et al (2015). Predictors of knowledge level and awareness towards breast cancer among Turkish females. Asian Pac J Cancer Prev, 16, 275-82. Berry DA, Cronin KA, Plevritis SK, et al (2005). Effect of screening and adjuvant therapy on mortality from breast cancer. N Engl J Med, 353, 1784-92. Bao PP, Wang CF, Xu JY, et al (2014). Survey on knowledge and behavior of early detection for breast cancer among female residents in Shanghai. Zhong liu fang zhi za zhi, 21, 570-4. Boyle P (2005). Breast cancer control: Signs of progress, but more work required. Breast J, 14, 429-38. CDC. Cfdcap (2016). Breast cancer statistics. [EB/OL]. Cancer Research UK KsCLaUCL. (2011). Breast module of the cancer awareness measure (Breast-CAM) toolkit. Cancer of research UK, from https://www.cancerresearchuk. org/sites/default/files/health_professional_breast_cam_ toolkit_09.02.11.pdf. Chen W, Zheng R, Zhang S, et al (2013). Report of incidence and mortality in China cancer registries, 2009. Chung-kuo yen cheng yen chiu, 25, 10-21. Dey S, Sharma S, Mishra A, et al (2016). Breast cancer awareness and prevention behavior among women of Delhi, India: Identifying barriers to early detection. Breast Cancer (Auckl), 10, 147-56. de Oliveira MS, Santos MC, de Almeida PC, Panobianco MS, Fernandes AF (2012). Evaluation of an educational handbook as a knowledge-acquisition strategy for mastectomized women. Rev Lat Am Enfermagem, 20, 668-76. Fan L, Strasser-Weippl K, Li J-J, et al (2014). Breast cancer in China. Lancet Oncol, 15, e279-e89. Ferlay J, Soerjomataram I, Dikshit R, et al (2015). Cancer incidence and mortality worldwide: sources, methods and major patterns in GLOBOCAN 2012. Int J Cancer, 136, 359-86. Federations. TMoHaWs. (2010). Rural women "two cancer" inspection project management program, from http://www. nhfpc.gov.cn/fys/s3581/201007/02a20b251ac646f2896dbc 0b71a2cf92.shtml. Grosomanidis D, Charitidou E, Foka A, et al (2015). Breast cancer awareness among Greek women and potential determinants. Hellenic J Surg, 87, 289-97. Guvenc I, Guvenc G, Tastan S, Akyuz A (2012). Identifying women's knowledge about risk factors of breast cancer and reasons for having mammography. Asian Pac J Cancer Preve, 13, 4191-7. Gupta A, Shridhar K, Dhillon PK (2015). A review of breast cancer awareness among women in India: Cancer literate or awareness deficit?. Eur J Cancer, 51, 2058-66. Hall IJ, Johnson-Turbes A, Berkowitz Z, Zavahir Y (2015). The African American women and mass media (AAMM) campaign in Georgia: quantifying community response to a CDC pilot campaign. Cancer Causes Control, 26, 787-94. Hossain MS, Ferdous S, Karim-Kos HE (2014). Breast cancer in South Asia: a Bangladeshi perspective. Cancer Epidemiol, 38, 465-70. Karadag G, Gungormus Z, Surucu R, Savas E, Bicer F (2014). Awareness and practices regarding breast and cervical cancer among Turkish women in Gazientep. Asian Pac J Cancer Prev, 15, 1093-8. Islam RM, Bell RJ, Billah B, Hossain MB, Davis SR (2016). Authors' response to Letter to the Editor on awareness of breast cancer and barriers to breast screening uptake in Bangladesh: A population-based survey. Maturitas, 88, 58. Karayurt O, Ozmen D, Cetinkaya AC (2008). Awareness of breast cancer risk factors and practice of breast self examination among high school students in Turkey. BMC Public Health, 8, 359. Linsell L, Burgess CC, Ramirez AJ (2008). Breast cancer awareness among older women. Br J Cancer, 99, 1221-5. Lannin DR, Mathews HF, Mitchell J, et al (1998). Influence of socioeconomic and cultural factors on racial differences in late-stage presentation of breast cancer. JAMA, 279, 1801-7. Liu L-Y, Wang F, Yu L-X, et al (2014). Breast cancer awareness among women in Eastern China: a cross-sectional study. BMC Public Health, 14, 1004. Maqsood B, Zeeshan MM, Rehman F, et al (2009). Breast cancer screening practices and awareness in women admitted to a tertiary care hospital of Lahore, Pakistan. J Pak Med Assoc, 59, 418-21. Mahfouz AA, Hassanein MHA, Nahar S, et al (2013). Breast cancer knowledge and related behaviors among women in Abha city, Southwestern Saudi Arabia. J Cancer Educ, 28, 516-20. Melnyk D, Shepperd JA (2012). Avoiding risk information about breast cancer. Ann Behav Med, 44, 216-24. Radi SM (2013). Breast cancer awareness among Saudi females in Jeddah. Asian Pac J Cancer Prev, 14, 4307-12. Olajide TO, Ugburo AO, Habeebu MO, et al (2014). Awareness and practice of breast screening and its impact on early detection and presentation among breast cancer patients attending a clinic in Lagos, Nigeria. Niger J Clin Pract, 17, 802-7. Robb K, Stubbings S, Ramirez A, et al (2009). Public awareness of cancer in Britain: a population-based survey of adults. Br J Cancer, 101, 18-23. Siero S, Kok G, Pruyn J (1984). Effects of public education about breast cancer and breast self-examination. Soc Sci Med, 18, 881-8. Sathian B, Nagaraja SB, Banerjee I, et al (2014). Awareness of breast cancer warning signs and screening methods among female residents of Pokhara valley, Nepal. Asian Pac J Cancer Prev, 15, 4723-6. Tazhibi M, Feizi A (2014). Awareness levels about breast cancer risk factors, early warning signs, and screening and therapeutic approaches among Iranian adult women: a large population based study using latent class analysis. Biomed Res Int, 2014, 306352. Wang F, Yu Z-G (2015). Current status of breast cancer prevention in China. Chronic Dis Transl Med, 1, 2-8. Terzioğlu G, Özgü E, Kılıç MÖ, Yıldız Y, Güngör T (2016). Evaluation of breast cancer knowledge and awareness among hospital staff in a women heath hospital in Turkey. J Cancer Educ, 25, 1-6. Wang L, Zhang Y, Shi JF, Dai M (2016). Disease burden of famale breast cancer in China. Zhonghua liuxingbingxue zazhi, 37, 970-6. Zheng R, Zeng H, Zhang S, Chen T, Chen W (2016). National estimates of cancer prevalence in China, 2011. Cancer Lett, WHO (2011). China country profile, from http://www.wpro. who.int/countries/chn/5CHNpro2011_fi. Awareness of Breast Cancer among Female Care Givers 370, 33-8.
THE BLUE BANNER Volume 10, Issue 1 For Christ's Crown & Covenant January/March 2001 CONTENTS In this Issue. All material in this issue Copyright 2001 by The Blue Banner, a ministry of First Presbyterian Church Rowlett, unless otherwise noted. FPCR Session: Pastor Richard Bacon. Ruling Elders: David Seekamp, Carl Betsch, Thomas Allie. The Blue Banner Editor: Christopher Coldwell. The Blue Banner is supported by gifts. The cost of an annual subscription is $15.00 per year. If you are able, please consider giving a gift of $30.00 to support your subscription and one other. Gill Gillespie on the question, "Did Judas Partake of the Lord's Supper?" espie on the question, "Did Judas Partake of the Lord's Supper?" j Bacon: The Old Testament Ecclesiastical Sanhedrin j James Durham on the Ninth Commandment. on the Ninth Commandment. by Richard Bacon ur first article this month is by George Gillespie. Gillespie, one of the commissioners from the Kirk of Scotland to the Westminster Assembly, takes on the question of whether Judas partook of the Lord's Supper. The article is an excerpt from Gillespie's Aaron's Rod Blossoming, his masterful work devoted to the refutation of the Erastian error. The particular error that Gillespie was combating in this article is the idea that the church and her ministers do not have an intrinsic authority from the Lord to exercise the keys of the kingdom in excommunicating the unrepentant. While the sort of Erastianism that was represented at the Westminster Assembly does not necessarily impact many churches in this country, this particular excerpt is interesting for its study of the distinction that church governors must make between the church and the world. O The article that begins on page 17 is a further excerpt from my dissertation on ecclesiastical government. This particular selection actually began as an appendix to the first volume to demonstrate that there actually was an ecclesiastical government in the Old Testament that was distinct from the civil government. The article demonstrates from Scripture and from many Reformed commentators that this is, and has been, the Reformed understanding for many years. Those who claim that the Old Testament government was the same for both church and state (such as Verduin in his The Anatomy of A Hybrid) have simply ignored what the Old Testament says about its own government. James Durham was another 17 th Century Scottish divine who, like Gillespie, was prolific beyond the number of years the Lord gave him upon this earth. In typical Puritan style, Durham explains the ninth commandment as it pertains to every aspect of our lives. His is a refreshing antidote to the sophistry of many in the church today who regard truth-telling as primarily situational.j The Blue Banner(January/March 2001) 1 Did Judas Partake of the Lord's Supper? The following text is from: George Gillespie, The following text is from: George Gillespie, Aaron's Rod Blossoming, or the Divine Ordinance of Church Aaron's Rod Blossoming, or the Divine Ordinance of Church Government Vindicated, Government Vindicated, Book 3, Book 3, Book 3, Of Excommunication from the Church, and of Suspension from the Lord's Table, Of Excommunication from the Church, and of Suspension from the Lord's Table, Of Excommunication from the Church, and of Suspension from the Lord's Table, CCCChapter 8, "Whether Judas Received The Sacrament Of The Lord's Supper." (Works, Armoury edition, 1844, pp. 204 hapter 8, "Whether Judas Received The Sacrament Of The Lord's Supper." (Works, Armoury edition, 1844, pp. 204 hapter 8, "Whether Judas Received The Sacrament Of The Lord's Supper." (Works, Armoury edition, 1844, pp. 204---216). Originally published, 1646. This edition of the text, Copyright © 2001, Chris Coldwell. 216). Originally published, 1646. This edition of the text, Copyright © 2001, Chris Coldwell. By George Gillespie. Copyright © 2000 Chris Coldwell. present controversy. But as Protestant writers answer the Papists in the case of Peter, that it cannot be proved that Peter was ever bishop of Rome, but rather that he was not; and if he had, this cannot prove the Pope's supremacy; the like I say of this case of Judas: Mr. Prynne shall never be able to prove that Judas did receive the sacrament of the Lord's supper; and if he could prove it, yet it shall not at all help that cause which he maintains. r. Prynne has filled up a good part of his Vindication with the case of Judas, 1 as going very far in the deciding of this M put before what was done after, or Luke puts after what was done before. Now that there is in Luke an [uJsterologiva ], a narration of that after the institution which was indeed before the institution of the sacrament, may thus appear: — I begin with the matter of fact, Whether Judas received the sacrament of the Lord's supper, as well as the other apostles, which is the question by him stated. For decision whereof I hold it necessary, first of all, that these two things be premised, concerning the harmony of the evangelists in that matter of Judas, the use whereof we shall see afterwards: Matthew and Mark tell us Christ's discourse of the traitor at table, and the discovery of Judas, before the institution of the sacrament; Luke has the same thing after the institution and distribution of the sacrament: so that either Matthew and Mark speak by anticipation, or Luke speaks by a recapitulation; that is, either Matthew and Mark 1 [William Prynne (1600-1669) had written an eight page tract addressed to the Westminster Assembly, Foure serious questions of grand importance, … (London, 1645). The Vindication is: A vindication of foure serious qvestions of grand importance … from some misprisions and unjust exceptions lately taken against them; both in the pulpit, by a Reverend Brother of Scotland, in a sermon at Margarets Church in Westminster, before the honourable House of Commons, at a publike fast there held for Scotland, on the 5th of September last : and in the presse, by three new-printed pamphlets, by way of answer to, and censure of them ... (London, 1645).] 1. That very thing which Luke places after the institution and distribution of the sacrament, Luke 22:21-23, "Behold the hand of him that betrayeth me is with me on the table. And truly the Son of man goeth as it was determined, but woe unto that man by whom he is betrayed. And they began to inquire among themselves which of them it was that should do this thing" — the very same thing do Matthew and Mark record before the institution of the sacrament (Matt. 26:21-26; Mark 14:18-22); and it is more credible that one of the evangelists is to be reduced to the order of two, rather than two to the order of one. 2. Especially considering that Luke does not relate the business of the last supper according to that order wherein things were acted or spoken, as is manifest by Luke 22:17, 18, "And he took the cup and gave thanks, and said, Take this and divide it among yourselves." This, though related before the taking and breaking of the bread, yet it is but by an anticipation or preoccupation, occasioned by that which had preceded, ver. 16, so to join the protestation of not drinking again, with that of not eating again the passover with his disciples; therefore Beza, 2 Salmeron, 3 Maldonat, 4 and others, following 2 [Theodore Beza, Reformer (1519-1605). Probably Annotationes ad Novum Testamentum.] 3 [Alfonso Salmeron, Jesuit scholar (1515-1585), Commentarii. ] 4 [Joannes Maldonatus, Spanish Jesuit (1534-1583). Commentarii in quatuor Evangelistas (Lyons, 1615).] The Blue Banner(January/March 2001) 2 Augustine and Euthymius, do resolve it is an anticipation, even as Paul mentions the cup before the bread (1 Cor. 10:16). I know some understand the cup mentioned Luke 22:17, to be the paschal cup; others, to be the cup in the ordinary supper; but to me it is plain that it was the eucharistical cup. Yea, Mr. Prynne takes it so (p. 25), because that which Luke says of that cup, that Christ took it, and gave thanks, and gave it to the disciples, that they might all drink of it, and told them he would not drink with them any more of the fruit of the vine till the kingdom of God should come; all this is the very same which Matthew and Mark record of the eucharistical cup. Therefore our non-conformists were wont to argue from that place, that the minister ought not to give the sacramental elements to each communicant out of his own hand, but the communicants ought to divide the elements among themselves, because Christ says in that place, of the cup, "Divide it among yourselves." 3. Luke says not that after supper, or after they had done with the sacrament, Christ told his disciples that one of them should betray him; only he adds, after the history of the sacrament, what Christ said concerning the traitor. But Matthew and Mark do not only record Christ's words concerning the traitor before they make narration concerning the sacrament, but they record expressly that that discourse, and the discovery of the traitor, was [ejsqivontwn ajutw`n ]: "As they did eat," Matt. 26:21; Mark 14:18, "Now, when the evening was come, he sat down with the twelve," and immediately follows, as the first purpose which Christ spoke of, "And as they did eat, he said, Verily I say unto you, that one of you shall betray me;" which could not be so, if Luke relate Christ's words concerning the traitor in that order in which they were first uttered; for Luke having told us, ver. 22, that Christ took the cup after supper and said, "This cup is the New Testament," &c., adds, "But behold the hand of him that betrayeth me is with me on the table." So that if this were the true order, Christ did not tell his disciples concerning the traitor, as they did eat (which Matthew and Mark do say), but after they had done eating. If it be said that [ejsqivontwn ajutw`n ] may suffer this sense, when they had eaten, or having eaten, I answer, The context will not suffer that sense; for they were, indeed, eating in the time of that discourse, Matt. 26:23, "He that dippeth his hand with me in the dish, the same shall betray me;" John 13:26, "He it is to whom I shall give a sop after I have dipped it." 4. Musculus, in Loc. Com. de Coen. Dom, p. 362, 5 gives this reason out of Rupertus, why Luke's narration of Christ's words concerning the traitor, is placed by a recapitulation after the sacrament: because Luke is the only evangelist who writes distinctly of the paschal supper, and what Christ said at that supper; and having once fallen upon that purpose, the connection of the matter did require that he should immediately add the story of the eucharistical supper, without interlacing that of the traitor, which reason will pass for good with such as think Judas did eat of the paschal supper, and that Christ's words concerning him were spoken at the paschal supper, which I greatly doubt of. 5. Mr. Prynne, p. 18, in effect grants the same thing that I say; for he says, "That Matthew and Mark record, that immediately before the institution of the sacrament, as they sat at meat, Jesus said unto the twelve, Verily one of you shall betray me, whereupon they began to be sorrowful, and to say unto him," &c. He adds, "That Judas was the last man that said, Is it I? immediately before the institution," as Matthew records. But of Luke he says only thus much, that he "placeth these words of Christ concerning Judas's betraying him, after the institution and distribution of the sacrament, not before it." If it be thus, as Mr. Prynne acknowledges, that Matthew and Mark record that Christ had that discourse concerning Judas before the institution of the sacrament, then most certainly it was before the institution of the sacrament, because it must needs be true which Matthew and Mark say. Whence it will necessarily follow that Luke does not mention that discourse concerning Judas in its proper place, and this does not offer 5 [Wolfgang Musculus, Reformer (1497-1563). Loci communes sacrae theologiae (Basil, 1651).] The Blue Banner(January/March 2001) 3 the least violence to the text in Luke, because he does not say that Christ spoke these words after the sacrament, only he places these words after the sacrament, as Mr. Prynne says rightly. When Scripture says that such a thing was done at such a time, it must be so believed; but when Scripture mentions one thing after another, that will not prove that the thing last mentioned was last done. More plainly, Mr. Prynne, p. 26-27, tells us that the sacrament was given after Christ had particularly informed his disciples that one of them should betray him, which he proves from John 13:18-28; Matt. 26:20-36; Mark 14:18-22; Luke 22:21-23. Whence it follows inevitably, by his own confession, that Matthew and Mark, recording that discourse about Judas after the sacrament, do place it in the proper order; and that Luke, mentioning that discourse about Judas after the sacrament, does not place it in its own place. This is the first thing which I thought good to premise, which will easily take off the strongest argument which ever I heard alleged for Judas's receiving of the sacrament, namely this, that Luke, immediately after the institution and distribution of the sacrament, adds, "But behold the hand of him that betrayeth me, is with me at the table." If these words were not uttered by Christ in that order wherein Luke places them (which I have proved), then the argument is not conclusive. The second thing to be premised is this: That the story which we have, John 13, from the beginning to ver. 31, concerning the supper at which Christ discoursed of Judas and gave him the sop, after which he went immediately out, was neither in Bethany two days before the Passover, as the Antidote Animadverted tells us, 6 p. 5; nor yet after the institution of the sacrament, as Mr. Prynne tells us, Vindic. p. 25, herein differing either from himself or his friend. That supper in Bethany, the pamphlet says, was two days before the Passover; but some interpreters collect from John 12:1, 2, it was longer before, Christ having come to Bethany six days before, and after that supper, the next day Christ did ride into Jerusalem on a young ass, 6 [The Antidote Animadverted (London, 1645). Attributed to Prynne and Gillespie assumes this as well (Armoury edition, 3.18. p. 269).] and the people cried, Hosanna (John 12:12): the very story which we have, Matt. 21. Mark says, that two days before the Passover, the chief priests and scribes sought how to put Christ to death; but he does not say that the supper in Bethany was two days before the passover. But of this I will not contend, whenever it was, it is not much material to the present question; there was nothing at that supper concerning Judas, but a rebuking of him for having indignation at the spending of the alabaster box of ointment, and from that he sought opportunity to betray Christ. But the discourse between Christ and his apostles concerning one of them that should betray him, and their asking him one by one, "Is it I ?" was in the very night of the Passover, as is clear, Matt. 26:19-26; Mark 14:16-22; so that the story, John 13:18-30, being the same with that in Matthew and Mark, could not be two days before the Passover; and if, two days before, Christ had discovered to John who should betray him, by giving the sop to Judas, how could every one of the disciples (and so John among the rest) be ignorant of it two days after, which made every one of them to ask, "Is it I?" Finally, That very night in which the Lord Jesus did institute the sacrament, the disciples began to be sorrowful, and began to inquire which of them it was that should betray him, Matt. 26:22; Mark 14:19; Luke 22:23. But if Christ had told them two days before, that one of themselves who did sit at table with him, should betray him, surely, they had, at that time, begun to be sorrowful, and to ask every one, "Is it I?" That which has been said does also discover that other mistake, that the discourse at table, concerning the traitor and the giving of the sop to Judas, John 13, was after the institution of the sacrament. If it were after, then either that in John is not the same with the discourse concerning the traitor mentioned by Matthew and Mark, or otherwise Matthew and Mark speak by anticipation. But I have proved both that the true order is in Matthew and Mark, and that the discourse concerning the traitor, mentioned by John, must be in the evangelical harmony put together with that in Matthew and Mark, as making one and the same story. And if this in The Blue Banner(January/March 2001) 4 John had been posterior to that in Matthew, then why does Mr. Prynne himself join these together as one (p. 18, 19)? These things premised, I come to the arguments which prove that Judas did not receive the sacrament of the Lord's supper. The first argument (which was by me touched in that sermon so much quarreled by Mr. Prynne) 7 is this: It is said of Judas (John 13:30), "He then, having received the sop, went immediately out." But this sop, or morsel, was given him before the sacrament, whilst they were yet eating the other supper, at the end whereof Christ did institute the sacrament; therefore Judas went away before the sacrament. Let us hear Mr. Prynne's four answers to this argument (p. 24, 25). First, he says, Judas went not out till after supper (John 13:2); "And supper being ended," &c. Ans. [deivpnou genomevnou ] will not prove that the supper was fully ended. The Centurists (cent. 1, lib. 1, cap. 10), 8 explain John 13:2 thus, Magnâ, coenoe hujus parte peractâ: A great part of this supper being done. Yea, the Greek may be as well turned thus, "When they were at supper," as the late English Annotations have it. 9 Ludovicus de Dieu chooses this sense; 10 Salmeron and others prove it from ver. 4, "He riseth from supper," with ver. 12, He sat down again to supper, and dipped the sop. Take but two like instances in this same story of the passion, Matt. 26:6, [to`u deV jIhsou` genomevnou ejn Bhqaniva ]: "Now when Jesus was in Bethany;" not, After Jesus was in Bethany. Matt. 26:20, [ jOyiva" deV genomevnh" ]: "Now, when the even was come;" not, when the even was ended. His second answer, that all the other three 7 [This sermon of Gillespie's was evidently not ordered published.] 8 [Centuriae Magdeburgenses (Basil, 1559-74).] 9 [Annotations upon all the books of the Old and New Testament : wherein the text is explained, doubts resolved, Scriptures parallelled and various readings observed / by the joynt-labour of certain learned divines, thereunto appointed, and therein employed, as is expressed in the preface (London: Printed by John Legatt and John Raworth, 1645).] 10 [Louis de Dieu, Reformed preacher commentator and linguist (1590-1642). Gillespie is probably referring to de Dieu's Animadversiones sive Comment. In quatuor Evangelia, in quo collatis. See also the collected works edited by Leydecker, Animadversiones in loca quaedam difficiliora V. et N. Testamenti (1693).] evangelists prove that Judas was present at the sacrament, is but petitio principii. 11 Thirdly, he says, the sacrament was not instituted after supper, but as they sat at supper. Ans. It was, indeed, instituted while they were sitting at supper, or before they rose from supper, so that they were still continuing in a table gesture; yet the actions must needs be distinguished, for they did not, at the same instant, receive the sacrament, and eat of another supper too. And though it be said of the bread, that "as they did eat, Jesus took bread," yet of the cup Paul and Luke say, that Jesus took it "after supper;" that is, after they had done eating, therefore, certainly, after Judas got the sop and went away, at which instant they had not done eating. Neither is there any ground at all, Luke 22:17, to prove that he took the cup during supper, as Mr. Prynne conceives, but finding no strength herein, he adds, that some learned men are of opinion, that Christ had, that night, "first, his paschal supper, at the close whereof he instituted his own supper," 1 Cor 11:21, 22; secondly, an ordinary supper, which succeeded the institution of his own, in imitation whereof the Corinthians and primitive Christians had their love feasts, which they did eat immediately after the Lord's supper; and this is more than intimated, John 13:2, 12-31) &c., therefore Luke's after supper, he took the cup, must be meant only after the paschal supper, not the other supper." 12 Ans. I verily believe that, beside the paschal and eucharistical suppers, 13 Christ and his disciples had, that night, a common or ordinary supper, and so think Calvin and Beza upon Matt. 26:20; Pareus upon Matt. 26:21; Fulk on 1 Cor. 11:23; Cartwright, Ibid., and in his Harmony, lib. 3, p. 173; 14 Pelargus in John 13, quest. 2; Tossanus in 11 [The logical fallacy of begging the question, i.e. the truth of the conclusion is assumed in the premise.] 12 Tertullian, Apolog. 13 [See Gillespie's comments along this same subject in English Popish Ceremonies (Dallas, TX: Naphtali Press, 1993) 436ff). Or Part 4 Chapter 6 Section 4 in earlier editions.] 14 [David Paraeus, German Reformed Theologian (1548-1586). Works (1647, 3 vols.). William Fulk, Puritan divine (d.1589). Rhemes Translation of the New Testament, and the authorized English Version, with the arguments of books, chapters, and annotations of the Rhemists, and Dr. Fulke's Confutation of all such arguments, glosses, and annotations (1580; Cambridge, 1843). Thomas The Blue Banner(January/March 2001) 5 Matt. 26; 15 Tolet and Maldonat upon John 13:2; 16 Jansenius, Conc. Evang., cap. 131; 17 and divers others. I am very glad that Mr. Prynne grants it; and I approve his reason that, in the paschal supper, we read of no sops, nor aught to dip them in. The Jews, indeed, tell us of a sauce in the passover, which they call charoseth; but, I suppose, Christ kept the passover according to the law, and did not tie himself to rites which had come in by tradition. I could bring other reasons to prove an ordinary supper, if it were here necessary. But what gains Mr. Prynne hereby? Surely he loses much, as shall appear afterwards. 2. Whereas, he thinks the common supper at which Christ did wash his disciple's feet, and discover Judas, and give him the sop, was after the sacrament, as I know not those learned men that think as he does in this point, so it is more than he can prove. The contrary has been proved from Matthew and Mark, who record that the discourse concerning Judas, was while they were eating that supper which preceded the sacrament; so that the giving of the sop to Judas must be before the sacrament. But after the sacrament, both Matthew and Mark do immediately add, "And when they had sung an hymn, they went out into the Mount of Olives." 3. As for that of the Corinthians, the very place cited by himself makes against him, 1 Cor. 11:21; for when they came together to eat the Lord's supper, every one did [prolambavnein ] first take his own supper, and that in imitation of Christ, who gave the sacrament after supper; so Cartwright (1535-1603), Commentaria Practica in totam Historiam Evangelicam (1630, English, 1650).] 15 [Christopher Pelargus, German Protestant theologian (15651633), In sacrosanctam S. Johannis apostoli et evangelistae historiam evangelicam commentarius per quaesita & responsa ex antiquitate orthodoxa magnam partem erutus (Francofurti : Sumtibus Johannis Thymii biblioplae, typis Nicolai Voltzii, 1615). Daniel Tossanus, French Protestant minister & commentator (1541-1602), D. Danielis Tossani in tres evangelistas Matthaeum, Lucam, Iohannem commentarii (Hanoviae: ... Iohannis Aubrii, 1606).] 16 [Francisco de Tolet (Toledo), Spainish Cardinal (1532-1596) In Joannis Evangelium (Rome, 1588). Maldonat, ibid.] 17 [Cornelius Jansen, Belgian (Roman Catholic) theologian (15101576), Concordia Evangelica et ejusdem Concordiae ratio (Louvain, 1549).] Aquinas, Lyra, 18 and others, following Augustine. This taking first, or before, has reference to the sacrament; because it is spoken of every one who came to the Lord's table, "Every one taketh before his own supper," which made such a disparity, that one was hungry, and another drunken, at the sacrament, the poor having too little, and the rich too much, at their own supper. 19 4. The example of the ancient Christians will help him as little. I find no such thing in Tertullian's Apologetic, as the eating of the love feasts immediately after the Lord's supper. But I find both in the African Canons 20 and in Augustine, 21 and in Walafridus Strabo, 22 that once in the year (and oftener by divers) the sacrament was received after the ordinary meat, for a commemoration of that which Christ did in the night wherein he was betrayed. It had been formerly in use among divers to take the sacrament ordinarily after meat, till the African Council discharged it, as Laurentius de la Barre observes in the notes upon Tertullian (p. 339, Paris edit., 1580). Augustine (epist. 118, cap. 5, 6), answers certain queries of Januarius, concerning eating or not eating before the sacrament. He says that Christ did indeed give the sacrament after supper, and that the Corinthians did also take it after supper; but that 18 [Nicholas de Lyra (1270-1340). Postillae perpetuae in universa Biblia (Antw., 1634, 6 vols.)] 19 Magdeb., cent. 1, lib. 2, cap. 6, 384, edit. 1624. Apud Corinthios invaluerat ille abusus, ut ante coenam Dominicam. inter se concertarent; et alii ibi suas coenas instruerent et benepoti coenam Domini acciperent. [Ibid.] 20 Cod. Canon. Eccl. Afric., can. 41. – Ut Sacramenta altaris non nisi a jejunis hominibus celebrentur, excepto uno, die anniversario, quo coena dominica, celebratur. 21 August., epist. 118, cap. 7. – Sed nonnullos probabilis quaedam ratio delectavit, ut uno certo die, per annum quo ipsam coenam Dominus dedit, tanquam ad insigniorem commemorationem, post cibos offerri et accipi liceat corpus et sanguinem Domini, &c., hoc tamen non arbitror institutum, nisi quia plures et prope omnes in plerisque locis eo die coenare consueverunt. 22 Walafridus Strabo de Reb. Eccl., cap. 19. – Hoc quoque commemorandum videtur, quod ipsa scramenta quidam interdum jejuni, interdum pransi percepisse leguntur. He tells us out of Socrates that the Egyptians, near Alexandria, as likewise those in Thebais, did often take the sacrament after they had eaten liberally. [Walafrid Strabo, 9 th century Benedictine abbot, theologian, and poet (808-849). Liber de exordiis et incrementis quarundam in observationibus ecclesiasticis rerum (Cologne, 1568).] The Blue Banner(January/March 2001) 6 the Scripture has not tied us to follow these examples, but left us at liberty. And, upon this ground, he defends the church's custom at that time of taking the sacrament fasting, for greater reverence to the ordinance. But in this he speaks plainly, 23 that when Christ was eating with the disciples, and telling them that one of them should betray him, he had not then given the sacrament. With Augustine's judgment agrees that epistle of Chrysostom, where, answering an objection which had been made against him, that he had given the sacrament to some that were not fasting, he denies the fact, but adds, if he had done so it had been no sin, because Christ gave the sacrament to the apostles after they had supped. [Kaqelevtwsan ajutoVn toVn kuvrion o}" metav toV deipnh`sai thVn koinwnivan e{dwke ]: Let them depose (he says) the Lord himself, who gave the communion after supper. In commemoration whereof the ancient church (even when they received the sacrament fasting at other times, yet) upon the passion day, called Good Friday, received it after meals, as I proved before. And this I also add by the way, that though Paul condemns the Corinthians for eating their love feast in the church, yet he allows them to eat at home before they come to the Lord's table, as the Centurists (cent. 1, lib. 2, cap. 6, p. 384), 24 prove from 1 Cor. 11:34, "And if any man hunger, let him eat at home; that ye come not together unto condemnation." Casaubon (exerc. 16, p. 367, edit. Franco. 1615), 25 thinks it was in imitation of Christ's example that those Egyptians mentioned by Socrates did take the sacrament at night, after they had liberally supped, [pantoivwn ejdesmavtwn ejmforhqevnte" ]: being filled with all sorts of meats. I conclude, therefore, that when Luke says, "After supper he took the cup," the meaning is, after both paschal and common supper, and that there was no other eating after the sacrament that night, and so, consequently, the giving of the 23 Cum sero factum esset, recumbebat cum duodecim, et manducantibus eis dixit, quoniam unus ex vobis me tradet. Post enim tradidit sacramentum. [The Armoury edition left out the footnote marker; it is placed here as in the first edition.] 24 [Magd. Centurists, ibid.] 25 [Issac Casaubon, French classical scholar and theologian (1559-1614). Exercitationes contra Baronium (Frankfort, 1615). sop to Judas must needs be before the sacrament; and his going out immediately after the sop, proves that he did not receive the sacrament. But Mr. Prynne gives us a fourth answer, which is the last (but a very weak) refuge. The word "immediately (he says), many times, in our common speech, signifies soon after, or not long after, as we usually say we will do this or that immediately, instantly, presently, whereas we mean only speedily, within a short time." Ans. 1. This is no good report which Mr. Prynne brings upon the English tongue, that men promise to do a thing immediately, when they do not mean to do it immediately. I hope every conscientious man will be loath to say immediately, except when he means immediately (for I know not how to explain immediately, but by immediately); and for an usual form of speaking, which is not according to the rule of the word, it is a very bad commentary to the language of the Holy Ghost. 2. And if that form of speech be usual in making of promises, yet I have never known it usual in writing of histories, to say that such a thing was done immediately after such a thing, and yet divers other things intervened between them. If between Judas's getting of the sop and his going out, did intervene the instituting of the sacrament, the taking, blessing, breaking, distributing, and eating of the bread; also the taking and giving of the cup, and their dividing it among themselves, and drinking all of it; how can it then be a true narration that Judas went out immediately after his receiving of the sop? 3. Neither is it likely that Satan would suffer Judas to stay any space after he was once discovered, lest the company and conference of Christ and his apostles should take him off from his wicked purpose. 4. Gerhardus having in his Common Places, given that answer, that the word immediately may suffer this sense, that shortly thereafter Judas went forth, he does professedly recall that answer in his Continuation of the Harmony, cap. 171, p. 453, and that upon this ground, because Judas being mightily irritated and exasperated, both by the sop and by Christ's answer (for when Judas asked, "Is it I?" Christ answered, "Thou hast said"), would certainly The Blue Banner(January/March 2001) 7 break away abruptly, and very immediately. 26 So much of the first argument. The second argument (which I also touched in my sermon) was this: As Christ said to the communicants, "Drink ye all of it," Matt. 26:27; "And they all drank," Matt. [sic Mark] 14:23; so he says to them all, "This is my body which is broken for you; this is the cup of the new covenant in my blood, which is shed for you," Luke 22:19, 20. But if Judas had been one of the communicants, it is not credible that Christ would have said so in reference to him as well as to the other apostles. This argument Mr. Prynne, p. 25, does quite mistake, as if the strength of it lay in a supposed particular application of the words of the institution to each communicant, which I never meant, but dislike it as much as he. The words were directed to all, in the plural, "This is my body broken for you, &c; my blood shed for you" &c. Mr. Prynne conceives that it might have been said to Judas, being meant by Christ, "only conditionally, that his body was broken, and his blood was shed for him, if he would really receive them by faith." Jonas Schlichtingius, a Socinian, 27 in his book against Meisnerus, p. 803, 28 though he supposes, as Mr. Prynne does, that Judas was present at the giving of the sacrament, yet he holds that it is not to be imagined that Christ would have said to Judas, that his body was broken for him. And shall we then, who believe that the death of Jesus Christ was a satisfaction to the justice of God for sin (which the Socinians believe not), admit that Christ meant to comprehend Judas among others, when he said, "This is my body which is broken for you?" Ministers do indeed offer Christ to all, upon condition of believing, being commanded to 26 [Johann Gerhard, Lutheran theologian (1582-1637), Loci Communes Theologici (1610-1625, 9 vls). Gillespie is probably referring to Comment. In Harmoniam hist. Evang. De Passione et Resurrectione Christi (1617), which is a continuation of the commentaries of Chemnitz and Lyser.] 27 [Jonasz Schlichting, Socinian (1592-1661). De SS. Trinitate, de moralibus N. & V. Testamenti praeceptis, item[que] de Sacris, Eucharistiae, & Baptismi ritibus. aduersùs Balthasarem Meisnerum ...1637. Also 1639.] preach the gospel to every creature, and not knowing who are reprobates; but that Christ himself (knowing that the son of perdition was now lost, that the Scripture might be fulfilled, John 17:12) would, in the sacrament (which is more applicative than the Word, and particularizes the promises to the receivers), so speak, as that, in any sense, those words might be applied to Judas, that even for him, his body was broken and his blood shed; and that, thereupon, the seals should be given him, to me is not at all credible, and I prove the negative by four arguments (though I might give many more): 1. If Christ did, in reference to Judas, mean conditionally, that his body was broken, and his blood shed for him, if he would believe (as Mr. Prynne holds), then he meant conditionally to save the son of perdition, whom he knew infallibly to be lost, and that he should be certainly damned and go to hell, and that in eating the sacrament, he would certainly eat and drink judgment to himself (all which Mr. Prynne himself, p. 26, says Christ infallibly knew). But who dare think or say so of Jesus Christ? Suppose a minister knew infallibly that such an one had blasphemed against the Holy Ghost (which sin the Centurists and others think to have been committed by Judas, which could not be hid from Christ), and is irrecoverably lost, and will be most certainly damned, durst that minister admit that person to the sacrament, and make those words applicable to him so much as conditionally, "This is the Lord's body broken for you; this is the blood of the new covenant shed for you unto remission of sins?" How much less would Christ himself say so, or mean so, in reference to Judas? 2. If Christ would not pray for Judas, but for his elect apostles only, and such as should believe through the word of the gospel, then he meant not so much as conditionally to give his body and blood for Judas (for if he meant any good to Judas, so much as conditionally, he would not have excluded him from having any part at all in his prayers to God). But Christ does exclude Judas from his prayer, John 17, not only as one of the reprobate world, ver. 9, but even by name, 28 [Balthazar Meisnerus, German Lutheran theologian (15871626).] The Blue Banner(January/March 2001) 8 ver. 12, giving him over for lost, and one that was not to be prayed for. 3. Love and hatred in God, and in his Son Jesus Christ, being eternal and unchangeable (for actus Dei immanentes sunt aeterni), it follows that if there was such a decree of God, or any such meaning or intention in Christ, as to give his body and blood for Judas, whom he knew infallibly to be lost, and since that same conditional meaning or intention could not be without a conditional love of God and of Christ to Judas and his salvation, this love does still continue in God, and in Christ, to save Judas now in hell, upon condition of his believing, which every Christian I think will abominate. 4. That conditional love and conditional intention or meaning, could not have place in the Son of God. For as Spanhemius does rightly argue in his learned exercitations, de Gratia Universali, p. 76, 29 it does not become either the wisdom or goodness of God to will and intend a thing upon such a condition as neither is nor can be. And p. 829, he says, that this conditional destination or intention cannot be conceived, as being incident only to such as do neither foreknow nor direct and order the event, and in whose hand it is not to give the faculty and will of performing the thing, which cannot without impiety be thought or said of God. Thus he. The third argument (which I shall now add) is that whereby Hilarius, can. 30, in Matt., and Innocentius III. lib. 4, de Mysterio Miss. cap. 13, prove that Judas received not the sacrament, neither was present at the receiving of it: because that night while Judas was present, Christ in his gracious and comfortable expressions to his apostles did make an exception, as John 13:10, 11, "Ye are clean, but not all; for he knew who should betray him, therefore said he, Ye are not all clean;" ver. 18, "I speak not of you all, I know whom I have chosen;" so ver. 21, even as before; John 6:70, "Have not I chosen you twelve, and one of you is a devil." But at the sacrament all his sweet and gracious speeches are without any such exception, "This is my body which is given 29 [Friedrich Spanhem (1600-1649), Exercitationes de gratia universali (Leyde, Maire, 1646).] for you," &c. Yea he says positively of all the apostles to whom he gave the sacrament, "I will not drink henceforth of this fruit of the vine, until that day when I drink it new with you in my Father's kingdom," Matt. 26:29, and this he says unto them all, as it is clear from ver. 27, "Drink ye all of it." Again, Luke 22:28-30, "Ye are they which have continued with me in my temptations; and I appoint unto you a kingdom, as my Father hath appointed unto me; that ye may eat and drink at my table in my kingdom, and sit on thrones, judging the twelve tribes of Israel." Would not Christ much more have excepted Judas in these expressions, if he had been present, seeing he had so often excepted him before? As for Mr. Prynne's reasons from Scripture to prove that Judas did receive the sacrament, they are extremely inconclusive. First, he says that Matthew, Mark and Luke, are all express in terminis, that Christ sat down to eat the passover, and the twelve apostles with him; that Judas was one of those twelve, and present at the table; that as they sat at meat together, Jesus took bread, &c., that he said of the cup, Drink ye all of it; and Mark says they all drank of it. Ans. 1. The three evangelists are all express in terminis, that when even was come, Christ sat down with the twelve, as likewise that the twelve did eat with him that night; but that the twelve apostles were with him in the eating of the passover, they are not express in terminis, and I have some reasons which move me to think that Judas did not eat so much as of the passover that night; whereof in the proper place. 30 2. And if he had been at the passover, that proves not he was at the Lord's supper. When Christ took the cup and said, "Drink ye all of it," it was after supper, that is, after the paschal supper, as Mr. Prynne himself gives the sense. 3. When Mark says, "They all drank of it," he means all that were present, but Judas was gone forth. His argument supposes that Judas was present, which being before disproved, there remains no more strength nor life in his argument. 30 [Gillespie takes up the question of whether Judas partook of the Passover in the next chapter of Aaron's Rod (216-219).] The Blue Banner(January/March 2001) 9 That which he added, p. 18, 19, if it have either strength or good sense, I confess the dullness of my conception. He would prove from Matthew and Mark, that immediately before the institution of the sacrament, Christ told his disciples that one of them should betray him, and they all asked, "Is it I?" and that therefore certainly the sacrament was given to Judas, because he was the last man that said "Is it I?" immediately before the institution. And further (he says) Luke places these words of Christ concerning Judas's betraying of him, after the institution, which manifests that Judas was present at the sacrament. His inference is this, that seeing John avers, chap. 13:2, that all this discourse, and the giving of the sop to Judas, was after supper, and the other three evangelists agreeing that Christ instituted and distributed the sacrament, as they did eat, before supper quite ended, it must follow that Judas did receive the sacrament. Ans. 1. But how does this hang together: 1. To argue that Judas received the sacrament, because Christ's discourse concerning Judas and Judas's question, "Is it I?" were immediately before the institution of the sacrament; and again to prove that Judas did receive the sacrament, because Christ's discourse about Judas was after supper ended, and after the sacrament, which was instituted before supper ended? the one way of arguing destroys the other. 2. For that in Matthew and Mark, that Christ discoursed of the traitor, and that Judas said "Is it I?" before the institution of the sacrament, I confess; but that it was immediately before the institution of the sacrament the evangelists do not say, neither does he prove it. Judas went out after that discourse and the sop, and how much of the consolatory and valedictory sermon (which begins John 13:31) was spent before the distribution of the sacrament, who is so wise as to know? 3. For that in Luke, I have proved that though he sets down the things, yet not in that order wherein they were done; which is also the opinion of Grotius upon that place. 31 And for that, John 13:2, "Supper being ended," I have answered before. 31 [Hugo Grotius, German Reformed theologian (1583-1645), Opera omnia theological (Amstd.,1679), 3 vls.] Shall we, in the next place, have a heap of human testimonies concerning Judas's receiving of the sacrament? I see so much light from the Scripture to the contrary, that I shall not be easily shaken with the authority of men; yet it shall not be amiss a little to try whether it be altogether so as he would make us believe. He says we go "against all antiquity," p. 18, and against the most and best of Protestant writers, p. 23; yea, that all ages have received it as an indubitable verity, that Judas received the sacrament, p. 19. No, Sir, soft a little. The truth is, the thing has been very much controverted, both among the fathers, and among Papists, and among Protestant writers. I have found none so unanimous for Judas's receiving of the sacrament as the Lutherans, endeavoring thereby to prove that the wicked hypocrites and unbelievers do, in the sacrament, eat the true body of Christ, and drink his true blood; 32 yet (as hot as they are upon it) they acknowledge it is no indubitable verity, they cite authorities against it as well as for it. See Gerhardus, Harm. Evang., cap. 171; Brochmand, tom. 3, p. 2082. 33 Neither do the Lutherans make any such use of Judas's receiving of the sacrament, as Mr. Prynne does; for they hold that not only excommunicated persons, but scandalous and notorious sinners, not yet excommunicated, ought to be kept back from the Lord's table; see Gerhardus, Loc. Com., tom. 52 180-182, where he proves distinctly that all these ought to be excluded from the Lord's supper: 1. Heretics. 2. Notorious scandalous sinners. 3. Excommunicated persons. 4. Possessed persons, furious persons, and idiots. 5. Infamous persons, who use unlawful arts, as magicians, necromancers, &c.; and, for the exclusion of scandalous sinners, he cites the 32 Gerhardus, Loc. Com., tom. 5, p. 186,187; Petrus Hinckelmannus de Anabaptismo, disp. 5, cap. 2. [Peter Hinkelmann, (1571-1622). This may be Anabaptismi errores refutati (Rostockii, 1613) or a part of another publication by Hinckelmann, or a separate work. The editor only discovered the 1613 title by publication deadline.] 33 [Gerhard, ibid. Jesper Rasmussen Brochmand, Bishop of Zealand, Lutheran theologian (1585-1652). Universæ theologiæ systema, : in quo omnes et singuli religionis Christianæ articuli ita pertractantur; ut I. vera sententia afferatur et asseratur: II. controversiæ priscæ & recentes expediantur: III præcipui conscientiæ casus è Verbo Divino decidantur. (4 th edition, 1464).] ecclesiastical electoral constitutions. Lucas Osiander (Enchir. contra Anabap., cap. 6, quest. 3,) 34 tells us, that the Lutheran churches exclude all known scandalous persons from the sacrament. But it is strangest to me that Mr. Prynne will not give credit to some of the testimonies cited by himself. Theophylact, in Matt. 26, says, Quidam autem dicunt quod egresso Juda, tradidit sacramentum aliis, discipulis, proinde et nos sic facere debemus, et malos à sacramentis abarcere. Idem in Mark 14, Quidam dicunt (but who they were appears not, says Mr. Prynne, in any extant work of theirs) Judam non fuisse participem sacramentorum, sed egressum esse priusquam dominus sacramenta traderet. Shall we take this upon Mr. Prynne's credit, that it does not appear in any extant work of theirs? Nay, let him take better heed what he says, and whereof he affirms. In the next page he himself excepts one, which is Hilarius; but except him only, he says that all the ancients unanimously accord herein, without one dissenting voice. But see, now, whether all is to be believed that Mr. Prynne gives great words for. It is well that he confesses we have Hilarius for us. First, therefore, let the words of Hilarius be observed; 35 next, I will prove what he denies, namely, that others of the ancients were of the same opinion. Clemens, lib. 5, Constit. Apost., cap. 13, after mention of the paschal or typical supper, adds these words as of the apostles, [paradouV" deV hJmi`n taV ajntijtupa musthvria tou` timivou swvmato" ajutou` kaiV a{imato", jIouvda mhV sumparovnto" hJmi`n ]: But when he had delivered to us the antitype mysteries (so called in reference to the paschal supper) of his precious body and blood, Judas not being present with us. I do not own these eight books of the apostolical constitutions as written by that Clemens who was Paul's fellowlaborer, Phil. 4, yet certainly they are ancient, as is universally acknowledged. Dionysius 34 [Lucas Osiander, theologian and historian (1534-1604), Enchiridion controversiarum, quae Augustanae Confesionis theologies cum Anabaptistis intercedunt (Witeb. 1614).] 35 Hilarius, can. 30, in Matt. – Post quae Judas proditor indicatur, sine quo pascha accepto calice et fracto pane conficitur: dignus enim aeternorum sacramentorum communione non fuerat, &c. Neque sane bibere cum eo poterat, qui non erat bibeturus in regno. Areopagita (or whosoever he was that anciently wrote under that name), de Ecclestastica Hierarchia, cap. 3, part 3, sect. 1, 36 speaking of the same bread and the same cup, whereof all the communicants are partakers, he says that this teaches them a divine conformity of manners, and withal calls to mind Christ's supper in the night when he was betrayed, [Kaq ' o} kaiV aujtoV" oJ tw`n sumbovlwn dhmiourloV", ajpoklhroi` dikaiovtata toVn oujc oJsivw" ajutw/` kaiV oJmotrovpw" taV iJeraV sundeipnhvsanta ]. In qua coena: so Ambrose the monk, in his Latin translation; 37 and Judocus Clichtoveus in his Commentary: 38 In which supper (for [Kaq 'oj ] relates to [toV dei`pnon ], the supper before mentioned, and signifies the time of supper, or after supper was begun; so the Grecians use to say [kataV twVn novson ], to signify in the time of sickness) "the author himself of those symbols does most justly deprive or cast out him (Judas) who had not holily, and with agreement of mind, supped together with him upon holy things." By those holy things he understands (it should seem) the typical or paschal supper, of which Judas had eaten before, and peradventure that night also, in the opinion of this ancient. Judocus Clichtoveus, in his Commentary, says only that Judas did that night eat together with Christ cibum, meat; he says not sacramentum. This ancient writer is also of opinion, that Christ did excommunicate Judas, or as Clichtoveus expounds him, à coeterorum discipulorum coetu aequissime separavit, discrevit et dispescuit. If you think not this clear enough, hear the ancient scholiast Maximus, to whom the Centurists give the testimony of a most learned and most holy man. He flourished in the seventh century under Constance; he was a chief opposer of the Monothelites, and afterwards a martyr. 39 His 36 [The Ecclesiastical Hierarchy, Migne, Patrologia Graeca, vol 3, 4. This edition includes the scholia of Maximus and Pachymeres.] 37 [Ambrose, the Camaldule?, French ecclesiastical; writer (13781439). If Gillespie is referring to this Ambrose, he may be referring to St. Dionysius the Areopagite on the Celestial Hierarchy. ] 38 [Josse Clichtove, Catholic reformer (d.1543). Commentator on church fathers. ] 39 [Maximus, Confessor, Anti-Monothelite champion (580-662) Maximus wrote many works, including commentaries on church fathers, such as Dionysius Areopagita.] scholia upon that place of Dionysius, makes this inference [ }Oti metaV toV ejxelqei`n toVn iouvdan ijk tou` deivpnon, parevdwken oJ Cri"toV" toi`" maqhtai`" toV musthvriov ]: That after Judas had gone forth from supper, Christ gave the mystery to his disciples. Again, [KaiV shmeivwsai, o{ti kaiV ajutw` metevdwke tou` mustikou` a{rtou kaiV tou` pothrivou, taV deV musthvria toi`" maqhtai`" metaV toV ejxelqei`n tou` deivpnou toVn iouvdan, wJ" ajnaxivou touvtwn o[nto" ajutou ` ]: Where note, that to him also (that is, to Judas) he (Christ) gave of a mystical bread (meaning the unleavened bread of the Passover) and cup (meaning the cup drunk at the paschal supper), but the mysteries (that is, the eucharistical bread and cup, commonly called the mysteries by ancient writers) he gave to his disciples after Judas went forth from supper, as it were, because Judas himself was unworthy of these mysteries. Add hereunto the testimony of Georgius Pachymeres, 40 who lived in the thirteenth century. In his Paraphrase upon that same place of Dionysius, 41 he says that Christ himself, the author and institutor of this sacrament, [ajpoklhroi` kaiV ejpodiastevllei dikaiovtata toVn oujc oJsivw" sundeipnhvsanta iouvdan, kaiV ajutw` gaVr tou` mustikou` a[rtou kaiV tou` pothrivou metadouV", taV musthvria movnoi" maqhtai`", metaV toV ejcelqei`n ejkei`non ejk tou` deivpnou, parevdwken, wJ" ajnaxivou touvtwn o[nto" tou` Iouvda ]: Christ does cast out and separate, or excommunicate most justly, Judas, who had not holily supped together with him. For having given to him also of a mystical bread and cup, he gave the mysteries to the disciples alone, after he went forth from supper, thereby, as it were, showing that Judas was unworthy of these mysteries. By the mysteries which Maximus and Pachymeres speak of, and which, they say, Christ gave to his disciples after Judas was gone forth, I can understand nothing but the eucharistical supper, the elements whereof are very frequently called the mysteries by the ancients, as has been 40 [George Pachymeres (b.1242?, d.1310/1340?). Primary work is Historia Byzantina. ] 41 [Pseudo — Dionysius, the Areopagite, Georgii Pachymerae paraphrasis in omnia Dionysij Areopagitae, Athenarum episcopi, opera quae extant. (Paris, 1561). Works.] said. And if any man shall understand by these mysteries the inward graces or things signified in the Lord's supper, then what sense can there be in that which Maximus and Pachymeres say? for Christ could as easily keep back from Judas, and give to his other disciples, those graces and operations of his Spirit, when Judas was present among them, as when he was cast out. So that it could not be said that Christ did cast out Judas in order to the restraining from him, and giving to the other disciples, the invisible inward grace signified in the sacrament, as if the other apostles had not received that grace at the receiving of the sacrament, but that Judas must first be cast out, before they could receive it; or as if Judas had received the inward grace, if he had not gone out from supper. The sense must therefore be this, that Judas, as an unworthy person, was cast out by Christ, before he thought fit to give the sacrament of his supper unto his other apostles. Unto all these testimonies add Ammonius Alexandrinus, de Quatuor Evangelioram Consonantia, cap. 155, 42 where he has the story of Judas's receiving of the sop, and his going forth immediately after he had received it; thereafter, cap. 156, he adds the institution and distribution of the Lord's supper, as being, in order, posterior to Judas's going forth. So likewise before him, Tacianus makes the history of the institution of the sacrament to follow after the excluding of Judas from the company of Christ and his apostles, which neither of them had done, if they had not believed that Judas was gone before the sacrament. With all these agrees Innocentius III, 43 who holds expressly that the sacrament was not given till Judas had gone forth; and that there is a recapitulation in the narration of Luke. Moreover, as it is evident by 42 [Ammononius, third century Christian philosopher. There was a Latin translation made of his Harmony of the Gospels by Victor of Capua. Ammonii, vulgo Tatiani, diatessaron, sive harmoniae in quatuor evangelia (Mayence, 1524). 43 Lib. 4, de Myster. Missae, cap. 13. – Patet ergo quod Judas prius exiit quam Christus traderet eucharistiam. Quod autem Lucas post calicem commemorat traditerem, per recapitulationem potest intelligi: Quia saepe fit in Scriptura ut quod prius factum fuerat posterius enarretur. That whole chapter is spent in the debating of this question. the fore-mentioned testimonies of Theophylact, that some of the ancients did hold that Christ gave not the sacrament to Judas; so also the testimony cited by Mr. Prynne out of Victor Antiochenus bears witness to the same thing: Sunt tamen qui Judam ante porrectam eucharistiae sacramentum exivisse existiment: But yet, he says, there are who conceive that Judas went forth before the sacrament of the eucharist was given. And with these words Mr. Prynne closes his citation out of Victor Antiochenus; 44 but I will proceed where he left off. The very next words are these, Sane Johannes quiddam ejusmodi subindicare videtur: Certainly John seems to intimate some such thing. Which is more than half a consenting with those who think that Judas went forth before the sacrament of the Lord's supper. I shall end with two testimonies of Rupertus Tuitiensis, one upon John 6; 45 another upon John 13. 46 The latter of the two speaks thus, being Englished: "But we must know that, as it has been also said before us, if Judas, after the sop, did go forth immediately, as, a little after, the Evangelist says, without doubt, he was not present with the disciples at that time, when our Lord did distribute unto them the sacrament of his own body and blood." And a little after: "Therefore, by the Lord's example, the good ought, indeed, to tolerate the bad in the church, until, by the fan of judgment, the grain be separated from the chaff, or the tares from the wheat; but yet patience 44 [Victor of Antioch, bishop (abt. 400 AD). He wrote a commentary on the Gospel of Mark.] 45 In John 6, de participatione autem corporis et sanguinis ejus, potest aliquis opinari quod ille (Judas) interfuerit. Sed profecto diligentius evangelistarum narratione, doctorumque considerata diversitate, citius deprehendi, huic quoque sacramento illum nequaquam interfuisse. Nam cum accepisset buccellam, qua traditor designatus est, exivit continuo. [Rupertus Tuitiensis [Rupert of Deutz, 12 th century].Commentaria in Evangelium Sancti Johannis. Corpus Christianorum: Continuatio Mediaevalis, 9. Ed. by Rhabanus Maurus Haacke. Turnholti: Typographi Brepols, 1969.] 46 Rupertus Tuitiensis in John 13. – Sciendum vero est, quia, sicut et ante nos dictum est, si post buccellum continue Judas exivit, sicut paulo post evangelista dicit, procul dubio nequaquam discipulis tunc interfuit, quando Dominus noster sacramentum illis corporis et sanguinis sui distribuit. Et paulo post. – Igitur exemplo Domini, tolerare quidem malos boni debent in ecclesia, donec ventilabro judicii granum a palea, vel a tritico separentur zizania: verumtamen non eo usque indiscreta debet esse patientia, ut indignis, quos noverunt, sacrosancta Christi tradant mysteria. must not be so far void of discerning, as that they should give the most sacred mysteries of Christ to unworthy persons, whom they knew to be such." As for modern writers, this present question has been debated by Salmeron, tom. 9, tract. 11, and by Dr. Kellet in his Tricoenivm, lib. 2, cap. 14. 47 Both of them hold that Judas did not receive the Lord's supper. Mariana on Luke 22:21, cites authors for both opinions, and rejects neither; 48 Gerhardus, Harm. Evang., cap. 171, cites for the same opinion, that Judas did not receive the Lord's supper (beside Salmeron), Turrianus and Barradius; 49 and of ours, Danaeus, 50 Musculus, 51 Kleinwitzius, Piscator, 52 et alii complures, he says, and many others. Add also Zanchius upon the fourth command. 53 Gomarus (who professedly handles this question), upon John 13. 54 Beza puts it out of question; 55 and Tossanus 56 tells us it is the judgment of many learned men, as well as his own. 57 Musculus, following Rupertus, concludes that certainly Judas was gone forth before Christ 47 [Edward Kellett (1583-1641), Tricoenivm Christi in nocte proditionis suae: The threefold supper of Christ in the night that he was betrayed (London, 1641).] 48 [Juan Mariana, Spanish Jesuit & commentator (1537-1623), Scholia in Vetus et Novum Testamentum.] 49 [Francisco Torres {Turrianus}, Jesuit, Hellenist and AntiProtestant polemicist (1509-1584). Sebastião Barradas, Jesuit commentator (1543-1615), Commentariorvm in concordiam, & historiam Euangelicam. ] 50 [Lambert Daneau, French Calvinist theologian (1530-1596), Lamberti Danaei Opuscula omnia theological (Geneva, 1583).] 51 [Ibid.] 52 [Johannes Piscator (Fischer), German Reformed theologian (1546-1625), Commentarii in omnes libros Veteris et Novi Testamenti (Herbornae, 1638-1646, 5 vols in 3).] 53 [Jerome Zanchius, Reformed Theologian (1516-1590), Operum Theologicorum (Geneva, 1613, 8 volumes bound in 3).] 54 [Francis Gomar, Calvinist divine (1563-1641), Opera omnia theological (Amsterd, 1664).] 55 Beza in John 13:30. – Certa videtur esse eorum sententia qui existimant Judam institutioni sacroa coenae non interfuisse. 56 Tossanus in John 13. – Ita ut Judae quidem laverit pedes Christus, sed postea egressus coenae sacramentali non interfuerit, sicut eruditi multi ex hoc capite colligunt. [Ibid.] 57 [The Armoury edition has the footnotes in this paragraph slightly out of place, but a check of the first edition did not show that any were actually missing.] gave the sacrament to his apostles; 58 so likewise Diodati and Grotius. 59 By this time it appears that Mr. Prynne has no such consent of writers of his opinion, or against mine, as he pretends. As for those ancients cited by Mr. Prynne, some of them (as Origen and Cyril) did go upon this great mistake, that the sop which Christ gave to Judas was the sacrament; which error of theirs is observed by interpreters upon the place. No marvel that they who thought so, were also of opinion that Judas received the sacrament of the Lord's supper; for how could they choose to think otherwise upon that supposition? But now the latter interpreters, yea Mr. Prynne himself, having taken away that which was the ground of their opinion, their testimonies will weigh the less in this particular. Chrysostom thinks indeed that Judas received the sacrament, but he takes it to be no warrant at all for the admission of scandalous persons; for in one and the same homily, hom. 83, in Matt. he both tells us of Judas's receiving of the sacrament and discourses at large against the admission of scandalous persons. As for Bernard, Mr. Prynne does not cite his words nor quote the place. Oecumenius (in the passage cited by Mr. Prynne) says that the other apostles and Judas did eat together communi mensa, at a common table; but he says not "at the sacrament of the Lord's supper." That which Oecumenius in that place argues against, is the contempt of the poor in the church of Corinth, and the secluding of them from the love-feasts of the richer sort. Now, he says, if Christ himself admitted Judas to eat at one and the same table with his other disciples, ought not we much more admit the poor to eat at 58 Musculus in Loc. Com. de Coena Dom., p. 352. Mihi sane dubium non est, egressum ad perficiendum traditionis scelus fuisse Judam, priusquam sacramentum hoe a Domino discipulis traderetur. [Ibid.] 59 Diodati upon John 13:20. – "We may gather from hence that he (Judas) did not communicate of our Savior's sacrament." [Jean Diodati, Reformed divine (1576-1649), Annotationes in Biblia (Geneva, 1607).] Grotius, Annot. in Matt. 26:21, 26; Luke 22:21; John 13, holds the supper at which the sop was given to Judas, and from which he went forth, was the common supper, and that it was before the Lord's supper, and that Luke does not place Christ's words concerning Judas, Luke 22:21, in the proper place. [Ibid.] our tables? Mr. Prynne tells us also that Nazianzen, in his Christus Patiens, 60 agrees that Judas did receive the Lord's supper together with the other apostles. I answer, first, I find no such thing in that place; next, those verses so entitled are thought to be done by some late author, and not by Nazianzen, as J. Newenklaius, in his censure upon them, notes, and gives reason for it. Cyprian's sermon de ablutione pedum, as it is doubted of whether it be Cyprian's, so the words cited by Mr. Prynne do not prove the point in controversy. The other testimony cited out of Cyprian's sermon de coena Domini, as it is not transcribed according to the original, so if Mr. Prynne had read all which Cyprian says in that sermon against unworthy receivers, peradventure he had not made use of that testimony. The words cited out of Ambrose do not hold forth clearly Judas's receiving of the eucharistical supper. The words cited out of Augustine, epist. 162, Judas accepit pretium nostrum, are not there to be found, though there be something to that sense. It is no safe way of citations to change the words of authors. This by the way. As for his other three citations out of Augustine, tract 6, 26, 62, in John, I cannot pass them without two animadversions. First, the greatest part of those words which he cites as Augustine's words, and also as recited by Beda in his commentary on 1 Cor. 11 is not to be found either in Augustine or Beda in the places by him cited; viz. these words: Talis erat Judas, et tamen cum sanctis discipulis undecim intrabat et exibat. Ad ipsam coenam Dominicam pariter accessit, conversari cum iis potuit, eos inquinare non potuit: De uno pane et Petrus accipit et Judas; et tamen quae pars fideli et infideli? Petrus enim accepit ad vitam, manducat Judas ad mortem: qui enim comederunt indigne judicium sibi manducat et bibit SIBI, NON TIBI, &c. Of which last sentence if Mr. Prynne can make good Latin, let him do it (for I cannot), and when he has done so, he may be pleased to look over his books better to seek those words elsewhere if he can find them, for as yet he has directed us to seek them where they are not. 60 [Gregory of Nazianzus (330-389). The work, Christus Patiens, is attributed to him.] My next animadversion shall be this. The words of Augustine which Mr. Prynne alleges for Judas's receiving of the sacrament, are these, tract 6, in John: Num enim mala erat buccella quae tradita est Judae à Domino? Absit. Medicus non daret venenum; salutem medicus dedit, sed indigne accipiendo ad perniciem accepit, quia non pacatus accepit. Thus the original, though not so recited by Mr. Prynne; but that I pass, so long as he retains the substance. Yet how will he conclude from these words that Judas received the sacrament of the Lord's supper, unless he make Augustine to contradict himself most grossly; for tract 62, in John (another place whither Mr. Prynne directs us), speaking of Christ's giving of that buccella or sop to Judas, he says, Non autem ut putant quidam negligenter legentes, tunc Judas Christi corpus accepit: But Judas did not at that time receive the body of Christ, as some negligently reading do think. Which words Beda also in his comment on John 13 has out of Augustine. It is Augustine's opinion that the sacrament was given before that time, at which Judas was present. That which Mr. Prynne cites out of Algerus 61 (a monk, who in that same book writes expressly for transubstantiation) makes more against him than for him; for Algerus takes the reason of Christ's giving the sacrament to Judas, to be this, because his perverse conscience, though known to Christ, was not then made manifest, Judas not being accused and condemned, so that he was a secret, not a scandalous sinner. Thus far we have a taste of Mr. Prynne's citations of the ancients; peradventure it were not hard to find as great flaws in some other of those citations. But it is not worth the while to stay so long upon it. Among the rest he cites Haymo, bishop of Halberstat, 62 for Judas's receiving of the sacrament; but he may also be pleased to take notice that Haymo would have no notorious scandalous sinner to receive the sacrament, and holds that a man eats and drinks unworthily qui gravioribus criminibus commaculatus praesumit 61 [Probably Alger Of Liège, Flemish priest (1060-1131), De sacramentis corporis et sanguinis Dominici — "Concerning the Sacraments of the Body and the Blood of the Lord". 62 [Haymo, Bishop of Saxony (c.778-853). See Migne, Patrol. Latina, vols., 116, 117, 118.] The Blue Banner(January/March 2001) 15 illud (sacramentum) sumere: that is, who being defiled with heinous crimes presumes to take the sacrament; but if he had thought it (as Mr. Prynne does) the most effectual ordinance, and readiest means to work conversion and repentance, he could not have said so. That which Mr. Prynne, p. 23, cites out of the two Confessions of Bohemia and Belgia does not assert that for which he cites them; for neither of them say that Judas did receive the sacrament of the Lord's supper. The Belgic Confession says an evil man may receive the sacrament unto his own condemnation: "As for example, Judas and Simon Magus both of them did receive the sacramental sign." I can subscribe to all this; for it is true in respect of the baptism both of Judas and Simon Magus. But I must here put Mr. Prynne in mind, that the thing which he pleads for is extremely different from that which the Belgic churches hold. For Harmonia Synodorum Belgicarum, cap. 13, says thus, Nemo ad Coenam donminican admittatur, nisi qui fidei confessionem, ante reddiderit, et disciplinae ecclesiasticae se subjecerit, et vitae inculpatae testes fideles produxerit: Let no man be admitted to the Lord's supper, except he who has first made a confession of his faith, and has subjected himself to the church discipline, and has proved himself by faithful witnesses to be of an unblameable life. The other Confession of Bohemia, says that "Judas received the sacrament of the Lord Christ himself, did also execute the function of a preacher, and yet he ceased not to remain a devil, an hypocrite," &c. This needs not be expounded of the Lord's supper (which if he had received, how did he still remain an hypocrite? for that very night his wickedness did break forth and was put in execution), but of the passover, received by Judas once and again, if not the third time. That chapter is of sacraments in general, and that which is added, is concerning Ananias and his wife, being baptized of the apostles. However the very same chapter says that ministers must thoroughly look to it, and take diligent heed lest they give holy things to dogs, or cast pearls before swine; which is there applied to the sacraments, and is not understood of preaching and admonishing, only as Mr. Prynne understands it. Also the book entitled Ratio Disciplinae Ordinisque Ecclesiastici in Unitate, Fratrum Bohemorum, cap. 7, 63 appoints not only church discipline in general, but particularly suspension from the Lord's table of obstinate offenders. Finally, whereas Mr. Prynne cites a passage of the antiquated Common Prayer–book, as it has lost the authority which once it had, so that passage does not by any necessary inference hold forth that Judas received the sacrament, as Dr. Kellet shows at some length in his Tricoenium. The citation in which Mr. Prynne is most large, is that of Alex. Alensis, 64 part. 4, quest. 11, mem. 2, art. 1, sect. 4 (though not so quoted by him); but for a retribution, I shall tell him three great points in which Alex. Alensis, in that very dispute of the receiving of the eucharist, is utterly against his principles: First, Alex. Alensis is of opinion that the precept, Matt. 7:6, "Give not that which is holy unto the dogs, neither cast ye your pearls before swine," does extend to the denying of the sacrament to known profane Christians; for both in that section which has been cited, and art. 3, sect. 1, answering objections from that text, he does not say, that it is meant of the word, not of the sacrament; and of infidels, heretics, persecutors, not of profane ones; but he ever supposes, that the ministers are forbidden by that text to consent to give the sacrament to profane scandalous sinners. Secondly, Alex. Alensis holds that Christ's giving of the sacrament to Judas is no warrant to ministers to give the sacrament to public notorious scandalous sinners, though they do desire it. And thus he resolves, Ibid., art. 3, sect. 1, "If the priest know any man by confession to be in a mortal sin, he ought to admonish him in secret, that he approach not to the table of the Lord; and he ought to deny unto such an one the body of Christ, if he desire it in secret; but if he desire it in public, then either his sin is public or secret, if public he ought to deny it unto him; neither so does he reveal sin because it is public; if private he must give it, lest a worse thing fall out." Thirdly, Alex. Alensis holds the sacrament of the Lord's supper, not to be a converting but a 63 [Ratio disciplinae ordinisq[ue] ecclesiatici in unitate Fratrum Bohemorum. Recèns è Bohemico Latina facta. 1633.] 64 [Alexander Alesius (or de Hales), Scholastic (d. 1245). Summa Theologica (Norimb, 1482, and many times and places thereafter).] 65 [See Aaron's Rod Blossoming. 3.13; Armoury edition, p. 245.] The Blue Banner(January/March 2001) 16 confirming and conserving ordinance, Ibid. art. 2, sect. 2. His words I shall cite in the debating of that controversy. 65 j 1998 1998 -------- 2000 Sermons of Pastor 2000 Sermons of Pastor Richard Bacon Richard Bacon Three years worth of Sermons, and more. Now available on CD! Morning and Afternoon Sermons, as well as Scripture expositions and communion address are all available on CD for these years. This set includes over 300 sermons, and over 600 Scripture readings and expositions (Requires a multimedia computer with sound card and CD drive). 1998 CD 1998 CD 1998 CD 1998 CD $24.95. Special Price: $19.95. . Special Price: $19.95. 1999 CD 1999 CD 1999 CD 1999 CD $24.95. Special Price: $19.95. . Special Price: $19.95. 2000 CD 2000 CD 2000 CD 2000 CD $24.95. Special Price: $19.95. . Special Price: $19.95. All Three CDs. Special Price: $49.95. Save almost $25.00!! Each CD is $5.00 off, and an additional $9.90 can be saved by purchasing all three CDs at once!! This comes to less than six cents per exposition or sermon. See Order Form on Back Page of this Issue. The Old Testament Ecclesiastical Sanhedrin This extract is Chapter Four in Dr. Bacon's dissertation 'A Pattern in the Heavens Part One: Ecclesiology.' This extract is Chapter Four in Dr. Bacon's dissertation 'A Pattern in the Heavens Part One: Ecclesiology.' By Richard Bacon his series of articles has and will continue to assert or presume at certain places that there was a distinct ecclesiastical Sanhedrin in Old Testament Israel. To support such an assertion, it is common to point to Second Chronicles chapter nineteen and the reformation of the southern kingdom under Jehoshaphat. There, at verse 11, the reformation quite clearly indicates that there were separate heads for "matters of the LORD" and for "all the king's matter." 1 Given the fact that the chief priest Amariah (kohen haro'sh) is over the matters of the Lord and a Judahite, Zebediah, is over the king's matters, there is a pretty strong presumption in favor of a dual court system, whether co-located or not, and perhaps even hearing some of the same cases with an eye to the distinct ecclesiastical and civil concerns involved in each case. 2 T Exodus 24 Exodus 24:1 :1 :1 The first appearance of a specifically ecclesiastical Sanhedrin, as opposed merely to the existence of elders, 3 seems to be at Exodus 24:1 where God called not only Moses and Aaron, but seventy of the elders to "come up." We should note that at that point in time in the history of Israel there was not yet a cultic establishment. 1 See below in this article for a more detailed treatment of Second Chronicles chapter nineteen. 2 Although it is possible to distinguish between two court "systems" in the Old Testament, it would be incorrect to suppose that some cases were of a strictly ecclesiastical nature while others were of a strictly civil nature. Likewise, most of the Old Testament legislation contained both ecclesiastical and civil aspects and applications. 3 As in English, the Hebrew word for 'elder' is related to the adjective 'old.' Apart from an actual ecclesiastical or civil function revealed in the context it would be impossible to say with certainty whether the term "elder" at a given Scripture referred to an officeholder or simply to an old man and whether the office was civil, ecclesiastical, or both. Therefore the sacrifices were performed in Exodus twenty-three by "young boys" rather than by Aaron and his sons. Aaron and his sons would not be set apart for office until Exodus chapter twenty-eight and following. The understanding of this dissertation is that the elders of Exodus twenty-four were not the seventy elders chosen for governing the commonwealth of Israel in Numbers chapter eleven, nor were they the elders or judges chosen on the advice of Jethro in Exodus chapter eighteen. Rather these men were chosen as the first group of seventy elders and would become the foundation for the Old Testament ecclesiastical Sanhedrin. The group of seventy elders of Exodus 24:1 was not the same as the group in Numbers 11:16ff., because the elders in Exodus chapter twenty-four were chosen shortly after the children of Israel came out of Egypt and while they were still at Mount Sinai. But on the twentieth day of the second month, in the second year they moved their encampment from Sinai to the Paran wilderness (Numbers 10:11-12). While in the wilderness of Paran they pitched their tents at Hibroth-Hataavah (Numbers 33:16). It was at that encampment at Hibroth-Hataavah that the seventy were chosen to relieve Moses of the burden of government, as Jethro had earlier advised in Exodus chapter eighteen. So the choosing of the seventy in Exodus twenty-four was prior to the choosing of the seventy in Numbers eleven and not at the same time. But neither is it likely that the seventy elders of Exodus 24:1 are the elders of Exodus eighteen, in which passage Jethro advised his son-in-law Moses to establish elders in broader and narrower courts according to population in order to help him with the task of judging the people. Though Exodus eighteen is, of course, prior to chapter twenty-four in the internal structure of the book of Exodus, it is the opinion of some Reformed and Presbyterian scholars that chapter eighteen actually anticipates an episode that took place after chapter twenty-four chronologically and was perhaps never implemented until the episode at Hibroth-hataavah in Numbers chapter eleven. 4 The evidence is not overwhelmingly compelling in this author's opinion, yet it does seem to make sense of all the data and is therefore coherent. The time line is such that Jethro did not come to Moses until about a year after the coming up from Egypt. The law was given on the third day after the children of Israel came to Sinai. But Tostatus claimed that it was impossible that Jethro could have heard that Moses and the people were at Sinai; that Moses could have gone forth to greet him and entertain him; that Jethro could have observed the manner of Moses' government and given counsel to set it in better shape and that Moses could have taken all the steps necessary to rectify his government all in the space of three days. These days were also appointed specifically for the sanctifying of the people and so it is no small question whether Moses would even have been hearing cases during those days. Finally, one must consider that the elders of Exodus twenty-four could not have been civil judges before Jethro came or else Jethro would not have observed that Moses was hearing all the cases without assistance. We should further note that the seventy elders who were chosen in Exodus twenty-four were invested with the authority to judge the very matters in which Aaron or Hur presided. "And he said unto the elders, Tarry ye here for us, until we come again unto you: and behold Aaron and Hur are with you: if any man have any matters to do, let him come unto them" (Exodus 24:14). These seventy elders were joined in the company with Aaron, Nadab and Abihu and were called up into the mount along with them. The section of Exodus in which this occurs follows the giving of the judicial or civil laws to Israel in chapters twenty-one to twenty-three. Chapter 4 Gillespie, Aaron's Rod Blossoming, p. 5 and citing also Willet and Tostatus in Commentaries on this passage in Exodus ch. 24. twenty-four forms a sort of transition or even an introduction to the section of Exodus that follows and which deals more specifically with the ceremonial or cultic laws of Israel. It is also noteworthy that these seventy elders had no function in the civil cases and suits regarding the magisterial government, for in Numbers chapter eleven, which was still future to the events in Exodus chapter twenty-four, Moses still judged civil cases single-handedly. Last of all, these elders in Exodus chapter twenty-four seem to be inducted into office in the context of specifically ecclesiastical ceremonies rather than civil ceremonies with a religious cast. Of course ancient Israel was not a secular nation (few nations ever have been) and so the civil and ecclesiastical cannot be altogether divorced. Yet the concomitants of installation all have an ecclesiastical context more similar to Aaron's anointing than to either Saul's (First Samuel 10:1ff.) or to David's (First Samuel 16:13). First the covenant was ratified immediately upon the selection of the seventy elders, and that in the context of sacrifice and offering (verses 5 to 8). Second, the elders received an epiphany in the context of eating what must certainly have been regarded as a covenantal meal. "And they saw the God of Israel…also they saw God, and did eat and drink" (verses 10 and 11). These trains of thought taken together seem to invest these elders with an ecclesiastical authority and with no civil authority. But if they have ecclesiastical authority without also having civil authority, then they are a distinct ecclesiastical government. Consider: they are accompanied by those whom God chose to be priests (Hebrews 5:4); they had a certain authority to judge of some matters (Exodus 24:14), but not of others (Numbers 11:14); they entered office via a sacred banquet which may even have included the eating of holy things offered to the Lord (Exodus 24:5, 10, 11). Though it was still quite early in the life of the Jewish church in Exodus 24 and therefore things are often seen in Scripture at that point in embryonic forms, still one can see in Exodus chapter 24 an eldership of seventy that is distinct from civil judges. Deuteronomy 17:8 Deuteronomy 17:8 The next evidence of an ecclesiastical government or Sanhedrin can be taken from Deuteronomy 17:8-13. In that passage we may observe several indications of distinct ecclesiastical and civil governments. First, virtually all Reformed commentators agree that this passage sets forth at the very least a Supreme Court of civil judges. Traditionally the authority of the civil Sanhedrin has been based upon this very text. Calvin went so far as to say that the civil alone is in view in the passage: "for although God seems only to refer to civil controversies, yet there is no doubt but that by synecdoche He appoints them to be interpreters of the doctrine of the Law." 5 Keil and Delitzsch's commentary on this passage is also instructive, where they correctly pointed out that the issue in Deuteronomy chapter seventeen has nothing to do with an appeal by a losing party to a dispute. "This is evident," the professors informed us, "from the general fact, that the Mosaic law never recognizes any appeal to higher courts by the different parties to a lawsuit, and that in this case also it is not assumed, since all that is enjoined is, that if the matter should be too difficult for the local judges to decide, they themselves were to carry it to the superior court." 6 The commentary continues on to indicate regarding verse 10, "And this is more especially evident from what is stated in ver. 10, with regard to the decisions of the superior court, namely that they were to do whatever the superior judges taught, without deviating to the right hand or to the left." 7 Regardless, however, of whether we regard the supreme court as receiving appeals from parties or from the lower courts, it must be acknowledged that there exists in this passage a final court of appeal—a court beyond which one could not properly appeal and to whose judgment one must therefore acquiesce. But if this passage indicates a supreme civil court, then it seems by the same parity of 5 Calvin, Commentaries: Harmony of the Four Last Books of Moses (Grand Rapids: Baker, 1984 reprint), 2.262. 6 Keil & Delitzsch, op. cit., I.iii.382. Emphasis added. 7 Ibid., Emphasis added. reasoning to hold forth a supreme ecclesiastical jurisdiction as well. The passage does not resolve civil cases with the judgment of the high priest, nor does it resolve ecclesiastical cases with the judgment of the judge(s). Rather, in verse nine the sentence of the priest(s) is carried as far as is the sentence of the judge(s) who "shall be in that day." Further, as George Gillespie pointed out, the sentence was carried forth "in a disjunctive way, as two powers, not one, and each of them binding respectively in its proper sphere." 8 While the objection might be made that the priest was there merely as a teacher of the law to help interpret the law for the civil judge, this dissertation does not agree with such an assessment. Verse 12 indicates that there is a disjunction between the priest that stands to minister and the judge who shall be in that day. The priest is to be obeyed. He will give authoritative, and not merely advisory, legal opinion. It was not merely that the opinion would be binding upon the judge; it would be binding also on the parties to the case. A second consideration from the Deuteronomy seventeen passage has to do with the three categories mentioned that might be too hard for the local justices to determine for themselves. These categories are characterized in the Authorized Version as "between blood and blood, between plea and plea, and between stroke and stroke" (Deuteronomy 17:8). Although R. J. Rushdoony has indicated that a correct understanding of these distinctions comes down to a practical application of God's law, he limits the understanding of this passage to matters civil. Thus Rushdoony maintains, "The expression in Deuteronomy 17:8, 'between blood and blood,' means a decision between murder and manslaughter. 'Between plea and plea' means between one type of plea for right as against another. 'Between stroke and stroke' refers to varieties of bodily injury; 'matters of controversy with thy gates' means matters of controversy within the community. In these very practical questions of law and the application of the law, the ultimate authority that binds and looses is God's law-word. This law must govern 8 Gillespie, op. cit. p. 6. the court, and the court must at the very least be fully grounded in the law." 9 This dissertation certainly adopts the view that sees biblical law as the basis for all court decisions in Old Testament Israel. But in this author's opinion there is a wider consideration in Deuteronomy chapter seventeen than Dr. Rushdoony expounds in his Institutes. Unquestionably, it could be agreed, the first matter of blood and blood is a community or civil matter. 10 However the third question—which at first seems to be a matter for civil litigation—may actually be a matter for the priest. And if it is a matter for the priest, then it follows that the priest's court would have a primarily ecclesiastical jurisdiction. The Hebrew word "nega`," translated in verse 8 as "stroke" is the same thing that the priest is to determine as to whether or not a skin eruption or other matter is a leprosy. 11 If the first matter is civil and the last matter is for the priest, what is "plea for plea" or "between plea and plea?" The Hebrew word translated as "plea" is "din" as in "beth din" or house of judging. Thus the plea may be common to both civil and ecclesiastical. It may be remembered that the tribe of Dan was named because God is judge. So, a beth din is a house of judging or house of judgment. The application of the beth din to the New Testament church as well as the Old Testament church will be discussed further in subsequent articles. Significantly also, the conjunction "or" is used in verse 13 indicating yet again two jurisdictions that can be and ought to be distinguished. This is demonstrated in the Hebrew 'o, the LXX's ê as well as our Authorized Version. The Greek ê is a disjunctive that separates opposites. 12 So it is used in just that way in the New Testament in such verses as Matthew 5:36 "white or black," Revelation 3:15 "cold or hot," and Matthew 21:25 "from God or from men." The Hebrew particle 'o 9 R. J. Rushdoony, Institutes of Biblical Law (Nutley, NJ: The Craig Press, 1973), 620. 10 Though it could be argued that the "blood and blood" refers even here to consanguinity as it does elsewhere. 11 Neither is this so far-fetched as may seem at first. The Vulgate translates this phrase as "causam lepram et non lepram." 12 Arndt & Gingrich, op. cit., pp. 342-43. also carries the connotation of "or rather" or "or else." 13 It is therefore the burden of verse 12 that cases on appeal will go to an ecclesiastical court or to a civil court at Jerusalem. There may also be a distinction in the passage between jurisdictions or sentences. Verse eleven speaks of both "the sentence of the law which they shall teach there," and "the judgment which they shall tell thee." It is well established in Scripture that the priests were given an accountability to teach the meaning of the law of God. "For the priest's [not the judge's—reb] lips should preserve knowledge, and they should seek the law at his mouth" (Malachi 2:7). There is a distinction, then, not only of persons (priest and judge), but also of sentence (law and judgment), and of controversy (blood and leprosy). This certainly goes a long way toward demonstrating that each had a right of judgment and further that their respective judgments were supreme in suo genere. If it was a controversy that was in its substance a cultic or ceremonial issue (between leprosy and leprosy) as Leviticus 10:9-11 or Ezekiel 22:26 or if it was a fundamentally doctrinal matter, then he that would not follow the sentence of the priest who was the president of the ecclesiastical sanhedrin must die the death (Deuteronomy 17:10-12). But if the cause was criminal, or between blood and blood, and the guilty party would not submit to the decree of the civil Sanhedrin at Jerusalem, then he should die the death. When the priest—the president of the ecclesiastical Sanhedrin—brought sufficient warrant from Scripture for the judgment he passed (Ezekiel 44:23-24), he who contumaciously disobeyed him also disobeyed God (Luke 10:16; Matthew 10:14). A competent adjudication based upon the Word of God must be obeyed. First Chronicles 23:3 First Chronicles 23:3 A third line of argumentation proceeds from the reordering of the Levites by David. In First Chronicles chapter twenty-three all the Levites over the age of thirty were numbered and found 13 Richard Whitaker, Ed. The Abridged Brown-Driver-Briggs Hebrew-English Lexicon of the Old Testament (Oak Harbor, WA: Logos Research Systems, 1997), in loco. to be 38,000 (verse 3). Of the 38,000, a number of 24,000 were to "set forward" the work of the house of the Lord. The "setting forward" is more clearly defined in verses 28-32 and basically includes everything except the functions delegated specifically to the priests alone to do. 14 Another 8,000 were made porters and "praisers with instruments" (verse 5). In the midst of this arrangement of temple duty, David designated 6,000 Levites to be "officers and judges." Strictly speaking, the shophtim (judges) were those who gave sentence and the shot e rim were those who ensured the execution or the carrying out of the sentence. 15 There is no linguistic reason to think that the designation of the office was strictly ecclesiastical, for there were civil officers with the same title. So it was that Chenaniah and his sons were also "officers and judges" (First Chronicles 26:29). Thus there were 6,000 Levites whose specific (and apparently sole) function it was to be "officers and judges." But it is altogether unreasonable to suppose that it would have required 6,000 officers and judges to be over only 32,000 other Levites. The ratio of one to ten is as low as Scripture ever goes for judges, but this would be a ratio on the order of one judge for each five and one third Levites. Rather, we should understand these 6,000 Levites to have the task of judging and giving sentence when any controversy was brought from outlying districts of the land. We see in these officers and judges the fulfillment of Deuteronomy 17:8-13, discussed earlier in this chapter. It is also possible, though not explicit, that they served either in courses as the priests did or that they were divided according to the various tribal districts in Israel. If anyone would object that these Levites were the Levites spread out through various cities, far from contradicting the idea that these were ecclesiastical officers, the objection would simply demonstrate ecclesiastical government existed throughout the land. Yet they would then have been subordinate 14 Keil & Delitzsch, op. cit., III.ii.253. 15 Or the shot e rim may simply have been recording clerks. The word is clearly a qal active participle of an unused verb shatar. The participle is used to describe the prefects of the people in Egypt in Exodus 5:6-19 and is therefore an ancient designation. to the ecclesiastical Sanhedrin at Jerusalem as lower courts. But we must follow David's story to its conclusion. In First Chronicles 28:1 we read, "And David assembled all the princes of Israel, the princes of the tribes, and the captains of the companies that ministered to the king by course, and the captains over the thousands, and captains over the hundreds, and the stewards over all the substance and possession of the king, and of his sons, with the officers, and with the mighty men, and with all the valiant men, unto Jerusalem." Surely no biblical student would maintain that the Levites were officers and judges of the same kind, in the same manner, or for the same ends with the civil rulers, judges, and military commanders in Israel. Nor should any biblical student maintain that there was no distinction between the power of ruling (binding) given to the Levites and the power of ruling (binding) given to the Princes respectively. But if we admit of a distinction, it is that very distinction that this dissertation maintains distinguishes between civil and ecclesiastical government in Old Testament Israel. Much of the difficulty in making this proper distinction arises, in this author's opinion, from the fact that there was not a civil (or judicial) law in Old Testament Israel apart from the law of God. Thus the civil courts and ecclesiastical courts were both working from the same corpus juris. There was not a separate corpus juris canonici, and so it is an easy and even natural conclusion that if we see the same laws and the same people being governed that we must also be seeing a single court system. Here is where the Presbyterian understanding of ecclesiastical government diverges from the Erastian view that the civil magistrate is the governor of the church. But at the same time the Presbyterian understanding diverges from that of the Roman state church that places the claims of the Roman antichrist over the civil magistrate in respect to civil matters. It is in part due to this understanding of the Old Testament distinctions between civil and ecclesiastical government that the Westminster divines proclaimed, "The Lord Jesus, as king and head of his church, hath therein appointed a government in the hand of church-officers, distinct from the civil magistrate" 16 and in that statement repudiated Erastianism. In the same document the divines also repudiated the claim that ecclesiastical government has any business meddling (or "intermeddling" as they said) with the affairs of civil government. "Synods and councils are to handle or conclude nothing but that which is ecclesiastical; and are not to intermeddle with civil affairs, which concern the commonwealth, unless by way of humble petition, in cases extraordinary; or by way of advice for satisfaction of conscience, if they be thereunto required by the civil magistrate." 17 Second Chronicles 19:8 Second Chronicles 19:8 The fourth passage that provides evidence of an ecclesiastical government and sanhedrin in Old Testament Israel distinct from civil government is Second Chronicles 19:8-11, alluded to earlier, when Jehoshaphat restored the church government that was first instituted by Moses and later settled by David. "Moreover in Jerusalem did Jehoshaphat set of the Levites, and of the priests, and of the chief of the fathers of Israel, for the judgment of the Lord and for controversies," etc. There is no question over whether a civil Sanhedrin existed. What must be proved is that there was in Jerusalem, side by side with the civil government, a distinct ecclesiastical government. The passage in Second Chronicles provides for a court made up of ecclesiastical members, judging ecclesiastical causes, for an ecclesiastical end, having final authority to decide matters brought from inferior courts, moderated by an ecclesiastical president, and whose sentence was put into effect by ecclesiastical officers. But that is just what would constitute a distinct ecclesiastical Sanhedrin. One may wish to call it by some other name, but in proving the parts we shall prove the whole. 18 16 WCF XXX.1, Confession, 120. 17 WCF XXXI.5, Confession, 123. 18 Some may wish to call this "duck logic." If something quacks like a duck, and waddles like a duck, and flies like a duck and has a bill like a duck, and is always found in company with known ducks, it is most likely a duck. Lawyers often set forth this same principle with First, in this passage we find Levites and priests as members of the court together with certain of the "chief of the fathers of Israel" who together made up the government of the church. This is the very passage adduced by the Westminster Assembly of divines for their statement, "As there were in the Jewish church elders of the people joined with the priests and Levites in the government of the church;" etc. 19 Further, according to Gillespie, this is the passage adduced by Protestants against the Roman apologist Robert Bellarmine to prove that others than "clergy" ought to have a voice in church councils. 20 Second, this court was judging ecclesiastical cases. Those cases or controversies were called by the name of "the judgment of the Lord" in verse eight and "the matters of the Lord" in verse 11 to distinguish them from "the king's matters." 21 The nature of a controversy such as "between blood and blood" may refer to the distinction between unintentional man killing as opposed to "lying in wait" (i.e. with premeditation). However, it is also quite possible and some commentators would even say likely, that what is in view is the law regarding consanguinity in marriage. 22 The phrase "ye shall warn them" in verse 10 certainly seems to have more in common with synodical decrees (cp. Acts 16:4) than with civil punishments such as restitution, fines, and corporal punishments. Third, the court had an ecclesiastical end—"Ye shall warn them that they trespass not against the Lord." Jehoshaphat did not charge them to warn the lower courts not to sin "against one another," but "against the Lord." This seems to be for two reasons primarily. The first reason would be that this court would be involved not so much in tort law and criminal law as in first table the saying, "if you hear hoof-beats, think 'horses,' not 'zebras.'" The present author is aware of the fallacy of composition, and has not committed it with this argument. The author is not attributing the characteristics of the parts to the whole, but demonstrating how each of the parts is consistent with the whole. 19 "The Form of Church-Government," in Confession, 402. 20 Gillespie, op.cit., 8. 21 d e bar YHWH and d e bar hammelek respectively. 22 E.g., Gillepie in op. cit. offenses. But secondly, even in the case of trespasses and controversies involving personal injury or public criminality the supreme court was tasked with warning the lower courts not to mistake or misunderstand the law—they were to determine the law and its intent such that they not trespass against the giver of the law. 23 Fourth, cases could come before them from the outlying cities (whether by appeal or by reference is immaterial in this respect). When such a case came before the court they were required to "finally decide" it. Their decision was ultimate and therefore it was the authoritative determination of the case. There was not a civil court to which the litigation could then be appealed. If there were, then the ecclesiastical system would, in its final determinations, have been subordinate to the civil system. That would have made the Old Testament system fundamentally Erastian in its nature. This was the point that the Erastians in the Westminster Assembly thought was their strongest; and it was the point that they finally had to concede to the Presbyterians after the learned Gillespie arrived. William M. Hetherington described some of the difficulties the Erastians experienced with the young Gillespie: "When the subject was resumed, another direction was given to the discussion by Selden, who produced a long and learned argument to prove that the passage of Scripture in question contained no authority for ecclesiastical jurisdiction. His object was, to guard against any conclusion of the Assembly, which might contradict the Erastian theory, and therefore he laboured to represent the whole as relating to the ordinary practice of the Jews in their common courts; by whom as he asserted, one sentence was excommunication, pronounced by the civil court. Herle and Marshall both attempted answers, but, says Lightfoot, 'so as I confess gave me no satisfaction.' Gillespie then came to the rescue, and in a speech of astonishing power and acuteness, completely confuted Selden, even on his own chosen ground, and where his strength was greatest. He proved that the passage could 23 Matthew Henry, op. cit., in loco. not mean a civil court,… This appears to have been the speech referred to by Wodrow, and of which there still exist many traditionary anecdotes, illustrative of the very extraordinary effect produced upon all that heard it. Selden himself is reported to have said at its conclusion, 'That young man, by this single speech, has swept away the labours of ten years of my life;' and it is remarkable that Selden made no attempt to reply to Gillespie, though he answered some of the arguments used by others who spoke after him." 24 Fifth, this court had a clearly ecclesiastical moderator or president. Verse eleven maintains "Amariah the chief priest is over you in all matters of the LORD" whereas Zebediah, of the tribe of Judah, was Prime Minister respecting civil matters—or the king's matters. Amariah was not merely present as another voting member. He was over the court as its prolocutor. 25 This diversity of having not a single head, but two heads, is enough to prove two bodies. Any creature with two heads but a single body is a monstrosity. But here we dare not accuse Jehoshaphat of creating a monstrosity. Therefore there were two bodies. The same man might be the member of two bodies—a civil and an ecclesiastical—or he may be a member of three or four courts without causing a puzzle to us. But for the same court to have two presidents would be strange at least. So the distinction of presidents and of subject matter to each president, makes two distinct courts. Sixth, and finally, the court had ecclesiastical officers to put its sentences into effect. In verse 11 we read, "The Levites shall be officers before you." As we saw in First Chronicles 23:26, some of the Levites were shophtim and others were shot e rim. The latter were the officers to see that the sentence of the shophtim was put into effect, and to cause those who would otherwise be refractory to obey the court. So also in this passage some of the Levites were appointed to judge and others were appointed to carry out the 24 William M. Hetherington, History of the Westminster Assembly of Divines (Edmonton: Still Waters Revival Books, 1991 reprint of 1856 third edition), 201-202. 25 a Hebrew ` leykem. ecclesiastical censures. Levites were appointed to carry out the censures in part to obviate the possibility of the civil sword being used to place church censures into effect. Jeremiah 26:7 Jeremiah 26:7----9999 A fifth passage that might be adduced comes more to observation than to precept, but nevertheless counts as evidence for the existence of a distinct ecclesiastical court, whether by jus divinum or some other reason. Jeremiah chapter twenty-six sets forth a distinction of authority between the court of the priests and prophets in verses 7 to 9 and the court of the princes of Judah in verses 10 through 24. The prophets spoken of here in Jeremiah were not true prophets of God, but clearly were false prophets. Yet even in that capacity of prophet (whether true or false matters not) they had the authority to summon Jeremiah before them (i.e., they "took" him in verse 8). In this court, Jeremiah was accused and convicted (wrongly of course—it would be more accurate to say he was convicted even before he was taken) of being a false prophet, verse 9. Yet though they had judged him worthy to die, he was acquitted by the court of the princes in verses 10, 11, and 16. Then in verses 17 and following "certain of the elders of the land" gave the justification for their decision to reverse the ecclesiastical court. An Erastian may be inclined to cite this passage to prove an appeal from an ecclesiastical court to a civil court. We will take from the Erastian what he gives, viz., that there was a distinction of courts. But we disagree with the Erastian idea that this constitutes a process to be followed in every Old Testament ecclesiastical case; and that for two reasons. First, the court of the priests and prophets had no power of capital punishment. If they had, then they would simply have signed Jeremiah's death warrant and would have been done with him. The reason Jeremiah's case went from one court to another was due to the fact that the ecclesiastical court was calling for a sentence that it did not have authority in itself to carry out. There must be a concurrence of the civil court to carry out a corporal sentence. Yet second, the court did have a power to judge Jeremiah as a false prophet, and one who ought to be punished in a certain way corporally according to the law of God. Their judgment was wrong respecting Jeremiah's guilt, but their jurisdiction was never denied: not by them, nor by Jeremiah, nor by the court of the princes. Rather, what the court of the princes determined was that the court of the priests and prophets applied a wrong standard to Jeremiah's case. The priests' and prophets' court applied a standard that maintained that anyone speaking against the temple was worthy of death. The civil court reversed the judgment because Jeremiah had done nothing truly worthy of death. The justification for the reversal contained both principle and precedent—very much as we would expect from a separate court. Had the civil court carried out the sentence, it would have become a partaker of the ecclesiastical court's sin. Jeremiah 18:18 Jeremiah 18:18 A sixth Scripture that may be brought forth to intimate a separate ecclesiastical Sanhedrin is Jeremiah 18:18. In that verse, Jeremiah's adversaries said, "Come, and let us devise devices against Jeremiah; for the law shall not perish from the priest, nor counsel from the wise, nor the word from the prophet. Come, and let us smite him with the tongue, and let us not give heed to any of his words." Jeremiah's persecutors were committing the genetic fallacy or an argument from [false] authority. The force of their argument lay in the fact that because those who are of the greatest authority in the church disagree with Jeremiah and he must therefore be a false prophet. These accusers made the same error that the followers of the Pope continue to make—they thought that "the church" could not err. But where would they get such an idea? Certainly they must have adduced the law of the sanhedrin in Deuteronomy 17:10-12, "And thou shalt do according to the sentence which they of that place which the Lord shall choose shall show thee; and thou shalt observe to do according to all that they inform thee: according to the sentence of the law which they shall teach thee, and according to the judgment which they shall tell thee, thou shalt do: thou shalt not decline from the sentence which they shall shew thee, to the right hand nor to the left. And the man that will do presumptuously, and will not hearken unto the priest that standeth to minister there before the LORD thy God, or unto the judge, even that man shall die: and thou shalt put away the evil from Israel." A misapplication of the law of the Sanhedrin would cause them to think that a duly appointed council of priests, wise men so-called, and prophets could not err. Therefore they preferred the pronouncements of the ecclesiastical Sanhedrin to the word of the Lord from Jeremiah. This seems to be an ecclesiastical Sanhedrin rather than a civil Sanhedrin. This conclusion follows for several reasons. First, they make no mention of the judge from Deuteronomy seventeen, but only of the priests and prophets and the wise, by which we should understand those who excelled in the knowledge of the law of God. Thus Christ referred to his disciples in Matthew 23:34. So, too, Jeremiah 8:8-9 defines the wise in terms of those who know the law of the Lord (even though they really did not know it). Isaiah distinguished in Isaiah 3:2 between the prudent and the judge. Further if we compare Matthew 23:34 (referenced above) with Luke 11:49, we learn that "wise men" and "scribes" are semantically equivalent terms to "Apostles." Second, however, their determination to smite Jeremiah with the tongue fits perfectly well with an ecclesiastical Sanhedrin, but not so well with what we would expect from a civil Sanhedrin. Thus it may be that they were determined to smite him for his tongue, that is, for false doctrine. Or the phrase may import that they desired to smite him in his tongue so that by ecclesiastical censure he no longer would be permitted or licensed to preach. Or the terminology could refer to an ecclesiastical declaration or sentence. Then the meaning would be, "do not smite him with the sword, for that belongs only to the civil magistrate. Smite him rather with the tongue by declaring him to be a false prophet and thus ministerially and declaratively determining that controversy and that case." 26 Ezekiel 7:26 Ezekiel 7:26 Seventh, we may consider Ezekiel 7:26 where we read, "…then shall they seek a vision of the prophet; but the law shall perish from the priest, and counsel from the ancients." Once again the priests and the ancients are to be regarded collectively or jointly in session and not severally and distributively as alone. Here is the meaning: in God's providential discipline the people would seek after a vision from the Lord, but they would not be able to find it regardless of where they looked. A person may not be disappointed or surprised if a single elder or priest or prophet had no word from the Lord because then it might be sought elsewhere. But if the entire consistory of priests and elders were devoid of wisdom and counsel and knowledge of the law, then the light of Israel would become as darkness. Many Protestant writers at the time of the Reformation cited this verse to show that ecclesiastical councils can err. But if they were sensible in their citations, then they must have regarded this passage to have reference to such councils. 27 Zechariah 7:1 Zechariah 7:1----3333 An eighth passage from the Old Testament also holds forth the authority, if not the form, of a distinct ecclesiastical council and that is Zechariah 7:1-3. Some Jews sent Sherezer and Regemmelech to Jerusalem or to the house of the Lord to speak to the priests and prophets who were there in that day and the question they were told to ask was "Should I weep in the fifth month, separating myself, as I have done these many years?" Here is clearly an ecclesiastical question having to do with God's worship and possibly also having to do with a case of conscience. 28 But the reason that the Jews inquired from this council was because they clearly believed that 26 As would be the only authority a church court would have operating according to WCF XXXI.3, Confession, 122. 27 Gillespie, op. cit., 12. 28 "It belongeth to synods and councils ministerially to determine controversies of faith, and cases of conscience;" WCF XXXI:3, Confession, 122. this council had the authority to "finally decide" the controversy. By the term "finally decide," church courts convey that there is no further appeal by either party to the case. The New Testament Record The New Testament Record Finally, this dissertation should consult the New Testament on the matter, for it also holds out an ecclesiastical Sanhedrin among the Jews of the first century. Whether Rome had fully taken away the civil Sanhedrin in the days she ruled Palestine might be controverted. Yet there was certainly an ecclesiastical government in the hands of church officers in those days. 29 Note first, there was a council that consisted of the priests, elders, and scribes (Matthew 2:4; 16:21; 21:23; 26:57, 59; 27:1, 12; Mark 14:43; Luke 22:66; and Acts 4:5). Note further that the council was designated in the Greek language of the New Testament as the presbuterion in Luke 22:66 and Acts 17:5. But that is the very name Paul gave to the explicitly ecclesiastical eldership that ordained Timothy (First Timothy 4:14). It is very doubtful that the Apostle would transfer the name of an exclusively civil court to an exclusively ecclesiastical one without some explanation. Finally, note that this council examined Jesus concerning his disciples and his doctrine, received witnesses against him, and pronounced him guilty of blasphemy (Matthew 26:57, 65-66 cp. Mark 14:53-55 and John 18:19; 19:6-7; Luke 22:66; etc.). A testimony is established in the mouths of two or three witnesses. But this chapter has called three times the required number to establish a matter: eight passages from the Old Testament, plus the testimony of the New Testament. Lest this author be misunderstood in what he thinks this chapter has demonstrated, he does not claim that the ecclesiastical government of the Old Testament was so clearly delineated as it is in the New Testament. Nor does this work claim that there was as clear and complete a distinction of subjects, matters, and offices as exists in the New Testament between the ecclesiastical government and the civil government. Nor does the author claim that the ecclesiastical government of the Old Testament was always limited in its censures in an identical way that the New Testament ecclesiastical government is limited. Rather, the viewpoint of the author of this dissertation is much simpler than that. God distinguished in the Old Testament as well as the New Testament between the church and the state. The church and state were co-extensive in the Old Testament and that is no longer the case. The idea of a "national church" is really an anachronism given the fact that the church catholic (universal) is the holy nation of God today (Matthew 21:43 cp. First Peter 2:9). The church and state are no longer co-extensive with respect to their subjects and so the limits of each are much more easily discerned today. But there was a distinction, embryonic though it may have been—which of the ordinances of God was not embryonic in the Old Testament, after all— between the church government that God placed in the hands of church-officers and the civil government that God placed in the hands of others. j Westminster Shorter Catechism Memory Cards Flash Cards, business card size, with WSC question and answer on one side and a Scripture proof on the other. $4.95 per set or $14.95 for 5 sets (postage extra). WESTWIND A Hypertext Windows Help File Of the WESTMINSTER CONFESSION AND THE LARGER AND SHORTER CATECHISMS with Scripture Proofs Available free to download at www.fpcr.org 29 See WCF XXX.1, Confession, 120. James Durham on the Ninth Commandment This extract comes from: James Durham, This extract comes from: James Durham, A Practical Exposition of the Ten Commandments A Practical Exposition of the Ten Commandments A Practical Exposition of the Ten Commandments (Dall (Dall (Dallas, TX: Naphtali as, TX: Naphtali Press, 2000), unpublished E Press, 2000), unpublished E----book. Copyright (c) 2001 by Chris Coldwell. book. Copyright (c) 2001 by Chris Coldwell. book. Copyright (c) 2001 by Chris Coldwell. Edited by Chris Coldwell he Lord having in the foregoing commands directed us how to walk with others in reference to their honor, life, chastity, and estate: Now, because men and human societies are generally concerned in the observing of truth and ingenuity, he comes in this command to direct us how to be tender of this, that by us our neighbor be not wronged in that respect, but that on the contrary, all means may be used to preserve truth for his good, to prevent what may load [reproach] his name, and remove what lies on it. The scope of it is the preservation of verity and ingenuity amongst men (Col. 3:9), lie not one to another; (Eph. 4:25, 15) Speak every man the truth, etc. and Speak the truth in love; because if otherways spoken, it is contrary to the scope of this command, which is the preservation of our neighbor's name from a principle of love. The sin forbidden here is expressed by false witness bearing, which is especially before judges, because that is the most palpable gross way of venting an untruth, under which (as in other commands) all the lesser are forbidden. T Although there are many sorts of sins in words, whereby we wrong others, yet we think they are not all to be reduced to this command, for injurious and angry words belong to the sixth command, and filthy words to the seventh; but we take in here such words as are contrary to truth, and fall especially under lying or wronging of our neighbor's name. Now truth being an equality or conformity of men's words to the thing they speak, as it is indeed, and in itself; and lying being opposite thereto; we may consider it two ways: 1. In reference to a man's mind, that is, that he speak as he thinks in his heart (as it is Psa. 15:2), this is the first rule whereby lying is discerned, if our speech is not answerable to the inward conception which it pretends to express, and this is that which they call formale mendacium , or a formal lie, which is an expressing of a thing otherways than we think it to be, with a purpose to deceive. Then 2. There must be a conformity in this conception to the thing itself, and so men must be careful to have their thoughts of things suitable to the things themselves, that they may the more falsely express them, and thus when there is a disconformity between men's words and the thing they seem to express, it is that which they call materiale mendacium , or a material lie, and a breach of this command that requires truth in men's words, both as to matter and manner. That we may sum up this command (which is broad) into some few particulars, we may consider it first, as it is broken, 1. In the heart. 2. In the gesture. 3. In right. 4. In word. First, in heart a man may fail, 1. By suspecting others unjustly; this is called evil surmising (1 Tim. 6:4), or as it is in the original, evil suspicion; which is when men are suspected of some evil without ground, as Potiphar suspected Joseph, or it is jealousy, when this suspicion is mixed with fear of prejudice to some interest we love, so Herod was jealous when Christ was born, and the neighboring kings when Jerusalem was abuilding. There is, I grant, a right suspicion, such as Solomon had of Adonijah, and wherein Gedaliah failed in not crediting Johannan's information about Ishmael's conspiracy against his life. 2. By rash judging and unjust concluding concerning a man's state, as Job's friends did; or his actions, as Eli did of Hannah, saying that she was drunk, because of the moving of her lips; or his end, as the Corinthians did of Paul, when he took wages, they said it was covetousness, and when he took it not, they said it was want of love (see Rom. 14:4 and 2 Cor. 12:4, etc). 3. By hasty judging, too soon passing sentence in our mind from some seeming evidence of that which is only in the heart, and not in the outward practice, this is but to judge before the time, and hastily (Matt. 7:1). 4. There is light judging, laying the weight of conclusions upon arguments or midses [means] that will not bear it, as Job's friends did, and as the Barbarians suspected Paul to be a murderer, when they saw the viper on his hand (Acts 25:4). Thus the King Ahaseurus trusted Haman's calumny of the Jews too soon. 5. The breach of this command in the heart may be when suspicion of our neighbor's failing is kept up, and means not used to be satisfied about it, contrary to that, Matt. 18:15, If thy brother offend thee, etc; and when we seek not to be satisfied, but rest on presumptions, when they seem probable. Secondly, in gesture this command may be broken, by nodding, winking, or such like (and even sometimes by silence) when these import in our accustomed way some tacit sinister insinuation, especially when either they are purposed for that end, or when others are known to mistake because of them, and we suffer them to continue under this mistake. Thirdly, by writing this command may be broken (as Ezra 5:6; Neh. 6:5), where calumniating libels are written, and sent by their enemies against the Jews and Nehemiah; in which respect many fail in these days. Fourthly, but words are most properly the seat wherein this sin is subjected, whether they be only or merely words, or also put in writing, because in these our conformity or disconformity to truth does most appear. 2. Lies are commonly divided into three sorts, according to their ends: (1) There is mendacium perniciosum, a malicious or pernicious lie, when it is hurtful to another, and so designed, as were the lies of those that bare false witness against Christ and of Ziba against Mephibosheth. (2) There is officiosum mendacium, or an officious lie, when it is for a good end, such was the midwives' lie (Ex. 1:9), thus denying of a thing to be, even when the granting of it would infer hurt and damage to another, is contrary to truth, and we ought not to do evil that good may come of it, and it overturns the end for which speaking was appointed, when we declare a thing otherways than we know or think it to be. And as no man can lie for himself for his own safety, so can he not for another's; thus to lie even for God is a fault, and accounted to be talking deceitfully and wickedly for him, when to keep off what we account dishonorable to him, we will assert that he may, or may not do such a thing, when yet the contrary is true (Job 13:4, 7). (3) There is jocosum mendacium, when it is for sport to make others laugh and be merry, which being sinful in itself can be no matter of lawful sport to make others laugh. (4) We may add one more, and that is mendacium temerarium, when men lie and have no end before them, but through inadvertency and customary looseness, speak otherways than the thing is, this is called the way of lying (Psa. 119:29), and is certainly sinful; as when they told David when Amnon was killed, that all the king's sons were killed, being too hasty in concluding before they had tried. 3. Consider lies or untruths, either in things doctrinal, or in matters of fact. In things doctrinal, so false teachers and their followers are guilty, who teach and believe lies, so such teachers are said (1 Tim. 4:2), to speak lies, and so when they foretell vain events, this is a high degree of lewd lying on the Lord, to say he means or says another thing than ever he thought, or than ever came into his heart, and to pretend a commission from him when he gives no such commission. In matters of fact, men are guilty when things are said to be done when they are not done, or otherways done than they are done indeed. 4. We may consider this sin in men's practice, either in reference to God, so hypocrisy and unanswerableness to our profession is lying (Psa. 78:36; Isa. 29:13), or we may consider it as between man and man, which is more properly the scope here. Again, we may consider the wronging of a man three ways. (1) By false reports, speaking what is indeed untrue. (2) By vain reports, which tend to his shame; so Deut. 5:20, this command is repeated in these words, Thou shalt not take up any witness (as it is in the original) against thy neighbor. (3) When the reports are malicious, whether they be true or false, and intended for that end that our neighbor may lose his good name. Further, consider it in reference to the person guilty, either as he is, (1) the raiser or carrier of a tale, true or false, yet tending to the prejudice of his neighbor; thus he is the maker of a lie. Or (2) as he is a hearer or receiver of tales (Prov. 17:4); thus he is to lying as a resetter [receiver of stolen goods] is to theft. And would not men hear tales, few would carry them; whereas when men will hearken to lies, especially great men, all their servants ordinarily become wicked tale-bearers and whisperers. Or (3) as he is the sufferer (albeit he be not the venter) of a lying tale to pass on his neighbor (so he loves a lie, as it is, Rev. 22:8) or but faintly purges him of it, but lets it either lie on him, or possibly takes it up and repeats it again, which is condemned, Psa. 15:3, where a man that takes up an evil report of his neighbor, even when others possibly have laid it down, is looked upon as a person who shall never dwell with God. Thus one invented a lie, another vented and outs it, and a third resets it, like coiners, spreaders and resetters of false money; for, that one said such a thing, will not warrant our repeating of it again. 5. We may consider wrongs done to our neighbor by words, as unjust and without all ground, and so a lie is a calumny; as was that of Ziba, made of his master Mephibosheth; this is in Latin calumnia. Or when there is ground, yet when they are spoken to his prejudice, this is convitium, if especially in this they suffer for the truth's sake; or if after repentance, former faults be cast up to a person, as if one should have called Paul a blasphemer still, even after his conversion and repentance; of this was Shimei guilty by railing on David. 6. Both these sorts of lies are either spoken or received, and not afterward rejected, as David too hastily received that false report made of Mephibosheth by his servant Ziba, and thinking it not unlikely, because the reporter made it seem to be so, did therefore conclude it was truth, and did not reject it afterwards; or when at first received, yet after upon better information it is rejected. 7. Again, this wronging of our neighbor by words is either of him when absent, and is backbiting, which often is done under pretence of much respect (that the report may stick the faster), in such words as these, He is one I wish well, and should be loath to have him evil reported of, but this is too evident, this is the truth, etc; this is susurrare, to whisper. Or it is of him when present, so it is a reproach and indignity, or upbraiding. 8. Again, this backbiting and reproaching is either direct, so that men may easily know we bait such persons, or it is indirect, granting somewhat to his commendation, and using such prefaces as in show bear out much love, but are purposely designed to make the wound given by the tongue the deeper; such persons are as butter in their words, but as sharp swords in their hearts. This is that dissembling love which David complains of. 9. Sometimes this reproaching and slandering of our neighbor is out of spleen against him, and is malicious; sometimes out of envy to raise and exalt one's self on the ruins of another (this is grassari in famam proximi); sometimes it is out of design, thereby to insinuate upon them whom we speak unto, as to signify our freedom unto them, to please them, or praise them, by crying down another, that is to serve the itching humor of such who love the praise of others, when it may be we know more faults of those we speak to, yet never open our mouth to them of one of these, nor are we free with them anent [about] them if the things are true. 10. We may break this command by speaking truth, (1) For an evil end, as Doeg did (Psa. 52:2). (2) By telling something that is truth out of revenge. (3) When it is done without discretion, so it shames more than edifies. Christ's word is (Matt. 18:15), Tell him his fault betwixt thee and him alone; and we on the contrary make it an upcast to him; this certainly is not right. (4) When it is minced, and all not told; which if told might alleviate; or construed and wrested to a wrong end, as did the witnesses who deponed [deposed] against Christ. 11. We may break this command, and fail in the extremity of speaking too much good of, or to, our neighbor, as well as by speaking evil of him, if the good be not true, and here comes in, (1) excessive and rash praising and commending of one, [1] beyond what is due, [2] beyond what we do to others of as much worth; this is respect of persons; [3] beyond what discretion allows, as when it may be hurtful to awaken envy in others, or pride in them who are thus praised. (2) Praising inordinately, that is before a man's self, or to gain his affection, and that possibly more than when he is absent and hears not; much more is it to be blamed when spoken groundlessly. This is flattery, a most base evil, which is exceedingly hurtful and prejudicial to human societies, yet exceeding delightful to be flattered. (3) We fail in this extremity, when our neighbor is justified or defended, or excused by us in more or less, when it should not be. 12. Under this sin forbidden in the command, comes in all beguiling speeches, whether it be by equivocation, when the thing is doubtfully and ambiguously expressed; or by mental reservation, a trick whereby the grossest lies may be justified, and which is plainly aversive of all truth in speaking, when the sentence is but half expressed; as suppose one should ask a Romish priest, Art thou a priest? and he should answer, I am no priest; reserving this in his mind, I am no priest of Baal; for by giving or expressing the answer so, an untruth and cheat is left upon the asker, and the answer so conceived does not quadrat [square] with the question as it ought to do, if a man would evite [avoid] lying. 13. This falsehood may be considered with reference to things we speak of, as in buying or selling, when we call a thing better or worse than it is indeed, or than we think it to be. Ah! how much lying is there every day this way with many. 14. Under this sin forbidden in this command are comprehended, (1) Railing. (2) Whispering. (3) Tail-bearing (spoken of before). (4) The tattling of busybodies, that know not how to insinuate themselves with others, or pass time with them but by some ill tale of another. 5. Prevarication, which is the sin of persons who are inconstant, whose words go not all alike, saying and unsaying; saying now this way, and then another way, of the same thing, their words clashing together, and they not consisting with themselves. 15. Consider falsehood or false witness-bearing, as it infers breach of promise, which is forbidden (Psa. 15:4), when one performs not what he promises, or promises that which he intends not to perform, which is deceit and falsehood. 16. As we may sin in speaking evil against others, so we may in respect of ourselves many ways: (1) When we give occasion to others to speak evil of us (1 Cor. 6:2; 2 Cor. 6:3). (2) When we are not careful to entertain and maintain a good name, and by suitable ways to wipe away what may mar the same. It is generally observed, that while men have a good name, they are desirous and careful to keep it; and when they have lost it, they grow careless of it. We ought not to be prodigal of our names more than our lives or estates, for the loss of them incapacitates us much to edify others. (3) When we vainly boast of ourselves, and set forth our own praise; that is, as if a man should eat too much honey (Prov. 25:27). (4) When we will not confess a fault, but either deny, excuse, or extenuate it; this Joshua exhorts Achan to eschew. (5) When we say that things are worse with us than indeed they are, and deny, it may be even in reference to our spiritual condition, somewhat of God's goodness to us, and so lie against the Holy Ghost. (6) When we are too ready to entertain good reports of ourselves, and to be flattered, there is (if anything) an open door to this in us; and as the heathen Seneca said, Blanditiae cum excluduntur placent, so it may be ordinarily seen that men will seemingly reject what they delight should be insisted in; there is in us so much self-love, that we think some way, that men in commending us do what is their duty. Therefore, we often think them good folk because they do so, and men that do not commend us we respect them not, or but little, or at least less than we do others, because we think they are behind in a duty by not doing so; and which is very sad, and much to be lamented, few things do lead us to love or hate, commend or discommend (and that as we think not without ground) more than this, that men do love and commend, or not love and commend us. 17. We also may by withholding a testimony to the truth, and by not clearing of another, when it is in our power to do it, be guilty of this sin. But especially is forbidden here public lying and wronging of another judicially, either in his person, name, or estate, and that: (1) By the judge, when he passes sentence, either rashly, before he hears the matter, and searches it out, which Job disclaims, asserting the contrary of himself (Job 29:16), or ignorantly, or perversely for corrupt ends, as being bribed to it, or otherways. (2) By the recorder, writing grievous things (Isa. 10:1), or making a clause in a decree, sentence, or writ, more favorable to one, and more prejudicial to another than was intended. (3) By the witnesses, who either conceal truth, or express it ambiguously, or refuse to testify, or assert what is not true. (4) By the advocate, by undertaking to defend or pursue what righteously he cannot; or by hiding from his client that which he knows will prejudge his cause; or by denying it when he is asked about it; or by not bringing the best defenses he has. And as to the first point here about advocates, it is to be regretted (as a great divine in the neighbor church has most pathetically, according to his manner, lately done) as a sad matter, that any known unrighteous cause should have a professed Christian in the face of a Christian judicatory, to defend it; but incomparably more sad, that almost every unjust cause should find a patron; and that no contentious, malicious person should be more ready to do wrong, than some lawyers to defend him for a (dear bought) fee! I speak not here of innocent mistakes in cases of great difficulty; nor yet of excusing a cause bad in the main from unjust aggravations; but (says that great man) when money will hire men to plead for injustice, and use their wits to defraud the righteous, and to spoil his cause, and vex him with delays for the advantage of their unrighteous clients, I would not have the conscience of such for all their gains, nor their account to make for all the world. God is the great patron of innocence, and the pleader of every righteous cause; and he that will be so bold as to plead against him, had need of a large fee to save him harmless. (5) By the accuser or pursuer, when unjustly he seeks what does not belong unto him, or charges another with what he should not, or justly cannot. (6) By the defender, when he denies what he knows, or minces it, etc. And by all of them, when business is delayed and protracted through their respective accession to it, as well as when justice is more manifestly wronged; this is the end of Jethro's advice to Moses (Ex. 18:23), that the people return home, being quickly, and with all convenient diligence dispatched; which, to their great loss and prejudice many ways, the unnecessary lengthening of processes obstructs, and makes law and lawyers, appointed for the ease and relief of the people, to be a grievous and vexatious burden to them; for which men in these stations and capacities will have much to answer to God, the righteous Judge of all the earth, when they shall be arraigned before his terrible tribunal, where there will be no need of leading witnesses to prove the guilt, since every man's conscience will be in place of a thousand witnesses, neither will the nimblest wit, the [most] eloquent tongue, the finest and smoothest pen of the most able lawyer, judge, advocate, notary or litigant that shall be found guilty there, be able to fetch himself fair off. Oh! then all the fig leaves of their fairest and most flourishing, but really frivolous pretenses, wherewith they palliate themselves, will be instantly blown away by the breath of the Judge's mouth, and so be utterly unable to cover the shame of their nakedness in the manifold breaches of this command; then the greatest stretches of wit, and highest strains of eloquence made use of to the prejudice of truth and justice, will be found and pronounced to be poor, silly, and childish wiles, yea, very fooleries and babblings; after which, they will not speak again, but laying their hands on their mouths, eternally keep silence. It will therefore be the wisdom and advantage of the guilty in time to take with it, and resolving to do so no more, to betake themselves, for the pardon of it, to that Advocate with the Father, even Jesus the Righteous, who thoroughly pleads, and without all peradventure or possibility of losing it, does always carry the cause he undertakes to plead. In sum, that which in this command in its positive part is leveled at as the scope thereof, is the preserving and promoting or truth, honest simplicity and ingenuity amongst men; a sincerity and cordially loving regard to the repute and good name of one another; and a sweet inward contentment, joyful satisfaction and complacency of heart therein; with a suitable love to, and care for, our own good name. j Letter to Blue Banner [Ed. Note. Mr. Baker has given permission to run the "Psalm Singing Hints" paper mentioned in his letter in a future Blue Banner. When it becomes available we will also place it on our website. We also hope to make the cassette tapes of psalm tunes available, which Mr. Baker is preparing, as they are completed. The psalm singing calendar and an add-on to Microsoft Outlook which will load daily psalm singing reminders into its daily planner along with the words and the tune, are all available at the church website, www.fpcr.org. Opening the reminder in Outlook displays the text of the psalm selection from the Comprehensive Psalter and a button to play the tune. You will need a multimedia personal computer to play these tunes. Other free reformed software, such as Calvin's Institutes, the Westminster Standards, and other psalm tune collections, can be found at our web site as well. ] Email from Tim Baker. Greetings again from Southeast Missouri /Northeast Arkansas: Back in December, I had mentioned to Chris Coldwell that I was planning to write a paper with some Psalm singing hints for the folks who had bought your Psalters through me. He requested a copy. Since you all had made a few suggestions, and since I incorporated them into the paper, I thought you might want a copy. I've attached it in WordPerfect. Let me first say that I'm a relative newcomer to Psalm singing, so the observations I made may have some errors, and are certainly subject to improvement. You all have a lot more experience, so any further suggestions will be appreciated. As you can see, I'm doing everything I can to encourage the folks in our church to sing Psalms on a daily basis. This includes making a set of cassette tapes for them to sing along with. Most of the tunes were unfamiliar to me, and I know the others are in the same boat, and the Psalters will go unused without some type of assistance. I've also given them the schedule in a WordPerfect file, since most of them are highly unlikely to access a computer every morning to see what the day's Psalm is supposed to be. Several folks are particularly excited about singing the Psalms. One person expressed dismay that she did not know of the opportunity to order, and requested ordering info. Several have suggested that we get together for Psalm singing practices, to better learn how to sing the Psalms. And I can't tell you what a blessing it is for my wife and I to start the day out with a Psalm! Even though I may not have the words memorized, the tune itself runs through my mind for most of the morning and reminds me of what a blessing it is to sing God's Word. Anyway, thanks so much for publishing the Psalter, putting out the schedule, the MIDI files, etc. Your work should go a long way towards restoring the Psalms to their proper place in worship. Thanks, Tim Baker j The Comprehensive Psalter The Psalms of David Divided into settings for use in Private and Public Worship Individual Copies: $15.50. Case Price (24 copies): $216.00 The lack of a well-built, affordable, comprehensive Psalter, true to the Hebrew Text, has long been the bane of the Reformed community. There are other Psalters that can most charitably be described as "paraphrastic," but often the Psalms are unrecognizable. Others have words only, with no music available. Some have words and music, but are not sturdy enough to stand up to frequent use, and therefore are not appropriate as pew Psalters. Some have only a few Psalms or a few tunes and miss out on the richness of the entire Psalter. A good Psalter, when available, is often priced too high to be affordable for many congregations and individuals. Blue Banner Books has tried to address these problems as we developed our Comprehensive Psalter. The Comprehensive Psalter is both old and new. It is old because the versification actually dates from 1650. It is new because the layout of the Psalm settings has never before been as useful as it is in this Psalter. This layout is designed to make the Psalter more helpful to those who desire to sing the Psalms every day of their lives. There are 312 standard Psalm settings. This gives the user of The Comprehensive Psalter six Psalm settings (or "Psalter selections") — one for each weekday plus Saturday — for the 52 weeks in one year. Using this plan, one can sing entirely through the Psalter once every year. At First Presbyterian Church of Rowlett, we sing those same six Psalm selections in our public worship the following Sunday. Utilizing this plan, one can sing entirely through the Psalter twice every year: once during the week in family or personal worship, and then again on Sundays in public worship. The overwhelming majority of Psalm selections in The Comprehensive Psalter are in common meter. One could actually sing the entirety of the Book of Psalms knowing only a few common tunes. However, nearly 200 tunes were selected for the Psalm settings in The Comprehensive Psalter. Most are easily learned and sung. There are additional tunes, along with alternative versifications of some of the Psalms, in the back of the Psalter, giving the Psalm-singer numerous options to find an easier, or more familiar, tune. The Psalter Committee of FPCR and Blue Banner Books complete this work with the desire that many of God's people will have His Word in their mouths day by day and week by week. There are numerous reasons for singing the Psalms. At the top of the list is the simple reason that these are the very songs written by God the Holy Spirit. Further, Christ has promised to sing them together with his people in the midst of the great congregation (Hebrews 2:12 cf. Psalm 22:22). Finally, we should sing the Psalms because they are the Word of God. We rejoice to hear the very words of God found in our mouths, and the mouths of our seed and our seed's seed, just as God promised in Isaiah 59:21. It is our earnest desire that more of the Reformed community can experience this covenantal, generational promise as a result of our work on The Comprehensive Psalter. Special Pricing (Good Until May 15, 2001 Special Pricing (Good Until May 15, 2001):):):): Buy one copy for $15.50 (plus postage, see order form on page 36). The regular retail price is $24.95. Buy 24 copies at a special case price of $216.00 (postage extra, shipping on each case of books is approximately $24.00 and will be invoiced). Case pricing is about a 64% discount off the retail price. Sermon Tapes, Tracts, Booklets, Etc. Speak the Truth in Love, Larger Catechism Speak the Truth in Love, Larger Catechism Numbers 7 Numbers 7 Numbers 7----11; Crampton & Bacon: 11; Crampton & Bacon: 11; Crampton & Bacon: Built Upon the Rock Built Upon the Rock Built Upon the Rock.... Don't Be Manipulated Don't Be Manipulated And Don't Manipulate Others. And Don't Manipulate Others. Do you recognize the techniques when they are being used on you…or when you are using them on someone else? What is the biblical teaching on how to communicate with others? "Speak the Truth in Love" is our Biblical Institutes 6 tape series which explores the biblical basis for communication between Christians in all relationships; employer/employee, church member/elder, husband/wife. These are doctrines that are taught in Scripture, but very little is ever said about them in the pulpits of today's churches. Learn to speak properly one with another. Special price of $12.50 in binder, postage extra. See Order Form on back page. * * * * Westminster Larger Catechism 7 What is God? "God is a Spirit, in and of himself infinite in being, glory, blessedness, and perfection; allsufficient, eternal, unchangeable, incomprehensible, everywhere present, almighty, knowing all things, most wise, most holy, most just, most merciful and gracious, long-suffering, and abundant in goodness and truth." Pastor Bacon explores the depths of the Westminster Larger Catechism answer to this the seventh question in twelve sermons. 12 tapes in binder, $29.95 plus postage. Also available: Ten sermons in answer to WLC questions 9, 10, and 11 on The Holy Trinity. 10 tapes in binder, $20.95 plus postage. SAVE $10! SAVE $10! SAVE $10! SAVE $10! Order both of the above sets for $35.90, in two binders plus postage. * * * * Built Upon The Rock A Study of the Doctrine of the Church By W. Gary Crampton, Th.D. & Pastor Richard Bacon This short (52pp) booklet by Crampton and Bacon is designed to explain the basics of Presbyterian Church Government. The booklet would be excellent for teaching church classes on the subject and should be read by all Presbyterian church office-holders or those intending church office. "The authors understand the eternal Christ to be the Rock upon which the church is built. There may be other organizations built upon Peter (or rather, who think they are), but only the church is built upon the eternal Son of God. We shall go so far as to maintain that except a church is built upon the Rock of Christ, it is no church of his." Sections include, Covenant Theology and the Church, Meaning of the Word "Church," Attributes of the Church, Marks of the True Church, Authority of the Church, Duties of the Church, Church State Relationship, Government of the Church, Church Officers. Single Copy $3.95ea. 2-24 Copies $2.40ea. 25 Copies & up $1.95ea. Free with Subscription to Blue Banner . Also available by Drs. Crampton and Bacon: Toward A Christian Worldview. An introduction to various aspects of developing a specifically Christian philosophy of life. Deals with Christian Epistemology, Ethics, Metaphysics, Politics, etc. Single Copy $2.95 ea. 2-24 Copies $1.40 ea. 25 Copies & up $1.25 ea. One copy free with paid subscription to Blue Banner . Letter to President George W. Bush 26 January 2001 President George W. Bush 1600 Pennsylvania Avenue Washington, DC 20500 from exercising your office in an energetic manner. The rule of law prevailed and our constitution was followed. If you make it so, there is a significant symbolism in your victory as this country returns from populism back to the rule of law. Dear Mr. President: Greetings in the name of our Lord Jesus Christ and congratulations on becoming the forty-third President of the United States of America. May the Lord guide you into all wisdom as you govern our nation. One cannot help but think at this time of the last words of King David in Second Samuel 23:3, "The God of Israel said, the Rock of Israel spake to me, He that ruleth over men, must be just, ruling in the fear of God." Eight years ago I wrote to the readers of our church's newsletter, The Blue Banner, "It is the teaching of Scripture and the understanding of all the best Reformed divines that the magistrate is the minister of God for the exacting of justice upon the earth . . . . It is our duty, as Christians and citizens of the Republic, to pray for President Bill Clinton." Mr. President, we continue to call upon the Rock of Israel, but we begin now to mention your name rather than that of your predecessor before his throne. Mr. Clinton was on record as favoring a mother's "right" to kill her unborn child. We prayed that God would change his heart. Though that never came to pass in the providence of God, yet we now have a president who is on record as favoring the right of the unborn to continue living. We shall pray that God will give you the moral and spiritual strength to stay the course in these dark days. Mr. Clinton had the opportunity during his tenure to appoint two justices to the Supreme Court of the United States, as well as appointing numerous judges to the federal bench. You may have a similar opportunity. We shall pray that God will give you wisdom to find reasonable, conservative justices who will be able to respect and protect the rights of all the citizens of the nation, including our unborn citizens as well. Some of our citizens have made much ado about the fact that you won the presidency while losing the popular vote. Please do not allow the misguided complaints of some to deter you The Scripture has much to say about the responsibility of a free people to their magistrate and of a magistrate's responsibility to his people. As our (Presbyterian) Westminster Confession of Faith aptly teaches, "It is the duty of people to pray for magistrates, to honor their persons, to pay them tribute and other dues, to obey their lawful commands, and to be subject to their authority for conscience' sake. Infidelity, or difference in religion, doth not make void the magistrate's just and legal authority, nor free the people from their due obedience to him." Mr. Bush, it is our intention to pray for you, to honor your person, to pay the tribute that is due to you, and to obey your lawful commands. We desire to have a conscience void of offense toward God or man in this matter. As for your office, sir, may I respectfully remind you that it is your duty before God to maintain piety, justice, and peace according to the wholesome laws of these United States. As the sweet Psalmist of Israel wrote these nearly 3,000 years ago, "Defend the poor and fatherless; do justice to the afflicted and needy. Deliver the poor and needy: rid them out of the hand of the wicked." In the New Testament the Apostle echoed this admonition at Romans the thirteenth chapter, "Rulers are not a terror to good works, but to the evil . . .the minister of God to thee for good. But if thou do that which is evil, be afraid; for he beareth not the sword in vain: for he is the minister of God, a revenger to execute wrath upon him that doeth evil." Those who love the ways of the Lord will pray that God will grant to you and to those whom you appoint the courage and the true piety to know the difference between good and evil, to be a terror to the evil, and a rewarding encouragement to those who do well. May God bless you and these United States of America. Respectfully, Rev. Richard Bacon, Ph.D. Pastor, First Presbyterian Church of Rowlett The Blue Banner A Publication of First Presbyterian Church Rowlett P O Box 141084 Dallas, TX 75214 Return Postage Guaranteed Volume 10 Number 1 — January/March 2001 The First Presbyterian Church of Rowlett The Blue Banner is published by The First Presbyterian Church of Rowlett, Texas (Reformation Presbyterian Church). Session: Pastor Richard Bacon. Ruling Elders: David Seekamp, Carl Betsch, Thomas Allie. Contact Information: Email: firstname.lastname@example.org WEB: http://www.fpcr.org Church Mail: P O Box 141084, Dallas, TX. 75214. Phone: 972-475-9164 or 972-4752184. Fax: 972-475-5317 Worship Services: 10:30 AM and 2:00 PM on each Lord's Day. Visitors are welcome to stay for lunch between the two services. Biblical Institutes: 4:00 PM. Location: First Presbyterian Church of Rowlett meets at 8210 Schrade Road, Rowlett, TX. From Interstate 30, take exit 64 north on Dalrock Road. From the Diamond Shamrock gas station, go 1.5 miles north to Schrade Road. Turn left and go approximately 1/4 mile. We are in the first building on the left. Parking is in the rear of the building. BULK RATE U. S. POSTAGE PAID ROWLETT, TX Permit No. 242 Order Form THE BLUE BANNER, P O BOX 141084, DALLAS, TX 75214 \| Item \| Qty \| Price Each \| Total \| \|---\|---\|---\|---\| \| 1998, 1999, 2000 CD set \| \| $49.95 \| \| \| _____ Single CD \| \| $19.95 \| \| \| Psalter (single copy) \| \| $15.50 \| \| \| Psalter (case of 24) \| \| $216.00 \| \| \| Note: Do not add any postage charges for Cases of Psalters ordered. A bill for postage will be sent once the cases are shipped. \| \| \| \| \| Blue Banner Subscription \| \| $15.00 \| \| \| Add 10% for postage and handling ($3.50 min) USA Only.* \| \| \| \| *Orders from outside the USA must be paid in US funds drawn on a U.S. bank. Please write for additional shipping costs.
Some Aspects of "Long Term" Modelling of Electrostatic Precipitators István KISS Budapest University of Technology and Economics Hungary firstname.lastname@example.org Tamás IVÁNCSY Budapest University of Technology and Economics Hungary email@example.com Jenő Miklós SUDA Budapest University of Technology and Economics Hungary firstname.lastname@example.org István BERTA Budapest University of Technology and Economics Hungary email@example.com 1 Summary / Abstract: Nowadays modelling of collection efficiency in electrostatic precipitators is commonly examined by using numerical models. Different models exist for simulation of the multi-variable complex system of ESPs, the several determining physical processes [1]. One group of them determines the particle trajectories inside a half channel of a precipitator assuming that they were more or less the same during the operation of the precipitator. Advanced models take it into consideration, that some phenomena in the ESP build up in a longer time period, so the calculated trajectories must be modified as the function of time, too. One of these basic, typical phenomena is the formation of back corona [2]. Some other phenomena (e.g. changes of environmental parameters and the pollutants stepping into the chamber of electrostatic precipitators) have even longer time constant, so their examination needs much longer period of time. The advanced model described in the paper is able to monitor these "long term" changes explaining some unexpected behaviour of the precipitator. The complexity of the phenomena has been analysed by the newly improved ESP model of the authors, and "long term" simulations have been presented in several case studies of the paper. 2 Introduction Numerical models are useful tools for predicting the performance of an electrostatic precipitator. There were numerous models developed by experts to predict the collection efficiency of ESP's. The difficulty by the modelling of ESP's is the large number of processes and phenomenon which have influences on each other. By the modelling some of the effects could be neglected because of the limited computational capacities or minor influence on the modelled phenomena. In the majority of the models 2D modelling is used. Both of the electric and flow field can be treated as 2D, and the effect of the gravity is neglected, this method provides a simple and good approximation on the processes in the electrostatic precipitators. The use of a 2D model reduces the amount of computation therefore longer sections – a whole ESP channel – and more complex processes can be modelled. 3D models also exists, but because of the high computational needs these are just for short ESP sections (e.g. Chang[4], Adamiak[5]). 3 The modelling of ESP's In a numerical model it is necessary include the parameters of the precipitated particles, the parameters of the energization and the gas flow. These parameters influence the processes inside of the precipitator. It is essential to know the electric field created inside of the ESP channel thus these is relevant for the particle charging and the charged particles are transferred in the flow field. The interaction of the flow field and the dust is the diffusion and dispersion of the dust, the interaction between the electric field and the dust is the reason for the charging of the dust particles and the interaction of the flow field and the electric field creates the electro-hydro- dynamic flow which includes also the ionic wind. The back corona belongs also to the interaction of the dust and the electric field. All these participants and interactions together determine the dust movement, the precipitation and the reentrainment of the dust, and trough these, the efficiency of the precipitation. 3.1 Long term modelling In a numerical ESP model the following effects play a role in the efficiency of precipitation: - ionization (the generated free charges and the ionic wind) - electric field modified by space charges (ionic and dust space charge) - particle charging, saturation charge and charging process (diffusion, field and mixed) - dust collection, dust layer expansion - gas flow (turbulent and boundary flow) - dust reentrainment, back corona To have an accurate model it is necessary to model these phenomenon as accurate as possible and holding the computational needs of the simulation as low as possible. For the long time models it is necessary to generate a model, which calculates the processes in a non stationary manner i.e. it takes the short time (fast) changes and also the long time (slow) changes into account, especially in the case of pulse energization. "Long term modelling" in ESP equipment containing multiple zones has a great importance. The filters can be modelled by three main zones[3]: the inlet, the middle and the outlet one. In case of the inlet zone particles of higher size are precipitated, and the speed of the accumulation is rather high thus the rapping severity is high. The middle zone contains more fine particles, forming a layer on the collecting electrode different from the previous one. The rapping cycle (rapping–no rapping–) is longer thus the determination of dust distribution has higher significance. Change of fuel has influence on both zones, and its effect reaches the third zone as well. The third zone has low rapping severity. It is on one hand obvious, regarding that the rapping loss can be significant in the third zone. To model the processes in the third (outlet) zone it is important to follow the change of parameters in the whole ESP at least during the rapping period of the 3 rd zone. Also the back corona formation depends highly on the collected dust layer thickness, therefore the back corona occurrence is supposed closer to the inlet earlier, upon faster thickening of the dust layer. Dust particles are not only collected on the collection electrodes but also there is dust deposition on the corona electrodes. These can have significant influence on the formation of corona discharges. An accurate long term model should handle this effect. One possible way of modelling these effect is to have a slowly growth in the corona electrode radius. Also the rapping of the corona electrodes should be taken into consideration which can also influence the dust emission. 3.2 Modelling of multizone ESP-s Most of the used electrostatic precipitators have typically more than one zone. In the case of modelling such a multi zone precipitator, the model has to deal with larger number of corona electrode. Also the multiple energization of the zones has to be modelled. There are more possibilities for the modelling of such a precipitator. If the model handles the whole precipitator with the multiple zones as one unit, it has to deal with a complex flow field in and between the zones, a large number corona electrodes and changing energization options. If the model would use the same fine grid extended for the multiple zone unit, the electric field calculation time increases dramatically. To get the calculation time to an acceptable level, the grid should be changed to a coarser grid. This change influences (decreases) the accuracy of the calculation. Another possibility is, if the model calculates the zones separately. In this case the calculation time is just the calculation time multiplied by the number of zones, which is much faster than the previous solution. In this solution the handling of the changes in the particle transport between the zones is difficult. To calculate the boundaries in steady state is possible, but in non steady state the boundary conditions are not enough for the calculations. If the model is calculating a pulse energized ESP, the parameters on the boundaries are changing in each calculation step, therefore it is not possible to calculate the boundary conditions. For the long term modelling one further difficulty is the tracking of the collected dust layers changing properties. If the collected dust properties changes less frequently than the period of rapping, then just two types of dust are in the same time on the collecting electrodes. With these we can use a slightly modified back corona model as shown on Fig. 3–1. The capacitances Cd1 and Cd2 can be calculated depending on the relative permittivity of the dust layer and the collected dust layer thickness. d If the rapping is infrequent and there is more then one change in the dust parameters, then more layers has to be taken into account, which is more difficult to track. 4 Case studies In the first case the effect of relative permittivity change can be observed. The dust concentration distribution were calculated for relative permittivity values of 2, 5 and 10 (on Fig. 4-1 the darker regions have lower dust concentrations). The diameter of particles is 5 m, their specific resistance is 10 13 m. The dust concentration on the inlet is 12 g/m 3 . The corona electrodes are located on the upper side of the presented half-channel cross sections, while the collecting electrode is on the lower edge. The applied voltage on the corona electrodes is 25 kV. It can be seen that the effect of relative permittivity is significant. On one hand, it increases the saturation charge and therefore improves the collection efficiency. However, it increases the time constant of discharging, thus back corona appears earlier. In the second case (Fig. 4-2) the calculation were made for different diameters of 10, 5 and 2 m. For all diameters the value of the relative permittivity was 2. In this case the energization used is different for the 3 sections of the ESP. In the first third the voltage is 32 kV in the second 40 kV and in the last third 45 kV. In the third case (Fig. 4-3) the applied energization is pulsed with 32 kV pulses. The diameter of the dust particles is again 10, 5 and 2 m. The permittivity is again the same as in the previous case. In real situation these parameters are changing together (e.g. by a fuel change), so these phenomenon should be taken into consideration in the same time. The model should be able to handle the permittivity and diameter ranges. In the second and third case back corona occurred upon the infrequent rapping. The different layer properties makes the calculation of back corona more difficult. In the case of DC energization the control circuits holds the voltages close to the breackdown voltage. If arcing occurs the voltages are dropped and then raised again. This changes are slow changes which influences the efficiency of the precipitation and should be considered in long time modelling. 5 Conclusions In long-time modelling it is essential to track the amount of dust collected on the collecting electrode and modelling the effect of rapping. Practical experiences show, that the changes in the dust properties can generate lower efficiency periods for a while. The model should be able to handle dust mixtures with different electric properties and different concentrations. These property changes should be tracked on the collected dust layer also, to get the expected results. 6 Literature [1] Suda, J. M. – Iváncsy, T. – Kiss, I. – Berta, I.; Complex analysis of ionic wind in ESP modelling; 10 th International Conference on Electrostatic Precipitation; Australia; 2006; [2] Kiss, I. – Iváncsy, T. – Berta, I.; Improved model for the analysis of back corona in pulse energized electrostatic precipitators; Journal of Electrostatics; 2009;pp.146-149 [3] Grass, N.; Fuzzy-logic-based power control system for multifield electrostatic precipitators; IEEE Transactions on Industry Applications; 2002;pp.1190-1195 [4] Brocilo, D. – Podlinski, J. – Chang, J. S. – Mizeraczyk, J. – Findlay, R. D.; Electrode geometry effects on the collection efficiency of submicron and ultra-fine dust particles in spikeplate electrostatic precipitators; Journal of Physics: Conference series; 2008;pp.012032 [5] Farnoosh, N. – Adamiak, K. – Castle, G. S. P.; 3D Numerical Simulation of Particle Concentration Effect on a Single-wire ESP Performance for Collecting Poly-dispersed Particles; IEEE Transactions on Dielectrics and Electrical Insulation;2011;pp.211-220 Fig. 4-1: Concentration distribution for different permittivities Fig. 4-3: Concentration distribution for different diameters with pulse energization
The Punjab Mass Cremations Case: India Burning the Rule of Law January 2007 iensw& The Punjab Mass Cremations Case: India Burning the Rule of Law The Punjab Mass Cremations Case represents the best opportunity to challenge institutionalized impunity in India. Its ultimate resolution will set precedent in India on the redress of state-sponsored human rights violations. Impunity occurs when perpetrators of human rights violations are not held accountable by the state for their actions. Impunity has been rampant in Punjab, where in even well-documented abuse cases, there is no political will to prosecute because of state support for the abuses and the protection of high-ranking officials. Furthermore, India has several provisions in its laws aimed at shielding its military personnel and civilian officials from legal accountability for their human rights abuses. Such laws are contrary to the right to an effective remedy and reparations for gross violations of international human rights law. These forms of impunity encourage more human rights violations and send a particularly negative message to victims about state indifference and complicity in their suffering. The Punjab Mass Cremations Case can challenge impunity for gross human rights violations in India because: (1) the abuses are thoroughly documented; (2) violent conflict in Punjab has ended, allowing room for advocacy; and (3) the Supreme Court has jurisdiction over the case. The ultimate resolution of the Punjab mass cremations case will set precedent in India on the redress of mass state crimes. These circumstances have created an extraordinary opportunity to end impunity and achieve justice for human rights violations in India. Indisputable Evidence of Mass Cremations From 1984 to 1994, Punjab security forces engaged in counter-insurgency operations that included widespread and systematic human rights abuses such as torture, disappearances, and extrajudicial executions, which claimed an estimated 10,000 to 25,000 lives. In the early 1990s, Director General of Police (Punjab) KPS Gill expanded upon a system of rewards and incentives for police to capture and kill militants, leading to an increase in disappearances and extrajudicial executions of civilians and militants alike. Hundreds of perpetrators, including all of the major architects of these crimes, have escaped accountability. Proof of these human rights violations emerged in early 1995, when human rights activist Jaswant Singh Khalra used government crematoria records to expose over 6,000 mass cremations in just one of then 13 districts in Punjab. After threatening his life because of his human rights work, Punjab Police abducted Jaswant Singh Khalra on September 6, 1995, secretly detained and tortured him for almost two months, and murdered him in late October 1995. * The extrajudicial executions, custodial deaths, disappearances and widespread torture perpetrated by the Punjab Police in the name of national security are clear violations of international human rights law. These violations are not the result of a few rogue police officers fighting terrorism, but symptoms of a deeply embedded system indifferent to human life and the rule of law. "It is horrifying to visualize that dead-bodies of large number of persons—allegedly thousands—could be cremated by the police unceremoniously with a label 'unidentified'." —Indian Supreme Court Legal Proceedings In 1995, the Committee for Information and Initiative on Punjab (CIIP) moved the Supreme Court to demand a comprehensive inquiry into the mass cremations. The Supreme Court ordered the Central Bureau of Investigation (CBI) to investigate these crimes. In December 1996, the Supreme Court referred the matter to the National Human Rights Commission (NHRC), observing that the CBI's inquiry report disclosed "flagrant violations of human rights on a mass scale". The December 1996 report by the CBI showed 2,097 illegal cremations at three cremation grounds of Amritsar district. However, this number does not accurately represent the total number of individuals illegally cremated in Amritsar. Interviews with cremation ground workers disclosed that multiple people were often cremated with the firewood normally required for completely burning one body, and Khalra himself discussed over 6,000 cremations in Amritsar district. The Supreme Court appointed the NHRC as its sui generis body, with the powers of the Supreme Court under Article 32 to redress fundamental violations of human rights, in the Punjab mass cremations case. Unfortunately, over the past ten years, the NHRC ignored the fundamental rights violations that had occurred throughout Punjab and shielded perpetrators from accountability. The Commission's major failings in the Punjab mass cremations litigation include: Territorially restricting its mandate to three crematoria in Amritsar district, ignoring disappearances, extrajudicial executions, custodial deaths and illegal cremations throughout Punjab. Limiting its mandate to the narrow issue of the procedural correctness of the cremations, ignoring the violations of the right to life and liberty. The Commission refused to investigate a single case, and thus never heard any evidence from survivor families. "A mockery has been made of the law." Refusing to investigate a single cremation, and thus never hearing any evidence from survivor families. Refusing to hold any officials accountable for the violations, repeatedly stating in its orders: "[W]e are not expressing any opinion about the culpability or otherwise of any police officer or officials, nor shall we be understood to have expressed any opinion about the responsibility of any of the officials of the state for the unlawful and unceremonious cremations of the deceased, without following the rules, conventions and the humanitarian law." Refusing to apply international law to develop criteria for reparations. by international Rejecting briefs and reports groups. In its October 10, 2006 order, the Commission attacked the credibility and report of Physicians for Human Rights and Bellevue/NYU Program for Survivors of Torture. In its October 9, 2006 order, which effectively closed the case, the NHRC compensated the next of kin of 1,245 individuals for the wrongful cremation of the decedent, where the Punjab Police did not follow the rules for proper cremations. It also appointed a Commissioner for conducting an inquiry to identify the remaining 814 bodies under its consideration, if possible, within eight months. Thus, in ten years of litigation, the NHRC only found that the police had not followed the rules, guidelines, and procedures required before cremating 1,245 identified decedents. When the Supreme Court designated the NHRC as its body to investigate the human rights violations raised by the Punjab mass cremations case, it also entrusted the CBI with investigations into the culpability of po- "We don't require any compensation. Even 50 lakhs, even a crore of rupees we don't require. We simply want justice and we want those people to be punished… compensation is not a matter of my child." —Jaswant Singh Khalra "He was just a boy. And I want to know what they did with him. I heard he was cremated in Amritsar. Will the Commission listen to my case or not?" —Gurcharan Singh Father of victim —Darshan Kaur Mother of victim (pictured on cover) lice officers. The CBI was ordered to submit quarterly progress reports. Ten years later, nothing is known of these investigations and whether there have been any prosecutions. The conclusion of the matter in front of the NHRC is the culmination of a decade of denials and refusals to acknowledge the suffering of the families of the disappeared and the widespread and systematic violations of the rights to life and liberty. The state promoted the perpetrators who organized and committed the crimes, rather than punishing them. The counter-insurgency strategies employed in Punjab continue to be executed in all corners of the country. The NHRC's refusal to investigate the disappearances amounts to a sanction of these practices and betrays India's claim to be the world's largest democracy. The Supreme Court retains seisin over the Punjab mass cremations case, and its ultimate resolution will occur there. International Human Rights International law establishes that enforced or involuntary disappearances are grave human rights abuses that violate the right to be free from arbitrary arrest, the right to be free from cruel and inhuman treatment, the right to liberty, and the right to life, all of which are rights also guaranteed by the Indian Constitution. International law further obligates States to investigate each disappearance, custodial death and extrajudicial execution and provide an effective remedy to those whose rights have been violated. A victim's right to an effective remedy imposes an obligation on the state to undertake investigations to identify and prosecute the perpetrators of human rights violations. The responsible state is further obligated to International human rights groups have intervened in the Punjab mass cremations case because of its significance in measuring India's fulfillment of its obligations under international law. provide comprehensive reparations for the damage caused by the violations, which includes: restitution, compensation, rehabilitation, and satisfaction and guarantees of non-recurrence. The satisfaction and guarantees of non-repetition include, among other initiatives: full public disclosure of the truth and investigation of the facts; the search for bodies of the killed and disappeared; public acknowledgment of the abuses and acceptance of State responsibility; and judicial or administrative sanctions against the perpetrators. Further, reparation is premised on the principle of non-discrimination, where all victims who have suffered like violations receive like reparations. The reparations principles were developed in consultation with victim groups. The National Human Rights Commission has failed to provide an effective remedy equally before the law by refusing to investigate extrajudicial executions, custodial deaths, and disappearances throughout Punjab, shielding perpetrators from accountability, and awarding arbitrary compensation amounts without reference to the full spectrum of rights violations and other components of reparations. International human rights groups have intervened in the Punjab mass cremations case because of its significance in measuring India's fulfillment of its obligations under international law. Examples include: A legal brief submitted by Human Rights Watch and Harvard Law Student Advocates for Human Rights in December 2003, demonstrating India's obligation under international law to investigate all allegations of disappearances in Punjab, and secondly, to allow circumstantial and testimonial evidence to be admitted and weighed in cases of disappearance. "Despite receiving praise as the world's largest democracy, India's human rights record falls dismally behind countries that have only recently shed their legacy of dictatorships." Jaskaran Kaur Co-Director, Ensaaf quoted in the Boston Globe A torture and trauma report submitted by Physicians for Human Rights and Bellevue/NYU Program for Survivors of Torture in October 2005, revealing that deaths in custody and illegal cremations took place within a context of widespread human rights violations that included repeated torture, extrajudicial execution, and illegal cremation of the decedents. The experts also found alarming rates of current and past psychological and physical suffering among the survivors. An open letter by Human Rights Watch to the NHRC in November 2005, urging it to order a full accounting of the systematic abuses that occurred in Punjab, determine liability after detailed investigations into the violations, and provide compensation to surviving family members based on a detailed understanding of the scope of violations suffered by each individual. Recommendations The ultimate resolution of the Punjab mass cremations case will serve as precedent for victims of mass state crimes throughout India and will give content to the rights to life and redress. Thus, it is imperative to challenge the NHRC's ten-year denial of justice and create precedent based on international human rights and Indian law. In order to fulfill its obligations under Indian and international law, the Indian government must, among other requirements: Acknowledge its full role and responsibility in the widespread and systematic abuses that occurred throughout Punjab during the counter-insurgency period; Investigate the abuses that occurred throughout Punjab during the counter-insurgency period; Identify the perpetrators of the human rights violations, and conduct speedy and impartial investigations and prosecutions; Provide reparations that redress the entire scope of violations, requiring individual determinations of compensation based on the family's specific circumstances and violations, and according to criteria established by international and domestic precedent; Eliminate the requirement of prosecution sanction found in sections 45 and 197 of the Code of Criminal Procedure, which serve to prevent criminal prosecutions against government officials accused of committing human rights violations and other crimes; Enact and ratify legislation ensuring that no military, police, law-enforcement, or other state agents receive immunity or amnesty from criminal prosecutions or disciplinary proceedings for past or future violations of the rights to life and liberty, and that in such prosecutions or proceedings, no defense of obedience to superior orders is available; Engage in a public accounting of how the government has allowed its institutions to participate in the perpetration of gross human rights violations; and As a member of the United Nations Human Rights Council, invite UN human rights mechanisms, such as the UN Special Rapporteur on Torture, into India to investigate the abuses. Punjab is cited as a model for handling security crises. The result of such a model has been more killings, torture, fear, and a police culture that relies on violent repression rather than the rule of law. Ensaaf urges the Indian government to face responsibility for its past and create a new culture of respect for rights, so that victims of gross human rights violations can obtain truth, justice, and reparations, and India's citizens can truly feel secure. Additional Resources Ensaaf For a detailed background to the Punjab Mass Cremations Case, as well as links to major orders, please visit: http://www.ensaaf.org/docs/nhrc.php. For further documents on the human rights violations in Punjab, including Reduced to Ashes, the amicus brief by Harvard Law Student Advocates for Human Rights and Human Rights Watch, and reports on the Punjab Mass Cremations Case, please visit Ensaaf's online library at: http://www.ensaaf.org/info/. For links to international advocacy on the Punjab mass cremations case, please visit: http://www.ensaaf.org/programs/ advocacy.php#cremations. Ensaaf means justice in many South Asian languages. Ensaaf works to end impunity and achieve justice for mass state crimes in Punjab, India by documenting and exposing human rights violations, bringing perpetrators to justice, and organizing survivors to advocate for their rights. Ensaaf works in partnership with the petitioner Committee for Information and Initiative on Punjab to litigate the Punjab mass cremations case and organize advocacy. iensw&
INSTRUCTIONS FOR USE CarboProbe ZI Pro CarboProbe ZS Standard CarboProbe ZS Pro ECONOX SA Route de Miécourt 16 2942 Alle – Switzerland T: ++41 32 465 10 00 F: ++41 32 465 10 01 www.econox.ch firstname.lastname@example.org The details in this document are provided for information purposes only. This manual may not, in any event, be reproduced, dissociated or distributed to third parties without the consent of ECONOX SA. CONTENTS 1. Operational principles The purpose of ECONOX CarboProbe oxygen sensors is to measure and regulate atmospheres in heat treatment furnaces. General points ECONOX uses two different types of electrolyte made of ZrO2 (zirconium oxide) for its oxygen sensors: 1. A ball made of ZrO2, an ECONOX-patented system, which may only be obtained from ECONOX. The ball is used in the CarboProbe ZI pro sensor. 2. A C-700 ZrO2 electrolyte. This is used in the CarboProbe ZS and HT sensors. These elements made of zirconium oxide (ZrO2) placed at work temperature and separating two gaseous areas with differing partial oxygen pressure (pO2), behave like electrochemical batteries by transferring oxygen ions. At the terminals of both electrodes on the ball, the value of the voltage delivered is linked to the absolute temperature and the difference in partial oxygen pressures, according to the Nernst equation. The diagram shown below represents the operation of the ZrO2 ball; the principle is the same for the C-700 ZrO2 electrolyte. ) ( 2 2 four O P × E = voltage [mV] at terminals T = temperature [°K] in the furnace P1O2 = partial oxygen pressure of ambient air (20.9%) P2O2 = partial oxygen pressure of the atmosphere in the oven The measuring element in the oxygen sensor is a ceramic composed of zirconium oxide doped with yttrium. The latter presents defects in the crystal lattice. Most parts of the lattice which could be occupied by oxygen ions are incomplete. The main property of the ceramic is to allow the movement of oxygen ions at temperatures over 700°C. Above that temperature, the zirconium becomes a conductor through the movement of oxygen ions rather than that of electrons. The voltage thus generated is an expression of the relations between the relative difference in oxygen concentrations (ambient air and atmosphere in the furnace) and the temperature of the sensor. The voltage is expressed in the following equation: By interpreting the voltage measured on exiting the sensor, using the NERNST formula, the oxygen concentration of the atmosphere in the furnace can be read instantly and precisely. By knowing the oxygen concentration, the CO content and the temperature, the carbon potential can be determined using the fixed stoichiometric relations that exist between O2 – CO – CO2 concentrations. In this way, the mVs measured on exiting the sensor are a function of the carbon potential for a given temperature and CO level. The sensor voltage depends solely on the composition of the gas and the temperature. The carbon potential is then calculated using the following formula: 2. Technical specifications for CarboProbe sensors Output 0 to 1200 mV Electrical plug Here are the connections for the electrical plug: 3. Installing the sensor All our oxygen sensors are tested after assembly. No offset is set when the sensors are shipped. Points to be followed when installing a sensor: 1. The sensor must never obstruct the loading of the furnace. 2. The sensor must be placed as close as possible to the load in order to measure the temperature and atmosphere precisely, as these have a direct impact on the load. Placing the sensor close to a turbine will improve readings. 3. If the sensor is installed too close to the heating elements or the furnace door, the temperature cannot be measured correctly. Any difference in temperature between the sensor and the regulation thermocouples ought to be avoided. 4. Thermal and mechanical shocks must be avoided when installing the sensor, or during the heat treatment cycle (this causes the deterioration of the zirconium oxide measuring element). 5. No methanol projections should come into contact with the oxygen sensor (significant thermal shock). Consequences include cracks, deterioration of the measuring element or even the distortion of the external electrode. In such cases, the lifespan of the sensor may be considerably reduced. If methanol projections cannot be avoided, consider selecting our CarboProbe ZI pro sensor with its protective external ceramic casing. 6. The temperature of the measuring element must be between 700 and 1,150°C (maximum of 1,700°C for the CarboProbe HT sensor). 7. The sensor is supplied with a 1'', 1 ½'' or 1 ¼'' connector depending on your order and the type of CarboProbe. When fitting it to the furnace, ensure that the core temperature of the sensor does not exceed 60°C. 8. The connector linking the sensor to the furnace must be airtight. If necessary, you may check its airtightness using a lighter: when moving it around the connector, no flame should flare up from the connector. 9. CarboProbe ZS sensors must be brought up to temperature gradually; otherwise the measuring element may suffer irreversible damage. In order to avoid this problem, the sensor must be inserted slowly into a furnace that is up to temperature. The sensor must be inserted gradually over a period of 10 minutes. This precaution does not apply to CarboProbe ZI sensors, in which the ball is highly resistant to thermal shocks. 4. Reference air Reference air Cleaning air 4-pin electrical connector 5. Starting the furnace Turn on the reference air and connect it to the sensor. If the sensor is placed or replaced on a hot furnace, turn on the air as soon as you can. The CarboProbe ZI pro sensor is resistant to thermal shocks and can, therefore, quickly be placed in a hot furnace. For CarboProbe ZS pro sensors, please take the precaution of introducing the sensor into the furnace over a period of 10 minutes (only when the furnace is at high temperatures). WARNING! When exchanging or removing a sensor from a furnace that is up to temperature and contains gases, please follow the instructions below: * Turn off the air-stirring turbine * Do not allow air to enter the furnace. Depending on the gases within the furnace (e.g. hydrogen), there may be an explosion. * Carefully remove the sensor, avoiding mechanical and thermal shocks (for CarboProbe ZS pro and standard sensors) and place it either on a brick or on a concrete surface. * NEVER ATTEMPT TO SPEED THE COOLING OF A SENSOR Sensors ought to be changed only when the furnace does not contain dangerous gases. 6.Furnace atmosphere The work conditions for the sensor (i.e. high temperatures) and the atmosphere within the furnace when in operation have a direct influence on the lifespan of the sensor. The following points are very important and require your full attention in order to benefit from a long-lasting sensor. 1. The items to be treated must be free of grease or zinc-based components. 2. There must be no residues from quenching oil or salt. 3. Do not use a zinc-based basket to hold small items. Zinc accelerates the deterioration of the measuring element in oxygen sensors. 4. The lifespan of the sensor may also be reduced if the furnace is operating close to the soot threshold over a long period and if the soot is not burned at regular intervals. 5. Mercury and other heavy metals are also damaging to the measuring element in the oxygen sensor. They must therefore be avoided as far as possible. 7.Maintenance The few steps shown below must be performed in accordance with the suggested schedule in order to guarantee the proper operation and long lifespan of the sensor. Please refer to section 8 "Troubleshooting" for further information. 8. Troubleshooting Introduction When there are doubts as to the validity of sensor reading, a few simple tests conducted while the sensor is in operation can assist in diagnosing the problem. The majority of carbon potential controller indicate the temperature and the mV signal emitted by the sensor. Using the controller, check whether these indications are plausible, in order to establish whether the issue is the temperature or the mV signal. Checking the impedance of the sensor Place a 50kohm resistance through the mV signal pins (3 and 4). The mV signal should drop; if the decrease is less than 20% of the original value, there is no problem. If, on the other hand, the decrease is greater than 50%, then the sensor probably requires repairs, as the measuring element is most likely contaminated. Checking the standard air and airtightness Prior to anything else, disconnect the standard-air supply from the head of the sensor and check that air is indeed flowing into it. Reconnect the standard air. Check whether the air supply tube is connected to the corresponding connector. Then perform the following procedures depending on the type of sensor you use: CarboProbe ZS pro While the sensor is in operation, suddenly cut the standard-air supply (by pinching the tube with your fingers). The exit signal from the sensor should gradually drop by a few mVs in one minute. After releasing the tube, the voltage displayed should immediately return to its initial value. If the change was greater than 25 mV, the sensor is probably cracked and therefore gives incorrect readings, in which case it must be repaired. CarboProbe ZI pro While the sensor is in operation, suddenly cut the standard-air supply (by pinching the tube with your fingers). The mV value should drop slowly by a maximum of 20mV in 5 seconds. After releasing the tube, the voltage displayed should immediately return to its initial value. If the sensor voltage drops suddenly (over 20 mV in 10 seconds), the sensor is no longer airtight; in which case it must be repaired. Checking the thermocouple Disconnect the connection cable and use a voltmeter to check the exit signal from the thermocouple. Start at the controller and gradually work back to the sensor terminals, then towards the thermocouple wires inside the sensor head. Take a number of readings along the way to pinpoint the defect. If the thermocouple defect is inside the sensor itself, it must be repaired. ECONOX can, on request, provide millivolt-temperature conversion tables for S-, R- and K-type thermocouples. Checking the oxygen signal If the sensor emits an oxygen signal but the signal seems to be incorrect, perform the following checks. All of these may be performed while the sensor is in the furnace. They do not constitute any kind of calibration, but they do give an indication of the condition of the sensor. 1. Measure the oxygen mV signal. Leave the mV-meter connected to the terminals and (20 sec maximum) short-circuit the oxygen mV pins on the sensor; then remove the short-circuit. The mV signal should return immediately to initial value(<30s). If the signal slowly returns (>3 min.), it means that the sensor is defective and should be replaced. 2. Now disconnect the connection cable and use a mV-meter to check the mV signal. Start at the regulator and gradually work back to the sensor terminals. Take a number of readings along the way to pinpoint the defect. If the defect lays within the sensor itself, it must be repaired. Checking the effectiveness of a purge Check the oxygen signal during a purge (burning) cycle. It is not possible to make a general recommendation regarding air output for purges. The crucial parameter is not the quantity of purging air, but rather the response to it. The correct output is that necessary to bring the mV signal under 250 mV for one minute. The air output for purges must not be such that it brings about excessive temperature changes. Soot burning must be controlled using a thermocouple so as to avoid excessive overheating of the measuring element. It may be necessary to remove the sensor from the furnace and clean off any soot residues using compressed air (after the sensor has cooled and returned to the ambient temperature). Burning soot completely is effective when the voltage is close to 0mV. 9. Repairing the sensor CarboProbe sensors are highly technical measuring instruments subjected to potentially difficult work conditions. The lifespan of a given sensor depends, to a large extent, on the conditions in which it is used. If you suspect that the sensor is malfunctioning, and the troubleshooting section has not helped you in solving the problem encountered, then the sensor probably requires repair. When sending a sensor for repair, pack it carefully in its original packaging, mark it "Fragile Instrument", and return it to: ECONOX Rue de l'église 25 2942 Alle – Switzerland T: ++41 32 465 10 00 F: ++41 32 465 10 01 www.econox.ch email@example.com
European Economics and Finance Society Fourteenth Annual Conference Brussels, 11 th -14 th June 2015 Conference Program Thursday 11 June 2015 17.00 – 19.00 Registration 19.00 – 21.00 Welcome Reception Welcome by Ansgar Belke Professor University of Duisburg-Essen and President of European Economics and Finance Society Venue: Center for European Policy Studies (Please see maps at the appendix of the program) Friday 12 June 2015 · 8:45 – 10:30 \| Parallel Sessions 1 Conference Venue: Center for European Policy Studies (Please see maps at the appendix of the program) 10:30 – 10:45 Coffee Break \| \| Room A Working Party Room \| Room B Konferenzsaal \| Room C Royal Room \| \|---\|---\|---\|---\| \| 8 : 4 5 – 1 0 : 1 5 \| Exchange Rates and Politics Chair: Vaclav Zdarek \| Financial Markets Chair: Michael Murach \| Energy and Shipping Chair: Dimitris Tsouknidis \| \| \| Joscha Beckmann and Robert Czudaj Exchange rate expectations and economic policy uncertainty Kwan Choi Exchange Rate Policy and Welfare Boriss Siliverstovs The franc shock and Swiss GDP Vaclav Zdarek and Cristina Checherita-Westphal Stability and eurozone membership: Should a small country join the Euro? \| Dimitris Kenourgios and Dimitrios Dimitriou On emerging stock market contagion: the case of Baltic stock markets Aristeidis Samitas and Kampouris Elias High frequency dynamic linkages among international stock markets. Theo Berger A wavelet based approach to measure and manage contagion at different time scales Michael Murach Global determinants of the gold price - A multivariate cointegration analysis \| Susanne Gäde Unilaterally Removing Indirect Subsidies for Maritime Fuel Nataliya Langburd Shale Gas Discoveries and Technology: Measuring Market Expectations Rebeca Jiménez-Rodríguez Oil price shocks and Spain’s macroeconomic developments Dimitris Tsouknidis Corporate social responsibility performane and firm performance in the global shipping industry \| 10:45 – 12:00 Keynote Andy Haldane (Bank of England) 12:00-13:00 : Lunch break Friday 12 June 2015 · 13:00 – 14:30 \| Parallel Sessions 2 Conference Venue: Center for European Policy Studies (Please see maps at the appendix of the program) \| \| Room A Working Party Room \| Room B Konferenzsaal \| Room C Royal Room \| \|---\|---\|---\|---\| \| 1 0 : 3 0 – 1 2 : 0 0 \| Monetary Policy and Quantitative Easing Chair: Nikolay Hristov \| Funds and Transactions Chair: Roberto Pascual \| Exchange Rates Chair: Keith Pilbeam \| \| \| Lukas Vogel and Romanos Priftis Inspecting ECB QE with a dynamic macroeconomic model Ansgar Belke, Daniel Gros and Thomas Osowski Does QE affect long-term interest rates in the US? New evidence based on interest rate differentials Oliver Hülsewig, Nikolay Hristov, Thomas Siemsen and Timo Wollmershäuser The potential effectiveness of the ECB’s OMT program in restoring monetary transmission \| William Pouliot, Marco G. Ercolani, Joanne S. Ercolani Luck versus skill over time: Time Varying Performance in the Cross- Section of Mutual Fund Returns Inés Pérez-Soba The spanish control transactions below the mandatory bid rule threshold Roberto Pascual, David Abad and Magdalena Massot Evaluating VPIN as a trigger for singlestock circuit breakers \| Matthieu Bussiere, Laurent Ferrara, Menzie Chinn and Jonas Heipertz Survey-based exchange rate expectations and Uncovered Interest Parity in recent crisis periods Valentyna Ozimkovska Volatility of Real Financial Market Exchange Rates and International Portfolio Flows Keith Pilbeam, Dimitrios Asteriou and Kann Masatci Exchange Rate Volatility and International Trade: International Evidence from the MINT Countries \| Friday 12 June 2015 · 14:45 – 16:15 \| Parallel Sessions 3 Conference Venue: Center for European Policy Studies (Please see maps at the appendix of the program) \| \| Room A Working Party Room \| Room B Konferenzsaal \| Room C Royal Room \| \|---\|---\|---\|---\| \| 1 4 : 3 0 – 1 6 : 0 0 \| Investment and Regulation Chair: Stefan Zeugner \| House Prices Chair: Marian Risse \| Investment, Productivity and FDI Chair: Tomasz Dorożyński \| \| \| Kamil Liberadzki, Piotr Jaworski and Marcin Liberadzki Regulatory and economic incentives for issuing contingent convertibles Dimitrios Kyrkilis, Pantelis Pantelidis and Efthymios Nikolopoulosc Monetary unions and foreign direct investment. The case of the European Monetary Union Stefan Zeugner Construction investment and the current account \| Sercan Eraslan Safe-haven-demand for housing in London from the euro area Eleni Kyriazakou and Theodore Panagiotidis A nonlinear pair-wise approach for the UK regional house prices Marian Risse and Martin Kern Do Macroeconomic Fundamentals help to Project European Housing Prices \| Umut Kilinc Productivity, Markups and International Trade: The Case of Small Open Economy Pavlos Stamatiou and Nikolaos Dritsakis Granger causality relationship between foreign direct investments, exports, unemployment and economic growth. A panel data approach for the New EU Members Tomasz Dorożyński, Janusz Świerkocki and Wojciech Urbaniak Special economic zones and FDI inflow. Examples of polish regions. \| 16.15 – 16:30 Coffee break Friday 12 June 2015 · 16:30 – 18:00 \| Parallel Sessions 4 Conference Venue: Center for European Policy Studies (Please see maps at the appendix of the program) \| \| Room A Working Party Room \| Room B Konferenzsaal \| Room C Royal Room \| \|---\|---\|---\|---\| \| 1 6 : 1 5 – 1 7 : 4 5 \| Emerging Markets Chair: Zunaira Aman \| Banking Chair: Michela Rancan \| Debt Chair: Jean-Charles Bricongne \| \| \| Badri Narayan Rath and Vaseem Akram Export diversification, financial development and total factor productivity in emerging market economies Eralp Bektas Is there any relationship between corporate governance and corporate social responsibility of emerging markets large corporations Zunaira Aman Does financial openness helps improve external competitiveness: Evidence from emerging Markets \| Maximilian Podstawski and Anton Velinov The state dependent impact of bank exposure on sovereign risk Tommaso Gabrieli, Keith Pilbeam and Bingxi Shi The role of shadow banking in the chinese monetary channel: an empirical analysis Michela Rancan, Jessica Cariboni, Kevin Keasey and Francesco Vallascas The determinants of bank activity in the bond market \| Tom Neugebauer and Ulrich van Suntum Vollgeld, public debt, and the natural rate of interest Arjocu Ana-Maria and Dronca Alexandru Analysis on causality between corruption, bureaucracy and public debt in EU member states Jean-Charles Bricongne and Aurora Mordonu Interlinkages of private debt in advanced economies \| Saturday 13 June 2015 · 08:45 – 10:30 \| Parallel Sessions 5 Conference Venue: Center for European Policy Studies (Please see maps at the appendix of the program) \| \| Room A Working Party Room \| Room B Konferenzsaal \| Room C Royal Room \| \|---\|---\|---\|---\| \| \| Employment and Debt Chair: Yannis Georgellis \| Quantitative Easing and Monetary Policy of the ECB Chair: Emmanouil Noikokyris \| Policy Trilemma and Bailouts Chair: Sara Maccaferri \| \| 9 : 0 0 – 1 0 : 3 0 \| Mariusz Krawczyk Employment stability versus market flexibility; employment practices in the post-war Japanese economy Gunter Schnabl and Rafael Fischer Regional Heterogeneity, aging society and the role of public debt in Japan in the Post – Bubble Crisis Turhan Kaymak Firm level corporate social responsibility Yannis Georgellis Is becoming self-employed a panacea for job satisfaction? Longitudinal evidence from transitions into self- employment \| Eiji Ogawa and Zhiqian Wang Effects of Exit Strategy of the Quantitative Easy Monetary Policy on East Asian Currencies Peter McQuade, Matteo Falagiarda and Marcel Tirpák Spillover effects of ECB monetary policy on selected non- euro area EU countries: Evidence from an event-study analysis and a BVAR Georgios Georgiadis and Johannes Gräb Global financial market impact of the announcement of the ECB’s extended asset purchase programme Emmanouil Noikokyris, Georgios Chortareas and Menelaos Karanasos Stock Market Response to MPC Unconventional Monetary Policy \| Esther Ademmer, Joscha Beckmann, Ansgar Belke and Rainer Schweickert The political economy of Taylor Rules and the trilemma restriction Georgios Chortareas and Zampia Triantafilidi Determinants of choice and the softness of the open economy policy trilemma Elena Seghezza and Pittaluga G.B. Why tradable producers not always prefer a floating exchange rate and a depriciated currency? Sara Maccaferri Giuseppina Cannas, P. Benczur, , J. Cariboni, F. E. Di Girolamo and M. Petracco Giudici Evaluating the effectiveness of the new EU bank regulatory framework: a farewell to bail-out? \| Saturday 13 June 2015 · 10:45 – 12:30 \| Parallel Sessions 6 Conference Venue: Center for European Policy Studies (Please see maps at the appendix of the program \| \| Room A Working Party Room \| Room B Konferenzsaal \| Room C Royal Room \| Room D Congress Room \| \|---\|---\|---\|---\|---\| \| \| Credit and Country Studies Chair: Ibrahim Elatroush \| Net Foreign Asset Positions and Portfolio Flows Chair: Joseph Joyce \| Trade and Productivity Chair: Monica Pop Silaghi \| Recessions and Macroeconomic Development Chair: Raymond Swaray \| \| 1 0 : 4 5 – 1 2 : 1 5 \| Leonor Modesto and Francesco Carli Endogenous Credit and Investment Cycles with Asset Price Volatility Mikel Bedayo Creating associations to substitute banks’ direct credit. Evidence from Belgium Iulian Ihnatov, Alin Marius Andries, Bogdan Capraru and Aviral Kumar Tiwari The lead-lag relationship between exchange rate and interest rate: the case of Romania Ibrahim Elatroush Similarities and Dissimilarities among Egyptian Public Sector Manufacturing Firms: Comparative Study \| Gunther Schnabl and Sophia Latsos Net Foreign Asset Positions and Appreciations Expectations on the Japanese Yen and the Swiss Franc Martin Schmitz and Michael Fidora Reducing large net foreign liabilities Keith Fitzgerald The Relative Importance of Country and Industry Effects in Portfolio Diversification: Evidence from the Global Crisis Joseph Joyce External Balance Sheets as Crisis Buffers \| Usha Nair-Reichert Determinants of the Recovery Margin of Trade Piero Esposito Trade (dis)integration and imbalances in the Euro Area Sushanta Mallick and Helena Marques Comparative advantage as a source of exporters’ pricing power: Evidence from China and India Monica Pop Silaghi Assessing determinants of total factor productivities in the regions of Europe. Health, human capital and R&D \| Bastian Gawellek, Jingjing Lyu and Bernd Süssmuth Did chinese outward Activity attenuate or aggravate the great recession in developing countries? Reynald Majetti Forecasting South African Recessions Raymond Swaray, Rayan S. Hammad and Hadiza Sa’id Crude oil price volatility switching probabilities and exchange rate regimes of oil producing countries \| 13:30 – 14:45 Athanasios Orphanides (MIT) Saturday 13 June 2015 · 14:45 – 16:15 \| Parallel Sessions 7 Conference Venue: Center for European Policy Studies (Please see maps at the appendix of the program) \| \| Room A Working Party Room \| Room B Konferenzsaal \| Room C Royal Room \| \|---\|---\|---\|---\| \| \| Economics Growth Chair: Samaresh Bardhan \| Interest Rates and Exchange Rates Chair: Samer Mehibel \| Crisis and Politics Chair: Aristeidis Samitas \| \| 1 4 : 3 0 – 1 6 : 0 0 \| Michael Murach and Helmut Wagner Effects of structural change on economic growth and shock absorption capability in china Keshab Bhattarai Economic growth and public budget deficit Samaresh Bardhan and Rajesh Sharma Financial development, inflation and growth: Evidences from dynamic panel threshold model \| Nikolaos A. Kyriazis, Stephanos Papadamou and Eleftherios Spyromitros Testing for cointegration with threshold effect between Bank of England’s Assets and Interest Rates Jin-Kyu Jung, Jan-Christoph Rülke and Michael Frenkel Central Bank’s Interest Rate Projections under Asymmetric Loss – Some Theory and International Evidence Samer Mehibel and Khaled Menna Exchange rate pass-through and inflation dynamics in algeria \| Antonios Sarantidis and Dimitrios Asteriou Are Bank Returns More Sensitive During Crisis? Evidence from the DID and CIC approaches for a large panel of countries Kancs d'Artis Macroeconomic Modelling of R&D and Innovation Policies Aristeidis Samitas, Ioannis Tsakalos, Aggelos Armenatzoglou and Dimitris Kenourgios The Cypriot Crisis as a perfect excuse to apply a new economic model: Bail-in \| 16.15 – 16:30 Coffee break Saturday 13 June 2015 · 16:30 – 18:00 \| Parallel Sessions 8 Conference Venue: Center for European Policy Studies (Please see maps at the appendix of the program) \| \| Room A Working Party Room \| Room B Konferenzsaal \| Room C Royal Room \| \|---\|---\|---\|---\| \| 1 6 : 1 5 – 1 7 : 4 5 \| Economic Growth Chair: Rainer Schweickert \| The Chinese Economy Chair: Cristina Jude \| Productivity and Wages Chair: Nisar Ahmad \| \| \| Amjad Naveed Small and Medium Sized Cities: Source of Growth and Knowledge-Based Strategies Michael Stemmer, Olivier Damette and Mathilde Maurel What does it take to grow out of recession? A comparative approach towards long run growth determinants of countries Rainer Schweickert and Markus Ahlborn Public debt and economic growth – Heterogeneous effects due to institutional differences. \| Xing Han and Youwei Li On the Return Predictability of Investor Sentiment: Time-series and Cross-sectional Evidence from China Björn Urbansky Global Liquidity Glut, Capital Controls and the Pretence of Knowledge in China and the US Cristina Jude, Marie Albert and Cyril Rebillard The long landing scenario: Rebalancing from Overinvestment and Excessive Credit Growth. Implications for Potential Growth in China \| Mirko Abbritti, Stephan Fahr and Tommaso Trani Downward wage rigidities, credit frictions and unemployment Virginia di Nino The phenomenal CAT: firms clawing the goods of others Nisar Ahmad and Amjad Naveed Productivity Convergence and Structural Changes: A Panel Unit Root Analysis \| Saturday 13 June 2015 20:00 Conference Dinner Aux Armes de Bruxelles – 12 rue des Bouchers 1000 Bruxelles Sunday 14 June 2015 0 9 : 3 0 – 1 4 : 0 0 O p t i o n a l E x c u r s i o n Brussel Historical Bus Tour Half Day Tour (09:30-14:30) Registration at the conference. Detailed information will be provided soon APPENDIX Maps and Directions European Economics and Finance Society Fourteenth Annual Conference Brussels, 11 th -14 th June 2015 Conference Location: Center for European Policy Studies – 1 Place de Congress, 1000 Brussels Location for Dinner on Saturday: Aux Armes de Bruxelles 12 rue des Bouchers 1000 Brusells Route from conference location to dinner location European Economics and Finance Society Fourteenth Annual Conference Brussels, 11 th -14 th June 2015 NOTES European Economics and Finance Society Fourteenth Annual Conference Brussels, 11 th -14 th June 2015 NOTES
Mr. Ajmera's column as on July 11, 2015 Q1FY16 earnings season and global cues to determine market trend.. The BSE benchmark Sensex slipped below its crucial 28,000 mark, while the CNX Nifty declined below its technical level of 8,400. The 30-share Sensex settled at 27,661.40, shedding 431.39 points or 1.54% while the 50share Nifty settled at 8,360.55, dropping 124.35 points or 1.47%. The broader markets, however, flexed some muscles; the BSE Midcap ended 0.45 points up to settle at 10,870.45 and the BSE Smallcap index rose 32.36 points or 0.29% to end the week at 11,335.94 Key sectors & stocks Sectorally, the BSE IT and Metal indices plunged 4% followed by Auto sector, shedding 3%. Oil and Gas, Consumer Durables and FMCG sectors dropped 1-2.5% each, while Capital Goods and Healthcare sectors rose 2-3% each. The IT sector dived around 4% weighed by the TCS. The IT major reported a 12.8% increase in net profit at Rs. 5,708.9 crore and the revenue growth was pegged at Rs.25,668 crore, an increase of 16.1% year-on-year. However, in dollar terms, the revenue growth was below expectations. TCS lost 5.1% during the week. Infosys shed 5.35%, while Wipro dropped marginally at 0.23% during the week. From the metal pack, Vedanta slumped 14.4% while Hindalco shed 5.38% Email: email@example.com Website: www.ajcononline.com -------------------- In anticipation of the May IIP data, the capital good sector rose 3%. BHEL finished the week with 4% gains while L&T surged 3.5%. Key events On the global front, the Greek saga dragged on. In the emergency Eurozone meet held on July 7, 2015, the European Union asked Athens to present a set of new reforms on Sunday 12, July 2015 that will be acceptable to its creditors or else face the repercussion of an exit from the Euro zone. The Chinese stock market nosedived 6.2% on Wednesday inspite of the support measures provided by Beijing, which the investors chose to ignore. This stock market crash had a domino effect on other Asian markets. However, after the panic, the Chinese equities rebounded later in the week on the back of government intervention. The week also witnessed a crash in base metal prices as LMEX, an index tracking prices of six metals on London Metal Exchange (LME) plunged 4%. On the home front, the first quarter earnings season of corporate India for FY2016 started on Thursday with Tata Consultancy Services' (TCS) announcing its Q1 numbers. The government unveiled the Index of Industrial Production (IIP) data for the month of May post market hours on Friday. The data shows that the industrial production has slowed down to 2.7% as against 5.6% when compared year-on-year. The IIP for April was 3.36% Ajcon's view The first quarter corporate earnings season will dictate sentiment on the bourses in the forthcoming week. Among individual stocks, IndusInd Bank is scheduled to announce Q1 results on Monday, July 13. Zee Entertainment has its results scheduled for Wednesday, July 15 while MindTree is set for Thursday, July 16 and Crisil will unveil its quarterly results on Friday, July 17. The IIP data for the month of May will also impact trading next week, especially Monday. Manufacturing has slowed down to 2.2 % in May. The government is set to unveil the Consumer Price Index (CPI) data for the month of June on Monday. The industrial output data and inflation data will determine the RBI's action on interest rates at its next policy review meet on August 4. The progress in monsoon will also be closely watched by the market participants and RBI; the monsoons have been 4% below normal since June 1. On the global front, the EU's decision at its Sunday meet on Greece's fresh proposal will let investors know whether a Grexit is a likely scenario. The volatility in Chinese stock markets will also be closely watched by the markets. Email: firstname.lastname@example.org Website: www.ajcononline.com -------------------- Disclaimer Ajcon Global Services Ltd. is a fully integrated investment banking, merchant banking, corporate advisory, stock broking, commodity and currency broking. Ajcon Global Services Ltd. research analysts responsible for the preparation of the research report may interact with trading desk personnel, sales personnel and other parties for gathering, applying and interpreting information. Individuals employed as research analyst by Ajcon Global Services Ltd. or their associates are not allowed to deal or trade in securities that the research analyst recommends within thirty days before and five days after the publication of a research report. We and our affliates, officers, directors, employees and their relative may: (a) from time to time, have long or short positions in act as a principal in, and buy or sell the securities or derivatives thereof, of company (ies) mentioned herein or (b) be engaged in any other transaction involving such securities and earn brokerage. The information and opinions in this report have been prepared by Ajcon Global Services Ltd. and are subject to change without any notice. The report and information contained herein is strictly confidential and meant solely for the selected recipient and may not be altered in any way, transmitted to, copied or distributed, in part or in whole, to any other person or to the media or reproduced in any form, without prior written consent of Ajcon Global Services Ltd. While we would endeavour to update the information herein on a reasonable basis, Ajcon Global Services Ltd. is under no obligation to update or keep the information current. Also, there may be regulatory, compliance or other reasons that may prevent Ajcon Global Services Ltd. from doing so. This report is based on information obtained from public sources and sources believed to be reliable, but no independent verification has been made nor is its accuracy or completeness guaranteed. This report and information herein is solely for informational purpose and shall not be used or considered as an offer document or solicitation of offer to buy or sell or subscribe for securities or other financial instruments. Though disseminated to all the customers simultaneously, not all customers may receive this report at the same time. Ajcon Global Services Ltd. will not treat recipients as customers by virtue of their receiving this report. Nothing in this report constitutes investment, legal, accounting and tax advice or a representation that any investment or strategy is suitable or appropriate to your specific circumstances. The securities discussed and opinions expressed in this report may not be suitable for all investors, who must make their own investment decisions, based on their own investment objectives, financial positions and needs of specific recipient. This may not be taken in substitution for the exercise of independent judgment by any recipient. The recipient should independently evaluate the investment risks. The value and return on investment may vary because of changes in interest rates, foreign exchange rates or any other reason. Ajcon Global Services Ltd. accepts no liabilities whatsoever for any loss or damage of any kind arising out of the use of this report. Past performance is not necessarily a guide to future performance. Investors are advised to see Risk Disclosure Document to understand the risks associated before investing in the securities markets. Actual results may differ materially from those set forth in projections. Forward-looking statements are not predictions and may be subject to change without notice. Ajcon Global Services Ltd. or its associates might have managed or co-managed public offering of securities for the subject company or might have been mandated by the subject company for any other assignment in the past twelve months. Ajcon Global Services Ltd. or its associates have not received any compensation from the companies mentioned in the report during the period preceding twelve months from the date of this report for services in respect of managing or co-managing public offerings, corporate finance, investment banking or merchant banking, brokerage services or other advisory service in a merger or specific transaction. Ajcon Global Services Ltd. encourages independence in research report preparation and strives to minimize conflict in preparation of research report. Ajcon Global Services Ltd. or its analysts did not Email: email@example.com Website: www.ajcononline.com -------------------- receive any compensation or other benefits from the companies mentioned in the report or third party in connection with preparation of the research report. Accordingly, neither Ajcon Global Services Ltd. nor Research Analysts have any material conflict of interest at the time of publication of this report. It is confirmed that CA Ashok Ajmera, research analyst of this report have not received any compensation from the companies mentioned in the report in the preceding twelve months. Compensation of our Research Analysts is not based on any specific merchant banking, investment banking or brokerage service transactions. Ajcon Global Services Ltd. or its subsidiaries collectively or Research Analysts do not own 1% or more of the equity securities of the Company mentioned in the report as of the last day of the month preceding the publication of the research report. It is confirmed that CA Ashok Ajmera research analyst do not serve as an officer, director or employee of the companies mentioned in the report. Ajcon Global Services Ltd. may have issued other reports that are inconsistent with and reach different conclusion from the information presented in this report. Neither the Research Analysts nor Ajcon Global Services Ltd. have been engaged in market making activity for the companies mentioned in the report. We submit that no material disciplinary action has been taken on Ajcon Global Services Ltd. by any Regulatory Authority impacting Equity Research Analysis activities. This report is not directed or intended for distribution to, or use by, any person or entity who is a citizen or resident of or located in any locality, state, country or other jurisdiction, where such distribution, publication, availability or use would be contrary to law, regulation or which would subject Ajcon Global Services Ltd. and affiliates to any registration or licensing requirement within such jurisdiction. The securities described herein may or may not be eligible for sale in all jurisdictions or to certain category of investors. Persons in whose possession this document may come are required to inform themselves of and to observe such restriction. For research related queries contact: Mr. Akash Jain – Vice President (Research) at firstname.lastname@example.org CIN: L74140MH1986PLC041941 Website: www.ajcononline.com Corporate and Broking Division : 408 - (4 th Floor), Express Zone, "A" Wing, Cello – Sonal Realty, Near Oberoi Mall and Patel's, Western Express Highway, Malad (East), Mumbai – 400063. Tel: 91-22-67160400, Fax: 022-28722062 Registered Office: 101, Samarth, Off. Hinduja Hospital, 151 Lt. P.N. Kotnis Road, Mahim (West), Mumbai – 400016. Tel: 022-24460335/36/40 Email: email@example.com Website: www.ajcononline.com
Allied Digital Services Limited Registered Office: Premises No.13A, 13th Floor, Earnest House, Back Bay Reclamation, NCPA Road, Block III, Nariman Point, Mumbai - 400 021 Part I (Rs. In Lakhs) \| Sr. No. \| Particulars \| \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| \| Quarter Ended \| \| \| \| \| \| \| 31st March 2013 Audited \| 31st Dec 2012 Unaudited \| 31st March 2012 Unaudited \| 31st March 2013 Audited \| \| 1 a) b) 2 a) b) c) d) e) f) 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19.i a) b) 19.ii a) b) \| Income from Operations Net Sales/Income from Operations (Net of excise duty) Other Operating Income Total income from Operations (net) Expenses Cost of Materials consumed Purchase of stock-in-trade Changes in inventories of finished goods, work-in-progress and stock-in-trade Employee benefits expense Depreciation and amortisation expense Other expenses Total Expenses Profit / (Loss) from operations before other income, finance costs and exceptional items (1-2) Other Income Profit / (Loss) from ordinary activities before finance costs and exceptional items (3 + 4) Finance Costs Profit / (Loss) from ordinary activities after finance costs but before exceptional items (5 - 6) Exceptional Items Profit / (Loss) from ordinary activities before tax (7 - 8) Tax expense Net Profit / (Loss) from ordinary activities after tax (9 - 10) Extraordinary items (net of tax expense) Net Profit / (Loss) for the period (11 - 12) Share of Profit / (loss) of associates Minority Interest Net Profit / (Loss) after taxes, minority interest and share of profit / (loss) of associates (13 - 14 - 15) Paid-up equity share capital (Face Value of Rs.5/-) Reserves Excluding Revaluation Reserves as per balance sheet of previous accounting year Earning per Share (before extraordinary items) (of Rs. 5/- each) (not annualised): Basic Diluted Earning per Share (after extraordinary items) (of Rs. 5/- each) (not annualised): Basic Diluted \| 6,080 (149) \| 9,532 2 2 \| 16,643 3 48 \| 41,643 3 03 \| \| \| \| 5,931 \| 9,554 \| 16,991 \| 41,946 \| \| \| \| - 3,246 (131) 1,131 8 33 2 39 5,318 6 13 8 8 7 01 5 58 143 6 47 (504) 3 74 (878) - (878) - (123) \| - 6,225 (41) 1,330 5 46 1,062 9,122 4 32 2 1 4 53 2 04 249 4 6 203 6 1 142 - 142 - (50) \| - 13,234 (472) 1,877 5 61 1,546 16,746 2 45 1 50 3 95 4 06 (11) - (11) 6 8 (79) - (79) - (80) \| - 28,200 (400) 5,263 2,497 4,038 39,598 2,348 3 00 2,648 1,532 1,116 6 93 423 6 09 (186) - (186) - (322) \| \| \| \| (1,001) \| 92 \| (159) \| (508) \| \| \| \| 2,309 65,910 (2.17) (2.17) (2.17) (2.17) \| 2,309 66,403 0 .20 0 .20 0 .20 0 .20 \| 2,310 - (0.42) (0.42) (0.42) (0.42) \| 2,309 65,910 (1.10) (1.10) (1.10) (1.10) \| Statement of Consolidated Audited Financial Results for the Quarter & Year ended March 31, 2013 Part II \| Sr. No. \| Particulars \| Quarter Ended \| \| \| Year Ended \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| 31st March 2013 Audited \| 31st Dec 2012 Unaudited \| 31st March 2012 Unaudited \| 31st March 2013 Audited \| 31st March 2012 Audited \| \| 1 \| Public Shareholding - Number of shares - Percentage of shareholding \| 25,998,409 56.29% \| 25,998,409 56.29% \| 25,998,409 56.29% \| 25,998,409 56.29% \| 25,998,409 56.29% \| \| 2 a) \| Promoters & promoter group Shareholding Pledged/Encumbered - Number of shares - Percentage of shares (as a % of the total shareholding of promoter and promoter group) - Percentage of shares (as a % of the total share capital of the company) \| - - - \| - - - \| - - - \| - - - \| - - - \| \| b) \| Non-Encumbered - Number of shares - Percentage of shares (as a % of the total shareholding of promoter and promoter group) - Percentage of shares (as a % of the total share capital of the company) \| 20,188,318 100% 43.71% \| 20,188,318 100% 43.71% \| 20,188,318 100% 43.71% \| 20,188,318 100% 43.71% \| 20,188,318 100% 43.71% \| A PARTICULARS OF SHAREHOLDING B INVESTOR COMPLAINTS \| Particulars \| Quarter Ended 31st March 2013 \| \|---\|---\| \| Pending at the beginning of the quarter Received during the quarter Disposed of during the quarter Remaining unresolved at the end of the quarter \| 0 3 3 0 \| Allied Digital Services Limited \| Sr. No. \| Particulars \| Consolidated \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| Quarter Ended \| \| \| Year Ended \| \| \| \| \| 31st March 2013 Audited \| 31st Dec 2012 Unaudited \| 31st March 2012 Unaudited \| 31st March 2013 Audited \| 31st March 2012 Audited \| \| 1 2 3 \| Segment Revenue Enterprise Computing based Solutions Infrastructure Management based Solutions Unallocated Net Segment Revenue Profit before Interest, unallocable exp. and Tax Enterprise Computing based Solutions Infrastructure Management based Solutions Less: i) Interest ii) Un-allocable Expenses (net of unallocable income) Total Profit Before Tax Capital Employed Unallocable Total Capital Employed \| 4,256 1,824 (61) \| 3,463 6,070 4 3 \| 8,317 8,327 4 97 \| 29,150 12,493 6 03 \| 28,421 30,060 - \| \| \| \| 6,019 \| 9,576 \| 17,141 \| 42,246 \| 58,481 \| \| \| \| 3 19 1,938 \| 2 60 1,508 \| 6 24 1,590 \| 2,188 11,565 \| 2,133 13,953 \| \| \| \| 2,257 \| 1,768 \| 2,214 \| 13,753 \| 16,086 \| \| \| \| 5 58 2,203 \| 2 04 1,361 \| 4 06 1,819 \| 1,532 11,798 \| 1,846 12,187 \| \| \| \| (504) \| 2 03 \| (11) \| 4 23 \| 2,053 \| \| \| \| 63,297 \| 64,232 \| 62,371 \| 63,297 \| 64,063 \| \| \| \| 63,297 \| 64,232 \| 62,371 \| 63,297 \| 64,063 \| Segment Wise Revenue, Results and Capital Employed (Rs. In Lakhs) Allied Digital Services Limited \| Sr. No. \| Particulars \| Consolidated \| \| \|---\|---\|---\|---\| \| \| \| 31st March 2013 Audited \| 31st March 2012 Audited \| \| A 1 2 3 4 5 B 1 2 \| EQUITY AND LIABILITIES Shareholders’ funds (a) Share capital (b) Reserves and surplus (c) Money received against share warrants Sub-total - Shareholders' funds Share application money pending allotment Minority interest Non-current liabilities (a) Long-term borrowings (b) Deferred tax liabilities (net) (c) Other long-term liabilities (d) Long-term provisions Sub-total - Non-current liabilities Current liabilities (a) Short-term borrowings (b) Trade payables (c) Other current liabilities (d) Short-term provisions Sub-total - Current liabilities \| 2,309 65,910 \| 2,309 6 6,403 - \| \| \| \| 68,219 \| 68,712 \| \| \| \| - \| - \| \| \| \| 1,373 9 28 2,011 1 28 4 86 \| 974 1,622 1,729 24 140 \| \| \| \| 3,553 \| 3,515 \| \| \| \| 10,035 1,582 1,223 6 05 \| 1 0,046 1,337 629 911 \| \| \| \| 13,445 \| 12,923 \| \| \| TOTAL - EQUITY AND LIABILITIES \| 86,590 \| 86,124 \| \| \| ASSETS Non-current assets (a) Fixed assets (b) Goodwill on consolidation (c) Non-current investments (d) Deferred tax assets (net) (e) Long-term loans and advances (f) Other non-current assets Sub-total - Non-current assets Current assets (a) Current investments (b) Inventories (c) Trade receivables (d) Cash and cash equivalents (e) Short-term loans and advances (f) Other current assets Sub-total - Current assets \| 31,593 11,208 5 18 - 5,169 - \| 29,758 1 1,208 567 - 5,352 - \| \| \| \| 48,488 \| 46,885 \| \| \| \| - 4,476 25,864 1,883 5,191 6 88 \| 750 4,062 2 5,389 3,073 5,209 756 \| \| \| \| 38,102 \| 39,239 \| \| \| TOTAL - ASSETS \| 86,590 \| 86,124 \| Consolidated Statement of Assets and Liabilities (Rs. In Lakhs) Notes : 1) The above results were reviewed by the Audit Committee and taken on record at the meeting of the Board of Directors of the Company held on May 30, 2013 duly audited by Statutory Auditors. 2) The figures of last quarter are the balancing figures between audited figures in respect of full financial year and published year to data figures upto the 3rd quarter of the financial year. 3) Exceptional item includes an amount of Rs. 576 Lakhs towards Sales Tax payment in India Operations and Expenses incurred in US Operations of Rs. 117 Lakhs. 4) Tax Expenses for the quarter and year ended March 31, 2013 includes charges for Deferred Tax liability of Rs. 385 Lakhs. 5) Data related to shareholding pertains to parent company only. 6) The standalone financial results have been made available at company's website www.allieddigital.net 7) Figures for the corresponding period / previous year have been rearranged and regrouped wherever necessary. Place: Mumbai Date: May 30,2013 For Allied Digital Services Limited sd/Nitin D Shah Chairman & Managing Director Allied Digital Services Limited Registered Office: Premises No.13A, 13th Floor, Earnest House, Back Bay Reclamation, NCPA Road, Block III, Nariman Point, Mumbai - 400 021 Part I (Rs. In Lakhs) \| Sr. No. \| Particulars \| Standalone \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| Quarter Ended \| \| \| Year Ended \| \| \| \| \| 31st March 2013 Audited \| 31st Dec 2012 Unaudited \| 31st March 2012 Unaudited \| 31st March 2013 Audited \| 31st March 2012 Audited \| \| 1 a) b) 2 a) b) c) d) e) f) 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19.i a) b) 19.ii a) b) \| Income from Operations Net Sales/Income from Operations (Net of excise duty) Other Operating Income Total income from Operations (net) Expenses Cost of Materials consumed Purchase of stock-in-trade Changes in inventories of finished goods, work-in-progress and stock-in-trade Employee benefits expense Depreciation and amortization expense Other expenses Total Expenses Profit / (Loss) from operations before other income, finance costs and exceptional items (1-2) Other Income Profit / (Loss) from ordinary activities before finance costs and exceptional items (3 + 4) Finance Costs Profit / (Loss) from ordinary activities after finance costs but before exceptional items (5 - 6) Exceptional Items Profit / (Loss) from ordinary activities before tax (7 - 8) Tax expense Net Profit / (Loss) from ordinary activities after tax (9 - 10) Extraordinary items (net of tax expense) Net Profit / (Loss) for the period (11 - 12) Share of Profit / (loss) of associates Minority Interest Net Profit / (Loss) after taxes, minority interest and share of profit / (loss) of associates (13 - 14 - 15) Paid-up equity share capital (Face Value of Rs.5/-) Reserves Excluding Revaluation Reserves as per balance sheet of previous accounting year Earning per Share (before extraordinary items) (of Rs. 5/- each) (not annualised): Basic Diluted Earning per Share (after extraordinary items) (of Rs. 5/- each) (not annualised): Basic Diluted \| 2,914 (149) \| 4,947 2 2 \| 11,881 3 36 \| 23,595 3 03 \| 40,571 3 1 \| \| \| \| 2,765 \| 4,969 \| 12,217 \| 23,898 \| 40,602 \| \| \| \| - 1,550 5 3 74 6 69 1 08 2,706 5 9 6 9 1 28 4 43 (315) 5 76 (891) 2 97 (1,188) - (1,188) - - \| - 3,462 (67) 6 83 4 90 1 89 4,757 2 12 1 9 2 31 1 78 53 - 53 1 1 42 - 42 - - \| - 10,609 (433) 9 90 4 96 3 33 11,995 2 22 (12) 2 10 3 81 (171) - (171) - (171) - (171) - - \| - 17,496 (90) 2,485 2,132 8 91 22,914 9 84 2 72 1,256 1,356 (100) 5 76 (676) 3 41 (1,017) - (1,017) - - \| - 33,239 (1,490) 4,178 1,637 1,493 39,057 1,545 1,570 3,115 1,640 1,475 - 1,475 8 85 590 - 590 - - \| \| \| \| (1,188) \| 42 \| (171) \| (1,017) \| 590 \| \| \| \| 2,309 65,411 (2.57) (2.57) (2.57) (2.57) \| 2,309 66,429 0 .09 0 .09 0 .09 0 .09 \| 2,309 - (0.37) (0.37) (0.37) (0.37) \| 2,309 65,411 (2.20) (2.20) (2.20) (2.20) \| 2,309 66,429 1 .27 1 .27 1 .27 1 .27 \| Statement of Standalone Audited Financial Results for the Quarter & Year ended March 31, 2013 Part II A PARTICULARS OF SHAREHOLDING \| Sr. No. \| Particulars \| Quarter Ended \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| \| 31st March 2013 Audited \| 31st Dec 2012 Unaudited \| 31st March 2012 Unaudited \| 31st March 2013 Audited \| \| 1 \| Public Shareholding - Number of shares - Percentage of shareholding \| 25,998,409 56.29% \| 25,998,409 56.29% \| 25,998,409 56.29% \| 25,998,409 56.29% \| \| 2 a) \| Promoters & promoter group Shareholding Pledged/Encumbered - Number of shares - Percentage of shares (as a % of the total shareholding of promoter and promoter group) - Percentage of shares (as a % of the total share capital of the company) \| - - - \| - - - \| - - - \| - - - \| \| b) \| Non-Encumbered - Number of shares - Percentage of shares (as a % of the total shareholding of promoter and promoter group) - Percentage of shares (as a % of the total share capital of the company) \| 20,188,318 100% 43.71% \| 20,188,318 100% 43.71% \| 20,188,318 100% 43.71% \| 20,188,318 100% 43.71% \| B INVESTOR COMPLAINTS \| Particulars \| \|---\| \| Pending at the beginning of the quarter Received during the quarter Disposed of during the quarter Remaining unresolved at the end of the quarter \| Allied Digital Services Limited \| Sr. No. \| Particulars \| \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| \| Quarter Ended \| \| \| \| \| \| \| 31st March 2013 Audited \| 31st Dec 2012 Unaudited \| 31st March 2012 Unaudited \| 31st March 2013 Audited \| \| 1 2 3 \| Segment Revenue Enterprise Computing based Solutions Infrastructure Management based Solutions Unallocated Net Segment Revenue Profit before Interest, unallocable exp. and Tax Enterprise Computing based Solutions Infrastructure Management based Solutions Less: i) Interest ii) Un-allocable Expenses (net of unallocable income) Total Profit Before Tax Capital Employed Unallocable Total Capital Employed \| 2,040 8 74 (80) \| 3,463 1,484 4 1 \| 8,317 3,564 3 24 \| 16,517 7,078 5 75 \| \| \| \| 2,834 \| 4,988 \| 12,205 \| 24,170 \| \| \| \| 1 53 5 50 \| 2 60 1,332 \| 6 24 1,405 \| 1,239 4,949 \| \| \| \| 7 03 \| 1,592 \| 2,029 \| 6,188 \| \| \| \| 4 43 1,151 - \| 1 78 1,361 - \| 3 81 1,819 - \| 1,356 5,508 - \| \| \| \| (891) \| 5 3 \| (171) \| (676) \| \| \| \| 57,914 \| 58,216 \| 55,900 \| 57,914 \| \| \| \| 57,914 \| 58,216 \| 55,900 \| 57,914 \| Segment Wise Revenue, Results and Capital Employed (Rs. In Lakhs) Allied Digital Services Limited \| Sr. No. \| Particulars \| \| \|---\|---\|---\| \| \| \| 31st March 2013 Audited \| \| A 1 2 3 4 5 B 1 2 \| EQUITY AND LIABILITIES Shareholders’ funds (a) Share capital (b) Reserves and surplus (c) Money received against share warrants Sub-total - Shareholders' funds Share application money pending allotment Minority interest Non-current liabilities (a) Long-term borrowings (b) Deferred tax liabilities (net) (c) Other long-term liabilities (d) Long-term provisions Sub-total - Non-current liabilities Current liabilities (a) Short-term borrowings (b) Trade payables (c) Other current liabilities (d) Short-term provisions Sub-total - Current liabilities \| 2,309 65,411 - \| \| \| \| 67,720 \| \| \| \| - \| \| \| \| - - 2,022 1 28 1 63 \| \| \| \| 2,313 \| \| \| \| 9,503 1,847 1,063 1 38 \| \| \| \| 12,551 \| \| \| TOTAL - EQUITY AND LIABILITIES \| 82,584 \| \| \| ASSETS Non-current assets (a) Fixed assets (b) Goodwill on consolidation (c) Non-current investments (d) Deferred tax assets (net) (e) Long-term loans and advances (f) Other non-current assets Sub-total - Non-current assets Current assets (a) Current investments (b) Inventories (c) Trade receivables (d) Cash and cash equivalents (e) Short-term loans and advances (f) Other current assets Sub-total - Current assets \| 29,509 - 15,193 - 5,069 - \| \| \| \| 49,771 \| \| \| \| - 3,801 22,082 1,057 5,192 6 81 \| \| \| \| 32,813 \| \| \| TOTAL - ASSETS \| 82,584 \| Standalone Statement of Assets and Liabilities (Rs. In Lakhs) Notes : 1) The above results were reviewed by the Audit Committee and taken on record at the meeting of the Board of Directors of the Company held on May 30, 2013 duly audited by Statutory Auditors. *2) The figures of last quarter are the balancing figures between audited figures in respect of full financial year and published year to data figures upto the 3rd quarter of the financial year. 3) Exceptional item includes an amount of Rs. 576 Lakhs towards Sales Tax payment. 4) Tax Expenses for the quarter and year ended March 31, 2013 includes charges for Deferred Tax liability of Rs. 341 Lakhs. 5) Data related to shareholding pertains to parent company only. 6) Figures for the corresponding period / previous year have been rearranged and regrouped wherever necessary. Place: Mumbai Date: May 30,2013 By order of the Board For Allied Digital Services Limited sd/Nitin D Shah Chairman & Managing Director
Lever Harp (or pedal harp) _____New! Snowfall $11 by Marianna Nystrom. Four meditative solos especially composed for the harp ministry. Snowfall, Moondance, September Sorrow (in memory of 9/11) and Meditation. Intermediate level. _____Christmas for Lever Harp $14 Ten beautiful intermediate arrangements for lever or pedal harp. Angels We Have Heard on High, Austrian Carol, God Rest Ye Merry Gentlemen, Good Christian Men Rejoice, Go Tell It on the Mountain, Joy to the World, O Come Little Children, Silent Night, We Three kings, and What is This Fragrance. Very useful for every Christmas engagement. _____Old Favorite Hymns $14 Ten intermediate level arrangements for lever or pedal harp. Our two books of hymn arrangements have been our very best sellers. They are a great edition to your library. Contents: Take Time to be Holy, Breathe on Me Breath of God, Sweet Hour of Prayer, My Jesus I Love Thee, Blessed Assurance, He Leadeth Me, O Master Let Me Walk With Thee, Softly and Tenderly Jesus is Calling, Just as I Am, Fairest Lord Jesus. _____More Old Favorite Hymns $14 Eleven intermediate arrangements for lever or pedal harp. I feel in this book Karl and I reached a new level of creative collaboration. I am very proud of it. Contents: Abide With Me, Rock of Ages, Jesus Loves Me, I need Thee Every Hour, Kum Ba Yah, My Faith Looks Up to Thee, Nearer My God to Thee, In the Garden, More Love to Thee O Christ, Spirit of God Descend Upon My Heart, and How Great Thou Art (my favorite!) _____Quietude $11 A collection of four contemplative pieces for lever or pedal harp, intermediate level. Very useful for hospice, healing and worship. Dreams of Spring is the most popular piece in this book. _____The Healing Harp $11 Four meditative solos for lever or pedal harp. Very soothing, very healing. Great for hospice and hospital. _____Lullabies for Young and Old $11 Six arrangements including Rockabye Baby, Brahms' Lullaby and others from around the world. Delicate, gentle, with a lovely uplifting and sweet sound. No lever changes. Intermediate. _____Old-Timey Tunes for Lever Harp $17.95 Great stuff for nursing homes—24 tunes which senior citizens like to sing. Words included. On Top of Old Smokey, Jimmy Crack Corn, Old MacDonald, Danny Boy, Greensleeves, Oh! Susannah, etc. Easy to low intermediate level. _____Summer Wanderings $4 A lovely meditative solo, easy to intermediate level.. Good for healing ministry or meditations. _____Calypso $4 A fun piece for letting your hair down. (Note from a customer: This delightful piece will make you think Harry Belafonte is going to walk into the room! D.G.) Harp music by Karl Wienand Pedal Harp _____Deer Hollow and Waves of Silver $9 Two quiet, haunting pieces, intermediate level. _____Sonatina in Classic Style $4 One of my favorites for weddings. One movement, intermediate level, in a bright “Mozartian” style. _____O Perfect Love $4 a lovely setting of this beautiful wedding song. _____Tango $4A haunting piece in the wonderful tango style, gets rave reactions a gigs. (Piazole, move over!) _____Jesu, Joy of Man’s Desiring, J.S. Bach, arranged by Karl Wienand. $4 Very well crafted arrangement, easy to play, a great addition to your wedding repertoire. Lower intermediate level. _____Peaceful Gardens $4 This piece has a very dreamy, sort of new-agey feel. Lots of fun to play. _____Cherry Blossoms $6 This is Karl’s last composition for harp before passing away. It is dreamy and pensive, evoking the beauty of spring. Lap Harp(22 string, range from G below middle C, going up three octaves. This music also works on the C-cc harps.) _____Kirsten’s Harp Book $11 A beginner’s book of Medieval and Celtic music. We wrote it as a teaching book for our daughter, Kirsten. Very easy level. Great for beginning harp students _____ My Ladye Arawynn’s Harp Book $11 We wrote this as the second teaching book for our daughter. It is a little harder than Kirsten’s Harp Book. It contains Renaissance and original dance pieces. Easy level _____Efen and Arawynn’s Flute and Harp Book $11 Medieval and Celtic pieces for flute or recorder and lap harp. Easy level. We wrote this for Kirsten and her husband to play together. Separate flute part included. _____Come to the Faire $11 Renaissance paired dances. We wrote this with Renaissance festivals in mind. Intermediate level. Harp & Organ _____Jesu, Joy of Man's Desiring, J.S. Bach, $9 This is easy to put together with an organist in a brief rehearsal before the wedding or service. The organ plays the triplet figure and the harp plays the hymn tune. Separate harp part included. _____Ave Maria, Bach/Gounod $9 Very useful for weddings or church The harp plays the Bach prelude, the organ the vocal melody. Very easy to put together in one rehearsal. The harp part can be played as a solo. _____Two Gregorian Chants Medley $9 Rector Potens and Verbum Supernum arranged as a medley. The flowing grace of these chant melodies woven together makes a lovely harp and organ duet. Flute & Harp _____Sweet Dreams $6 Karl wrote this for our son, Mark, to play on soprano sax with the harp. What a great combination. But it sounds great on flute or violin too. Whenever we play it, there is a stillness of concentrated listening and soft emotional reaction by the listeners. _____Wings Aloft by Kathy Holms $6 A very beautiful, modal piece. Mark and I play this for a lot of weddings. _____Even Song by Kathy Holms $6 Very lyrical and lovely. I have decided to carry music written by other composers, and Kathy is the first listing. I love Kathy's style. Tapes & Videos _____Tape--The Healing Harp $11 Marilyn Wienand playing Karl's music from "The Healing Harp," "Quietude" and "Deer Hollow/Waves of Silver." 45 minutes on a side, same music both sides. ________Video-- $16 Healing Through Music and Angels (1/2 hour) and Creating Holy Space for the Dying (1/2 hour) featuring Marilyn Wienand, harpist and narrator. These two shows were made for cable TV in Charlotte NC for the program called "Pathways." Music for Two Harps Six beautiful solos by Karl Wienand arranged for two harps by Marianna Nystrom ______New! Dreams of Spring $9,for two harps ______New! Meadows $9for two harps ______New! Brahm's Lullaby $9for two harps ______New! Quiet Evening $9for two harps ______New! December Afternoon $9for two harps ______New! Quietude $9for two harps Each includes separate parts for both harps. Marianna has lovingly arranged Karl's pieces for her and her daughter, Kris Snyder, to play in their many two harp performances and on their new CD Full Circle. (See below where we offer this CD) Compact Discs ________ On Wings of a Dove $16 Christine Grace Magnussen, harp. Contains several of Karl's pieces and many other lovely and uplifting compositions. ________Full Circle by Innisfree $16 Featuring Marianna Nystrom and Kris Snyder, harps and Jennifer Bose, flute. This lovely CD features all the pieces in Marianna's book Snowfall which we sell, and the harp duets of Karl's music she has arranged. What an honor for us to have this relationship with Marianna! ________Celtic Dreams by Innisfree $16 Featuring Marianna Nystrom and Kris Snyder, harp duo and flutist Tatiana Johanning. Including Roving Galway Boy, Skye Boat Song, Carolan's Dream, Maids of Mourne Shore and others. ________Music for Cosmic Light Synthesis $16 Original Keyboard music and guided meditation by Dr. Marc L. Dworkin (Marilyn's new husband.) Designed to release blocks and raise consciousness. A great meditation tool. Deer Hollow Music 1-888-523-7059 1-888-523-7059 1-888-523-7059 1-888-523-7059 Harp music by Karl Wienand www.deerhollow.com email: firstname.lastname@example.org PO Box 542, Misenheimer, NC 28109 Karl D. Wienand, DMA (doctor of musical arts) composer, organist and college professor, has many published choral anthems and handbell pieces. He began composing for the harp in order to provide his wife, Marilyn, with more repertoire for her healing ministry. Since then his harp pieces have become quite popular. They are well crafted and show the depth of Karl's training and musical understanding. He taught organ and piano for many years at Adams State College, Alamosa, Colorado and at Pfeiffer College, Misenheimer, NC. He always had a church job, organist and choirmaster, and also directed a community chorus wherever we lived. Marilyn Wienand, DMA singer, organist, harpist and college professor, began the harp in 1990. It became her passion and lead to developing a harp ministry for hospice, hospital and worship. She also plays professionally for weddings, parties and concerts. Marilyn is also a Hypnotherapist and teaches HypnoBirthing® (a series of classes to help women have a natural childbirth.) She married Dr. Marc Dworkin in 2002. He is an acupuncturist and Naturopath. Marianna Nystrom is a third generation harpist, composer and teacher with a large private studio in St. Mary's County, MD. She is well known in the Washington/Southern Maryland area for her performances at regional festivals and benefit concerts. With her daughter, Kris Snyder, she performs two harp music featured in two CD listed below. The group is called Innisfree. In addition she is a certified Music Practitioner, providing live healing harp music at the bedside. In 2003 Marianna contacted me for permission to perform her two harp arrangements of some of Karl's music. These arrangements are so elegantly done, I am very pleased to offer them in our catalog. Marianna also shared with me some of her own compositions. We now offer her book of four pieces called "Snowfall." Deer Hollow Music was formed in 1996 when Karl began composing harp music as a request from me (Marilyn). I was playing therapeutic music at the bedside, a new and very fulfilling way of serving others. Since my husband was such a fine composer I asked him to write music for this purpose. So he sat down at his keyboard in front of his computer and began. Then I would take the music to the harp and rework it to make it more idiomatic, adding fingerings and in general making a few artistic suggestions. He would log this in and then I would take it to the harp again. We went back and forth several times in this process. Our collaboration grew as we worked together. I offered this music for sale at the first Harp Therapy Conference, held at Belmont Abby in Charlotte, NC in l996. It sold like hot cakes, so we thought we might have something here which filled a need for therapeutic harpists. Since then, our business has grown and prospered, our music selling all over the country and in Canada. Many harp stores carry our music. I am very grateful that this legacy of Karl's compositions continues on even though he has left us. Karl passed away in 1999 from colon cancer.
The Chairman's report at William Demant Holding A/S' annual general meeting on Thursday 22 March 2018 at 4 pm It is the first time I am standing here to report on the past year for William Demant Holding. It is something that I have looked very much forward to. And it gives me all the more pleasure to report that 2017 was a particularly good year for the Group. I know that I am speaking for my colleagues in the Board of Directors when I say that we look back on the past year with great satisfaction. I would like to start my report by briefly outlining the financial results of the Group in 2017. I will then dive into the three main business activities in our hearing healthcare Group: Hearing Devices, Hearing Implants and Diagnostic Instruments. After an overall look at the strengths of our hearing healthcare strategy, I will comment on the fact that I am not the only person with a new role this year. Right after the general meeting last year, Søren Nielsen was appointed new President & CEO of the Company on 1 April. I will finish by addressing the specific topics that are an integral part of a general meeting. Looking back at 2017 Let me start by summarising the key financial results of the year and our expectations of 2018: [x] We achieved 9% organic growth and 25% growth in the underlying operating profit due to our broad hearing healthcare strategy and our dedication to innovation. [x] The Group generated revenue of more than DKK 13 billion. [x] The Group's operating profit rose to a record amount of DKK 2.5 billion before restructuring costs. [x] All three business activities gained market share in 2017, resulting in organic growth rates of 8% in Hearing Devices, 28% in Hearing Implants and 11% in Diagnostic Instruments. [x] We generated strong organic growth of as much as 11% in the wholesale of hearing aids. [x] Our retail business delivered an organic growth rate of 4%. [x] Earnings per share was DKK 6.84, which is an increase of 24% compared to 2016. [x] In 2018, we expect to continue to generate significant organic growth, and we expect an operating profit in the DKK 2.55 billion to DKK 2.85 billion range before restructuring costs. Those were the key figures, which Søren will elaborate on later. I would now like to dive into special events in our different business activities: Hearing healthcare – our business activities one by one Hearing Devices The Hearing Devices business activity includes both wholesale and retail sale of hearing aids. Hearing Devices did very well in 2017 and achieved a growth rate of 10% in local currencies, with organic growth accounting for 8 percentage points. Wholesale 2017 was a very strong year for our wholesale business. We are constantly using our deep audiological knowledge and applying highly advanced technology to make the best possible solutions for people with hearing loss, and by doing so, we are also improving our product and sales channel mix. This means that all over the world, more people get a better solution for the treatment of their hearing loss and that we have succeeded in significantly increasing our global market share. There is no doubt that the strong growth we have seen is mainly due to the continued and very successful roll-out of Oticon Opn. But also new products from our two other hearing aid brands, Bernafon and Sonic, fuelled growth in the second half-year. In the first half of the year, growth was primarily driven by increased unit sales, while an increasing average selling price was the biggest contributor to growth in the second half. Let us dwell on Oticon Opn for a minute. The hearing aid continues to receive outstanding feedback and recognition and has obtained a unique position in the market. It may in fact be said that no other product on the market has been able to seriously challenge Oticon Opn's position as the best performing hearing aid based on important parameters such as audiology, connectivity and battery efficiency. Lately, we have been met by the slightly traditional way of thinking that the product is approaching the end of the normal life cycle of hearing aids – but this is not true. Today, hearing aids are also modern software solutions, and the development of hearing aids is highly comparable to the development of mobile phones. We continuously develop the platform on which Opn is built and ensure that we keep adding new features and improving the performance. In 2017, we launched a rechargeable solution, we added a tinnitus feature, and we made it possible to connect and stream stereo sound from all types of phones – and not only iPhones as was the case until recently. In fact, we have a strong connectivity platform, which is a solid testament to our unique ability to develop highly advanced radio chipsets with ultra-low power consumption. This constant flow of new, innovative products and technological breakthroughs enables our wholesale business to continue its strong growth due to a very strong global sales and distribution system that makes it possible for us to be very close to our customers. Retail Our retail business delivered organic growth of 4% in 2017, which is in line with the estimated overall market growth rate. The organic growth can be attributed to a mix of very good results in a number of European countries and in Canada, a pick-up in sales in the US market towards the end of the year and negative organic growth in Australia due to difficult market conditions. In overall terms, our retail business is in a positive position. We continue to acquire businesses and enter into strategic collaborations, which requires us to be very good at quickly and effectively integrating new businesses into the Group. It is also good to see that our endeavours to optimise our IT systems, marketing efforts and sales activities have yielded good results. We have over time developed a very big palette of brands in our retail business due to numerous acquisitions. We have reached a certain degree of complexity, which now makes us believe that we can harvest synergies by creating a more common identity and vision. We do that with "nuance matters" as our point of departure. We believe that retailers have a much broader aim than just looking at the clinical aspects of a hearing loss. The treatment of hearing loss is highly individual, and the nuances of the treatment make all the difference. We want our retail shops to be known for rendering personal service when it comes to establishing the best way of treating a hearing loss and indeed providing the best solution. Hearing Implants When we look at our Hearing Implants business activity under the Oticon Medical brand, we are proud to note that over a relatively short period of time, we have succeeded in building a highly competitive business. 2017 saw growth of no less than 28% in local currencies. Oticon Medical consists of two business areas: Bone anchored hearing systems, where we have a strong product portfolio and a solid market position, and cochlear implants – an area where we have not been active for that long, so we are still building relationships and establishing contacts with doctors and surgeons. Just a little over than a year ago, we introduced a brand new bone anchored product called Ponto 3 Super Power. It is the most powerful sound processor on the market that offers ground-breaking sound quality and speech understanding. This innovative solution has caused the sales growth rate to exceed the estimated market growth rate. A cochlear implant is a sophisticated means of treating hearing loss and in reality makes it possible for deaf people to hear. This is done through direct stimulation of the hearing nerve, which creates a completely new signal to the brain. In 2017, Oticon Medical continued the roll-out of Neuro, which is our first in-house developed cochlear implant. Now at the beginning of 2018, we are very proud to introduce the Neuro 2 sound processor as well as a brand new, state-of-the-art fitting system. It is the smallest sound processor ever developed and manufactured. It combines full discretion with extremely high sound quality and reliability. These are all elements that hearing-impaired people need in their daily life. We have high expectations of this product, which was approved by the European authorities at the beginning of the year, and users all over Europe are being fitted with it as we speak. Neuro 2 was developed by people here at the Group's headquarters, who have developed hearing aids for many years. It is the very exploitation of these synergies from the development of hearing aids that has enabled us to develop such a competitive processor for cochlear implants so quickly. It proves to me that it was indeed the right decision to enter this cutting-edge business area. It is my clear expectation that Oticon Medical will continue to grow and gain market shares in the years to come and thus significantly increase its earnings. Diagnostic Instruments 2017 turned out to be a great year for Diagnostic Instruments with a growth of 11% in local currency and globally increasing market shares and, mind you, from a number one position already. We not only have a strong core business, but we also continue to develop new business areas. By way of example, we have gained strong momentum in hearing screening of newborn babies, and we have continued our development of the balance equipment area. The cornerstones of the success of our growth strategy are a high innovation level, a strong distribution set-up, a multi-brand strategy and the ability to successfully enter new business areas. Digitalisation and automation have also moved into the diagnostics area. As market leader in hearing diagnostics, we benefit from this development, and in 2017, we launched Amtas. Amtas is a next-generation, tablet-based system that makes it possible to automatically screen and diagnose hearing loss. This is done very simply by using a tablet and a calibrated headset. Personal Communication Together with German Sennheiser, we own equal shares of the joint venture, Sennheiser Communications. Through our involvement in the joint venture, we gain useful insight into the market for consumer electronics, and we get the opportunity to act on a fast growing market. We do that by using a number of the competencies we have in especially advanced signal processing. The joint venture manufactures headsets and solutions for the professional Call Center & Office market, or CC&O, and headsets for the Gaming and Mobile segments. In 2017, we saw strong, underlying growth driven by the CC&O segment in particular. Our hearing healthcare strategy I would now like to touch on our overall strategy: Many years ago now, we decided to get involved in all aspects of hearing healthcare across all product areas from hearing aids and hearing implants to diagnostic equipment. This is what we call our hearing healthcare strategy. We see this strategy creating significant value. This conviction that our services and products make life easier for people with a hearing loss permeates our entire Group. In a world where a clear and "attractive" objective is an important parameter if a company wants to attract the best competencies, this is an obvious strength. In general, we see increasing focus on hearing healthcare. Hearing care is healthcare. This way of thinking is gaining currency, as an increasing number of surveys point to the fact that correct treatment of hearing loss is extremely important not only for the individual, but also for society. It is simply a matter of improving the quality of life of the hearing impaired, enabling them to lead a healthy life and ensuring that as a hearingimpaired person, it is still possible to interact socially and do well. In a world of an increasing elderly population, these are key parameters. Many of today's 60-year-olds and older people as well want to live an active life and stay in shape both physically and mentally, and one of the ways to achieve this is to get the right treatment when it comes to hearing loss. We are working with a long-term horizon instead of just focusing on quick, short-term results. Indeed, the results achieved in 2017 bear testament to the fact that it pays to work with a long-term horizon. We can now reap the benefits of years of work towards making our hearing healthcare a success. We have, however, no intention of resting on our laurels. We are very conscious of the fact that there is still room for improvement. As far as digitalisation is concerned, we will continue to look into new ways of using technology in our business. We consider digitalisation more a way of expanding the existing market than socalled disruption. Digitalisation can also contribute to optimising the way our existing business works. It has significance for the way we interact with our stakeholders, and it can make it easier for our customers to interact with the end-users in a more professional manner. We have a good idea of how each of our business activities benefit from the new, digital opportunities. I have already mentioned a few examples in my review of the individual business activities. We continue to invest in the future, and these years, we are implementing a number of initiatives to support and benefit from the Group's common infrastructure. Our service organisation, which cuts across the business activities, is a strong contributor to ensuring our competitiveness. We follow the plans made when it comes to executing on our announced strategic initiatives. By way of example, we completed the transfer of our R&D activities from Switzerland to Poland and Denmark in 2017. We expect to complete the transfer of the remaining production activities from Thisted in Denmark to Poland by the end of 2018. The closure of the Thisted production site, in particular, has been the object of a lot of attention in Denmark. We fully understand that. We have – wherever possible – tried to contribute constructively and explain why we have found it necessary to take this step. It is important for us to stress that closing the Thisted site is not a deselection of Denmark, but based on a careful assessment of how we achieve optimal production. We believe that we will achieve this by gathering everything under one roof instead of fanning out across more production sites. This is the best launch pad, if we want to ensure that the Company continues to be agile and drives growth. We are still creating a lot of jobs in Denmark – more than 100 in 2017 alone. The majority of these jobs are here at our headquarters. Arriving this afternoon, you may have noticed that to the right of the main entrance, we have established temporary pavilions with office space for more than 100 employees. This has been done due to lack of space in the two main buildings and underscores a positive development of which we are proud. There is great value in having a strong Danish head office to serve as a launch pad for our many global activities. The outside world is very interested in visiting a large, international hearing aid company like ours. Just recently, more than 400 people visited us in connection with the World Hearing Day at the beginning of March, and many more wanted to come. Not a week goes by without visits from business partners and healthcare stakeholders from all corners of the world. Management and employees Almost precisely one year ago today, Søren Nielsen was appointed new President & CEO of William Demant. His appointment represents both continuity and renewal. Continuity, because he had already been with the Company for more than 20 years at the time of his appointment. And renewal, because he stands for a new dynamic by virtue of both his personality and his professional background. Søren was not appointed to CEO to turn the Group upside down. In fact, quite the contrary. He builds on the strong foundation of our hearing healthcare strategy that he was instrumental in defining in the years prior to his appointment. He sees the Group as a whole and is always on the lookout for new ways of generating growth. This is supported by his flair for spotting the potential of new development areas and markets. In the Annual Report 2017, Søren has shown that all business activities are doing very well – an achievement we all take pride in. I am confident that with Søren Nielsen, whose background is in the innovative and technical areas, and René Schneider as CFO, we have a strong team ready to deal with the development of a dynamic and extremely competitive MedTech industry. And they are fortunate enough to be backed by a strong and experienced management team, consisting of our President of Diagnostic Instruments, Arne Boye Nielsen, our President of Retail, Niels Wagner, and our Executive Vice President of Finance, Svend Thomsen. Together with the other managers of the Group's many companies and business units, they safeguard the continued strong development of the William Demant Group. I think that it is also appropriate to thank the Group's more than 13,000 employees for their great effort in the past year. Employee engagement is the driving force behind the impressive results we have seen in 2017, our capturing market shares and for our strong position for further progress. A big thank you to the Group's employees for really delivering. Other matters Before I round off, I would like to comment on our share buy-back, corporate governance, women in managerial positions and our remuneration policy. Share buy-back In recent years, we have bought back shares worth around DKK 1 billion a year and subsequently carried through a capital reduction. In doing so, we have channelled part of our earnings back to the shareholders. We will continue to do so in 2018, but we would like to accelerate our share buy-back. To that end, we have announced our intention to buy back shares worth DKK 1.5-2.0 billion in 2018, which is almost twice as much as previously in value. However, to maintain our flexibility, this level of share buy-back may change, if further attractive acquisition opportunities should present themselves. Corporate governance The Board of Directors and Executive Board consider the work on corporate governance an ongoing process and regularly assess the extent to which the recommendations must be implemented in the Company. We have also in 2017 responded to the Danish Recommendations on corporate governance according to the "comply or explain" principle. We still comply largely with the recommendations. A complete report on corporate governance is available on our website. Women in managerial positions At top management level and down through the entire organisation, we strive towards ensuring diversity, which also means increasing the number of women at the Group's different management levels. We have a defined policy that we work from and evaluate at regular intervals – concrete examples being initiatives in such areas as communication and recruitment. I would, however, like to stress that competencies are always key when positions are filled at all levels in the Group. Since we started to record this number, we have increased the total proportion of female managers from 11% in 2009 to 23% in 2017. As far as the number of female Board members is concerned, we set a target in 2016 to the effect that by 2020, the Board of Directors must have at least two female members. Today, we have one female Board member. Remuneration policy The Group has a simple remuneration policy: The Chairman's fee is three times the basic fee, and the Deputy Chairman's fee is twice the basic fee. The basic fee is DKK 350,000 for Board members and DKK 50,000 for members of the audit committee. There are no separate fees for members of the nomination and remuneration committees. The Director's fee in William Demant is at the low end of the level characteristic of the companies in the Danish C25 index. The two members of the Executive Board receive a fixed remuneration. In addition to their fixed remuneration, the members of the Executive Board receive an annual stay-on payment with a variable element. The Board of Directors is of the opinion that the remuneration of the Executive Board is fair and competitive, as it ensures retention and recruitment of the best candidates. Final remarks Before I give the floor to Søren Nielsen, who will go through the Group's financial statements for 2017, I would also like to thank you – the shareholders – both those of you who are here for the first time and those of you who have loyally followed and trusted in the development of our Group. You all make us do our very best every day. Søren, the floor is yours.
Increased efficiency solar PV panel using integrated techniques Sudha Rajayogan 1 , M. AtchaiViknesh 2 , VivekVenkatasubramanian 3 , RajKumar J 4 Department of Electronics & Instrumentation Engineering Jeppiaar Engineering College, Jeppiaar Nagar, Rajiv Gandhi Salai, Chennai – 600119 *Corresponding author: Email Id: email@example.com ABSTRACT The aim of the paper is to increase the efficiency of the solar panel by integrating several methods of efficiency improvement techniques in a single system to overcome the main drawbacks of current Solar PV Panels. Currently the efficiency of solar panels is very low. Currently the best achieved sunlight conversion rate (solar module efficiency) is around 21.5% in new commercial products. The efficiency of the panels is increased by using concentrators in the form of mirrors, used to focus the incoming light; optical Filters, to filter all types of rays except for visible radiation & dust cleaning technique. By integrating several techniques drawbacks can be overcome, and to increase the overall efficiency of the solar panel by around 40-50%. INTRODUCTION In solar technologies and innovations, one of the biggest issues is the photovoltaic panels or solar cells. These panels are made using various methods and depending on their production their efficiency and cost are determined. So far the cheapest solar cells are the thin film type which is used to make flexible panels. This process is cheaper but their efficiency is not that great. It also has the casting of existing silicon crystals into a panel which is the most predominant form of solar cell manufacture but this is more expensive and while efficiency may increase, the costs of these panels is very high. Another method is the creation of silicon crystals which is a manmade process of dissolving them and reforming them only to be thinly sliced and turned into a PV panel. These are the second most competent solar cell with efficiencies closing in on the 15% mark, but they are also consuming to produce which also means very expensive. The final type of solar cell is also the newest that is available to the general market. These PV panels are the most expensive. They are multiple layers of solar cells stacked on top of each other. The concentrated PV panels can have efficiencies in the range of 40% - 50% which is getting closer to what the world needs, but as stated before, their cost is extremely high; some of them costing well over $10,000 for a single cell that can fit in the palm of one's hand. In most cases the cost of solar cells can be so great that is will not even cover the life expectancy of the cell which means it would cost more than using utility feeds. Power generated by solar cells is also considered by far to be the most expensive means of producing electricity. One cannot use solar cells at night time so either we have to store the energy at higher costs or turn to fossil fuels for this night time power production. And the solar cells only produce direct current and hence when coupled to the necessary inverter another 15% is lost. Though solar cells have good promises; delivery of an efficient and inexpensive PV panel in this lifetime is too much. The solar cells are not the only way of producing electricity from the sun. While solar cells convert sun's light to produce electricity, solar thermal systems use the sun's heat to produce and is by far much more efficient. While in low light conditions, the heat is not much, the heat created by the sun can be stored in a number of mediums from graphite to molten salt which means that within no time the ability to store this energy all night long will be upon us. PRINCIPLE OF SOLAR CELL WORKING Two important steps are involved in the principle of a solar cell (R. Abd Elgani, M. H. M. Hilo, et al., 2013). These are: Creation of pairs of positive and negative charges (called electron-hole pairs) in the solar cell by absorbed solar radiation. The separation of the positive and negative charges by a potential gradient within the cell, for this to occur, the cell must be made of a material which can absorb the energy associated with the photons of sunlight. The energy (E) of a photon is related to the wavelength (λ) by the equation: Where h is Plank's constant = 6.62 × 10−34 J.s, and c = velocity of light = 3 × 108 m/s. Substituting these values, we get: Where E is in electron-volt (eV) and λ is in μm. The only material suitable for absorbing the energy of the photons of sunlight are semiconductors like silicon, cadmium, gallium arsenide, titanium oxide, etc. In semiconductors, the electrons occupy one of two energy bands—the valence band and the conduction band. The valence band contains electrons at a lower energy level and is fully occupied by the electrons, while the conduction band has electron at a higher energy level and is not fully occupied, but only partially occupied. The difference between the energy levels of the electrons in the two bands is called the band gap energy. Photons of sunlight having energy E greater than the band gap energy Eg are absorbed in the cell material and excite some of electrons. These electrons then jump across the band gap from the valence band to the conduction band, leaving holes in the valence band. Thus electron hole pairs are created. The electron in the conduction band and holes in the valence band are mobile and not stationary. They can be separated and made to flow through an external circuit (thereby executing the second step of the photovoltaic effect) if a potential gradient exists within the cell. In semiconductors the potential gradient is obtained by making the cell as sandwich of two types, p-type and n-type (R. Abd Elgani, 2013). The energy levels of the conduction and valence bands in p-type are slightly higher than the corresponding levels in n-type. Hence when a composite of two or more types of material is formed, the electron jump occurs at the junction interface. This potential gradient is adequate to separate the electrons from the holes, and cause a direct electric current to flow in the external load. POWER PRODUCTION The solar panel produces a current depending on the surface area of the cell. Each cell produces a constant voltage of 0.6V, irrespective of its area. To measure the power produced in a solar, its voltage and current is measured separately. For this, the solar panel is connected across a rheostat as the load. An ammeter is connected in series with the load to measure the current produced by the panel and a voltmeter is connected parallel to the load to measure the voltage across it. By measuring the voltage and current, the power produced can be calculated. The formula for power is given by: Where P = Power produced by the solar panel. V = Voltage across the load. I = Current flowing in the load. Similarly the amount of load can be calculated by measuring power and using the voltage formula. As we know that according to ohms law, I = V/R (4) Hence, power can be expressed in terms of current as: 2 P = I R (5) Or it can be expressed in terms of Voltage as : P = V 2 /R (6) Where R = Resistance of the load (i.e. Rheostat in this case.) INTEGRATED TECHNIQUES TO INCREASE EFFICIENCY The efficiency of the solar panel is increased using: A. Concentrators: Concentrators in the form of mirrors, used to focus the incoming light at the back of panel and increase the intensity of sun light falling on the plane. The performance of the solar panel with reflector depends mainly on three parameters namely tilt angle, length and reflectivity of the reflector (Anand, V.P., Khan, M.M., et al., 2014). Hence it is important to choose the optimum values of these parameters to attain maximum power output from the system. We have developed a model system to analyze the effect of reflector parameters on the overall power output. B. Optical Filters: Optical Filters to filter particular frequency of light which decreases the heat loss in the panel due to the elimination of radiation of heat caused by the light of various wavelengths (Schoeman, 2013). In normal the sun light has different wavelengths. But only the visible Light of wave length 400nm to 700nm is best suited for the panels to produce the radiation less absorption. Thus by using integrated filters to filter the unwanted light will decrease the heat loss, which will simultaneously increase the power production. C. Dust Cleaning Techniques: As the solar panels are always exposed to the external environment, the panel get dust sedimentation which will reduces the power production (Hiroyuki Kawamoto, Takuya Shibata, et al., 2013). Thus Dust cleaning technique using automated wipers is also incorporated to increases the efficiency of the solar panel. Using these techniques, conversion rate of the solar panel can be increased upto 30-45%. As science dictates, we are trying to integrate as many techniques, to increase the efficiency to its maximum, to help humanity have a better future. SYSTEM DESIGN As shown in Figures 4.1 & 4.2, the system consists of a solar PV panel, which can absorb light on both its faces. The Solar Panel is mounted on a stand that consists of two mirrors, acting as reflector system. The Mirrors are positioned and angled in such a way that the light falling on it is reflected directly to the backside of the solar panel. Since the solar panel can absorb light on both sides, the light falling on the back face is also absorbed, and a current is produced. Since the reflector system consists of two mirrors, the amount of light falling on the panel is equivalent of light having the intensity of two suns. However, since the mirrors are not 100% perfect reflectors (as 100% reflection cannot be achieved by any substance) the equivalent intensity is less than that of two suns. Figure 4.2 The top side of the panel doesn't get light coming directly from the sun. An intermediate layer of optical filter is used in the between for separation of light. The optical filter only allows light falling in the visible range to pass through, and the light in the other regions to be either absorbed or reflected back. The rays coming from the sun consists of 51% of Visible light, 41% of infrared light and 8% of Ultraviolet light. The light rays that produce electrical energy in a solar panel are only rays present in the visible region. Using the simulation, the angle of the reflectors to be used to perform perfect reflection without excessive light not getting wasted was measured and used. The angle was found out using simple trigonometry and geometry as the distance between the panel and reflector could be varied. The right distance, that would not be too excessive as well as not to minimum was selected. The selected distance was 35cm. Since for perfect reflection without wastage, the light falling on the rightmost edge of the mirror must be reflected to the rightmost edge of the panel. Hence the exact angle of the reflectors was calculated and was verified by simulation. The cleaning system consists of a longitudinal brush (a flat surface with soft bristle like projections) attached to a tracks coiled around a set of wheels, similar to the wheels of a tank. The wheels are connected to a motor that is controlled by an Arduino Uno circuit board. The rotation of the wheel makes the brush move up and down on the surface of the solar panel, wiping off the dust that has settled on the surface. The system has been programmed to operate at an interval of every 60 minutes. This ensures that the panel is cleaned in regular intervals and the cleaning does not disturb or affect the functioning of the solar panel. Similarly the cleaning system is positioned in such a way that its shadow does not fall on the solar panel during resting position. The optical filter is a silicon-glass mixture placed above the solar panel at a distance of 10 cm. All the light falling on the front side of the panel is the light passing through the filter only. SIMULATION Using the softwares of TracePro & PVSyst, the model and design was tested. First a simple solar panel having the same dimensions and substance was simulated. The power produced by a 10 W panel, at conditions present at Chennai in the month of February was around 6 W. Figure 5.2 The peak power production of the solar panel, as seen in Figure 5.1, was found to be around the time of 12:30pm to 2pm. Since the maximum power produced was only 6W, the efficiency is very low. The software was used to simulate the reflector system. The power produced using a single side and both sides were simulated (As seen in Figure 5.2 & Figure 5.3). There was an increase in efficiency almost two times. Figure 5.4 The heating loss for the system, as seen in Figure 5.4, while using the optical filter and without using the optical filter was calculated and measured in the simulation. The heating loss was found to be very less, almost negligible during the morning. The loss in power production due to the accumulation of dust was also simulated in the PVSyst software. The weather and climatic conditions present were set to normal (i.e. without rain, storm, cyclone, etc.). The accumulation of dust over a period of seven days was simulated and the loss in power produced was measured. CONCLUSION The simulation of the system clearly shows that the present day solar panels have very low efficiency. The power produced is very low and can be increased using multi-fold. Similarly environmental conditions are also a factor in reducing the power production. Hence using the integrated techniques the power production for a single solar panel can be increased multi-fold. The reflective system itself increases the efficiency by almost two times. Using the optical filter and dust cleaning system the external losses can be reduced significantly as well. REFERENCES Anand V.P, Khan M.M, Ameen E, Amuthan V, Pesala B, Performance improvement of solar module system using flat plate reflectors, Advances in Electrical Engineering, (ICAEE), 2014. ISSN: 0974-2115 Arshad R, Tariq S, Niaz M.U, Jamil, M, Improvement in solar panel efficiency using solar concentration by simple mirrors and by cooling, Robotics and Emerging Allied Technologies in Engineering (iCREATE), International Conference on 22-24 April 2014. Garcia I, Back reflectors based on buried Al2O3 for enhancement of photon recycling in monolithic, on-substrate III-V solar cells, National Renewable Energy Laboratory, Golden, Colorado 80401, USA; Kearns-McCoy, C.F. ; Ward, J.S. ; Steiner, M.A 2014, 5 Hiroyuki Kawamoto; Takuya Shibata, Electrostatic Cleaning System for Removal of Sand from Solar Panels, Department of Applied Mechanics and Aerospace Engineering, Waseda University, 3-4-1, Okubo, Shinjuku, Tokyo 169-8555, Japan – 2013. Schoeman, R.M, Negating temperature on photovoltaic panels, Electronics Eng., Vaal Univ. of Technol., Vanderbijlpark, South Africa; Swart, A.J, Pienaar, C. 9-12 Sept. 2013. Shockley, W. and Queisser, H.J. (1961) Detailed balance limit of efficiency of pn junction solar cells. Journal of Applied Physics, 32, 10. http://dx.doi.org/10.1063/1.1736034. Wolf, M. (1976) Historical development of solar cells. IEEE Press, New York, 274. YeonHoChung, Efficient optical filtering for outdoor visible light communications in the presence of sunlight or artificial light, Dept. of Inf. &Commun. Eng., Pukyong Nat. Univ., Busan, South Korea; Se-bin Oh Intelligent Signal Processing and Communications Systems (ISPACS), 2013.
International Symposium on "Old Worlds-New Worlds": The History of Colonial Cartography 1750-1950 Utrecht University, Utrecht, The Netherlands, 21 to 23 August 2006 Working Group on the History of Colonial Cartography in the 19 th and 20 th centuries International Cartographic Association (ICA-ACI) Mapping the Namib Desert II: Sperrgebietskarte 1913 Jana Moser Saxon Academy of Sciences, Dresden, jana.moser@t -online.de In 1908 some kilometre outside of Lüderitz, the southern harbour of the German colony South West Africa, diamonds were found. After a first rush, large parts of the southern Namib (north and south of Lüderitz) were cancelled for private explorations by the colonial government. In 1911 all rights were transferred to the "DeutscheDiamanten-Gesellschaft". In addition to the controlled exploitation of the diamond fields the company had also to explore the region, to carry out geological and topographical surveys and to publish a map of the so called Sperrgebiet. The company did fulfil that obligation by publishing the map series "Karte des Sperrgebietes" in 1913. The 10 sheets with the scale of 1:100 000 show the area between Hottentot's Bay in the north and the Orange River in the south. The production in Berlin was made by a huge amount of different material. Reminder of the Bergrechtskarte The presentation "Mapping the Namib Desert: the Bergrechtskarte" at the ICAConference 2005 in A Coruña (Spain) dealt with a map series of the central parts of the Namib Desert (South West Africa, today Namibia). This series was produced by the largest colonial company during the German colonial power over the country between 1884 and 1915: the "Deutsche Kolonialgesellschaft für Südwestafrika". The maps were produced mostly with company own surveying material like route mappings and a lot of farm measurements. All maps were drawn in Swakopmund between 1913 and 1920 by the only known cartographer of South West Africa during German times – Albert Max Hofmann. Up to 1920 about 18 manuscript maps with the scale of 1:200 000 were produced. After the companies liquidation in 1921 the valuable sheets were sold to the South African controlled administration of South West Africa. Beside sheet "Usakos" there is no printed version of the maps known. Presumably the maps were used as high quality material for later map series of SWA. Regional and historical background The Namib Desert north and south of Lüderitz and about 100 km in-land was that area of the later German colony that got first attention in 1883 by the trader Adolf Lüderitz. He and his companions hoped to find mineral ressources like copper. The huge diamond fields in South Africa were already known but the mostly sandy region around Lüderitz seemed not to be ideal for diamonds. After establishing the German colony German South West Africa that south-western part was only useful because of the natural harbour of Lüderitz. For a better supply of the southern parts of the colony around Bethanie, Keetmanshoop and Gibeon a railway line between Lüderitz and Keetmanshoop was built in 1907. Only in 1908 the first diamond was found in the sand of the desert along the railway line not far outside of Lüderitz near the railway station Grasplatz. Only short time later the region saw a rush of diamond miners. Even though the whole southern Namib was owned by the Deutsche Kolonialgesellschaft für Südwestafrika the mining rights were free and everybody could search for minerals or gems. Hence private persons and small diamond companies marked out there mining fields after the common rule "First come, first served" and began to pick up the diamond directly from the top of the sand. Some people made a lot of money. Especially the town Lüderitz did profit by this development. Some of the most interesting and most expensive houses were built – all the material, from the wood up to the carpet, had to come by ship from Europe. A second town that did profit from the diamond boom was Kolmanskop – today known as a touristy ghost city. Some kilometres outside of Lüderitz the diamonds let establish a completely new town with all modern living and entertainment equipment from a bowling alley to the first iceblock machine in South West Africa. Only about a half year after the first found the German government did react and cancelled the region for further claims in late 1908. For this cancellation the region is up today known as the "Sperrgebiet". With the "Deutsche DiamantenGesellschaft" a new company was built that got the monopol to exploit the region in 1911. All claims of other persons or smaller diamond companies that existed until then were also saved. Through that the government did assure a huge income and the rules in the fields. With the contract the company did oblige not only the controlled exploitation – the South West African Government did not want to have conflicts with the strong South African diamond industry. The company had to explore the whole region. They also obliged for comprehensive geological and topographical surveying and mapping of the Sperrgebiet. Moreover a map had to be produced of the region between the 26 th degree south and the Orange River and about 100 km in-land. Surveying and mapping of the southern Namib As said the area around Lüderitz was explored by Germans from the 1880 th on. Lüderitz' researchers did already geological surveys and topographical analyses during their expeditions. Up to 1908 there were only few activities with surveying and mapping in that region. As geodetic reference points only some beacons of the coast surveying between Kegelberg and Pomona did exist. These points were also used as reference for the official claim surveying from 1908 on. The military triangulation came into the region about 1907. The officers surveyed a chain between Bethanie and Lüderitz but the coordinates of the points, calculated and squared in Berlin, were only usable as preliminary version. These results, based on an accurate calculated origin in Windhoek, necessitated an adjustment of the coastal chain at 36",69 westwards and 6",88 northwards. With the basis of the coast triangulation points the Deutsche DiamantenGesellschaft started the exploring, surveying and topographical and geological mapping of the Sperrgebiet with own land surveyors (Voigtländer, Moeller, Kalohr and Stoeckel). At first the marine chain was enlarged to Angras-Juntas in the south and to Hottentot's Bay in the north. Another little chain was measured by surveyor Ploeger from Prinzenbucht to Kaukausib. From mid 1909 on employees of the Deutsche Diamanten-Gesellschaft visited the part south of the Lüderitz-Keetmanshoop railway line systematically. Especially the already named land surveyors and the companies geologist Dr. Lotz took part in these works. There main business was to fill the unsurveyed gaps between the existing cadastral measured mining fields. Normally they used route surveys for this job which could be appended to the existing fix points. For the map also route mappings of other persons like Dr. Reuning, Klinghardt, Dr. Barnitzke, Jürs and others could be used. Dr. Reuning – geologist of the "Deutsche Kolonialgesellschaft für Südwestafrika" that owned large parts of the Namib north of the Sperrgebiet – surveyed and mapped also large parts outside of the real diamond region that are shown also on the map (see below). The coastline between Lüderitz and Walvis Bay he explored only with a very small expedition and surveyed the route by foot with counting the steps and compass. The results of the rough survey of the about 173 km long route were quite good. Anyhow Reuning could connect his route to existing reference points in Hottentot's Bay in the south and Reuttersbrunn in the north. In 1913 his map "Karte des Küstengebietes zwischen Hottentottenbucht und Empfängnisbucht" with the scale of 1:400.000 could be published. It shows the coastline and the expedition route as a small strip. As already said all mining claims had to be surveyed and mapped with the scale of 1:5.000 in order of the imperial mining authority. The large but fragmented possessions of the "Deutsche Diamanten-Gesellschaft" were surveyed by the companies own surveyors, especially by surveyor Voigtländer and mine surveyor Kalohr. Aside the private surveying company "Schettler und Schmiedel" – two surveyors with a long experience in South West Africa – took part in these works by contract. All other mining fields owned by other persons or small mining companies were normally surveyed by governmental land surveyors for the registration in the mining register. The Deutsche Diamanten-Gesellschaft could use all the surveys and cadastral plans for their map series. For the map production the company could additionally use some unpublished further triangulations, coast mappings and soundings of the German Navy from 1910 to 1912. The surveying vessels "S.M.S. Panther" and "S.M.S. Möwe" defined up to 1912 the entire coastline up to the mouth of the Orange River. Map series: Karte des Sperrgebietes With all these information the Deutsche Diamanten-Gesellschaft was able to create a map series of the Sperrgebiet. The map was produced by the expert Paul Sprigade of the colonial mapping institute in the Dietrich Reimer publishing house in Berlin. Dr. Lotz did accompany the production process for the diamond company. Figure 1: Overview over the 10 sheets published as „Karte des Sperrgebietes in DeutschSüdwestafrika" The series of 10 sheets could be published in 1913. Each sheet shows an area of about 50' of longitude and 30' of latitude with the scale of 1:100 000. The multicolour sheets show every important topographic detail and information about the ownership structure of the territory. In black the complete railway, road and path network is shown. Also in black the map shows relief information like reefs and elevations, reference points, prominent points in the terrain and infrastructure elements like telephone circuit and transmission lines. Rivers, water points, fountains and the sea are marked in blue colour. These information were very well determined and partly additionally labelled because of there importance for travellers in the desert. Pans and lagoons are marked with teal coloured background. The terrain information was given by brown form lines. Sandy regions are highlighted by yellow dotted areas. Dunes and gravel plains are shown by special dotted forms. The tax authority blocks along the railway line, the mining claims of the different diamond companies and the farms were differed by various line colours. Results Altogether the map series reached with her content, design and colouring a good clearness and high complexity. Thus it was a good material for the administration, for mining purposes, for other branches of the economy and for further geographical and geological researches. For the first time a map presented the shifting sand dunes belt north and south of Lüderitz completely. Also the cascading decline of the inlandplateau to the coast could be shown clearly. For the first time a closed region of South West Africa could be shown in such a large scale. Because of the different material used the high quality and accuracy of the sheets are astonishing. Beside high quality triangulations, cadastral surveys, geometrically levelling information and photographs also very basic route mappings were used. But all together brought to a map by the expert knowledge of the geologist with very good knowledge of the region and experienced cartographers enabled a very nice and useful product. With publishing this map series about one year before World War I the Deutsche Diamanten-Gesellschaft did fulfil their obligation. The maps certainly helped to find little later new productive diamond field. REFERENCES Karte des Sperrgebietes in Deutsch-Südwestafrika in 10 Blättern im Auftrage der Deutschen Diamanten-Gesellschaft m.b.H. bearbeitet von P. Sprigade und Dr. Lotz. Geogr. Verlagshandlung v. Dietrich Reimer (Ernst Vohsen), Berlin 1913. Moser, J.: Mapping the Namib Desert: The example of the "Bergrechtskarte" of 1920. International Cartographic Conference, A Coruña 2005. Reuning, E.: Eine Reise längs der Küste Lüderitzbucht-Swakopmund im Februar-März 1912. Mitteilungen aus den deutschen Schutzgebieten, Berlin 1913, p. 118-126, map 1. Schnee, Heinrich [ed.]: Deutsche Kolonial-Lexikon, Keyword Diamantengesetzgebung. Leipzig 1920, Volume 1, p. 451ff.
Shinsaku Imashuku 1 Naoko Kudo 1 Kagekatsu Kubo 1 Katsuyasu Saigo 1 Nanako Okuno 2 Kaoru Tohyama 2 1Division of Hematology, Takasagoseibu Hospital, Takasago, Japan; 2Department of Laboratory Medicine, Kawasaki Medical School, Kurashiki, Japan Correspondence: Shinsaku Imashuku Division of Hematology, Takasago-seibu Hospital, 1-10-41 Nakasuji, Takasago, Japan 676-0812 Tel+81 79 447 0100 Fax+81 79 447 0180 Email email@example.com Dove press http: //dx.doi.org/10.2147/JBM.S37631 Dove press open access to scientific and medical research Open Access Full Text Article Case Repo rt Rituximab for managing acquired hemophilia A in a case of chronic neutrophilic leukemia with the JAK2 kinase V617F mutation This article was published in the following Dove Press journal: Journal of Blood Medicine 4 December 2012 Number of times this article has been viewed Background: Acquired hemophilia A is rarely found in association with myeloproliferative neoplasms, such as the JAK2 kinase V617F mutation-positive chronic neutrophilic leukemia (CNL). Case report: An 80-year-old Japanese male was diagnosed with acquired hemophilia A. He had compartment-like symptoms due to soft tissue hemorrhage in his left forearm and right lower extremity. A blood examination showed neutrophilia with a white blood cell count of 31,900/µL (91.9% neutrophils), an activated partial thromboplastin time of 69.0 seconds, coagulation factor VIII (FVIII) , 1.0%, and anti-FVIII inhibitor, 190 BU/mL. The bleeding episodes were controlled with intravenous activated prothrombin complex concentrate (FEIBA ® ) followed by recombinant factor VIIa (NovoSeven ® ). In addition, oral prednisolone (maximum dose, 30 mg/day) plus four doses of rituximab effectively suppressed anti-FVIII inhibitor levels while simultaneously reducing the neutrophil count. CNL with the JAK2 kinase V617F mutation was identified as the underlying disease. Conclusion: This report describes the effectiveness of a combination of prednisolone and rituximab in managing acquired hemophilia A in an elderly man with a rare case of JAK2 kinase V617F mutation-positive CNL. Keywords: acquired hemophilia A, chronic neutrophilic leukemia, JAK2 kinase, V617 mutation, rituximab Introduction Inhibition of coagulation factor VIII (FVIII) by anti-FVIII inhibitor causes acquired hemophilia A (AHA). While AHA is rare, it can be a life-threatening disease in elderly people. 1 Autoimmune disease, neoplasia, pregnancy, and drug reactions frequently underlie the development of AHA. 2–4 In particular, about 15% of AHA cases are associated with malignant disease, such as malignant lymphoma or solid neoplasia. 4,5 The hemato-oncology review by Franchini et al 3 indicates that chronic lymphocytic leukemia is most frequently associated with AHA, followed by lymphoma. Although Franchini's list did not include cases of AHA associated with myeloproliferative neo plasms (MPNs), a more recent report observed this association. 6 Here, we report the case of an elderly patient with both AHA and an MPN; namely, chronic neutrophilic leukemia (CNL) 7 harboring a rare JAK2 kinase V617 mutation. To our knowledge, this is the first report of CNL-associated AHA. In addition, we found that rituximab and prednisolone effectively reduced the neutrophil counts and suppressed anti-FVIII inhibitor levels in this patient. © 2012 Imashuku et al, publisher and licensee Dove Medical Press Ltd. This is an Open Access article which permits unrestricted noncommercial use, provided the original work is properly cited. Case presentation An 80-year-old Japanese male (height, 173 cm; weight, 53 kg) was referred to us because of a severe hemorrhagic tendency. He had been a healthy farmer with an Eastern Cooperative Oncology Group/World Health Organization performance score of 0. However, in the preceding 2 years, he visited the clinic near his residence 13 times and was noted to have leukocytosis with mostly mature neutrophils (white blood cells [WBC]; median 15,500/µL with a range of 10,000/µL to 35,100/µL). The reason for the leukocytosis was unknown. In particular, the WBC counts increased in the year before his admission (median WBC, 25,000/µL; range, 18,000–35,100/ µL). During this period, his hemoglobin (Hb) and platelet counts remained within the normal range. On admission, his left forearm and right lower extremity were tender, tight, and swollen, with superficial bruising and compartment-like symptoms due to extensive soft tissue hemorrhage. There were also ecchymoses on the right arm and the left lower extremity. Over time, this induced swelling of the left dorsum of the foot. An abdominal computed tomography scan revealed no significant splenomegaly. The laboratory data were as follows: WBC, 31,900/µL (91.9% neutrophils); Hb, 8.0 g/dL; platelet count, 357,000/µL; aspartate aminotransferase (AST), 30 U/L; alanine aminotransferase (ALT), 16 U/L; total protein, 5.8 g/dL; blood urea nitrogen, 23.1 mg/dL; creatinine, 0.88 mg/ dL; and C-reactive protein, 0.15 mg/dL. The coagulation data were: prothrombin time (international normalized ratio), 0.89 (reference values, 0.84–1.14); activated partial thromboplastin time (APTT), 69.0 (25.2–40.0) seconds; fibrinogen, 181 (146–380) mg/dL; and D-Dimer, 16.9 (,1.0) µg/mL. The blood coagulation factors and inhibitors were assessed using the APTT and Bethesda methods, respectively, which revealed the following: FVIII, ,1.0%; FVIII inhibitor, 190 BU/mL; FIX, 74%; FIX inhibitor, 0%; von Willebrand factor, .201%; and anti-thrombin (AT)-III, 88%. This indicated that the patient had AHA. The patient was negative for antinuclear antibodies (,40). Oral prednisolone (30 mg/day) was started immediately. He was also treated with intravenous activated prothrombin complex concentrate (aPCC; FEIBA ® ) (Baxter, USA) 8,9 ; 3000 U×2 followed by 5000 U×10 doses) on a twice-daily schedule. Treatment by aPCC was stopped, but had to be reinstated 2 days later due to rebleeding. Thus, five more doses of aPCC were given. After completing aPCC treatment, recombinant activated factor VIIa (rFVIIa, NovoSeven ® ) (Novo Nondisk, Denmark) 10,11 were required on two separate occasions (5 mg × 3 and 1 dose, respectively), when the patient complained of a new subcutaneous hemorrhage on the dorsum of the right hand. The hemorrhaging then stopped. Given the Dove press advanced age and impaired glucose tolerance of the patient, coupled with the risk of osteoporosis, we decided not to increase the dose of prednisolone. Instead, the patient was given two doses of rituximab (375 mg/m 2 /dose). However, 1 month after admission, his coagulation data still showed FVIII levels of ,1.0% and anti-FVIII inhibitor levels of 47.8 BU/mL. Two and a half months after admission (and after two more doses of rituximab), the APTT normalized. Bone marrow aspiration was then performed (Figure 1). Thereafter, the FVIII recovered up to 28.0% with a significant decline of anti-FVIII inhibitor levels to 0.1–0.2 BU/mL (Table 1). However, the disease relapsed by week 20, with a FVIII of 6% and anti-FVIII inhibitor levels of 5.3 BU/mL. Two weeks later, these values worsened with 2% and 91.5 BU/mL, respectively. Thus, treatment with prednisolone and rituximab was reinstated for suppressing antiFVIII inhibitor, along with hydroxyurea (1,000 mg/day) for the control of CNL. Four weeks after reinstitution of treatment at 22nd week with prednisolone, 2 additional doses of rituximab and hydroxyurea, the patient has attained a remission, with full recovery (up to 55%) of FVIII activity and undetectable anti-FVIII inhibitor. Regarding the patient's persistent leukocytosis, which had been noted for the past 2 years, no causative infectious diseases were found. A granulocyte colony-stimulating factor (G-CSF)-producing tumor was ruled out on the basis of a nor mal plasma G-CSF level of 4.69 (reference values, 10.5–57.5) pg/mL. The neutrophil alkaline phosphatase score of 359% was within the normal range (reference values, 170%–367%). Initially, a bone marrow aspiration/biopsy was deferred due to the hemorrhagic tendency of the patient, which meant that bone marrow findings were not available until the APTT nor malized (at 2.5 months after admission). The post-treatment bone marrow smear showed moderately cellular marrow with an myeloid:erythroid ratio of 2.2, myeloblasts at <1.0%, pro myelocytes at 1.2%, myelocytes at 8.4%, metamyelocytes at 3.2%, band-form neutrophils at 2.9%, segmented neutrophils at 33.7%, eosinophils at 2.0%, basophils at 0.2%, lympho cytes at 17.6%, monocytes at 5.8%, and plasma cells at 1.5%. Megakaryocyte numbers were slightly increased, but with no atypia. These morphological findings not characteristic of CNL were thought to be due to therapy-related bone marrow suppression (Table 1). Both the peripheral blood and bone mar row showed a normal karyotype of 46, XY (20/20). Chronic myeloid leukemia (CML) was ruled out because the BCR/ ABL fusion gene was not detected. However, the JAK2 kinase V617F mutation was detected by allele-specific polymerase chain reaction. 12 The high allele burden (∼80%) was also confirmed by sequencing performed as described previously Treatment responses to APTT and anti-FVIII inhibitors. Figure 1 Notes: Oral prednisolone (PSL; starting dose 30 mg/day) and four doses of rituximab (375 mg/m 2 ) were administered. Two and a half months after starting the treatment, the APTT normalized and the anti-FVIII inhibitor levels dropped from 190 BU/mL to 1.6 BU/mL. A bone marrow (BM) study was then performed. Abbreviations: APTT, activated partial thromboplastin time; FVIII, coagulation factor VIII. (data not shown). 13 These clinical and molecular findings led to the exclusion of polycythemia vera (PV) or essential thrombocythemia (ET). The final diagnosis was JAK2 kinase V617F-positive CNL. 7 Discussion To control bleeding episodes, AHA patients are first treated with aPCC followed by rFVIIa. There is currently no consensus regarding which of these two drugs is better, although You et al 11 suggested that rFVIIa should be considered as the first-line treatment. Another report noted that the greater initial efficacy of rFVIIa could reduce the predicted total medical costs. 10 However, the parallel use of both agents has also been recommended 2,14 and is effective. AHA cases can be classified on the basis of anti-FVIII inhibitor titers as either low titer cases ( , 10 BU/mL) or high titer cases ( . 10 BU/mL). 15 The current patient showed significantly high titers (190 BU/mL). A previous case report shows that corticosteroids effectively reduce anti-FVIII inhibitor levels. 4 Another case report shows that when treatment with prednisolone and cyclophosphamide fails, rituximab is effective. 5 Currently, the recommended inhibitor eradication Table 1 The effect of prednisolone/rituximab on the FVIII activity, anti-FVIII inhibitor and neutrophil counts in a patient with AHA in association with CNL Notes: Prednisolone and rituximab; mean ± SD; **Student's t-test (ANC compared with the prerituximab ANC); # the bone marrow was moderately cellular with an M/E ratio of 2.2. ## treatment and response after relapse (see text). Abbreviations: AHA, acquired hemophilia A; ANC, absolute neutrophil count; BM, bone marrow; BU, Bethesda unit; CNL, chronic neutrophilic leukemia; FVIII, coagulation factor VIII; M/E, myeloid:erythroid; SD, standard deviation. Dove press therapy is the combined use of rituximab and prednisolone. 2 In the current case, the patient was not only treated with measures to stop the bleeding (aPCC and rFVIIa), he also received moderate doses of oral prednisolone and a total of four doses of rituximab. It took 2.5 months for the APTT to normalize, with the anti-FVIII inhibitor titer dropping rapidly to 1.2 BU/mL and then to 0.1–0.2 MU/mL (Table 1). When making a differential diagnosis of leukocytosis or neutrophilia in the current case, we ruled out a G-CSFproducing neoplasm and CML. Instead, the patient was thought to fulfill the diagnostic criteria for CNL. 7 Previously, a few cases of JAK2 kinase V617F mutation positive-CNL has been described. 16–18 The patient was clearly positive for the JAK2 kinase V617F mutation, although the bone marrow morphology was not entirely compatible with a diagnosis of an MPN. 19 This discrepancy may reflect the effects of the treatment on the bone marrow; a bone marrow biopsy could not be taken before starting treatment because of the hemorrhagic diathesis of the patient. The fact that the patient did not show the levels of Hb and platelet counts suggesting PV or ET, but significant levels of triggerunknown leukocytosis (median WBC, 25,000/µL; range, 18,000–35,100/µL, with .85.0% mature neutrophils, no immature granulocytes, and ,1,000 monocytes/µL) in the preceding years prior to the development of AHA, supports a diagnosis of CNL. Surprisingly, while treating the AHA with a combination of rituximab and intermediate doses of prednisolone, the patient's neutrophil counts dropped significantly in parallel with a decline in anti-FVIII inhibitor levels (summarized in Table 1). Rituximab, a monoclonal anti-CD20 antibody, suppresses anti-FVIII inhibitor levels by affecting B cells. However, the present case suggests the novel possibility that rituximab may also have a significant neutrophil-reducing effect in CNL. Supporting this notion are several reports that describe the phenomenon of rituximab-associated late onset neutropenia. 20–22 In the current patient, the combina tion of rituximab and prednisolone effectively (and fairly rapidly) suppressed both CNL and anti-FVIII inhibitor levels. However, the AHA relapsed 9 weeks later (Table 1). After relapse, the patient eventually has attained a remis sion with prednisolone, 2 additional doses of rituximab and hyroxyurea. Conclusion A case of CNL-associated AHA was successfully managed with oral prednisolone and rituximab infusions, without directly treating the CNL. However, the AHA relapsed. At present, Dove press this patient is being well controlled with a combination pred nisolone, rituximab, and hydroxyurea. If the AHA becomes refractory, other anti-MPN agents may be required, including a recently approved JAK2 kinase inhibitor. Consent Written informed consent was obtained from the patient for publication of this case report. A copy of the written consent is available for review by the Series Editor of this journal. Contributions SI, NK, and KS managed the patient. KK undertook bone marrow studies. NO and KT were involved in the molecular study of JAK2 kinase. SI and KT prepared the manuscript. All authors have read and approved the final manuscript. Acknowledgments We thank Dr Tohru Inaba, Department of Infection Control and Laboratory Medicine, Kyoto Prefectural University of Medicine, Kyoto, for his advice regarding the management of the patient. Disclosure The authors declare that they have no conflicts of interests in this work. References 1. Shetty S, Bhave M, Ghosh K. Acquired hemophilia a: diagnosis, aetiology, clinical spectrum and treatment options. Autoimmun Rev. 2011;10(6):311–316. 2. Sborov DW, Rodgers GM. Acquired hemophilia a: a current review of autoantibody disease. Clin Adv Hematol Oncol. 2012;10(1):19–27. . 3. Franchini M, Targher G, Manzato F, Lippi G. Acquired factor VIII inhibi tors in oncohematology; a systematic review. Crit Rev Oncol Hematol 2008;66(3):194–199. 4. Ferre A, Arlet JB, Darnige L, et al. Acquired hemophilia as the presenting manifestation of neoplasia: diagnostic workup and monitoring. Rev Med Interne. 2009;30(7):630–633. Article in French. 5. Ichikawa S, Kohata K, Okitsu Y, et al. Acquired hemophilia A with sigmoid colon cancer: successful treatment with rituximab followed by sigmoidectomy. Int J Hematol. 2009;90(1):33–36. 6. Kremyanskaya M, Aledort L. Acquired hemophilia: we now see it with myeloproliferative neoplasms. Am J Hematol. 2011;86(3): 329–330. 7. Tefferi A, Vardiman JW. Classification and diagnosis of myeloproliferative neo plasms: the 2008 World Health Organization criteria and point-of-care diagnostic algorithms. Leukemia. 2008;22(1):14–22. 8. Tjønnfjord GE, Brinch L, Gedde-Dahl T, Brosstad FR. Activated prothrom bin complex concentrate (FEIBA) treatment during surgery in patients with inhibitors to FVIII/IX. Haemophilia. 2004;10(2):174–178. 9. Holmström M, Tran HT, Holme PA. Combined treatment with APCC (FEIBA ® ) and tranexamic acid in patients with haemophilia A with inhibitors and in patients with acquired haemophilia A – a two-centre experience. Haemophilia. 2012;18(4):544–549. 10. Lyseng-Williamson KA, Plosker GL. Recombinant factor VIIa (eptacogalfa): a pharmacoeconomic review of its use in haemophilia in patients with inhibitors to clotting factors VIII or IX. Pharmacoeconomics. 2007;25(12):1007–1029. 11. You CW, Lee SY, Park SK. Cost and effectiveness of treatments for mild-to-moderate bleeding episodes in haemophilia patients with inhibitors in Korea. Haemophilia. 2009;15(1):217–226. 12. Baxter EJ, Scott LM, Campbell PJ, et al. Acquired mutation of the tyrosine kinase JAK2 in human myeloproliferative disorders. Lancet. 2005;365(9464):1054–1061. 13. Kondo T, Okuno N, Naruse H, et al. Validation of the revised 2008 WHO diagnostic criteria in 75 suspected cases of myeloproliferative neoplasm. Leuk Lymphoma. 2008;49(9):1784–1791. 14. Ingerslev J, Sørensen B. Parallel use of by-passing agents in haemophilia with inhibitors: a critical review. Br J Haematol. 2011;155(2):256–262. 15. Lak M, Sharifian RA, Karimi K, Mansouritorghabeh H. Acquired hemophilia A: clinical features, surgery and treatment of 34 cases, and experience of using recombinant factor VIIa. Clin Appl Thromb Hemost. 2010;16(3):294–300. 16. Steensma DP, Dewald GW, Lasho TL, et al. The JAK2 V617F activating tyrosine kinase mutation is an infrequent event in both "atypical" myeloproliferative disorders and myelodysplastic syndromes. Blood. 2005;106(4):1207–1209. Journal of Blood Medicine Publish your work in this journal The Journal of Blood Medicine is an international, peer-reviewed, open access, online journal publishing laboratory, experimental and clinical aspects of all topics pertaining to blood based medicine including but not limited to: Transfusion Medicine; Blood collection, Donor issues, Transmittable diseases, and Blood banking logistics; Immunohematology; Artificial and alternative Submit your manuscript here: http://www.dovepress.com/Journal-of-blood-medicine-journal 17. Mc Lornan DP, Percy MJ, Jones AV, et al. Chronic neutrophilic leukemia with an associated V617F JAK2 tyrosine kinase mutation. Haematologica. 2005;90(12):1696–1697. 18. Kako S, Kanda Y, Sato T, et al. Early relapse of JAK2 V617F-positive chronic neutrophilic leukemia with central nervous system infiltration after unrelated bone marrow transplantation. Am J Hematol. 2007; 82(5):386–390. 19. Michiels JJ, Juvonen E. Proposal for revised diagnostic criteria of essential thrombocythemia and polycythemia vera by the Thrombocythemia Vera Study Group. Semin Thromb Hemost. 1997;23(4):339–347. 20. Cattaneo C, Spedini P, Casari S, et al. Delayed-onset peripheral blood cytopenia after rituximab: frequency and risk factor assessment in a consecutive series of 77 treatments. Leuk Lymphoma. 2006;47(6): 1013–1017. 21. Tesfa D, Gelius T, Sander B, et al. Late-onset neutropenia associated with rituximab therapy: evidence for a maturation arrest at the (pro) myelocyte stage of granulopoiesis. Med Oncol. 2008;25(4):374–379. 22. Wolach O, Shpilberg O, Lahav M. Neutropenia after rituximab treatment: new insights on a late complication. Curr Opin Hematol. 2012;19(1):32–38. blood based therapeutics; Hematology; Biotechnology/nanotechnology of blood related medicine; Legal aspects of blood medicine; Historical perspec tives. The manuscript management system is completely online and includes a very quick and fair peer-review system. Visit http://www.dovepress.com/ testimonials.php to read real quotes from published authors. Dove press
Hybrid RAM-TCAM mapping for high performance processor 1M.Manimaraboopathy, 2Dr.G.A Sathish Kumar, 3S.Natarajan & 1Dr.M.Anto Bennet 1Department of Electronics and Communication Engineering, VelTech, Avadi, Chennai, Tamilnadu, India 2Department of Electronics and Communication Engineering, Sri Venkateswara Engineering College Sriperumpudhur, Chennai, Tamilnadu, India 3 Department of Electrical and Electronics Engineering, VelTech, Avadi, Chennai, Tamilnadu, India Corresponding author: E-Mail: email@example.com ABSTRACT An efficient hardware solution to perform table lookup is the content addressable memory (CAM). A CAM can be used as a co-processor for the network processing unit to offload the table lookup tasks. Besides the networking equipment, CAMs are also attractive for other key applications such as translation look-aside buffers in virtual memory systems. Ternary content addressable memories (TCAMs) are hardware-based parallel lookup tables with bit-level masking capability. A special logic unit, named Multiple Match Resolver (MMR), is required to resolve the best candidate if more than one words indicate a "match". In the early development of TCAM, the capacity was small, with only a few hundred to several thousand words. The design of MMR was relatively easy, and could be realized using static digital logics. They are attractive for applications such as packet forwarding and classification in network routers. Despite the attractive features of TCAMs, high power consumption is one of the most critical challenges faced by TCAM designers. This work proposes circuit techniques for reducing TCAM power consumption. The main contribution of this work is divided in two parts: (i) reduction in match line (ML) sensing energy, and (ii) static-power reduction techniques. The ML sensing energy is reduced by employing (i) positive-feedback ML sense amplifiers (MLSAs), (ii) low-capacitance comparison logic, and (iii) low-power MLsegmentation techniques. Here this technique was used in CAM memory which is combined with RAM memory to enhance the performance level while searching data from memory. The focus of this work is not on the TCAM memory cell design, but rather, it is on the low-power circuit techniques for multiple match resolution and detection in TCAM. Both digital techniques and mixed-signal techniques are presented and analyzed in details. KEY WORDS: Ternary Content-Addressable Memory (TCAM), Content Addressable Memory (CAM), chargeinjection match detection circuit (CIMDC), Random Access Memory, (RAM), Match Line (ML). 1. INTRODUCTION Ternary Content-Addressable Memory (TCAM) devices are increasingly used for performing highspeed packet classification. A TCAM consists of an associative memory that compares a search key in parallel against all entries. TCAMs may suffer from error events that cause ternary cells to change their value to any symbol in the ternary alphabet {"0","1",""}. Due to their parallel access feature, standard error detection schemes are not directly applicable to TCAMs; an additional difficulty is posed by the special semantic of the "" symbol. This paper introduces PEDS, a novel parallel error detection scheme that locates the erroneous entries in a TCAM device. PEDS is based on applying an error-detecting code to each TCAM entry and utilizing the parallel capabilities of the TCAM by simultaneously checking the correctness of multiple TCAM entries. A key feature of PEDS is that the number of TCAM lookup operations required to locate all errors depends on the number of symbols per entry in a manner that is typically orders of magnitude smaller than the number of TCAM entries. For large TCAM devices, a specific instance of PEDS requires only 200 lookups for 100-symbol entries, while a naive approach may need hundreds of thousands of look ups. PEDS allows flexible and dynamic selection of trade off points, space complexity, and number of lookups. Ternary Content-Addressable Memory (TCAM), errorcorrecting codes, error-detecting codes, error detection, packet classification. Content Addressable Memory (CAM) is a special type of computer memory used in certain very high speed searching applications. Memory map is a structure of data that indicates how memory is laid out. Memory maps can have a different meaning in different parts of the operating system. A logical source register is renamed using its identifier to obtain the current mapping. This is performed faster and more efficiently in terms of energy with a RAM structure. The RAM is directly indexed by a source register, whereas this register is compared against all current mappings in the CAM. A Content Addressable Memory (CAM) is an application specific memory that allows its entire contents to be searched within a single clock cycle. Binary CAM performs exact-match searches, while a more powerful Ternary CAM (TCAM) allows pattern matching with the use of "don't cares". Don't cares act as wildcards during a search, and are particularly attractive for implementing longest-prefix-match searches in routing tables Dynamic storage of ternary data requires refresh operation and an embedded DRAM process, while static storage of ternary data requires considerable layout area. DRAM based main memory significantly increases the power and cost budget of a computer system, new memory technologies such as Phase-change RAM (PRAM), Ferroelectric RAM (FRAM), and Magnetic RAM (MRAM) have been proposed to replace the DRAM. Among these memories, PRAM is the most promising candidate for large scale main memory because of its high density and low power consumption. In previous researches, a hybrid main memory approach of DRAM and PRAM is www.jchps.com Journal of Chemical and Pharmaceutical Sciences adopted to make up for the latency and endurance limits of PRAM. On the other hand, large amount of a main memory is used for page cache to hide disk access latency. Many page caching algorithms such as LRU, LIRS, and CLOCK are developed and show good performance, but these are only consider the main memory with uniform access latency and unlimited endurance. They cannot be directly adapted to the hybrid main memory architecture with PRAM [8-12].We propose a new page caching algorithm for the hybrid main memory. It is designed to overcome the long latency and low endurance of PRAM. On the basis of the LRU replacement algorithm, we propose page monitoring and migration schemes to keep read-bound access pages to PRAM. 2. EXPERIMENTAL SECTION A proposed technique is implemented with new form of CAM architecture to reduce the existing draw backs. In searching the data in CAM memory, first check the parity bit for input data and content in memory. Then we count number of ones in parity bit data to form as an index for fetching data. Then this was given to RAM memory to renaming or update the data. Due to this architecture, can get correct fetched data and also can get speed process of fetching data by new CAM architecture. A RAM is an acronym for Random Access Memory, a type of computer memory that can be accessed randomly that is any byte of memory can be accessed without touching the preceding bytes. RAM is the most common type of memory found in computers and other devices such as printers. Common usage, the term RAM is synonymous with main memory, the memory available to programs. For example, a computer with 8MB RAM has approximately 8 million bytes of memory that programs can use. In contrast, ROM refers to special memory used to store programs that boot the computer and perform diagnostics. Most personal computers have a small amount of ROM (a few thousand bytes). In fact, both types of memory (ROM and RAM) allow Random Access Memory. To be precise therefore, RAM should be referred to as read/write and ROM as read operation only. A parity-bit is introduced to boost the search speed of the parallel CAM. Concurrently, a power-gated sense amplifier is proposed to improve the performance of the CAM comparison in terms of power and robustness. It also reduces the peak turn-on current at the beginning of each search cycle. A Parity Bit Based CAM. The parity bit based CAM design is consisting of the original data segment and an extra one-bit segment, derived from the actual data bits. We only obtain the parity bit, odd or even number of "1"s. The obtained parity bit is placed directly to the corresponding word and ML. This additional parity bit in theory reduces the sensing delay and boosts the driving strength of the 1-mismatch case (which is the worst case) by half. The CAMs can be used in Asynchronous Transfer Mode (ATM) switching network components as a translation table. Since ATM networks are connectionoriented virtual circuits need to be set up across them prior to any data transfer. CAM can act as an address translator in an ATM switch and perform the VPI/VCI translation very quickly. During the translation process, the CAM takes incoming VPI/VCI values in ATM cell headers and generates addresses that access data in an external RAM 2.1. Initialize memory: A CAM word (l-bit) is implemented by connecting (l) CAM cells in parallel. All the cells in a CAM word share an ML but they have separate SLs. The ML is connected to a ML sense amplifier (MLSA), which determines if the corresponding word matches with the search key. A conventional MLSA pre -charges the ML to VDD and places the search key on the SLs. During this operation, the ML remains at VDD only if the celllevel comparisons of all the bits result in "match". In other words, even a single-bit "mismatch" can create a discharge path for ML indicating a word (l bit) "mismatch". A CAM array (n x l) is implemented by connecting (n) CAM words sharing the same set of SLs. When the search key (l-bit) is written on SLs, it is compared with all the (n) words in parallel. The main components of an (n x l) CAM array including the SL drivers and a search key register. In this stage, we first made the CAM memory architecture which gives condition to ML sensing line to detect power level. Here we give total content information of data address. A Psychology, memory is the process in which information is encoded, stored, and retrieved. Encoding allows information that is from the outside world to reach our senses in the forms of physical stimulation. In this first stage we must change the information so that we may put the memory into the encoding process. Storage is the second memory stage or process. This entails that we maintain information over periods of time. Finally the third process is the retrieval of information that we have stored. We must locate it and return it to our consciousness. Some retrieval attempts may be effortless due to the type of information. All MLs are pre charged to VDD prior to every Search operation. If can be show fig 1 entries match with the search key, MLs remain at VDD, and the subsequent Search operation does not consume energy to pre-charge them. Unfortunately in most applications, the majority of the table entries do not match with the search key. As a consequence, almost all MLs are discharged to GND in every search operation. The switching activity of the SLs depends on the statistics of the search key. Assuming random data, each bit in the search key has equal probability of being '0' or '1'. Thus, almost half of the SLs switch in every Search operation. Each ML (SL) is highly capacitive because it is shared by all cells in a row (column). Therefore, owing to their large capacitances and high switching activities, the MLs and SLs consume a significant portion of the total TCAM power. 2.2. Extract counting of 1'S: The extract number of "1" in the stored words are counted and kept in the Counting bits segment. The data input for searching also made the same process. This information was first compare and finally search was done for matched no. of ones. In order to understand various trade-offs in CAM design, it is useful to write a general expression for the Search operation. When a search key is applied to a CAM-based table, it is compared bit-by-bit with all the table entries. If all the bits of a table entry match with the respective bits of the search key, it indicates a "match". 2.3. Extract parity bit: Extract parity bit for the stored words and keeps it in parity bit segment. Comparing and checking are done as same as in counting bit formation. RAM parity checking is the storing of a redundant parity bit representing the parity (odd or even) of a small amount of computer data (typically one byte) stored in Random Access Memory, and the subsequent comparison of the stored and the computed parity to detect whether data occurred. The parity bit was originally stored in additional individual memory chips with the introduction of plugin DIMM, SIMM, etc. Modules they became available in non-parity and parity (with an extra bit per byte, storing 9 bits for every 8 bits of actual data) versions. Here SL (l-1) and BL (l-1) are 'lath' bits (or in this case, the most significant bits) of the search key and the table entry, respectively. Notice that the logical function is essentially the XNOR logic ``` [SL (l −1) ⊕ BL (l −1)] = '1' …… (1) if SL (l −1) = BL (l −1) = '1' or SL (l −1) = BL (l −1) ='0'.Therefore, a "match" (M = '1') will occur when [SL (l −1) ⊕ BL (l −1)] ='1' for all the bits: 0 to (l-1). Taking the complements of both sides, equation can be rewritten as MM = M = [SL(l −1)⊕ BL(l −1)] +[SL(l − 2)⊕ BL(l − 2)]…[SL(0)⊕ BL(0)] [SL (l −1) ⊕ BL (l −1)] = [SL (l −1) ⋅ BL (l −1)] + [SL (l −1) ⋅ BL (l −1)] v …… (2) Hence, the "mismatch" (MM = '1') will occur when at least one bit of the search key fails to match the ``` corresponding bit of a table entry. The logical function [SL (l −1) ⊕ BL (l −1)] is essentially the XOR logic. 2.4. Detect ML sensing line: In this stage, extract the matching line in the register and also gives controlling for each ML sensing lines. These ML sensing lines consists of controlling block at each output. This compare power level and gives command to power supply.The conventional Search operation is performed in three steps. First, search lines (SLs) SL1 and SL1c are reset to GND. Second, ML is pre-charged to VDD. Finally, the search key bit and its complementary value are placed on SL1 and SL1c, respectively. If the search key bit is identical to the stored value (SL1=BL1, SL1c=BL1c), both ML-to-GND pull-down paths remain 'OFF', and the ML remains at VDD indicating a "match". Otherwise, if the search key bit is different from the stored value, one of the pull-down paths conducts and discharges the ML to GND indicating a "mismatch". Resetting SL1 and SL1c to GND during the ML pre-charge phase ensures that both pull-down paths are 'OFF', and hence do not conflict with the ML precharging. SEARCH operation when '0' is stored in the cell (Vx = '0' and Vy = '1'). For SL1 = '1' (SL1c = '0'), ML is discharged to '0' detecting "mismatch". Similarly for SL1 = '0', ML remains at '1' detecting "match". 2.5. Update page: Page Mapping is updated the searched address and page information in RAM memory and shown in fig.2 Page Mapping Structure. A large-capacity TCAM chip is expensive partially due to the large cell area. A smaller TCAM cell can reduce the cost of a TCAM chip by improving the layout density. The 6T dynamic cell is relatively smaller but it requires a specialized embedded DRAM process. Hence, the static cells are more attractive due to their compatibility with the standard logic process. Two TCAM cells that is more area-efficient than the conventional 16T static TCAM cell. Fig.2.Page mapping structure A 12T static TCAM cell reduces area by eliminating two access transistors and two driver transistors. It maintains a '0' state at node 'S' by satisfying the following two conditions: (i) BLs are discharged to ground, and (ii) the N5 leakage is higher than the P5 leakage. The second condition is fulfilled under all process and temperature variations by keeping the WLs at a non-zero voltage (VWL ≈ 200mV). This condition increases the BL leakages by 2-3 orders of magnitude. Therefore, this cell is not appropriate for low-power TCAMs. Moreover, this cell is not suitable for the READ operation, which is required for chip verification. The layout of this cell is more compact than that of the conventional 16T cell because it has an equal number of PMOS and NMOS transistors. In order to minimize the TCAM cell area, the transistors and interconnects must be laid-out at the minimum distance specified by the design rules. Although such a dense layout is area-efficient, it leads to high inter-wire capacitance. The parasitic capacitances of BLs and WLs are not critical because READ or WRITE operations are performed only during the table updates, maintenance, and testing. During the SEARCH operation, most of the power is consumed in switching SLs and MLs. Hence, they should be routed such that their parasitic capacitances are minimized. The inter-wire capacitances of SLs and MLs can be reduced by placing them equally apart from the other parallel lines. Further reduction in the line capacitance can be achieved by minimizing the wire-widths of SLs and MLs. However, the lines should be wide enough to avoid problems such as electro migration and poor signal integrity under the worst-case operating conditions. 2.6. Design method: Match line sense amplifiers: Most low-power MLSAs strive to minimize the ML voltage swing. A illustrates the conventional MLSA described. Initially, all the MLs are pre-charged to VDD, and the search key is written on the SLs. If a TCAM word is identical to the search key, the ML remains at VDD. Otherwise, it discharges to GND through mismatching cells. In order to avoid a short-circuit current; the SLs are switched to GND during the precharge phase. Hence, most of the SLs switch in every search operation, causing high power consumption. This scheme has the ML connected to GND during the pre-charge phase, so the SLs can remain at their previous values. Thus, the average SL switching activity can be reduced approximately by half. This scheme achieves further power reduction by lowering the ML voltage swing. The ML sensing is initiated by charging up the ML using a constant current source. Since a matching ML does not have a current discharge path, it charges at a faster rate than a mismatching ML. When the matching ML charges to the NMOS threshold voltage (Vth), its MLSO changes from '0' to '1'. A dummy ML emulating the "match" condition generates an MLOFF signal to end the ML sensing. Another MLSA that reduces the ML voltage swing using charge redistribution. This scheme also has the MLs connected to GND during the pre-charge phase. The ML sensing begins with fast pre-charging of the MLs using a Fast Pre signal. Transistors N1 and N2 restrict the ML voltage swing to (VREF– Vth). After the Fast Pre pulse, the MLs are left floating. Under the "mismatch" condition, the ML voltage drops below (VREF – Vth), and transistors N1 and N2 turn on. Transistor N2 equalizes the voltages of nodes ML and SP by redistributing charge at the two nodes. A small current source (IREF) feeds the node SP to compensate for ML leakages. The voltage VREF can be varied to trade off power consumption with the speed of operation. This method can reduce the ML voltage swing to even below Vth. If a show fig 3 the fast pre-charging of mismatching MLs causes short circuit power dissipation. A charge-injection match detection circuit (CIMDC) eliminates the short circuit power. CIMDC uses an injection capacitor (CINJ) for each ML. Typically; CINJ is sized 3-4 times smaller than CML. Initially, all the injection capacitors are pre-charged to VDD and all the MLs are discharged to ground. At evaluation, charge is injected from CINJ to CML using the Charge in signal. Under the "match" condition, the voltage of CML rises to a voltage determined by the ratio of CINJ and CML. Under the "mismatch" condition, ML is discharged to ground. An offset sense amplifier differentiates between the "match" and "mismatch" conditions. Although the charge injection scheme reduces the ML swing to very small voltages (~ 300mV), it suffers from lower noise margin and area penalty due to CINJ. The delay and energy consumption of the above ML sensing schemes for different word sizes when they are simulated in 0.18μm CMOS technology. Global masking (GM) also alters the delay and energy by changing the ML capacitance. So far, it has been assumed that all the bits of a word share the same ML. The power consumption of ML sensing can be significantly reduced by segmenting MLs. One of the most popular ML-segmentation techniques is selective pre charge. A conventional TCAM performs a search operation in one step for all the bits. The selective recharge scheme divides the search operation into multiple stages. A illustrates the most common implementation of this scheme using two stages: Pre-Search and Main-Search. The Pre-Search stage performs the search operation on the first segment. If this results in "match", the Main-Search stage also performs the search operation on the second segment. This scheme can achieve significant power savings if the Pre-Search stage causes "mismatch" in most of the words. For small values of k, the energy consumed by Pre-Search stage is small. However, k should be large enough to cause "mismatch" in most of the words. The optimal value of k for minimum average energy depends on the statistics of the incoming data (search key). For example, a selective recharge TCAM designed for networking applications with l = 144 and k = 36 can save up to 75% of the ML power, where l is the total number of bits per word. A recent design further extends the original selective pre charge scheme by dividing each ML into five segments, which also enables the use of hierarchical SLs as explained in the next subsection. 2.7. Search line drivers: A significant portion of the TCAM power is also consumed by SL drivers in switching highly capacitive SLs. The SL switching activity depends on the incoming data statistics. For random data, almost half of the SLs are switched in fig 4 every search operation. Thus, a significant amount of power can be saved by reducing the voltage swing of SLs.It can be smaller SL voltage swing reduces the ION/IOFF ratio of the ML pull-down paths. Therefore, most TCAM designs do not reduce the SL voltage swing. Some recently published designs extend the selective pre charge idea to SLs by dividing them into a two-level hierarchy of global SLs (GSLs) and local SLs.These hierarchical SLs are implemented along with the ML segments described. For example, a group of 64 ML1-words can be defined as Block1, a corresponding group of ML2-words can be defined as Block2, and so on. During a search operation, GSLs broadcast the search key throughout the TCAM, but LSLs within a block are activated only when there is at least one "match" in the previous block. The LSLs of Block2 (m) will be activated only when at least one "match" is found in Block1 (m). In every search operation, only a few words match with the search key. Thus, most blocks will not contain even a single "match", and this scheme will save power by keeping the LSLs of these blocks inactive. The ION/IOFF ratio of the ML pull down paths is maintained by having a rail-to-rail voltage swing (1.8V) in LSLs. The power consumption is reduced by having a smaller voltage swing (0.45V) in GSLs. The lows wing GSL signals are converted to the full-swing LSL signals using low-swing amplifiers. This scheme reduces the SL power consumption by 60%. However, the power reduction comes at the expense of area overhead due to wide OR-gates (64-input), low-swing amplifiers, and other control circuits, which are embedded in the TCAM array. This scheme requires two separate power supply pins and an on-chip distribution network to support the low-swing GSL-drivers and the full-swing LSL-drivers. Since the area consumed by the power supply distribution network is not negligible, this scheme further reduces the effective on-chip area available for the core TCAM array. This scheme can be implemented only if the MLs are divided into multiple segments and the incoming data is searched sequentially. This constraint also degrades the search speed. 2.8. Low- capacitance comparision logic: A significant portion of the TCAM power is consumed in switching highly capacitive MLs. There are two main sources of the ML capacitance: (i) interconnect capacitance of the metal used for ML routing, and (ii) drain capacitances of the comparison logic transistors. The ML interconnect capacitance mainly consists of (i) ML-to substrate capacitance, and (ii) the coupling capacitance between MLs and other parallel lines such as WLs, GND and VDD buses.The ML-to-substrate capacitance can be show fig 6.3 reduced by choosing a high-level metal (such as M4) with minimum width (as specified by the design rules) for routing MLs. Similarly, the ML coupling capacitance can be minimized by (i) routing MLs and other parallel lines in different metals, and (ii) placing MLs equally apart from the other parallel lines. Drain capacitances of the comparison logic transistors also contribute to the ML capacitance. A significant reduction in the ML capacitance can be achieved by employing minimum size transistors in the comparison logic circuits. If secondary effects are ignored, the drain capacitance, ION and IOFF are directly proportional to the channel width. As a consequence, the speed and robustness of the ML sensing is not affected by the channel width. Therefore, the minimum size transistors reduce the search energy without degrading the ION/IOFF ratio. In sub-100nm CMOS technologies, the channel width can be slightly larger than the minimum size specified by the design rules to avoid excessive process variations and secondary effects (such as normal and reverse narrow channel effects). Fig.5.Comparison logic A larger IML1/IML0 ratio has two main advantages. First, it makes the ML sensing less sensitive to process variations and operating conditions. For example, if an ML with one-bit mismatch (ML1) is receiving a larger current than the dummy ML due to the mismatch in their current sources, ML1 may be detected as a "match" before the output of the dummy MLSA turns 'OFF' the current sources. This problem may also be caused by a threshold voltage mismatch between the dummy MLSA and the MLSA connected to an ML1. A larger margin between IML1 and IML0 can cope with larger process variations. Thus, the same dummy ML can be used for a larger block of TCAM words increasing the layout density of the TCAM chip. Secondly, a larger IML1/IML0 ratio allows the implementation of wide TCAMs because IML0 is proportional to the word size (l), and a larger value of l diminishes the difference between IML1 and IML0. We analyzed the proposed and conventional comparison logic circuits by implementing them in two 145-bit wide TCAM words. A charge redistribution MLSA is used for ML sensing whose timing signal. All the control signals are common to both MLSAs. Initially, the MLs are discharged to ground using PRE. The search operation is initiated by the rising edge of EN, and the falling edges of Fast Pre and PRE. The ML voltage swing is restricted by the NMOS transistors (N1 and N2) whose gates are connected to a reference voltage (VREF). The Fast Pre pulse pre charges the MLs to a voltage near (VREF – Vth). The evaluation begins with the rising edge of the Fast Pre signal. Under the match condition, the ML does not have a pull down path, and its node SP remains at VDD.Under the mismatch condition, the node SP is pulled down to GND through N2 and ML discharge path. A small current source (IREF) at the node SP compensates for ML leakages. In our design, IREF has been set to one-fifth of ION. 3. RESULTS Fig.7.Technology schematic diagram The I Sim GUI opens and loads the design. The simulator time remains at 0 ns until you specify a run time. For comparison purposes, you can browse to the completed folder for a completed version of the simulate_isim.bat batch file.RAM speed automatically increase. They associate the input (compared) with their memory contents in one clock cycle. They are configurable in multiple formats of width and depth of search data that allows searches to be conducted in parallel. We can add new entries into their table to learn what they don't know before. It is designed to overcome the long latency and low endurance. The power consumption is 77.2% and searching time period with in second shown in fig.(6-8). 4. CONCLUSION Implement hybrid combination of RAM with CAM architecture. In this method, we change the architecture of CAM design to speed up the process. Experimental result shows better performance result than traditional CAM architecture. We presented a renaming mechanism consisting of a RAM table and a low-complexity CAM table, as a hybrid design that took the best of both approaches. Experimental results showed that a two-way hybrid approach achieved small performance slowdowns (about 2% and 1% for integer and floating-point benchmarks, respectively) with respect to a four-way CAM-based renaming mechanism that was able to recover in one clock cycle. These small slowdowns were accompanied by a drastic reduction of the original associative searches carried out in the CAM-based approach to only 8% and 3%. Hybrid designs reduced the dynamic energy by 16% and 12% with respect to the original CAM consumption, closing the dynamic energy consumption gap between CAM and RAM approaches. REFERENCES Akhbarizadeh J, Nourani M, and Cantrell C.D, Prefix segregation scheme for a TCAM-based IP forwarding engine, IEEE Micro, 25(4), 2005, 48–63 Casagrande G, Warn Varnas A, Stephan Y, and Folegot T, Genesis of the coupling of internal wave modes in the Strait of Messina, J.Mar.Syst., 78(1), 2009, S191–S204. www.jchps.com Journal of Chemical and Pharmaceutical Sciences Cheng K, Wei C.H, and Jiang S.Y, Static divided word matching line for low-power content addressable memory design, in Proc. Int. Symp. Circuits and Syst., 2004. Clark R, and Schimmel D.E, Scalable pattern matching for high speed networks, in Proc. IEEE Symp. on FieldProgrammable Custom Computing Machines (FCCM), Napa, CA, 2004, 249–257. Dr. AntoBennet M, Manimaraboopathy M, Maragathavalli P, Dinesh Kumar T R, Low Complexity Multiplier For Gf(2m) Based All One Polynomial, Middle-East Journal of Scientific Research, 21(11), 2014, 2064-2071. Dr. AntoBennet M, Power Optimization Techniques for sequential elements using pulse triggered flipflops, International Journal of Computer & Modern Technology , 1(1), 2015, 29-40. Dr. AntoBennet M, Sankar Babu G, Suresh R, Mohammed Sulaiman S, Sheriff M, Janakiraman G, Natarajan S, Design & Testing of Tcam Faults Using TH Algorithm, Middle-East Journal of Scientific Research, 23(08), 2015, 1921-1929. Efthymiou A, and Garside J.D, A CAM with mixed serial-parallel comparison for use in low energy caches, IEEE Trans.Very Large Scale Integr.(VLSI) Syst., 12(3), 2004, 325–329. Giunchiglia F, and Shvaiko P, Semantic matching, in The Knowledge Engineering Rev.Cambridge, U.K, Cambridge Univ. Press, 2004. Hershey P, and Silio C, Surmounting data overflow problems in the collection of information for high speed communications systems, in Proc. IEEE Systems Conf., Montreal, QC, Canada, 2008. Huang T, Chang S.W, Liu W.Y, and Huang W, A energy-efficient TCAM with novel low power schemes, in Proc. IEEE Int. Symp. VLSI Design, Autom. Test (VLSI-DAT), 2007. Pagiamtzis K, and Sheikholeslami A, A low power content-addressable memory (CAM) using pipelined hierarchical search scheme, IEEE J. Solid-State Circuits, 39(9), 2004, 1512–1519. Pagiamtzis K, and Sheikholeslami A, Content-addressable memory (CAM) circuits and architectures:A tutorial and survey, IEEE J. Solid- State Circuits, 41(3), 2006, 712–727. Shvaiko P and Euzenat J, A survey of schema-based matching approaches, J. Data Semantics, IV, 2005, 146–171. Wang J, Wang C.C, and Yeh C.W, High-speed and low-power design techniques for TCAM macros, IEEE J.SolidState Circuits, 43(2), 2008, 530–540.
Children's centres ensuring that families most in need benefit © 2007 Capacity and Esmée Fairbairn Foundation Capacity 131 High Street Teddington London TW11 8HH Esmée Fairbairn Foundation Esmee Fairbairn Foundation 11 Park Place London SW1A 1LP Telephone 0208 977 0283 Email: email@example.com Website: www.capacityltd.org.uk Company registration no. 05048631 Telephone: 0207 927 4700 Email: firstname.lastname@example.org Website: www.esmeefairbairn.org.uk All rights reserved. No reproduction, copy or transmission of this publication may be made without the written permission of the publishers, save in accordance with the provisions of Copyright, Design and Patents Act 1988, or under the terms of any license permitting copying issued by the Copyright Licensing Agency. Capacity, a not for profit public interest body, is pledged to promote the needs of young children, their families and communities and to provide strategies to increase social inclusion and to combat poverty. The Esmée Fairbairn Foundation is one of the largest independent grantmaking foundations in the UK. The Foundation makes grants to organisations which aim to improve the quality of life for people and communities in the UK, both now and in the future. Capacity gratefully acknowledges the generous support of the Esmee Fairbairn Foundation for this short qualitative study. The field work for this study was undertaken by Margaret Lochrie and Gill Haynes, the report by Margaret Lochrie for and on behalf of Capacity. We have no hesitation in breaking with the old certainties.Take our first 600 Sure Start children's centres, not just a provider of children's services but a focus for community life. How they develop in future, whether around schools, community centres, even shopping centres, is a matter not for national diktat but local choice and management, moulding the 3,500 centres to be built by 2010. Gordon Brown, Guardian, January 5th 2005 " " Will multi-purpose children's centres deliver on their promise to secure better outcomes for young children, helping to close the gap between richer and poorer families? The model of "joined-up services" provides families with the possibility of easier and more complete access to the services they need, but the realisation of the Sure Start vision will depend, substantially, on the capacity of children's centres to reach out to those who are most socially excluded. This short study focuses on four Sure Start children's centre case studies, selected as models of good practice in terms of the breadth and scope of integrated services, level of parental involvement and innovatory methods. Through detailed examination of the case studies and taking into account other background evidence, the study offers a critique of strategies for engaging with and securing better outcomes for those families suffering the most extreme forms of economic and social disadvantage. 1 Summary This short study was carried out to look at the effectiveness of children's centres in reaching the most highly disadvantaged families, the ways in which they meet the needs of those families and the outcomes achieved. The study revolved around four "exemplar" children's centre case studies, examining their work within the context of current government policies, best practice and a wide range of research perspectives. The centres within the study were found to be highly effective in delivering multi-agency services to and for children and families. Each has been successful in reaching a number of families who would be considered "difficult to include", giving thought to and overcoming the practical and other barriers which might prevent those families using the various services on offer. In the course of the research, however, the following key issues and findings emerged. Resources – will they deliver? It is possible that more resources than are currently allocated for the children's centre programme are needed to ensure that it can meet its objectives. In acknowledgement of this, the Department for Children, Schools and Families has recently announced a cash injection of more than £4billion to children's centres, early years education and childcare, which will include additional funds for outreach workers. However, where, despite this, high-achieving Sure Start children's centres are faced with tapering levels of funding, the pressures to attract and retain a more middleclass clientele, who can afford to pay for services, will almost certainly increase. Where this occurs the Department for Children, Schools and Families should take steps to evaluate and monitor the capacity of those children's centres to reach those families most in need. 2 Reach strategies The reach strategies adopted by successful centres have been implemented in a particularly thorough way. Some of the community consultations, for example, have been extensive and highly structured, utilising focus groups, outreach and public information campaigns, as opposed to more limited consultations and surveys. Centres know their communities well, staff are knowledgeable about the effects of poverty and understand that the lives of poor families can become chaotic for reasons beyond their control. By making the effort to find out and then deliver what families want, they have secured the trust of their communities. Achieving high visibility for the work and value of childrens centres, particularly among those who are most remote from services, requires motivation, painstaking research, rigorous planning, effective communication and a range of professional skills and expertise. Children's centres which have not yet formulated their strategies may not have ready access to this range of skills and expertise. As a starting point, the Together for Children Toolkit for Reaching Priority and Excluded Families offers a highly valuable planning resource. The Department for Children, Schools and Families, however, should take responsibility for the identification and dissemination of best practice in the design and implementation of strategies for reaching those most excluded. A new approach to monitoring and evaluation If children's centres are to achieve their objectives, they need to capture detailed information about their users, both at the point of first contact and at subsequent intervals. Only by this can they demonstrate both that they are engaging the most "difficult to include" and offering them services of value. To assist with this process, it would be helpful for the government's main monitoring tool – the Children's Centre Performance Management Self-Evaluation Pro-forma – to be brought into closer alignment with the factors which are associated with severe deprivation. The development of a model registration form would help to ensure that childrens centres have sufficient baseline information on which to plan and evaluate their performance. Planning around the needs of users In all four centres, best practice involved highly differentiated and personalised planning for individual parents, built around their specific circumstances and needs, whether in relation to support for particular family difficulties, or involvement in centre activities, learning or volunteering opportunities. The concept of progression was very evident, each parent moving through a continuum of involvement at the pace which was most appropriate. The capacity to plan and provide for progression for parents is sufficiently important to be part of the training of the children's centre workforce. Care needs to be taken, to ensure that in trying to help families, children's centres do not fall into the trap of unintentionally limiting opportunities on the basis of narrow judgements about what is best for them. The values and ideas of those leading children's centres shape the model of what a children's centre is within their localities. The model of early education and family support within a broader framework of building individual and social capital appears to be particularly successful and merits further evaluation. 3 Children's centres need to be better able to assess the outcomes that are achieved for users, both generally and for particular target groups and to be able to relate these, as far as is reasonably possible, to particular interventions or inputs. Better tools are needed for them to do so than are currently available. Local authorities and their partners are responsible for monitoring performance in this area, but the Department for Children, Schools and Families should commission and disseminate an appropriate framework, taking into account the current Performance Management Selfevaluation Methodology. Best practice would be served by the development and inclusion of a soft outcome framework. The impact of leadership In all four centres, the expertise and depth of experience of those leading the work was very considerable and this was a critical factor in their extensive achievements. It would be difficult for any qualification to provide benefits comparable to this level of experience. In the wider roll-out of children's centres, effective use of high-achieving centres could be made by utilising them in a consultancy role to others at an earlier stage of development. On the evidence of the studies, a critical requirement for reaching the most disadvantaged families is an understanding of poverty and disadvantage. Training to provide skills and knowledge in this area should be part of the updated strategy for the children's workforce. The centres in the study are unusually proactive in encouraging and providing access for parents to skills-related and other learning. The Department of Children, Schools and Families should raise the profile of this objective, with Together for Children, collating and disseminating good practice of the kind described here and providing any further support and guidance which may be necessary for centres to make these opportunities more widely available. Sure Start was conceived with the aim of helping to reduce poverty. If it is to achieve its aim, support for parents to gain employment or to move into better paid work must have a higher priority and children's centres will need to ensure that they have effective links, not only with Jobcentre Plus but with employers and training providers. Support for employment should be closely integrated with the core children's centre offer and those leading centres should be pro-actively engaged in ensuring that this is a priority for delivery and that parents are given sufficient personal support when moving through programmes of vocational or other training. Innovative strategies like the trainee scheme in Carlisle South and Maden Centre's Achieving Together Workshops should be widely disseminated. Children's centres are also employers and consideration should be given in employment policies to the scope for training and employing parents. Benefits disregards should be considered as a means of providing transitional employment opportunities for parents on supplemented benefits. Linking with appropriate business partners, centres could also provide support for co-ops and self-employment. Children's centres will be more effective where their local communities are persuaded to accept and back the need for change. Co-production, which involves the beneficiaries of public services as active agents is a model which is worthy of exploration. Further research is needed to test the effectiveness, in the medium and longer term, of using parents as children's centre delivery partners. 4 Conclusion In what was a limited qualitative analysis of a small number of children's centres, the study found that they were capable of reaching highly disadvantaged families and had well developed strategies for meeting the expressed needs of those families. The study raised a number of more general questions about the children's centre initiative and its capacity to deliver on its policy objectives, in particular, its promise to reduce poverty and improve outcomes for children. But in the longer run, the success of the initiative will depend most on the people on the ground, working with families. In the best of the centres visited here, those leading the delivery were explicit in their aims to tackle poverty and had engaged their communities in a process of regeneration which had the capacity to transform the economic and social landscape, as well as to change the lives of individuals. Introduction Sure Start Sure Start, announced in 1998 and concentrated in deprived areas, for the first time brought together child and family-centred services, including health, family support and out-reach, early learning and play. Locally administered by partnerships led by local authorities, primary care trusts or voluntary organisations and charities, local programmes were accorded substantial autonomy to decide on the content and delivery of services and encouraged to involve local people, particularly parents, in the design and management of Sure Start within their areas. Local programmes were neighbourhood-based, available to all families living within prescribed catchment areas. The first Sure Start guidance outlined the core services which all programmes were expected to provide, which included outreach and home visiting and support for families; support for good quality play, learning and childcare experiences for children; primary and community health care and support for people with special needs. From 2002, promoting the employability of parents became one of four core Sure Start service targets, the others committing Sure Start to improving the social and emotional development of children, reducing smoking during pregnancy and improving children's language and communication skills. Specifically, the employability target required: In fully operational programmes, to achieve by 2005-06 a 12 per cent reduction in the proportion of young children (aged 0-4) living in households where no one is working. Sure Start was designed to combat poverty by supporting young children and their families, helping to reduce unemployment and acting to strengthen communities. However, Sure Start local programmes were restricted in number and confined to a relatively small number of postcodes within larger areas of deprivation. 6 The children's centre programme, which has replaced Sure Start will, in contrast, provide a much larger network of 3,500 centres by 2010. Some will be "virtual" centres linking related but separately located agencies, while others will bring services together on one site. The core "offer" in each case is set out in DfES guidance, spanning early learning, childcare for working parents, identification of children with special needs, child and family health services, family support, links with Jobcentre Plus and parental involvement. Other services – such as adult basic skills training, benefits advice, toy libraries or adult relationship counselling are not part of the core offer, but, it is suggested, may be provided where funding is available. In less disadvantaged areas, there is more flexibility in the services which must be provided, but in these areas, too, children's centres will have to ensure that children and families who are disadvantaged, vulnerable or who have special needs have access to the full range of integrated services, available in more deprived areas. 1 The local authority's role in delivering children's centres is underpinned by the Childcare Act 2006, which requires local authorities to improve outcomes for all young children and to reduce inequalities between them, through integrated early childhood services. The new duty comes into force in April 2008. Child and Family Poverty The government's anti-poverty strategy has achieved a significant reduction in child and family poverty; has succeeded in getting more lone parents back into work, and in lifting a number of working families out of poverty through tax credits. The number of children affected by poverty has therefore fallen steadily, but it has not diminished quickly enough to meet the government's own targets and remains close to the highest in the EU. More than half of children in poor households live in homes which are workless and the UK has a higher proportion of its children living in workless households than any other EU country. 2 Social mobility has not increased and a recent report from the Joseph Rowntree Foundation claims that inequality is at as high a level as 40 years ago. 3 Among the 3 million children living in poverty, many face long-term hardship. Two in three children have been in poverty for at least 3 of the past 4 years. In addition, the risk posed to children's development by poverty appears to be growing over the longer term. 4 Longitudinal studies of teenagers in the 1970's and 1980's, respectively, show that the relative impact of poverty on adult outcomes doubled for the latter group. Poverty is only partly explicable as a material process, e.g. poor quality housing impacting on health, or the effect on diet of a restricted income. It can also be experienced, variously as rejection, isolation or exclusion, affects selfesteem and is incorporated into personal identity. Ethnic minority and lone parent families are particularly vulnerable to the effects of poverty, because they are over-represented among the unemployed, low-paid and those living on state benefits. 5 Poverty does not directly affect educational achievement, but is believed to operate through a number of mediating mechanisms which, in the case of children, might include limited resources for play and learning, poorer health and nutrition and the impact of poverty on family relationships. 6 Factors within the family can also create or contribute to poverty. For example, It is estimated that approximately 1.25 million children in England and Wales are living with parents or carers who have a mental health problem. Less than a quarter of adults with long-term mental illness are in employment. 7 The Social Exclusion Task Force has identified the existence of a minority of families and individuals who may be trapped in a lifetime of poverty and social harm and who are at risk of persistent extreme deprivation 8 . This minority, 2 Palmer, G.,MacInnes, T. and Kenway, P. (2006) Monitoring poverty and social exclusion 2006: Joseph Rowntree Foundation 2006 3 Poverty and Wealth Across Britain 1968 to 2005, Joseph Rowntree Foundation 2007 4 Hirsch, D. (2006) Where poverty intersects with social exclusion Evidence and features of solutions: Joseph Rowntree Foundation 2006 5 Kumar, V. (1993) Poverty and Inequality in the UK: National Children's Bureau 1993 7 representing 2% of the population, is likely to be at risk of experiencing acute, multiple, problems, including alcohol and drug misuse, educational failure, contact with the police and early sexual activity. Those with five or more problems are viewed as part of an intergenerational pattern of disadvantage, with those children born into "high-risk" families likely to experience similar problems as they grow up. Breaking with the old Certainties Children's centres are part of a continuum of initiatives to support both early child development and parenting and to reduce poverty and social exclusion. Related initiatives include free early learning and childcare for 3 and 4 year olds; demonstration projects to help parents to support their children's early learning; and the creation of a National Academy for Parenting Practitioners.The government's growing interest in building family "capital" culminated in the publication, in March, 2007, of Every Parent Matters, a position paper on services for parents. The idea of government support for the family is not new. In 1995, the United Nations set out a clear rationale for governmental action to provide family education, through all stages of the life-cycle, to support the sound development of children and to sustain family life. Nor is the idea of transmitted disadvantage. It is more than 30 years since the publication of Cycles of Disadvantage 9 . The idea of inherited deprivation is also famously associated with the Conservative Minister, Keith Joseph. Whereas Joseph's interest was primarily in the problem family, the present government has recognised and attempted to address some of the structural components of disadvantage and this has provided the driver for tax and benefit changes which have lifted many children out of poverty. 6 Guang, G. and Harris, (2000) The Mechanisms Mediating the Effects of Poverty on Children's Intellectual Development: Demography, Volume 37-No 4, November 2000 7 Gould, N. (2006) Mental Health and Child Poverty: Joseph Rowntree Foundation 2006 8 Reaching Out: An Action Plan on Social Exclusion, Cabinet Office 2006 9 Michael Rutter, M. and Madge, N. (1976) Cycles of Disadvantage: A Review of Research: Ashgate 1976 However, it is worth noting that the 55 page document Every Parent Matters mentions poverty no more than four times. The majority of parents are projected as driven by high aspirations and expectations of their children, with only a minority who have lost, or never had, the capacity to parent responsibly, and for whom public services must be ready to intervene promptly and sensitively. In the context of the latter group, change for children and families is predicated on two propositions; firstly that early intervention can prevent problems arising for children and secondly, that parenting behaviours can be standardised within a model of "good for children" and thus enhanced. Is Sure Start working? Robust as Sure Start may be as a conceptual model, the evidence for its effectiveness in practice is, at least as yet, uncertain and it is widely acknowledged that Sure Start has not yet done enough to help the neediest children and families, or achieved its aim of combating child poverty. 10 The first main impact study, published in 2005, revealed little or no improvement in the areas targeted by the initiative. In some cases, adverse impacts were associated with Sure Start. A further finding was that Sure Start created more benefits for moderately disadvantaged families, who were better placed to access services, than for those who were severely disadvantaged. 11 A separate, earlier, evaluation report showed that few programmes made active efforts to reduce the number of children who live in workless households, with only a minority adopting active strategies with partner agencies to encourage parents to take advantage of employment opportunities. 12 On average, across Sure Start local programme areas, just under half of 0-4s lived in workless households. A number of reasons have been offered in explanation of the lack of evidence of effectiveness. A key one is that many of the programmes took time to get started and it 10 The Guardian, May 16th 2006 11 Department for Education and Skills (2005) Early Impacts of Sure Start Local Programmes on Children and Families (2005) DfES Research Report NESS/2005/Fr/013 12 Department of Education and Skills (2004) Sure Start Local Programmes and Improving the Employability of Parents DfES 2004 8 may be simply too early to assess their impact. A further report on the impact of Sure Start on children and families is due to be published early in 2008. A central problem, however, is that there is no single version of what Sure Start is, mainly because the freedom granted to local programmes to develop their own curriculum and style of delivery and the resulting variation of approach. The children's centre model built on lessons learned from local and national evaluations of Sure Start local programmes, but was informed, also, by longitudinal research relating to the benefits of early education for 3 and 4 year olds and by the Inter-Departmental Childcare Review 2002 which found that there are significant 'pay-offs' in offering children, parents and communities health, family support, childcare and early education in an integrated way 14 . Children's centres bring Sure Start within the reach of all communities. The level of investment, however, while very substantial, is lower, at centre level, than the original funding for local programmes. It is widely believed that, despite the lack of robust evidence, the children's centre model is capable of improving outcomes for children whose development is most at risk of being compromised. There is an intrinsic logic in reshaping local services to create better access for families who are in need but who are reluctant to ask for help. And the model is supported by research evidence from programmes elsewhere, most particularly the US Head Start, on which Sure Start was substantially modelled. However, in December, 2006, the National Audit Office (NAO) published a study of Sure Start children's centres which, among other things, focused on the capacity of the centres currently established to reach the most disadvantaged families; and to monitor their performance effectively.The study found that less than a third of centres were pro-actively targeting hard-toreach families and few of the centres had developed any systematic method for identifying excluded children and families in their area. 13 Sylva,K., Melhuish,E., Sammons,P., Siraj-Blatchford ,I. & Taggart, B. (2004). Effective Provision of Pre-school Education (EPPE) project: Final Report: DfES 2004 14 http://www.surestart.gov.uk/_doc/P0000689.pdf In the wake of this, both Ministerial statements and guidance have emphasised the pre-eminent priority of reaching those who are most in need. This finds its fullest expression in the current consultation on guidance for local authorities on the Early Outcomes duty. Much more needs to be done to identify excluded families and work with communities to encourage them to take up the services that can help and benefit them, ensuring those who most need services receive them. This will help to break the inter-generation cycle of deprivation. 15 Reaching Out Why might it be hard for children's centres to reach the neediest families? One reason might be that families are simply not aware of Sure Start and what it has to offer. Some children's centres are still being created and even where they do exist they depend, largely, on word of mouth and referral from specialist agencies. In addition, poor families do not always experience the help they are offered as supportive. A study for the Department of Health consulted 1754 families living in very disadvantaged circumstances.The research concluded that helping services didn't meet parents' own idea of their needs.They are offered what the service providers think they want or should want, rather than what would really be of use. 16 Echoing this, data from the ESRC Families and Social Capital Project suggest that child-rearing practices among poor families may be grounded in a "material and social reality" which, because of negative experiences, can lead them to disinvest from education and other services. In contrast to middle class parents who actively invested in their children's education, disadvantaged parents in the research were engaged in 'getting by' and prioritised helping their children negotiate disadvantages and adversities which middle class families rarely face. 17 15 dfes.gov.uk/consultations 16 Ghate, D. and Hazell, N. (2000), Parenting in Poor Environments Department of Health 2000 cited by Mary Crowley in Reaching Hard to Reach Parents, Parenting UK 2005 17 Gillies, V. (2006) Parenting, Class and Culture: Exploring the Context of Childrearing, Community Practitioner; 79, 4: 114-117, 2006 18 Department for Education and Skills (2005) Variation in Sure Start Local Programmes 'Effectiveness: Report of the NESS Programmes Variability Study, DfES Research Report NESS/2005/Fr/014 9 What would constitute an effective model for engaging disadvantaged families? The National Evaluation of Sure Start considered variation in effectiveness of local programmes. Their early findings were that those programmes which had been most proficient in putting in place the original goals of Sure Start – holistic, integrated services – were more likely to secure better child and parenting outcomes. 18 Family out-reach provides one possible model for engaging hard-to-reach families. The Family and Parenting Institute has published findings from a 2006 study on the planning and delivery of family support through children's centres, in which children's centres reported that successful engagement depended on effective home visiting strategies. 19 A number of voluntary organisations have well defined strategies for engaging parents, including disadvantaged parents. Playgroups and pre-schools, for example, incorporate rules for the participation of parents as decision-makers and co-workers. In a NIACE study of pre-schools operating in disadvantaged communities, it was found that while parents joined the pre-schools, initially, for the benefit of their children, the experience acted as a gateway for parents to access activities which built confidence and self-esteem and provided routes into study, employment or greater community involvement. 20 Toy library projects also utilise parent volunteers as a means of engaging hard-to-reach parents, providing opportunities for training and progression for those parents who are involved. 21 Using people from the community to co-deliver services provides another possible approach. Community Mothers is an example of this model, while the Community Consultant model developed by Parenting UK in Wigan has provided encouraging evidence of the capacity to engage parents as co-workers in and for children's centres. 22 19 Family Support in Children's Centres (2007) Family and Parenting Institute, 2007 20 McGivney, V. (2000) The Contribution of Pre-schools to the Community, Pre-school Learning Alliance 2000 21 Toy Libraries: Benefits for Children, Families and Communities: Capacity/Playmatters, 2007 22 Parenting UK and Comino Foundation (2006) Giving Parents a Voice: The Community Consultant Project in Wigan, A qualitative evaluation The value of using local people is that it may help to overcome any perceived stigma attached to seeking help with parenting and peer-support programmes have been used to positive effect in the mental health field and across the field of education. However, other evidence suggests that well-trained professionals, particularly health workers, may be more effective than paraprofessionals. 23 Together for Children, commissioned by DfES to support local authorities with the delivery of the children's centre initiative has published a Toolkit for Reaching Priority and Excluded Families, which contains useful information on benchmarking user profiles against local demographic information and ideas for approaching particular priority groups. 24 Parenting UK has developed a Commissioners Toolkit, in the form of a database containing information about a wide range of parenting programmes. 25 Parenting UK has also developed national occupational standards for the sector; established a core curriculum and published its own accredited Training for Work with Parents and with partners is leading on the testing and trialing of units of assessment and qualifications for those who work with parents. Achieving and Assessing Outcomes In their original form, Sure Start local programmes relied on a diversity of evaluation methods and feedback mechanisms to monitor their own performance. Many commissioned 10 independent evaluations, while internal monitoring might include measures of user satisfaction with particular parts of the service or with the programme as a whole, at the same time relying on a range of proxy indicators such as smoking cessation and attendance at antenatal appointments. A self-evaluation framework is now provided within the current Sure Start Children's Centres Planning and Performance Management Guidance. This requires centres to analyse information about the characteristics of users, the content of activities, the quality of leadership, parental involvement, value for money and the strength of partnership arrangements. The National Evaluation of Sure Start identified 18 dimensions which could collectively differentiate the most and least effective Sure Start local programmes. Among those dimensions, empowerment, partnership composition and functioning, communication, leadership, multi-agency working and ethos were positively related to better outcomes. It is possible to see some of these dimensions reflected in the self-evaluation framework, but self-evaluation, while requiring information in relation to a range of national performance indicators, does not require much information about the specific outcomes obtained for users as a direct result of services provided. The Study The success of the children's centre programme – as a tool for combating poverty and improving outcomes for all children – will rest, substantially, on the capacity of centres to engage and involve families who may not know of or are currently reluctant to make use of childcare and other related services. The pace of establishment of children's centres is fast. As yet, little information is available on the most effective practice in reaching those families. This makes it difficult for staff to develop the approaches that are likely to be effective with 'difficult to include' families and presents the danger that children's centres will be dominated by parents and children with less serious needs. This short, small-scale feasibility study was undertaken to try to identify what "works" and to examine the evidence base; in particular to examine the role of centre managers and others in leading and supporting the engagement of users. From this, it was hoped that the study would provide preliminary evidence of the efficacy of approaches in engaging the most disadvantaged children and parents in the services offered by children's centres – and from this the likely prospect of the children's centre programme achieving its aim of improving outcomes for all children. Specifically, the aims of the study were to: * provide an informed critique of existing strategies in relation to engaging 'difficult to include' parents and their children in children's centres; * distinguish objectively evaluated approaches from more subjectively evaluated approaches and case studies; and * indicate how best practice could be disseminated effectively to inform the work of those working in children's centres. 12 The approach adopted was to examine a small number of children's centres which could reasonably be considered as exemplars of good practice, to determine whether they were able to reach the neediest families within their local communities and to consider both their methods and the outcomes secured. In this context, it was decided to explore the following questions. * What might be the most practical, feasible and successful strategies for making contact with those families who may not make use of statutory or other services? * What types of support might be most relevant to their needs and what insights are provided by research evidence relating to child development, parenting, poverty and social exclusion? * What would constitute evidence of success? * What skills are required for those leading and working in children's centres? * What are the types of progression offered to children and parents by good children's centres? Methodology More specifically, the methodology included: * a desk study of existing approaches and the evaluation of these approaches; * the involvement of an 'expert' advisory group; * field visits to a small number of 'exemplar' children's centres; and * focus groups of parents, from the target centres, if possible including parents who were non-users. Desk Study Within this part of the study, the aim was to review a wide range of research studies relating to child and adult development, parenting and social exclusion and to review evaluations and other material relating to Sure Start children's centres and other related initiatives. This element of the study afforded an opportunity to look for evidence of clear methodologies, as well as systems for monitoring soft and hard outcomes, for parents and for the centres and for the evaluation of "reach". In addition, the team at the National Audit Office, which led the Sure Start children's centres study, kindly made available much of the raw data relating to their visits to 30 children's centres, as well as the MORI study, commissioned by them, on the perceptions of parents and national charities. Expert Advisory Group A list of the group members is appended. Chaired by Alan Wells, former Director of the Basic Skills Agency, the membership of the group included experts from the fields of Parenting Education, Early Years, Literacy and Basic Skills, Family Learning, Community Development, Research and included representatives from the Department for Children, Schools and Families (DCFS). The group guided the study through all its stages, advising on the selection of case studies, the evaluation of the findings as well as thematic content. Selection of case studies and field visits All Sure Start children's centres listed on the Sure Start website were contacted by e-mail and invited to participate.A brief pro-forma for those which wished to offer themselves as case studies enabled them to provide preliminary information about why they might be considered "exemplar" centres, their strategies for "reach" and any innovative features of their work. It was agreed to focus on centres which, in terms of infrastructure and resources, were reasonably typical of other Sure Start children's centres. This precluded the inclusion of "flag ship" centres like Coram Family, Pen Green or the Bromley by Bow Centre. It was also agreed not to include centres which had been visited as part of the NAO study. 13 With the help of the advisory group, those responding were considered against a number of criteria: * local deprivation indicators; * breadth of the children's centre offer; * range of partners; * evidence of involvement of "difficult to include families"; * evidence of innovation; and * geographical spread. Following this, the selected centres were asked to provide further information in the form of a pre-visit questionnaire and the visits were arranged over a period of a month. The visits took the form of interviews with managers and staff, reviews of completed evaluations, policy and other documents and any material relating to outcomes. Focus groups and other interviews with parents formed the other purpose of the visits. These were arranged by the centres and the precise arrangements varied according to the availability of parents, in one case involving a series of discussions with individuals and small groups of parents. It was hoped to arrange discussions with non-users, but this proved difficult. Where possible, parents in the wider locality were approached for their views. A semi-structured interview and discussion format was developed seeking parents' views on their involvement in children's centres and their wider perspectives on the types of support needed by families to secure better outcomes for children, to support parenting and to help families on low incomes. Five children's centres were selected, in Rossendale. Herefordshire, Croydon, Carlisle and Weymouth. In the event, it was decided not to include the Weymouth Centre in the report as the Manager was new in post, did not have all information to hand at the time of the visit and because of malfunctioning software systems no monitoring data could be provided. Results: The case studies The Maden Community and Children's Centre: Rossendale, Lancashire The Maden Centre occupies a former Victorian Swimming Baths in Bacup, Rossendale, Lancashire. Bacup is part of Irwell ward, which has some of the highest deprivation indicators in Rossendale. More than a third of children live in conditions of economic deprivation. Within Lancashire, Rossendale has the highest proportion of young people who are not in education, employment or training and only 41% achieve 5 GCSE's at A* to C. More than 40% of the adult population has no qualifications and crime rates are particularly high. Bacup is a poor village. People used to work in shoe manufacturing, but the last factory closed two years ago. Now kitchen manufacturing and Sure Start are the largest employers. Sure Start has 37 employees. There are also casual staff and many volunteers. Sure Start has been responsible for regeneration in the area. More than 600 families use the centre. The main problems they face are unemployment and low skills, alcohol and substance misuse, lack of aspiration, poor transport and external perceptions of the area. The Head of Centre, Kaela Francioli, describes the approach of the centre as based on "respect for people and cultural heritage" and commitment to regeneration. We have a shared ethos, we challenge attitudes, we have a belief in what we do, a synergy and we listen to people. Most of the staff live in the local area. They live it, breathe it. Also we believe that work and training help to raise self esteem.We want to empower parents, give them choices. When the centre – which this year won the Children's Centre of the Year award first began as a Sure Start local programme it consulted families widely through fun days, schools, pre-schools and other groups. People said they wanted the swimming baths back, but that wasn't possible. The programme obtained trust by founding a scheme of volunteer drivers to take families to health and other appointments. Prior to this some parents were seen to be failing because of not turning up for children's appointments but, reliant on public transport, the journey might take three hours and clash with picking other children up from schools. It's not people who are hard to reach, but services.We listened hard to get the trust. The Maden Centre works with a wide range of partners, including adult training providers, Jobcentre Plus, the PCT, Credit Union, community associations and arts organisations. There is a 51 place nursery, which is run as a social enterprise, crèche, ante-natal and baby clinic, a teenage parent's lunch club, speech and language group, baby massage, breast feeding support and a CAMHS-led emotional support service. The centre appears never to have stood still. Innovative activities include art therapy, acupuncture, a volunteer network which involves more than 100 parents and Achieving Together Workshops, providing advice and guidance on employment and training opportunities. There is a community café, which is temporarily closed because of lack of funding. Laura, Maden's Drug and Alcohol worker is a trained psychotherapist with five years experience of mental health/alcohol issues. The original users of the service were referrals but now word of mouth acts as the main factor. Approximately 120 families are supported to become/remain abstinent. The problems which lead them to use alcohol/drugs might be marital violence, mental health problems, or poverty. In Laura's view, the substance is not the problem it's their lives. For some people, alcohol or drug dependency is embedded in the family's way of life. She will knock on doors until people let her in and she offers a 24 hour helpline. The family support team work with her, they use acupuncture as a means of easing the anxiety of withdrawal. They would like next to do a mediation service.When parents do become clean, their children are often holding feelings of anger or hurt about the way things were before, or of physical or sexual abuse and substance misuse. In 2006, of 77 people supported in this way, 8 went on to further education, 10 returned to employment and 7 children were removed from the Child Protection register. Sue coordinates the volunteer network which provides transitional employment opportunities for parents as well as creating a strong sense of community ownership. Volunteers may act as breast-feeding or cooking buddies, as befrienders or help out with holiday activities. They are given general 12 week training and provided with an induction pack. Many go on to paid work, 19 volunteers went into training last year and more than 40 local parents have gone on to further training or employment. Gina is the training co-ordinator, co-planning courses with partner training providers. Some element of basic skills is embedded in most courses. Courses are funded by various agencies, including Jobcentre Plus and co-delivery of courses saves costs. Last year 20 parents achieved Level 1 qualifications and fourteen achieved at Level 2. In her view, the motivation among parents to undertake training is often for the benefits of self-esteem and of being engaged with their community, but there are tailored progression routes available for all and Gina is currently researching sustainable employment opportunities within the Rossendale area. A health-led parent empowerment programme, based on a methodology developed by Walter Barker provides out-reach visits on a monthly basis, for one year. The methodology builds on parent's strengths, avoids criticism and empowers parents to develop their own parenting solutions. Parents say that they have a better awareness of their children's needs and can cope better with their behaviours. The centre has what it believes are robust monitoring and evaluation systems, has the ability to track families via its database and has produced flowcharts of their journeys and the outcomes achieved. Evidence of effectiveness spans a wide range of outcomes, from breastfeeding and birth weight to parents gaining qualifications and/or employment, becoming independent of drugs and alcohol and generally feeling better, more confident and more able to cope. Evaluations ensure evidence is gained in a variety of formats. As an example, the effectiveness of baby massage was tested by collecting baseline evidence and then followed up at 6-8 weeks, 3 months and 6 months. There is a Parent Forum, shortly to be re-launched and two parents serve on the board. The nursery and community cafe, which are constituted separately as a social enterprise, provide further opportunities for parents to gain and exercise governance and management skills. The centre did not arrange a parent focus group but there were many opportunities to talk to parents, both individually and in small groups. Some of them talked about the value of meeting other parents. For many, the opportunity to volunteer and to receive training was the single most important aspect of the centre. One parent came along most days simply so that her child could use the soft play available in the cafe area. The Maden Centre reaches many families who would in any context be described as highly disadvantaged, can furnish evidence of its cost-effectiveness and can describe its considerable achievements whether in terms of smoking cessation, abstinence, breast feeding, volunteering, adult qualifications or involvement by parents in children's play and learning. It does not reach all highly disadvantaged families – there are obvious resource implications – but, with support, it has the strategic capability to do much more. The HOPE Centre, Bromyard, Herefordshire Bromyard is a small town in rural Herefordshire – set in the most beautiful scenery and countryside. However, its lack of services combined with low wages for the limited employment that does exist in the area, means that it is a classic example of contemporary rural poverty and is currently part of a study by Bristol University's rural media team. HOPE (Holistic Opportunities for Play and Education) was started in 1999 by two parents as a playgroup in a church hall, where Sheenagh Davis, the present Head of Centre first became involved. She and her husband subsequently developed the play group into a more wide-ranging project including young people, which in turn started to involve young parents. HOPE became designated as a "Mini-Sure Start Programme", is now a children's centre and registered charity in a new building, funded partly by Sure Start and partly with European money. Bromyard was hit hard by the foot and mouth outbreak and much of the agricultural work which provided a way of life has been eroded. It is a tight-knit community, but a number of families re-housed in the area have brought with them heroin usage and links with dealers. HOPE also works with both traditional travellers families, who have their roots in the area as well as with newer travellers. HOPE provides a playgroup, offering sessional education and care at very low cost – Sheenagh believes most parents don't claim tax credits because they are 'too complicated' and because people fear that they will be reclaimed the following year. Phase two of the centre, will include a new nursery for babies and under 2s, but it will continue to be called a playgroup to preserve continuity. There are also a range of classes for parents, including baby massage, IT, Driving Awareness, Healthy Living, Sewing, Children's Language, Parenting and Self-Esteem. At the heart of the centre is family support, indeed the main aim of the centre is to be like a family, using a transactional analysis model, where boundaries are clearly drawn, but child-like behaviour tolerated and understood, up to a point. A core belief is that the key to successful working with hard to include families is that of continuity and long-term commitment. The 'huge mixture of parents' who use the centre is regarded as a strength, with the involvement of some middle class parents providing balance. Sheenagh's personal involvement with parents is evident – and her support is wideranging. From time to time, some parents may use the centre for supervised contact sessions with their children, or as a personal refuge; many use the family room and take courses. Where necessary, Sheenagh will become involved as a supporter and advocate for parents with a range of other agencies. Given her own investment in ensuring continuity for families, it is not surprising that the most frustrating and disruptive influences that she experiences are the apparently rapid turnover of key staff in the structures that she deals with and funding issues. With a ratio of 1:4, the playgroup has good staffing levels and as a designated children's centre, they also have the input of a qualified teacher to support the delivery of the Early Years Foundation Stage. Two family support workers provide an outreach service to parents. They have their own house-keeper, who does the cooking and cleaning – and they grow and eat their own vegetables. They are linked into the Hereford Literacy Project bank of tutors who deliver courses on site. Phase two will also include live-work units to provide training and employment opportunities. Families hear about the centre from leaflets and posters, from other agencies and from the local newspaper, but mainly by word of mouth. One of the challenges for a centre like this, in a small community, is that disputes between neighbours and dislikes between individual families can be significant. The centre can also 'get a reputation' by being perceived by others in the community as a place for e.g. drug users. All of this is monitored carefully and good external communications are seen as a priority. The centre is reaching very disadvantaged families, but is unable to evidence this in statistical form as the responsibility for monitoring is held by the local authority. Herefordshire developed a comprehensive monitoring form which HOPE filled in for a long period, but the local authority never collected them. The only data now required is postcodes. None of the parents were involved in the community before the centre existed, except as young people in the now defunct youth club. One, the eldest daughter of a traveller family, who has six children aged between 3 and 16, had left school at 11 and – accompanied by her 16 year old son – is attending the centre for English language classes. Her son had additional needs which his mum said had 'never been picked up'. Another parent is a mother of three, her eldest child is in the playgroup and she has one year old twin girls. She was a trained welder, working locally until the factory closed down, but she left school with no qualifications and had significant literacy problems. She is now studying for her GCSE English and her ambition is to train as a counsellor. She is adamant that she would never have been able to access this course without HOPE. Parents describe the centre as a neutral place where you have the chance to talk and to find your way to help. They also value the centre on behalf of their children, because they feel that it offers 'early identification of problems – like speaking difficulties'. Work is not easy to access as transport problems for those without cars are acute. Parents say there are no work opportunities in Bromyard and they are critical of the lack of facilities for families. Asked what it would mean for them if the centre was not there, the word used was devastation; they said that they would be 'climbing walls', 'talking to cats'; one said she would be 'depressed – I can understand why people turn to drink'. In terms of the future, they said that they wanted their children's education to be better than theirs had been; that they wanted to see Bromyard change. Asked if they could make a contribution to that change, they said, on reflection, that they might. 22 Sure Start Broad Green: Croydon Broad Green is a Wave 2 Sure Start programme, which has developed a multi-site facility to deliver the children's centre core offer. More than 300 families use the service, among whom the main users are from the Tamil community, followed by white and Black Caribbean. Broad Green has the lowest life expectancy of any of Croydon's wards. Unemployment is higher than for London as a whole. Education and skills deprivation among adults is higher than in the rest of Croydon or in London as a whole. More than half of Broad Green's population is black minority ethnic. The high street Play Zone ball-pit is a Stay and Play area, and the venue also provides baby clinics and breast feeding advice. It is open and staffed 7 days a week, with the ball pit available to all Croydon residents at the weekend. There is a well-attended Fathers Group which meets independently from the rest of the centre activities on a Saturday morning. Broad Green provides the full core children's centre offer including health-related workshops, basic skills for parents, volunteering opportunities for parents and family support and outreach. The Stay and Play group is contracted to the Pre-school Learning Alliance, which also manages the Learning Through Play sessions on the Kingsley Road site. The centre is highly focused on family support. There are close multi-agency links with Health Visitors, Midwives, CAMHS, Welfare Benefits advisers and with Croydon Education Service, the Stay and Play sessions act as a doorway to specialist services on other sites. Beverly Noble is the Programme Manager for Broad Green. Her background is in Social Care and Health and she was responsible for developing the family support strategy for Early Years Centres at Lewisham before taking on the role in Croydon. She believes in 'a very holistic approach' to family support and sees the Play Zone as providing the opportunity to 'normalise the concept of providing information, support and advice to parents, within which we have a strategy for vulnerable families'. Their engagement with 'difficult to include' families includes working with ethnic minorities, asylum seekers, refugees, families with mental health difficulties, single parents, teenage parents, and male carers. The main problems which families face are described as language barriers, low self-esteem and confidence, isolation and no social networks. The centre provides interactive play and language groups for parents and children, parenting support, IT, English and Family Learning classes, and individual advice and support in practical, educational and parenting issues, through direct access to professionals working within these fields. Close partnership with health visitors allows the programme to identify families in need and wider co-operation with provider organisations, like Croydon Education and Training Service CETS, CAMHS, Well Care, Speech Therapy, ABC Project (behaviour advice) and the Welfare Benefit Project, enables the programme to provide the broad services required and to engage with harder to reach families. The family support programme also includes an out-reach team, and a parent coordinator, whose work is specifically designed to reach more vulnerable families. Broad Green has a systematic approach to identifying and developing services to those most in need because they have been able to bring other professionals and agencies alongside. The Tamil community form a majority of their users and many specialist resources are directed towards ESOL and Learn and Play sessions in very small groups away from the main base. The centre is professionally led. The monthly Family Support Panel is a crucial part of the service, because it brings together those professionals to 'think together' about what has to be done. The links with CETS are important, allowing families to access English classes, organised by CETS and the Family Support Team, which includes the outreach team, who themselves speak a number of languages and have the benefit of a Tamil interpreter. Nechama, the Family Support Co-ordinator, has been at Broad Green for six years. While she acknowledged her commitment to universal services, she is clear that her emphasis was on 'vulnerable families', who are referred to her by Health Visitors and linked through her to specialist services and follow-up. Meticulous data collection procedures are in place for usage of services; and there are robust review processes for tracking activity around families who are deemed to have the greatest need. However, evidence on impact and outcomes is not available and Beverley feels that it would be difficult to accurately assess impact 'unless there was a much more prescriptive role' for the programme. In addition, the centre had not been in a position to evaluate their programmes because of lack of funding and the pressure to develop services rather than measure impact. She feels that the new children's centre guidance and performance management system would 'provide the tools…to help measure the impact of change' and 'we need someone to pull it all together and separate funding to ensure independence'. With hindsight, it is felt that evaluation is impossible without more baseline information than was currently available and which should include more about the parents, their states of mind and their skills. Discussions took place with individual parents using the Play Zone. A grandmother who heard about the centre through home visiting to her daughter uses the Play Zone frequently 'so that my grandson can meet other children.' Other parents, there with their own children, said that they used the centre as much as they could because of the lack of other facilities locally. Sure Start Carlisle South Sure Start Carlisle South operates across 4 wards, two of which are in the 10% most deprived, but all suffer from deprivation. The area is characterised by mainly social housing, poor health and a general lack of facilities. Within Carlisle as a whole, Carlisle South is an unemployment hotspot, particularly for men. A number of jobs have been lost e.g. in food manufacture and much of the work which is available is seasonal e.g. tourism. Carlisle has just been designated as a learning city but the level of success in secondary schools is poor. There are plans, currently, to close several local secondary schools and replace with a city academy. Crime rates are high; vandalism is a problem, there is a drug and alcohol problem and teenage pregnancy rates are higher in Carlisle than in the rest of Cumbria. An award-winning centre, Carlisle South was a 4th wave programme, approved in 2001. There are now 42 members of staff, involving 8 employers. The work is categorised into health support, childcare, family support, play and community support. Nearly 300 families use the centre. Very few come as referrals, as the policy is to make activities open to all and the use of the word referral is discouraged. Lynda Hassall, the Head of Centre sees their work as being, essentially, about community development. We (the staff) don't live in this area.We see our role as trying to help the community to become strong enough to solve problems. Parents who come, often feel empty, we help and try to empower them. Lynda took the decision to invest capital in existing community facilities in each of the four wards rather than creating a separate Sure Start building. In this way, Sure Start is threaded through other services. She had seen the value of a community development approach in Barrow and saw how well that worked. Sure Start was an opportunity to do things with people rather than to people. The centre attributes its success in reaching very disadvantaged families to a very extensive consultation which took place prior to Sure Start being established. The consultation had taken place in community centres, shops, clubs, schools, pubs and other centres. A key thing people wanted was the opportunity for local services. Up to that point some health and other specialist services, e.g. speech and language support, were available only in the city centre, difficult to access for those without private transport. People were also fed up being asked what they wanted and then nothing happened. Sure Start responded to this by developing toy and book lending and maternity and health clinics services available locally. They have worked intensively to do what they have said they will do; to keep people informed about progress and through these and other means to try to build up trust. Responding to local opinion is regarded as important. For example, plans for outdoor play locations were dropped in favour of indoor play areas, because that's what people wanted. Carlisle South provides the full core offer and also provides basic skills and other informal and vocational training opportunities, family outreach, volunteering opportunities and jobs for parents. The centre works with more than 30 partner organisations, including training providers, Jobcentre Plus, Credit Union, housing associations, CVS, Connexions and Arts organisations. A particularly innovative scheme is a traineeship programme for parents, providing both training and work placements. The numbers are quite small, which ensures that trainees can have proper support. Many trainees are able to use this as a stepping-stone to employment. However the take up of learning and training opportunities by parents as a whole is considered to be very good. There are five part-time family support workers, two of whom are former parent users. Poverty is the main problem, with so many families dependent on benefits or low-paid temporary work. The housing stock is in a poor condition and many families with drug and alcohol problems live in Carlisle South. Parents with mental health problems are difficult to reach, but the Sure Start Family Worker often gets access where other services don't. A drug and alcohol outreach project is about to get underway. Support for parenting is "built on strengths" and a working agreement with parents is formed at the start, covering the aims of the involvement. Family support staff go with people to appointments where that is needed. There is a Dads worker and this is reflected in the involvement of fathers in the Parents Forum, a Dads group and in other activities. A course for fathers is being validated. Progression for parents has been thought about, carefully, with activities sensitively selected, from an initial visit by a parent, to the centre, through various stages, to a fuller involvement. The community development approach is seen as key to successful reach. Strategies have included going out to where people are – clubs, pubs, shopping centres, school gates; free gifts and parties – e.g. baby weaning; a befriending/buddy system for first timers; baby photographs and using taxis to overcome the difficulties of local transport. Communication skills are regarded as very important – being able to talk to people but not talk down to them – staff have been recruited for having the right skills and training is provided. The parent trainee scheme and other opportunities for parents' involvement mean that local people are part of the delivery model. This highly successful centre is reaching some very disadvantaged parents. There are first contact forms, which are completed and logged into an electronic system and information about each activity and event is recorded, using hand-held PDAs. However, gaps in staffing have meant that the centre has not been able to use the system to obtain analyses of user profiles. Courses, workshops and other activities are evaluated, on a routine basis. Outcomes are illustrated through the development of case studies. Parents are highly supportive of the project, which they also see as helping the community to help itself. One parent points out that seeing her studying has changed her son's attitude to school. Two members of the Parent's Forum are about to begin their traineeship and have already gained qualifications which they say they wouldn't otherwise have. A number of them are lone parents. They believe that there is more to be done to raise awareness in the local community about Sure Start and they want to help with this. Sure Start is seen as a friend, but also as a catalyst for aspiration. This is one of the main things they feel they have gained, along with confidence. Parents have also become active in other community organisations and one or two are involved in the campaign to keep the local secondary school open. They talk with pride about being confident to attend meetings and about finding their voices. Some of the parents are former trainees. One was a former drug user. She says "Sure Start has taken the place of drugs". All failed to get qualifications while at school – for a wide range of reasons. All want to work and some are working. One parent describes living on benefits and getting into debt after the breakdown of her relationship. With Sure Start's help she studied and went to university and is now buying her own house. Parents also see the value to the centre of their involvement – those who are working within Family Support comment that other new parents "see that we are normal people". Discussion This study provides an overview and analysis of four children's centres considered to offer good or best practice. Three of the centres are former Sure Start programmes, while HOPE, a voluntary organisation and charity, was a former Mini-Sure Start local programme. All have developed their ethos, services and style of delivery according to local circumstances and the views and values of staff and other stakeholders. All of the centres have established a track record in delivering multi-agency services to and for children and families in their respective localities and have, in each case, formulated innovative strategies to engage and assist families suffering a range of adversities. All have been successful in reaching a number of families who would be considered "difficult to include", giving thought to and overcoming the practical and other barriers which might prevent those families using the various services on offer. The style and content of services has been developed in response to local needs, as these have been expressed through a variety of consultations and feedback mechanisms. The configuration of services on offer in each has been predominantly influenced by the experience and instincts of those leading the delivery, together with a degree of trial and error about "what works". Best practice has been developed in relative isolation from other Sure Start children's centres and from the central Sure Start Unit. Collectively, they show that the Sure Start model does work. In their diversity of approaches, the centres also lend weight to the claim that Sure Start, far from being a defined intervention constitutes a large 'family' of programmes that involve as much diversity as commonality. 26 30 Are centres reaching the neediest families? The centres have confidence that, through close working with health and other services, through befriending schemes and word of mouth, they can identify families who are most at risk and actively prioritise those cases for engagement and family support. From the interviews and focus groups which took place with parents and from case studies and other descriptive material provided by the centres, it was clear that all centres have succeeded in involving and helping families who are struggling with acute problems, which, variously, include poverty and debt, marital violence, isolation, alcohol and drug dependence and mental health issues. Many of those families might present the profile of five or more risks suggested by the Social Exclusion Task Force as a definition of persistent and extreme deprivation, but this is not something the centres would yet be able to analyse or quantify. One reason for this is that the Task Force report is a relatively recent development, but a more general reason is that the initial registration process is not robust enough to capture this information. This is discussed, further, below. It is unlikely that the centres are reaching all of the families in their areas which might most need their services. Funding and staffing levels are one explanation for this. Some of the work with families is intensive and it appeared that out-reach teams are already working at full capacity. In at least one centre – the Maden Centre – services such as the creche, which had previously been funded from Sure Start grant, may soon be dependent on full cost recovery. With funding for former Sure Start local programmes already tapering and likely to reduce further "reach" is, logically, unlikely to grow. There is now a wider roll-out of new children's centres, on significantly smaller budgets than those currently available to former Sure Start local programmes. On the evidence of the case studies, the capacity of this wave of children's centres to address the needs of very disadvantaged families may depend, substantially on other mainstream agencies and budgets – a pooling of resources which in some areas is not yet established. It is possible that more resources than are currently allocated for the children's centre programme are needed to ensure that it can meet its objectives. In acknowledgement of this, the Department for Children, Schools and Families has recently announced a cash injection of more than £4billion to children's centres, early years education and childcare, which will include additional funds for out-reach workers. However, where, despite this, high-achieving Sure Start children's centres are faced with tapering levels of funding, the pressures to attract and retain a more middle-class clientele, who can afford to pay for services, will almost certainly increase.Where this occurs, the Department for Children, Schools and Families should take steps to evaluate and monitor the capacity of those children's centres to reach those families most in need. Successful Reach Strategies In fulfilling their objectives, these and other centres are attempting to counter a multiplicity of other influences within their neighbourhoods, whether in relation to eating habits, smoking, alcohol dependence or other lifestyle choices. These influences are visibly reinforced by the preponderance of fast food outlets, pubs, by a lack of affordable fresh food, sports facilities and places to meet, by unemployment and by ready access to recreational and other drugs. The implementation module of the National Evaluation of Sure Start has studied the main ways in which Sure Start local programmes 31 identified and engaged families. Common methods included low-level marketing techniques like leaflets and posters, referrals from health visitors and other agencies, access to a centralised database of families and dedicated Sure Start workers. Overall, programmes reported that a central database was the most effective means, but not all enjoyed this access. 27 Within this study, centres used all of these methods, but a main source of new users is by word of mouth. The centres which have been most active in taking the message out beyond schools and health clinics to places like shopping centres, pubs and clubs seemed to have achieved the greatest degree of success. Other ideas or strategies which were reported as being successful include: * extensive community-led consultation; * employing local people in staff and volunteer roles; * working with and through partner agencies to engage particular target groups; * incentives such as baby photos, weaning parties and gifts; * co-locating health services like ante-natal appointments; * services which offer value to families on restricted incomes – community cafes and toy lending schemes; and * willingness to learn from the community. Carlisle South believes that by investing in existing community facilities, rather than a separate Sure Start building, it has made it easier for people to access its offer.The Maden Centre's community café can be accessed from a side entrance, without the need to use the main door, while in Croydon, the ball-pit area is open to and used by many families at weekends. The use of specialist workers – e.g. for fathers – or bilingual support workers is, not surprisingly, associated with an increased access by the groups targeted. Befriending "buddies" who attend with new users was reported by two centres as an effective means of engaging less confident parents. Most of the parents interviewed said they had come along, initially, because of the recommendation from a friend, or because their health visitors had suggested it. Parents also reported that having services which they feel entitled to use, like ante-natal appointments, makes it easier to cross the threshold. The reach strategies adopted by these successful centres have been implemented in a particularly thorough way. Some of the community consultations, for example, were extensive and highly structured, utilising focus groups, out-reach and public information campaigns, as opposed to more limited surveys. Centres know their communities well, staff are knowledgeable about the effects of poverty and understand that the lives of poor families can become chaotic for reasons beyond their control. By making a very sustained effort to find out and then delivering what families want, they have secured the trust of their communities. Achieving high visibility for the work and value of childrens centres, particularly among those who are most remote from services, requires motivation, painstaking research, rigorous planning, effective communication and a range of professional skills and expertise. Children's centres which have not yet formulated their strategies may not have ready access to this range of skills and expertise. As a starting point, the Together for Children Toolkit for Reaching Priority and Excluded Families offers a highly valuable planning resource. The Department for Children, Schools and Families, however, should take responsibility for the identification and dissemination of best practice in the design and implementation of strategies for reaching those most excluded. 32 Evidencing Reach Although all centres use some form of registration for new parents, it was not, as noted, inclusive of all of the information which would, ideally, be required to assess whether they are engaging those children and families most at risk nor, for a variety of reasons, is the information which is collected necessarily analysed in the form of user profiles and trend reports. We have the information, but there is nobody at the moment who can use the software We could and should analyse this information, but we know we are doing all we can to reach out to the community All centres make efforts to track users, but the sophistication of the methods adopted vary considerably. Only two centres use local demographic data to benchmark their user profiles and those two were able to supply information about the numbers of parent users by age, marital status and ethnicity. Only one centre was able to supply information in respect of the numbers of parent users with children with additional needs. The self-evaluation form provided in guidance requires children's centres to analyse users by ethnicity, marital status, disability indicators, the percentage of teenage mothers and the proportion of children living in workless households. These are relevant categories, representing key target groups for children's centres but will not, alone, indicate whether children's centres are reaching families experiencing more extreme deprivation. The Guidance on the Early Outcomes Duty reinforces the need to do more to identify excluded families, to encourage them to take up services and to help to break the cycle of deprivation. Within this context, local authority data analysis is seen as essential for assessing the reach, appropriateness and quality of services. If children's centres are to achieve their objectives, they need to capture detailed information about their users, both at the point of first contact and at subsequent intervals. Only by this can they demonstrate both that they are engaging the most "difficult to include" and offering them services of value. To assist with this process, it would be helpful for the children's centre Performance Management Self-evaluation Pro-forma to be brought into closer alignment with the factors which are associated with severe deprivation.The development of a model registration form would help to ensure that childrens centres have sufficient baseline information on which to plan and evaluate their performance. What types of support are offered to families? The four centres deliver a similar mix of services, which includes early education and childcare, family out-reach, support for special needs and a variety of adult learning opportunities but, beyond this similarity, the model of a children's centre is nuanced in very different ways. While this may simply indicate different local circumstances, it appears also to reflect the differing ideas and value systems of those leading the work. As Sure Start local programmes, those responsible for leading and delivering the work were able, within certain broad limits, to invent their own version of Sure Start and the differences of approach have been taken forward into children's centre delivery. In response to the question of what was the single most important driver for their work, the responses from the Heads of Centres varied: Parents need information.We help them find it We try to build self-esteem. That is the most important thing we do We want to empower parents. Sure Start is about regeneration 33 The issues faced by parents arise, not from an isolated incident or event, but from years of emotional or physical abuse… a first requirement for us is to deliver support over the long-term HOPE operates within a model of "the good family", emphasising continuity for its members and providing, as good families would do, warmth and support for aspiration and education. In keeping with this, the centre engages with its users in a highly personal way. All aspects of the centre and service reinforce this – in the design and materials of the building and the high staff/child ratios. There is day-to-day access to the Head of Centre, who is highly visible at all times and there is evident reciprocity among the families, who help each other in a variety of ways. The parents who use the centre look and say they feel 'at home'. They described it as 'friendly and welcoming', 'a lifeline'. Without it, they would be 'devastated'. Broad Green feels less intimate, but has created a more sophisticated set of structures to deliver the offer to a much bigger catchment area. An initial visit is offered to all families who join the programme, when they are taken through a "check list" of the services on offer. The priority is to universalise the provision of information, support and advice, in order to reach vulnerable families. The centre works very closely with its partner agencies, pooling intellectual and other resources. The model here is of a service hub. In contrast, the adopted model for Carlisle South and the Maden Centre is one of community development and there is more emphasis on supporting parents to move towards employment. The term vulnerable families would be less likely to be used, because there is a more defined focus on the structural problems of the area, whether unemployment, poor housing or education and skills deprivation. In these centres, the style of the model appears more democratic; parents play a more active role as volunteers, helping to deliver the services and a wider range of community organisations are active partners. What is immediately relevant is the observable way in which the values of those leading the delivery influence the perspectives held by parents and the aspirations which they go on to develop. For example, within two of the centres, helping parents to gain employment, or to become volunteers, was not regarded by staff as a high priority and this view was shared by the parents themselves. In the other two centres, where there is a marked emphasis on supporting parents to gain qualifications and to move towards volunteering or employment, parents relate this as very important, for some providing almost the whole purpose of their involvement. In all centres, best practice involves highly differentiated and personalised planning for individual parents, built around their specific circumstances and needs, whether in relation to support for particular family difficulties, or involvement in centre activities, learning or volunteering opportunities. The concept of progression was very evident, each parent moving through a continuum of involvement at the pace which was most appropriate. The capacity to plan and provide for progression for parents is sufficiently important to be part of the training of the children's centre workforce. Care needs to be taken, to ensure that in trying to help families, children's centres do not fall into the trap of unintentionally limiting opportunities on the basis of narrow judgements about what is best for them. The values and ideas of those leading children's centres shape the model of what a children's centre is within their localities. The model of early education and family support within a broader framework of building individual and social capital appears to be particularly successful and merits further evaluation. 35 Evidencing outcomes Within the confines of this study, it was clear that some very positive outcomes are being achieved for families, but that these can't always be fully captured, quantified, or related to particular inputs. Each of the centres collects relatively large amounts of data, but isn't necessarily able to use it in a completely effective way. Each has strategies for developing their services on the basis of feedback mechanisms, review and comments from parents, but the centres varied in the extent to which they were able to capture and articulate outcomes. Staff know parents well and are assessing progress on a continuous basis, but this information may not be fully recorded. Much of the information children's centres are required to record relates to parents attending particular activities, rather than the outcome of the activities and this is a feature also of the national performance framework for selfevaluation. Three of the centres make extensive use of case studies to illustrate outcomes for parents. Two were able to provide more specific outcome information, in respect of smoking cessation, attendance at ante-natal visits, breastfeeding, qualifications obtained by parents and numbers moving into employment, and many of these outcomes were highly impressive. However, positive as these results are, the drawback to this type of reporting is that, without adequate baseline information about the starting points of parents, it is not possible to assess fully the value added, nor does it capture incidental gains and outcomes, e.g. parents who fail to gain qualifications, but acquire confidence by attending a course. Among those parents who do use children's centres, some may make only limited use of perhaps one service whereas others become involved across a spread of activities. The concept of a "continuum of access" has been articulated from findings from the implementation module of the National Evaluation of Sure Start. It would clearly be useful to understand better and to be able to capture the full range of benefits associated with such a continuum, but this would require appropriate evaluation tools. Soft outcome measurement would provide such a means and would have the benefit of measuring progression. Some parents, finding a taste for learning, go on to do all the courses available in a particular centre. This is not necessarily a good thing if progression is not considered or provided. As children's centres offer an increasing range of learning opportunities, whether informally in groups or workshops, or as more formal courses, they will need to consider appropriate progression, built round the needs of individual parents and to ensure the quality of the learning offer. Soft outcome measurement can also help those who lack confidence to have evidence of their achievement and can be used alongside "harder" outcomes. Soft outcomes are those that cannot be measured directly or tangibly, such as: relationship skills, increased confidence; organisational skills, time management, or problem solving. They can also include skills which have been gained, but which do not constitute a "hard" qualification. When discussing soft outcomes, the term "distance travelled" is used. Children's centres need to be better able to assess the outcomes that are achieved for users, both generally and for particular target groups and to be able to relate these, as far as is reasonably possible, to particular interventions or inputs. Better tools are needed for them to do so than are currently available. Local 36 authorities and their partners are responsible for monitoring perfomance in this area, but the Department for Children, Schools and Families should commission and disseminate an appropriate framework, taking into account the current Performance Management Selfevaluation Methodology. Best practice might be served by the development and inclusion of a soft outcome framework. Skills and Leadership From the evidence of the case studies, the skills and knowledge required of front-line staff are both wide-ranging and variable, sometimes requiring specialist knowledge e.g. of mental health issues and at other times generic. These would appear to be best served by a flexible unit-based framework. The new National Professional Qualification in Integrated Centre Leadership (NPQICL) is a level 7 post-graduate qualification, recognised as the appropriate qualification for a head of a children's centre. In addition and as noted, Parenting UK and others are leading on the testing and trialing of units of assessment and qualifications for those who work with parents. However, in all four centres, the expertise and depth of experience of those leading the work is very considerable and this must be a critical factor in their extensive achievements. It would be difficult for any qualification to provide benefits comparable to this level of experience. In the wider roll-out of children's centres, effective use of high-achieving centres could be made by utilising them in a consultancy role to others at an earlier stage of development. On the evidence of the studies, a critical requirement for reaching the most disadvantaged families is an understanding of poverty and disadvantage. Training to provide skills and knowledge in this area should be part of the updated strategy for the children's workforce. The National Standards for Children's Centres set out the key areas of responsibility for heads of centres. These include the responsibility to: Help parents overcome barriers such as lack of confidence or poor basic skills and support them to take decisive action to return to study, training and employment 28 As the case studies illustrate, in disadvantaged areas, the proportions of adults lacking Entry Level or Level 1 and 2 qualifications are very high. Without ready access to learning, their capacity to support children's learning or genuine choice to move from benefits into anything other than low-paid work will be more limited. Examples of successful strategies used by the case study centres have been described above. The evidence also indicates the wider benefits, in terms of parenting, family relationships, health and well-being, for those who make the transition into study. The centres in the study are unusually pro-active in encouraging and providing access for parents to skills-related and other learning.The Department of Children, Schools and Families should raise the profile of this objective, with Together for Children collating and disseminating good practice of the kind described here and providing any further suppport and guidance which may be necessary for centres to make these opportunities more widely available. Coping with poverty or curing it? Sure Start was conceived with the aim of helping to reduce poverty. If it is to achieve its aim, support for parents to gain employment or to move into better paid work must have a higher priority and children's centres will need to ensure that they have effective links, not only with Job Centre Plus but with employers and training providers. This is not to argue against further tax and benefits changes which would also address child poverty, or to suggest that unemployed parents should be pressured to take up employment or that paid work is feasible or desirable for every 37 parent. Rather, it is about giving parents a meaningful choice to work if they want to. In many cases that will be at the point when their children go to school but, as the case studies show, effective children centres can, while children are still very young, support parents to take the first steps towards that choice. The importance of employment goes beyond the material benefits for families, significant as those are. Children who grow up in workless families, where long-term unemployment is the norm, may be cut off from positive role models which would help them to develop confidence in their own futures. Many of the parents in the study emphasised the importance, for their children's attitudes and behaviour, of their own growing confidence and the fact that they were in work. This is confirmed by research which suggests that employment programmes for parents, where these are associated with income gains, result in better school outcomes for their children, particularly for children aged 4-5 years. 29 In addition, evidence from programmes like The Minnesota Family Investment Program show that appropriately tailored schemes can result in improvements for families and better achievement for children. Support for employment should be closely integrated with the core children's centre offer and those leading centres should be pro-actively engaged in ensuring that this is a priority for delivery and that parents are given sufficient personal support when moving through programmes of vocational or other training. Innovative strategies like the trainee scheme in Carlisle South and Maden Centre's Achieving Together Workshops should be widely disseminated. Children's centres are also employers and consideration should be given in employment policies to the scope for training and employing parents. Benefits disregards should be considered as a means of providing transitional employment opportunities for parents on supplemented benefits. Linking with appropriate business partners, centres could also provide support for co-ops and self-employment. Parents as Co-producers Should parents have a role in the delivery of services? The extent of this varies in the four case study centres, but where it is most developed and where parents are trained and prepared for their roles, staff felt that it was a key factor in the success of their delivery. Children's centre guidance stresses the importance of all parents having every chance to get involved, have their say and secure what is best for their children, although the main role envisaged is in governance or participation in consultations. 30 Governance may not be the best way of involving highly disadvantaged parents. Governing bodies tend to most easily attract more middle-class parents, already well-placed to articulate their needs. This is acknowledged in the Guidance for the Early Outcomes Duty, but only to the extent that it is suggested that less confident parents might be involved in forums and focus groups. Hidden Work, a report from the Joseph Rowntree Foundation, describes the ways in which other public service agencies have adopted coproduction, that is, involving their beneficiaries as partners in the delivery of services, with the intention of improving their lives and also strengthening the reach and effectiveness of the services. 31 The report concludes that co-production can help to break down barriers, improve individual lives, increase social cohesion and develop the relationship between public service institutions and the communities they serve; but, to be successful, requires some blurring of boundaries between provider/user roles and is also dependent on shifts in the role of professionals, operating less as "fixers" and more as facilitators. 30 Governance guidance for Sure Start Children's Centres and extended schools, DfES 2007 31 Hidden Work Co-production by people outside employment JRF 2006 38 The same principles are adopted, across Europe, to tackle persistent social exclusion by engaging people in solving local problems and by encouraging mutual help and solidarity. This has come about through the recognition that the complexity of social problems makes them resistant to standardised solutions. 32 In those centres where parents were actively involved as delivery partners, there was an observable sense of ownership for the aims of Sure Start and a greater feeling of entitlement, that this was something which belonged to the community. Children's centres will be more effective where their local communities are persuaded to accept and back the need for change. Co-production, which involves the beneficiaries of public services as active agents, is a model which is worthy of exploration. Further research is needed to test the effectiveness, in the medium and longer term, of using parents as children's centre delivery partners. Conclusion In what was a limited qualitative analysis of a small number of children's centres, the study found that they are reaching highly disadvantaged families and have well developed strategies for meeting the expressed needs of those families. The study raised a number of more general questions about the children's centre initiative and its capacity to deliver on its policy objectives. The most important of these is whether it can deliver its promise to reduce poverty and improve outcomes for children. In relation to the latter, it is well established that high quality early education can enhance children's development and act as compensation for other factors which could compromise satisfactory outcomes. 32 Borzaga, C and Defourney, J. (2001) The Emergence of Social Enterprise in Europe. Routledge. This element of the children's centre offer can, with some reasonable degree of reliability, be expected to work. The Early Years Foundation Stage has been carefully researched and developed over time. The inputs required from practitioners have been mapped in considerable detail and there is a direct relationship between inputs and outcomes through the Foundation Stage Profile, on which all children are scored on personal, social and emotional development and communication, language and literacy scales. In relation to the work of children's centres with parents, there is less clarity about what the key inputs are, what are the relevant outcomes, even what the main priority or purpose of some activities might be. Are they about building family capital, social capital or both? Some discrete elements of parenting programmes, it is true, have been rigorously evaluated and further work is in progress, although, as evidenced by the recent publication of a themed study of family and parenting support in Sure Start local programmes, there is considerable diversity in the nature of what is being offered, with a majority of parenting programmes being designed locally, in some cases without an explicit format or training for delivery. 33 The current focus on supporting parents to be involved in their children's early learning is also well grounded in independent research about the influence of intergenerational learning. However, as with more general parenting programmes, the focus is the relational behaviour between parent and child as distinct from the economic needs of disadvantaged families and it is not clear that such programmes will have any direct bearing on poverty reduction. 39 An element of confusion also pervades much of the policy and guidance – which emphasises the need to reduce poverty and inequality but often emphasises parental deficit – those parents who have lost, or never had, the capacity to parent responsibly – without placing this in the broader context of unemployment and/or poor skills and the resulting effects on family well-being. The different approaches of the centres described here are reflective of those varying and occasionally inconsistent perspectives. This is not to suggest that children's centres should aspire to a standardised and rigid delivery model, rather it is to suggest that more needs to be learned, if success is to be achieved. But in the longer run, the success of the initiative will depend most on the people on the ground, working with families. Poverty is a pervasive and life-compromising experience. In the best of the centres visited here, those leading the delivery were not diffident about giving poverty its name and had engaged their communities in a process of regeneration which had the capacity to transform the economic and social landscape, as well as to change the lives of individuals. In this uncertain context, these would seem to be good leads, worthy of follow-up. Project Advisory Group Alan Wells OBE (Chair) Former Director Basic Skills Agency Geoff Bateson MBE Core Skills Manager, Birmingham Core Skills Development Partnership Mary Crowley MBE Chief Executive, Parenting UK Val Gillies Senior Research Fellow, Families & Social Capital Research Group, London South Bank University Gill Haynes OBE Director, Capacity Annabel Hempstead Former Deputy Director, Basic Skills Agency Pauline Henniker Chief Executive, Play Matters (National Association of Toy and Leisure Libraries) Margaret Leopold Department for Children, Schools and Families Margaret Lochrie Director, Capacity Neil McLelland OBE Former Director, National Literacy Trust Adam Micklethwaite Department for Children, Schools and Families Sue Owen Director, Early Childhood Unit National Children's Bureau This short study focuses on four Sure Start children's centres selected as models of good practice in terms of engaging with and securing better outcomes for those families suffering the most extreme forms of economic and social disadvantage. The strategies adopted by those centres are analysed in depth, offering valuable insights into "what works" as well as ways in which differing models impact on delivery. The study also offers a broader critique of the challenges facing children's centres in reaching those most remote from services and suggest ways in which the impact of the programme – as a tool for combating poverty and improving outcomes for all children – might be strengthened. Recommendations include an improved infrastructure to help parents to move into employment; better systems for tracking users and measuring outcomes; and training for staff to help them to engage and meet the needs of those most affected by poverty. www.capacityltd.org.uk
PubH 6933-001 Nutrition and Chronic Diseases Spring 2017 Credits: 2 Meeting Days: Wednesdays Meeting Time: 12:20pm-2:15pm Meeting Place: Mayo Bldg & Additions D199 TCEASTBANK Instructor: Lisa Harnack Office Address: West Bank Office Building, Suite 300 Office Phone: 612-626-9398 Fax: 612-624-0315 E-mail: firstname.lastname@example.org Office Hours: available by appointment I. Course Description This course covers issues in nutrition and public health, with an emphasis on how nutrition research is translated into dietary recommendations for chronic disease prevention. The process of effectively and efficiently identifying, reading, and synthesizing existing sources of reliable information on particular diet disease associations will be covered extensively as will applying this knowledge in a public health context.. We will focus on the relation of nutrition to obesity, diabetes, coronary heart disease, hypertension, cancer, and selected additional health outcomes of public health significance in the U.S. Acknowledgments The contents of PubH 6933 have been developed with the contributions of numerous instructors. Dr. Lisa Harnack, the current instructor, has been involved with the majority of recent content and modifications. Former faculty/instructors, including Drs. Kim Robien and Mark Pereira, all had roles in either the conceptual development or actual content of the current course, and are acknowledged for their contributions. II. Course Prerequisites This course is designed for graduate students in the Public Health Nutrition MPH program. Graduate students from other programs are welcome, however it is strongly recommended that all students have had previous (or concurrent) coursework in: * Nutrition (such as PubH 6905 - Human Nutrition and Health, FScN 1112 - Principles of Nutrition, FScN * Epidemiology (such as PubH 6320 - Fundamentals of Epidemiology or PubH 6330 - Epidemiology I) 4612 - Advanced Human Nutrition, or NUTR 5626 - Nutritional Physiology) * Pathophysiology (such as PubH 6355 - Pathophysiology of Human Disease) III. Course Goals and Objectives By the end of the course students will be able to: Evidence-based medicine/public health * Understand the importance of this framework as well as its limitations. * Be familiar with key concepts in evidence-based medicine/public health. * Consider this framework in the context of the 'real world' where nutrition and health topics are in the news daily and the agencies/clients you work with have ongoing questions. * Describe the various recommendations issued to the public in the U.S. and the premises on which they are based. Dietary recommendations for the public * Understand the 2015-2020 Dietary Guidelines for Americans thoroughly, including being able to explain how they are formulated and their strengths and limitations. Also, be able to apply these recommendations in public health practice. Utilizing scientific evidence on nutrition and chronic disease to guide practice and education * Formulate ideas on how to reduce consumer confusion that exists due to varied and changing recommendations. * Utilize literature effectively and efficiently by knowing how to locate, access and use reliable resources. * Describe potential for personal bias, and be aware of strategies that may be used to eliminate as much bias as possible in reviewing and synthesizing evidence and formulating recommendations. * Understand bias in the scientific literature and elsewhere, and develop strategies for taking this into account when interpreting available information. * Able to communicate nutrition and health information in an accurate and clear manner to a variety of audiences and through various channels. * Obesity Knowledgeable about what is currently known about the role of diet in * Diabetes * Hypertension * Coronary heart disease * Cancer * A variety of additional diet disease associations. IV. Methods of Instruction and Work Expectations The methods of instruction include lectures with small group discussion and student lead activities incorporated throughout. The course exercises and assignments are focused on learning by doing. V. Course Text and Readings The required readings for this course are all available online via either the course Moodle site or links provided in the following reading list: To access this course in Moodle, go to the University One Stop page <https://onestop.umn.edu/> and select "myU" from the button in the upper right. This will take you to your personal University resource page where you can access all of the courses you are registered for. VI. Course Outline/Weekly Schedule Weekly Schedule \| Date \| Topics \| \|---\|---\| \| 1/18 \| Introductions & course overview Evidence-based medicine and public health \| \| 1/25 \| Dietary guidelines & recommendations to the public \| \| 2/1 \| Evaluating the scientific evidence on nutrition and chronic disease; identifying reliable sources of information; synthesizing the evidence and communicating \| \|---\|---\| \| 2/8 \| Nutrition and obesity \| \| 2/15 \| Nutrition and diabetes \| \| 2/22 \| Nutrition and coronary heart disease \| \| 3/1 \| Nutrition and hypertension; stroke \| \| 3/8 \| Nutrition and cancer \| \| 3/15 \| NO CLASS- SPRING BREAK \| \| 3/22 \| Nutrition and digestive health \| \| 3/29 \| Nutrition and neural health \| \| 4/5 \| Nutrition and autoimmune disease Nutrition and urinary health \| \| 4/12 \| Dietary supplements: Regulation, health benefits, and safety \| \| 4/19 \| Fluoride: Safe? Effective? Food colorings, additives, & flavorings: What do we know about safety? \| \| 4/26 \| Food systems, policy, and culture: Contributing to chronic disease? \| Readings \| Date \| Readings \| \|---\|---\| \| 1/18 \| Brunner E, Rayner M, et al. Making Public Health Nutrition relevant to evidence-base action. Public Health Nutrition 2001; 4(6): 1297-1299. Satija A, Yu E, Willett WC, Hut FB. Understanding nutritional epidemiology and its role in policy. Advances in Nutrition 2015; 5: 5-18. \| \| 1/25 \| Dietary Guidelines for Americans, 2015-2020 (policy Document) (read in its entirety) Scientific Report of the 2015 Dietary Guidelines Advisory Committee. (read the Executive Summary, briefly scan the rest to get oriented to its content) Browse the ChooseMyPlate website to see what resources are available to different audiences (e.g. children, adults, professionals, etc.). \| 2/8 Casazza K et al. Myths, presumptions, and facts about obesity. New England Journal of Medicine 2013 112(5): 446-454. Evaluation and Grading Grading will be based on: Grading: A letter grade will be determined by total effort as follows (S/N option information follows): A= 92.5-100.0 points B+= 87.5-89.9 points A-= 90.0-92.4 points B = 82.5-87.4 points C+ = 77.5-79.9 points B- = 80.0-82.4 points C = 72.5-77.4 points D+ = 67.5-69.9 points C- = 70.0-72.4 points D = 62.5-67.4 points F =<60 D- = 60.0-62.4 points 5 F (or N) – Represents failure (or no credit) and signifies that the work was either (1) completed but at a level of achievement that is not worthy of credit or (2) was not completed and there was no agreement between the instructor and the student that the student would be awarded an I S – Achievement that is satisfactory will be expected to complete all assignments and receive a minimum of 70% to receive a passing scores (achievement required for an S is at the discretion of the instructor but may be no lower than a 70%). The University utilizes plus and minus grading on a 4.000 cumulative grade point scale in accordance with the following: A 4.000 - Represents achievement that is outstanding relative to the level necessary to meet course requirements A- 3.667 B+ 3.333 B 3.000 - Represents achievement that is significantly above the level necessary to meet course requirements B- 2.667 C+ 2.333 C 2.000 - Represents achievement that meets the course requirements in every respect C- 1.667 D+ 1.333 D 1.000 - Represents achievement that is worthy of credit even though it fails to meet fully the course requirements S Represents achievement that is satisfactory, which is equivalent to a C- or better. For additional information, please refer to: http://policy.umn.edu/Policies/Education/Education/GRADINGTRANSCRIPTS.htm Scores on homework assignments and exams received after the due date will be reduced by 10% for each day late. No assignments or exams will be accepted more than three days late, and a zero will be assigned. Course Evaluation The SPH will collect student course evaluations electronically using a software system called CoursEval: www.sph.umn.edu/courseval. The system will send email notifications to students when they can access and complete their course evaluations. Students who complete their course evaluations promptly will be able to access their final grades just as soon as the faculty member renders the grade in SPHGrades: www.sph.umn.edu/grades. All students will have access to their final grades through OneStop two weeks after the last day of the semester regardless of whether they completed their course evaluation or not. Student feedback on course content and faculty teaching skills are an important means for improving our work. Please take the time to complete a course evaluation for each of the courses for which you are registered. Incomplete Contracts 6 A grade of incomplete "I" shall be assigned at the discretion of the instructor when, due to extraordinary circumstances (e.g., documented illness or hospitalization, death in family, etc.), the student was prevented from completing the work of the course on time. The assignment of an "I" requires that a contract be initiated and completed by the student before the last official day of class, and signed by both the student and instructor. If an incomplete is deemed appropriate by the instructor, the student in consultation with the instructor, will specify the time and manner in which the student will complete course requirements. Extension for completion of the work will not exceed one year (or earlier if designated by the student's college). For more information and to initiate an incomplete contract, students should go to SPHGrades at: www.sph.umn.edu/grades. l. University of Minnesota Uniform Grading and Transcript Policy A link to the policy can be found at onestop.umn.edu. VIII. Other Course Information and Policies Grade Option Change (if applicable): For full-semester courses, students may change their grade option, if applicable, through the second week of the semester. Grade option change deadlines for other terms (i.e. summer and half-semester courses) can be found at onestop.umn.edu. Course Withdrawal: Students should refer to the Refund and Drop/Add Deadlines for the particular term at onestop.umn.edu for information and deadlines for withdrawing from a course. As a courtesy, students should notify their instructor and, if applicable, advisor of their intent to withdraw. Students wishing to withdraw from a course after the noted final deadline for a particular term must contact the School of Public Health Office of Admissions and Student Resources at email@example.com for further information. Student Conduct Code: The University seeks an environment that promotes academic achievement and integrity, that is protective of free inquiry, and that serves the educational mission of the University. Similarly, the University seeks a community that is free from violence, threats, and intimidation; that is respectful of the rights, opportunities, and welfare of students, faculty, staff, and guests of the University; and that does not threaten the physical or mental health or safety of members of the University community. As a student at the University you are expected adhere to Board of Regents Policy: Student Conduct Code. http://regents.umn.edu/sites/default/files/policies/Student_Conduct_Code.pdf. To review the Student Conduct Code, please see: Note that the conduct code specifically addresses disruptive classroom conduct, which means "engaging in behavior that substantially or repeatedly interrupts either the instructor's ability to teach or student learning. The classroom extends to any setting where a student is engaged in work toward academic credit or satisfaction of program-based requirements or related activities." Use of Personal Electronic Devices in the Classroom: http://policy.umn.edu/Policies/Education/Education/STUDENTRESP.html Using personal electronic devices in the classroom setting can hinder instruction and learning, not only for the student using the device but also for other students in the class. To this end, the University establishes the right of each faculty member to determine if and how personal electronic devices are allowed to be used in the classroom. For complete information, please reference: . Scholastic Dishonesty: http://regents.umn.edu/sites/default/files/policies/Student_Conduct_Code.pdf) If it is determined that a student has cheated, he or she may be given an "F" or an "N" for the course, and may face additional sanctions from the University. For additional information, please see: http://policy.umn.edu/Policies/Education/Education/INSTRUCTORRESP.html. You are expected to do your own academic work and cite sources as necessary. Failing to do so is scholastic dishonesty. Scholastic dishonesty means plagiarizing; cheating on assignments or examinations; engaging in unauthorized collaboration on academic work; taking, acquiring, or using test materials without faculty permission; submitting false or incomplete records of academic achievement; acting alone or in cooperation with another to falsify records or to obtain dishonestly grades, honors, awards, or professional endorsement; altering, forging, or misusing a University academic record; or fabricating or falsifying data, research procedures, or data analysis. (Student Conduct Code: The Office for Student Conduct and Academic Integrity has compiled a useful list of Frequently Asked Questions pertaining to scholastic dishonesty: http://www1.umn.edu/oscai/integrity/student/index.html. If you have additional questions, please clarify with your instructor for the course. Your instructor can respond to your specific questions regarding what would constitute scholastic dishonesty in the context of a particular class-e.g., whether collaboration on assignments is permitted, requirements and methods for citing sources, if electronic aids are permitted or prohibited during an exam. Makeup Work for Legitimate Absences: Students will not be penalized for absence during the semester due to unavoidable or legitimate circumstances. Such circumstances include verified illness, participation in intercollegiate athletic events, subpoenas, jury duty, military service, bereavement, and religious observances. Such circumstances do not include voting in local, state, or national elections. For complete information, please see: http://policy.umn.edu/Policies/Education/Education/MAKEUPWORK.html. Appropriate Student Use of Class Notes and Course Materials: Taking notes is a means of recording information but more importantly of personally absorbing and integrating the educational experience. However, broadly disseminating class notes beyond the classroom community or accepting compensation for taking and distributing classroom notes undermines instructor interests in their intellectual work product while not substantially furthering instructor and student interests in effective learning. Such actions violate shared norms and standards of the academic community. For additional information, please see: http://policy.umn.edu/Policies/Education/Education/STUDENTRESP.html. Sexual Harassment: Equity, Diversity, Equal Opportunity, and Affirmative Action: "Sexual harassment" means unwelcome sexual advances, requests for sexual favors, and/or other verbal or physical conduct of a sexual nature. Such conduct has the purpose or effect of unreasonably interfering with an individual's work or academic performance or creating an intimidating, hostile, or offensive working or academic environment in any University activity or program. Such behavior is not acceptable in the University setting. For additional information, please consult Board of Regents Policy: http://regents.umn.edu/sites/default/files/policies/SexHarassment.pdf 8 The University will provide equal access to and opportunity in its programs and facilities, without regard to race, color, creed, religion, national origin, gender, age, marital status, disability, public assistance status, veteran status, sexual orientation, gender identity, or gender expression. For more information, please consult Board of Regents Policy: http://regents.umn.edu/sites/default/files/policies/Equity_Diversity_EO_AA.pdf. Disability Accommodations: The University of Minnesota is committed to providing equitable access to learning opportunities for all students. The Disability Resource Center Student Services is the campus office that collaborates with students who have disabilities to provide and/or arrange reasonable accommodations. If you have, or think you may have, a disability (e.g., mental health, attentional, learning, chronic health, sensory, or physical), please contact DRC at 612-626-1333 or firstname.lastname@example.org to arrange a confidential discussion regarding equitable access and reasonable accommodations. If you are registered with DS and have a current letter requesting reasonable accommodations, please contact your instructor as early in the semester as possible to discuss how the accommodations will be applied in the course. For more information, please see the DS website, https://diversity.umn.edu/disability/. Mental Health and Stress Management: As a student you may experience a range of issues that can cause barriers to learning, such as strained relationships, increased anxiety, alcohol/drug problems, feeling down, difficulty concentrating and/or lack of motivation. These mental health concerns or stressful events may lead to diminished academic performance and may reduce your ability to participate in daily activities. University of Minnesota services are available to assist you. You can learn more about the broad range of confidential mental health services available on campus via the Student Mental Health Website: http://www.mentalhealth.umn.edu. The Office of Student Affairs at the University of Minnesota: The Office for Student Affairs provides services, programs, and facilities that advance student success, inspire students to make life-long positive contributions to society, promote an inclusive environment, and enrich the University of Minnesota community. Units within the Office for Student Affairs include, the Aurora Center for Advocacy & Education, Boynton Health Service, Central Career Initiatives (CCE, CDes, CFANS), Leadership Education and Development – Undergraduate Programs (LEAD-UP), the Office for Fraternity and Sorority Life, the Office for Student Conduct and Academic Integrity, the Office for Student Engagement, the Parent Program, Recreational Sports, Student and Community Relations, the Student Conflict Resolution Center, the Student Parent HELP Center, Student Unions & Activities, University Counseling & Consulting Services, and University Student Legal Service. For more information, please see the Office of Student Affairs at http://www.osa.umn.edu/index.html. Academic Freedom and Responsibility: for courses that do not involve students in research: Academic freedom is a cornerstone of the University. Within the scope and content of the course as defined by the instructor, it includes the freedom to discuss relevant matters in the classroom. Along with this freedom comes responsibility. Students are encouraged to develop the capacity for critical judgment and to engage in a sustained and independent search for truth. Students are free to take reasoned exception to the views offered in any course of study and to reserve judgment about matters of opinion, but they are responsible for learning the content of any course of study for which they are enrolled.* Reports of concerns about academic freedom are taken seriously, and there are individuals and offices available for help. Contact the instructor, the Department Chair, your adviser, the associate dean of the college, or the Vice Provost for Faculty and Academic Affairs in the Office of the Provost. * Language adapted from the American Association of University Professors "Joint Statement on Rights and Freedoms of Students". Student Academic Success Services (SASS): http://www.sass.umn.edu: Students who wish to improve their academic performance may find assistance from Student Academic Support Services. While tutoring and advising are not offered, SASS provides resources such as individual consultations, workshops, and self-help materials. Template update 9/2014
International Journal of Computer Networks and Communications Security VOL. 4, NO. 6, JUNE 2016, 183–200 Available online at: www.ijcncs.org E-ISSN 2308-9830 (Online) / ISSN 2410-0595 (Print) Potential Applications of Linear Wireless Sensor Networks: A Survey Chaudhary Muhammad Imran 1 , Maysoon Aldukhail 2 , Nora Almezeini 3 , Mohammed Alnuem 4 1, 2, 3, 4 College of Computer and Information Sciences, King Saud University, Saudi Arabia. ABSTRACT A Linear Wireless Sensor Network (LWSN) is a wireless sensor network where all nodes in at least one level of the network hierarchy are in a line. The architecture and protocols proposed for a general WSN may not be suitable for linear applications like monitoring pipelines and railways, and therefore we must present the applications needing Linear WSN and study the specific design requirements for it. This paper illustrates the importance of LWSN through applying various potential applications that use LWSN in order that they may benefit in terms of reduced time and cost of network deployment and maintenance, large scalability, and easy deployment of nodes in the network. The paper begins by presenting a new classification for LWSN in network topology (linear sequential, linear parallel and grid) and in network hierarchy (flat architecture, multi-hop architecture and hierarchical architecture). Then, a detailed explanation for almost all potential applications of LWSN is given. The paper ends with a discussion on different open research areas that need to be studied and argued over by researchers in the future in order to complete our understanding of (and the benefits to be derived from) LWSN in various applications. Keywords: Linear wireless sensor networks(LWSN), WSN, Potential Applications, Linear Sequential, Linear Parallel and Grid. 1 INTRODUCTION Wireless Sensor Networks (WSNs) are gaining increased attention because of their suitability for an enormous range of applications. The importance of WSNs (that makes them so attractive for these applications) is that sensors are small, cheap, wireless, ubiquitous and easy to deploy. Many potential applications can utilize WSNs, such as habitat monitoring, health applications [1, 2], structural health monitoring [3], and military applications [2]. research papers have discussed the special requirement for LWSN. These issues, discussed in this paper, have a strong impact on network performance and can be determined based on the application requirements and objectives. Unlike the typical WSN applications mentioned above, a large number of applications, such as railway track monitoring and oil and gas pipeline monitoring, require the linear deployment of sensor nodes because of their linear infrastructure. LWSN is a special category of WSN where the nodes are placed in a linear form. This linear architecture increases routing efficiency, reliability and security. The architecture and protocols proposed for a general WSN may not be suitable for linear applications. Therefore, certain design requirements and research issues need to be considered and investigated, especially given that very few [4] explained the concept of LWSNs with a set of applications that are appropriate for this type of network. Also, they outline the motivation for designing new architectures and protocols for LWSNs in order to increase the efficiency and reliability. A topological and hierarchical classification of LWSNs was presented in that paper, in addition to an algorithm for routing messages in this type of network. Moreover, [5] considered the deployment of LWSNs and discussed related issues such as network throughout, deployment and routing protocol, while the main objective of [2] was to present potential applications that could benefit from using WSNs and to discuss the main factors that affect the design of sensor networks. However, this paper focuses on LWSN classification, applications and design issues. First, we elaborate on the components of LWSN, including sensor nodes, forwarding nodes and distribution nodes. Also, LWSNs have been categorized based on topology into linear sequential, linear parallel and grid, and based on hierarchy into flat architecture, multi-hop architecture and hierarchical architecture. Second, the paper outlines the potential applications of LWSNs. A general view is produced for each application, including the motivation, challenges facing current applications, importance of using LWSN in these applications and examples of systems using WSN for these applications. Finally, we present the research issues and challenges for designing LWSNs and protocols. The remainder of this paper is organized as follows: Section 2 discusses related works in LWSN applications. In Section 3, we explain the different types of wireless nodes and the classification of LWSNs. Section 4 presents a detailed explanation on the potential applications for LWSN in life monitoring systems. Section 5 identifies open research issues in the LWSN field. Finally, Section 6 concludes the paper. 2 CLASSIFICATION OF LINEAR WIRELESS SENSOR NETWORKS [4, 5] studied the classification of LWSNs and their applications; LWSNs can be divided into categories from two points of view: topological and hierarchical. This will be discussed later but here we define the types of network nodes and their functions. There are three types of nodes in LWSNs: Sensor Nodes (SNs): These are the most common nodes in the network. Their main function is to sense the data and transmit them to the Forwarding Node. Sensor nodes are the basic constituents of LWSNs; primarily, they are engaged in sensing, computation and communication. Forwarding Nodes (FNs): Routing, aggregation, data compression and transmitting data are the main functions of these nodes. Distribution Nodes (DNs): These deliver the received data from the FN to the network control center or base station. Different technologies can be used to transfer data; for instance, cellular technology or satellite. A. Network Topology LWSNs can be divided according to their network topology into linear sequential, linear parallel and grid WSNs, as the infrastructure of the potential linear applications could be one of these three types. Linear Sequential WSNs: Some linear applications, such as border and pipeline monitoring, require the sensor nodes to be placed a single line. In this topology all the nodes are lined up so that the data are transferred through this single line. This topology has a fewer number of nodes but there is no alternative route when a failure occurs. Linear Parallel WSNs: Some linear applications, such as railway track monitoring, require the deployment of parallel nodes. This topology deploys the nodes in a linear parallel manner. The nodes can send the data via the other route if a failure occurs. The advantage of this topology is that it allows for alternative paths for data transfer. Grid LWSNs: In this type, each node is connected to neighboring nodes along more than two dimensions. Paddy field monitoring systems belong to this type of topology. B. Network Hierarchy As in [4], LWSNs can be categorized into: flat, multi-hop and hierarchical LWSN architectures. Before discussing these categories, it is important to know that each LWSN must belong to one of the topological categories and one of the hierarchical categories. This depends on the nature of the application and its requirements. Figure 1 shows an overview of LWSN classification. Flat LWSN Architecture: Sensor nodes in flat LWSN architectures send their data directly to the base station or control center. This kind of architecture is suitable for very small-scale applications because it is fast in terms of data delivery. However, the limited energy of the sensor nodes can be quickly depleted due to the long-range transmissions. Also, the transmission range of the sensor nodes is relatively small, and therefore they cannot send the data to a base station over a long distance. Figure 2 shows a linear sequential WSN in a pipeline with a flat architecture. Fig. 2. Linear sequential WSN with flat architecture Multi-hop LWSN Architecture: Sensor nodes send their data to the base station in multi-hop fashion. Each sensor sends the data to its neighbor, which then sends the data on to the base station. This type is efficient for medium-length LSNs, as it avoids the limitations of flat architecture. However, it takes a long time to reach the base station, especially in large networks, and it is difficult to maintain the network if there is a failure. A parallel LWSN in a railway track with multi-hop architecture is shown in Figure 3. Hierarchical LWSN: This is where the sensor nodes are grouped in clusters and each cluster is managed by a cluster head. The cluster head receives messages from the cluster members and transmits the aggregated messages to the neighbor cluster head (in a multi-hop fashion) or directly to the base station. This architecture has lower latency than the previous type and the messages are transmitted through fewer hops. Figure 4 shows a grid LWSN in a paddy field with hierarchical architecture. 3 APPLICATIONS OF LINEAR WIRELESS SENSOR NETOWRKS This section explains in detail the potential applications of linear wireless sensor networks. In each application we discuss the importance of the application, the need or motivation for a real-time monitoring system, the traditional methods used in each application (and their limitations), the benefits of using LWSN as an alternative solution, a scenario using LWSN in the application (supported by figures), and finally give an example of a proposed or existing system using LWSN. A. Railway Track Monitoring Rail transportation is the most efficient, convenient, fast and economical land mode of transportation in terms of capacity and space consumption for carrying passengers and freight over long distances. This has led to substantial growth in the world's railway infrastructure over the last few decades. The inexorable population increase, economic growth, prosperity, mobility, etc., require the additional deployment of railway tracks across the world that has already been extended over thousands of miles. For example, the length of railway tracks in the USA alone was more than 228,513 kilometers in 2010, irrespective of the number of parallel tracks. Such massive networks of railway lines carrying passengers and precious freight passes through hazardous and inhospitable terrains. The railway infrastructures are subject to various types of natural (earthquake, flood, sandstorm, etc), human-induced (terrorist attack, vandalism) and technical threats (flaws in structure, lack of maintenance, deflection of railway line being more than desired, etc.) that can disrupt the railway operations, resulting in severe consequences. These threats may also cause damage to railway infrastructures (strain, deficiencies, inclinations and collapses) as well as huge economic losses in terms of commodities, lawsuits, liability issues and negative publicity. In addition, these threats may lead to dire consequences, such as loss of life, lengthy service disruptions, and damage to adjacent infrastructures. Recent real-world examples include an accident that happened in Poland. This was in March 2012 where two express trains collided head-on leaving 16 people dead and 58 injured because one of them was on the wrong track, as reported by the BBC. Due to increasing threats, extreme dependability on railway infrastructure and the impact of their disruption, monitoring railway tracks is of utmost importance in order to ensure safety, security and reliability. However, real-time monitoring of railway tracks is extremely challenging due to the unavailability of communication infrastructure, the large geographic dispersion and diverse environmental conditions. Moreover, real-time train localization may also help in improving service safety and security. One of the traditional ways of monitoring railways is patrolling. i.e., a small group (or individual) that is responsible for observing a specific length of railway for a specific duration. This has some limitations; for example, it may not be feasible to monitor railway tracks that are extended over thousands of miles, and real-time monitoring is not possible. Modern security systems are now used to protect railway infrastructures; these include some different sensing technologies combined with management systems. However, they still rely on human operators for supervision and intervention. Therefore, there is a need to improve the current monitoring systems to make them more persistent, reliable and efficient, and this can be achieved by using WSNs. Thus, WSNs can be used to monitor railway tracks. Sensors are placed along the railway track in a parallel form as shown in Figure 5. These sensors are capable of collecting the data and sending them to the base station. The utilization of WSNs in railway monitoring provides a continuous observation for the whole railway track, whatever its length. Also, the cost of network deployment will be reduced because of the use of wireless communications and the low power and small size of the sensor nodes. [6] proposed a system based on WSNs where the sensors are deployed along the railway track. Their purpose was to find new solutions and techniques in order to reduce the incidence of accidents and problems facing the railway operations. So, multihoming and multi-path routing approaches are utilized in this proposal in order to improve reliability and reduce the energy spent on transferring data. Also, the authors proposed a technique to be utilized in the system called a fuzzy logic-based aggregation technique. The aim is to increase the amount of information that can be read from the sensors. SENSORAIL [7] is an architectural proposal of an early warning system based on WSNs for railway infrastructure monitoring. It is appropriate for two applications regarding rail transportation systems: structural health monitoring and environmental security monitoring applications. The purpose of SENSORAIL is to provide continuous and automated monitoring of the railway against threats and attacks. The authors mentioned that the system is under experimentation and they aim to integrate it with security management systems already developed by Ansaldo STS. B. Urban Traffic Monitoring Most cities in the world are characterized by advanced and modern urban roadway networks, which link the main centers to each other. Urban roadway networks in any city play an important role in determining the physical structure of the city and they directly affect how people move from one place to another. However, the most popular challenge confronting the roads is traffic congestions due to the rapid growth in population and vehicles. For example, the Toronto Board of Trade has reported that between 19 surveyed cities, Toronto was ranked as the most congested city in 2010. Traffic congestion causes a great deal of disruption, such as delays for people seeking to arrive on time for meetings, employment or reserved flights. Moreover, traffic congestion can result in economic losses as well as air pollution from vehicle emissions. Therefore, monitoring urban traffic is crucial in avoiding congestion as well as in making predictions about traffic flows. Traffic state monitoring systems as they are currently applied are able to warn people and direct them to unblocked roads [8]. However, this operation is facilitated through video cameras, which require employees to watch the roads on monitors. This can be considered as a limitation as many employees are needed to watch the screens all the time. Moreover, in bad weather the video cameras cannot work well because of poor visibility. Clearly, utilizing WSNs in real-time traffic monitoring systems could solve many problems, including congestion, and could greatly assist in determining accident locations. Sensors can detect specific features (such as flow and speed) continuously and automatically by deploying them linearly along the road, as shown in Figure 6. This will assist the efforts of transport ministry employees through supporting monitoring at night and in bad weather (rain/snow or dust). This would be addition to the low cost of the network and ease of sensor deployment. Most of the publications in this area deal with sensors to be deployed on vehicles, not on the road [9, 10]. Deploying sensors on the road helps to determine traffic flow of the road. So, in [8] the authors have proposed two methods to be implemented with the sensor nodes in order to apply WSNs in Intelligent Transportation Systems (ITS) for real-time traffic monitoring. They assumed that a road is equipped with sensor nodes deployed along its length and that one base station collects the road data from the nodes and then displays the traffic status information. The first method they use is an adaptive segmentation (AS) of traffic flow that provides responses in an appropriate time to any traffic status changes (with acceptable error margins). This produces adequate data to guide the drivers to avoid congestions and choose an alternative route. The second method is an algorithm for in-network aggregation (INA) of the traffic flow. The aim of this algorithm is to limit the energy consumed by minimizing the communication between the sensors. These methods have been experimented on real data from PeMS, presenting good levels of efficiency. C. Streetlight Monitoring Street lighting depends heavily on the urban scheme, lighting devices and their positions. People since ancient times have recognized the importance of streetlights as a safety factor and an impediment to crime. Lighting was applied in the streets centuries ago where people hung lanterns on their doors and carried them whilst wandering at night. After that, electric lights were used until the advent of high-intensity discharge lamps. Now, with the development of the automotive industry and the increasing traffic on the roads, street lighting has gained a new importance, utilizing intense glow lamps in order to illuminate the city's streets during the dark hours. Streetlights can be used also to decorate streets as well as reduce accidents and crime. However, they are exposed to various problems that disrupt their main functions, such as electricity blackouts; sometimes, they just burn out. Therefore, it is important to apply a monitoring system to guarantee that the street lighting is functioning normally. Earlier, streetlights were switched on at sunrise and switched off at sunset manually, which involves much human labor. Then, they applied a smart controller, which switches the street lights on and off automatically by setting the lights to sunrise and sunset, or sensing the light intensity surrounding the controller [11]. Nevertheless, this needs employees to patrol the streets in order to monitor their status and reduce errors such as setting the wrong time in the controller, which would lead to lighting the streets in daytime and dimming them in the evening. Furthermore, streetlights may be covered with dust or snow, making then unable to sense the light intensity, resulting in the same problems. These issues cost a great deal in maintenance and management. Now, the most widely used system is remote street lighting monitoring and control [12], which consists of: - Control center: The main function of this is to control and monitor the whole street lighting system. - Remote terminal units (RTUs): Each power substation has an RTU to control and monitor the remote sites. - Radio and general packet radio service (GPRS): This is used for communication between the control center and each RTU. However, this system is unable to monitor and control each lamp individually; it only controls the street lighting through each power substation, although there are some new technologies with the goal of monitoring and controlling individual lamps, such as Power Line Carrier (PLC) [13]. The disadvantage of this technology is communication failure caused by noise and carrier signal attenuation. It is clear that wireless sensor networks can help in monitoring and controlling streetlights by deploying sensors on each lamp, as shown in Figure 7. This will reduce power consumption and the status of each lamp will be immediately available. Also, it will lower management and maintenance costs, and increase the availability of street lighting. The authors in [14] proved this; they proposed a remote streetlight monitoring and control system based on a WSN that consists of the same components as described above in addition to wireless sensor nodes (deployed on each lamp pole). All sensors and RTUs are displayed on a map so the user can determine the precise location of any faulty lamp or RTU in order to repair it. This occurs when the sensor node detects a change in the lamp status and sends a message to the control center via an RTU. D. Bridge Monitoring A bridge is a structure that links two otherwise remote locations, separated by obstacles such as a body of water, a river or a valley. Humans have constructed bridges since antiquity. Bridges are of great importance in linking isolated areas, establishing railways in areas hampered by waterways or mountainous terrain, and in carrying and transmitting power cables, fresh water pipes and oil and gas pipelines. For example, Sydney Harbour Bridge, with a total length 1,149m, carries a railway, motor vehicles, pedestrians and cyclists; it links the Central Business District with the North Shore. Bridge infrastructures are exposed to several threats; these can be earthquakes, storms, terrorist attacks or lack of maintenance, all of which can cause damage or even collapse of the infrastructure of the bridge. In November 2011, the Kutat Kartauegara Bridge (suspension bridge) in Indonesia collapsed leaving 20 people dead, 44 injured and 33 missing. This accident happened while workers were repairing a cable; it is under investigation. Such accidents show that it is very important to develop safety monitoring systems to evaluate the health status of bridges and to avoid damage and accidents during construction and use. Traditionally, bridges were evaluated by workers who observed bridges periodically, which was expensive. Several wired monitoring systems have since been developed; however, these systems suffer from several drawbacks, such as high cost, difficult installation and inadequate design. Also, the main disadvantage of wired systems is that they require a supply power and interconnections between the components of the system, which obstructs the utilization of its services [15]. WSNs are better for monitoring the structural health of bridges, by placing the nodes along the bridge as in Figure 8. This is due to the low cost of sensors, ease of installation and maintenance, and the ability to apply the sensors onto the existing infrastructure. E. Border Monitoring Today, border security is an important issue in all countries. The task becomes more difficult in long borders and especially in regions with low populations and difficult access. Monitoring the USA-Mexican border, which is 3,169km long is particularly difficult; it is the most frequently crossed international border in the world, with 350,000,000(check this!!) crossing yearly, costing tens of millions of dollars per year, using a large number of fences and barriers with a great many border patrol agents [16, 17]. Conventional border patrol system consists of security checkpoints and border troops. The checkpoints are erected on international roads to check the vehicles and occupants that cross the border, while the border troops monitor specific sections of the border according to predetermined schedules [18]. This traditional method for border monitoring costs a great deal in time and effort on the part of the border patrol, especially on long borders or in harsh environments; for example, the Canada-USA border is the longest international border in the world at 8,891km long. By using the traditional method, it is too difficult to continuously monitor all the border areas. There are many threats to international borders, such as the illegal smuggling of goods, illegal immigration, drug dealers and terrorists. These threats can occur in different ways, either on foot, in vehicular traffic, by tunneling, through gunfire or by using light aircraft [19]. To face these threats in real time and with minimum human intervention, different technologies have been proposed. For example, OptaSense is a system that uses simple fiber optic communication cables and sensors to detect a variety of border threats instead of using fences and barriers. It depends on a wire stretched along the border, but any damage or cut in the wire will have effects over long distances. Also, the cost of a wired deployment is high, and therefore this method is not practical [19]. Another example is Unmanned Aerial Vehicles (UAVs), which using aerial surveillance to detect and track illegal border crossing. However, adverse weather conditions can compromise it functionality and it is highly expensive. Also, UAVs cannot cover the whole border. Sometimes, surveillance towers with video monitors are used, and they can provide high accuracy in human detection. However, they usually need human interaction to determine the type of intrusion [18]. WSNs can be used to address the limitations of the existing monitoring techniques. They have the benefits of continuous monitoring and can cover the whole border region with minimal human support; this will save the border patrol's time and effort. Also, WSNs can help making monitoring in harsh environments and in bad weather more accurate and easier. In border monitoring, the network should cover a large area and because the sensor radius is limited, we need a large number of sensors. Different kinds of sensors can be used such as underground, above ground, camera and mobile sensors [18]. Figure 9 shows how sensors can be deployed underground or above ground in the border area. BorderSense is a proposed hybrid wireless sensor network that is designed for border patrol systems. The hybrid WSN combines the advantages of wireless multimedia sensor networks and wireless underground sensor networks. Three types of nodes are used; each of them has a specific task and they collaborate together to facilitate detection and penetration. The network is a three-level hierarchy with a special type of node for each level. First, scalar sensor nodes, which have vibration sensors, are deployed either on the ground or underground. Second, multimedia sensor nodes, which have video cameras, are deployed on monitoring towers. Last, mobile sensor nodes are deployed to move throughout the border area, either on land or in the air. The researchers have proposed the network architecture, the sensor deployment strategy, the detection strategy, the tracking algorithm and the communication protocols. The future work of this work is to simulate and test the proposed system [18]. F. Pipeline Monitoring Nowadays, the need of energy resources has increased all over the world; the economies of many countries now depend on their gas and oil industries. Also, consumers depend on gas and oil, either for heating or as a transportation fuel. Therefore, keeping energy resources available continually is essential. Resources are transferred from producer to industry or to another consumer country using pipelines [20, 21]. Long pipelines are used to transfer natural gas or oil; for example, there are around 500,000 miles of oil and gas pipelines in the USA that extend to Canada and Mexico [21]. Also, one of the longest pipelines is the Langeled Pipeline that extends for 1,200km from the Ormen Lange field in Norway to the Easington Gas Terminal in England; this pipeline supplies 20% of the gas demand in England [22]. Such pipelines are used as a transportation system, pumping crude oil or gas from underground wells in an oil or gas field to storage a point, a processing facility, a shipping terminal, refineries and ultimately consumers [20]. Moreover, pipelines are used to transfer and distribute water inside cities and from its various sources to industries. Gulf countries depend on water desalination as the main source for potable water; for example, the city of Riyadh in Saudi Arabia is completely dependent on water transfer through a 3,800km long pipeline from the Shuoiba Desalination Plant at Al Jubaul on the Arabian Gulf [23]. Also, in dry summers, southern Australia depends heavily on water flowing down the Murray River; yearly, the Murray River supplies about 40% of South Australia's needs, but this increase to 90% in dry summers. Water from the Murray River is supplied around the State through five major pipelines [24]. Based on the importance of transportation pipelines for gas, oil and water, they need to be kept safe from damage or leakage using monitoring systems. This is essential for the economy and security of many countries. However, these pipelines are under threat from many different factors. Some of these factors are intentional threats, such as illegal tapping; one company in South East Asia is losing US$ 4 million worth of oil every year due to illegal tapping from underwater pipelines. Also, pipelines can be damaged deliberately by terrorists; for example, in 2002, there were 900 attacks on the Cano Limon oil pipeline in Colombia, causing the loss of about 2.5 million barrels of crude oil. In Iraq, this is one of the main security problems [22]. These attacks not only cause economic problems, but also sometimes result in human casualties and even death. On the other hand, sometimes pipeline threats emanate from non-intentional or natural factors, such as high temperatures, hurricane winds, earthquakes and tsunami. Also, pipelines can fail for physical structural reasons, such as high pressure. Human error in maintenance can cause a pipeline stop pumping. Also, threats may be from train or car accidents if the pipeline is above ground, or from shipping accidents if it is underwater. For preventive and predictive maintenance operations, we need pipeline monitoring systems for the continuous surveillance of pipelines in order to protect them from damage and to decrease the risk associated with transporting hazardous and potentially dangerous materials like natural gas. Pipelines can be lain on the ground, underground or underwater. The position of a pipeline is determined by the material to be pumped, the geology and topology, the climatic conditions and the distance between the source and the destination. Each type of pipeline has particular needs and requirements as well as special advantages and limitations. - Above-ground pipelines: A significant advantage of above-ground pipelines is that they can simply be placed directly on the surface. In the USA, above-ground piping is used at about 750 gas processing plants and 3,000 compression stations [25]. This is also a good choice for temporary piping systems. Another feature is ease of examination and maintenance [26]. However, above-ground pipelines are more open to threats and inclement weather including very high or very low temperatures. - Underground pipelines: Underground pipelines are generally preferred due to their safety advantages. However, they are exposed to various environmental factors such as extreme soil conditions and corrosion. An example of a long underground pipeline is the one that transfers 1.3 million barrels of oil daily from Russia to several countries in Eastern Europe [27] - Underwater pipelines: Using underwater pipelines to transfer oil and gas has certain challenges. The modeling of nodes must take into account environment factors such as temperature and water clarity as these can affect the quality of the signal transmissions. Also, the nodes have limited power, and their batteries cannot be charged with ease as solar energy cannot be exploited. Moreover, the sensors are exposed to failure by many factors such as fouling and corrosion [28]. Under the Arabian Gulf and between Qatar and the UAE, there are pipelines about 464km long that transfer a high percentage of UAE's gas needs [22]. Pipeline monitoring systems can be classified (based on the position of the sensors) into two categories: inside the pipeline and outside the pipeline. Internal sensors can be used to measure the internal pressure, temperature and flow rate, while external sensors can be used to monitor the area outside, such as detecting fire and locating leaks [23, 27]. Monitoring techniques using internal sensors include [27]: - Acoustic sensors: these are suitable only for detecting small leakages in pipelines and they are insensitive to large leaks. - Transient-based methods: these use pressure sensors to determine the size and location of the leakage but the sensors can be deployed only in a limited number of locations within pipelines; this decreases the accuracy of this technique. - Mass balance methods: these use flow sensors to monitor the flow differences inside the pipeline in order to detect leakages. However, this method can give false detections because a change in the flow can be caused by a variety of innocuous reasons, not necessarily leakage. Also, this method is unable to localize the position of a leak. Monitoring techniques for external sensors [27]: - Visual inspection: this utilizes video or image sensors to monitor the area around the pipeline. The sensors have large sensing ranges and can detect any abnormal status. However, this method cannot be used with underground pipelines. - Ground penetrating radar (GPR): this is used to detect leakage in underground pipelines without the need for digging. However, it is not a real-time technique, meaning that leaks cannot be detected as they occur. - Soil propriety sensors: these are suitable for underground pipelines. Different types of sensors are used depending on the fluid being transported. For example, humidity sensors can be used to detect water leakage, and hydrocarbon vapor sensors can be used in natural gas pipelines. There are many traditional methods for monitoring pipelines. The first method depends intensively on human effort, where maintenance workers conduct periodic inspections; this is not a real-time monitoring technique, may be inordinately expensive and does not necessarily mitigate certain threats. To solve the problem of real-time monitoring, wired sensor networks can be deployed. These networks connect the sensors together using cooper wires or fiber optics. However, wired networks are expensive to install and if any part of the network is damaged, the whole monitoring system is compromised. Also, wired networks can easily be disabled by unauthorized people simply by cutting the wires. Finally, when using a wired network, it is hard to locate a fault and repair it, particularly in underground pipelines [23, 27, 29]. On the other hand, using WSNs to monitor pipelines provides continuous and real-time surveillance, which mitigates the risk of transporting potentially dangerous materials like natural gas; just a small gas leak can cause a disaster. Also, eliminating the use of cables makes the network easier to establish and reduces maintenance costs [23, 30]. To build a monitoring system using WSN, monitoring points are usually selected along the length of the pipeline; the sensors are deployed in linear structure both on the inside and on the outside in order to collect specific data about the material flowing through the pipeline as well as data about the conditions outside the pipeline (or to monitor the area around the pipeline). These sensors are connected using radio waves which transfer the collected data to control (base) stations [10]. Figure10 shows how the sensors can be deployed linearly inside and outside a pipeline. MISE-PIPE is a proposed underground pipeline monitoring system based on wireless sensor networks. The purpose of MISE-PIPE is to detect and localize leakages in underground pipelines by utilizing internal and external sensors as well as pressure sensors, soil property sensors and acoustic sensors. It provides accurate real-time leakage detection and localization [27]. G. Underground Mine Monitoring The mining industry is one of the pillars of the global economy. Many countries consider mining to be an important economic resource, such as the USA, Canada, Australia, South Africa, China and India. The global annual income from mining is over $70 billion [31]; the materials extracted include gold, copper, iron, cobalt and coal. The world today cannot dispense with mineral products, not only to produce power or to heat homes, but also to fuel the expansion of computers and modern technology. Due to the importance of the mining industry, monitoring systems should be used inside mines to ensure their continuous and safe operation. Safety is fundamental to mining; for example, the Sunjiawan mine disaster, which occurred in China in 2005, was caused by a gas explosion that resulted in the death of 214 coal miners. To avoid the risk of any such disasters, a reliable real-time monitoring system should be established [32, 33]. Such a system is able to detect the air temperature, pressure, humidity, wind speed, and poisonous and flammable gases; gas leaks are one of the main causes of disasters in underground mines [32, 34, 35]. Also, the system can be used to track miners and vehicles to identify the exact location of all workers in real time [32]. The current underground mine monitoring systems mostly use wired sensor networks. However, they are difficult to extend should the mining zone be expanded, and installation and maintenance can be expensive, particularly in the typically harsh environment of a mine. Moreover, cables are susceptible to ageing and wear, and are prone to failure [36]. WSNs have the potential to handle these problems effectively. The sensors in WSNs can be deployed easily by placing them in the desired locations. Also, the reliability of the system is increased; if one sensor fails, the entire system will continue to work normally. The sensors are deployed along the mine in specific locations in a linear fashion, working together as an effective tool for gathering data in order to determine the characteristics of the environment or to detect a risky event; these data are then transferred to the surface station [36, 37]. Figure 11 shows how sensors can be deployed in a mine. RESTful Web is a proposed Web service coal mine safety monitoring and control system using WSNs to collect data on the underground conditions, such as on temperature, humidity and methane as well as on the exact location of each emplyee. An Application Programming Interface (API) is implemented on the sensors to provide access to those sensors and make them easily combined with other enterprise information resources [33]. H. Tunnel Monitoring Tunnels are underground passageways that are completely enclosed except for openings at each end (for entering and exiting) and side lanes for maintenance and rescue. They are built for various objectives, either for road or railway traffic, for domestic gas pipes and electronic communication cables, and for water or sewerage; one of the most important types of tunnel is the mining tunnel, which is used in the extraction of raw minerals. Given the global rise in population and the presence of natural obstacles such as mountains, rivers and seas, which obstruct the construction of transportation infrastructure, tunnels are increasingly needed; they are used to overcome obstacles both between and within urban centers. Tunnel construction has increased in recent years, to improve current transportation infrastructures and to reduce highway distances. The longest tunnel in the world is the Thirlmere Aqueduct in the UK at 154km long, while longest undersea rail tunnel is the Seikan Tunnel in Japan at 23.3km long. These long tunnels need continuous monitoring systems to monitor ground conditions, underground water levels and nearby structures. Sometimes, another monitoring system is deployed depending on the objective of the tunnel, i.e. whether it is part of highway or railway, or whether it is used to transfer water or sewerage. Building tunnels costs a great deal but they are expected to last for decades or even centuries; for example, the London Underground is over 100 years old [38]. Throughout their lives, these structures need timely maintenance and continuous monitoring to prevent accidents or collapses. Traditionally, early maintenance is done by visual inspection where maintenance workers are sent out to conduct periodic inspections. This is not a realtime technique; when a problem occurs, it is not detected directly. Also, it is expensive in terms of time and effort. An alternative to human monitoring is to use wired a sensor network, which would provide real-time monitoring, but it would cost a considerable sum to install as it is difficult, especially in a long tunnel, to wire sensors together [38]. The utilization of WSNs to monitor tunnels benefits from the flexible deployment of sensors and from dispensing with wires. This will reduce the cost of deployment and make the maintenance operation easier and cheaper. Moreover, WSNs enable simple expansion of the system if needed [38]. WSNs are deployed with sequential topology along the tunnel and are powered by battery. The data collected by sensors are transmitted through a multi-hop protocol to access the base stations, which are usually located at the ends of the tunnel, which in turn send the data to the ground monitoring center [39]. WSNs for tunnels monitoring are still in the research prototype phase, and currently there are no practical deployment scenarios [38]. On the London Underground, in the Jubilee Line tunnel, an experiment was conducted 26 nodes that were deployed along 180 meters to measure changes in temperature, displacement, humidity and inclination. This WSN was built to gauge the efficiency of the COTS WSN hardware, which is used in infrastructure monitoring. I. Electricity Transmission Line Monitoring The purpose of overhead transmission lines is to transfer electrical power from the power plant, through the distribution system and sub-stations, to industrial and domestic consumers. Transmission lines carry high voltage current and are suspended by towers; they supply the electrical energy to large areas, while low voltage transmission lines (often via underground cables) supply smaller areas, carrying the energy to the consumer. These high voltage transmission lines are susceptible to failure and fires caused by short circuiting; this is for several reasons. The first is that the insulators can fail, allowing the cables to touch each other. Also, the cables can swing and droop in bad weather, again allowing the cables to touch each other. The last and most important cause is encroachment on the lines by vegetation or animals violating the line; this is particularly so on low voltage domestic supply lines. These problems may disrupt the transmission and distribution of electricity, and may cause blackouts, resulting in economic loss for the electricity company. For example, there was a blackout in the USA in 2003 that resulted in a $100-billion economic loss. Therefore, it is necessary to monitor these lines continuously. As usual, patrolling is one of the traditional ways to monitor transmission lines where a group of laborers visually observe the status of the lines. However, this is time consuming and needs a large number of laborers, which can cost a great deal. Another method is aerial surveillance from helicopters using cameras, but this too is time consuming and expensive [40]. On the other hand, the utilization of wireless sensor networks in this case will provide continuous monitoring and be less time consuming. Also, it is more cost effective and reliable. As an example, the authors in [40] have proposed a new monitoring method for the encroachment of vegetation onto power lines that uses Multimedia Wireless Sensor Networks (MWSNs). The visual sensors are deployed along the transmission towers linearly to monitor the height of the vegetation and to determine whether or not the vegetation has entered the danger zone; the sensors then send the information to the base station. Figure 12 shows the deployment of sensor nodes on the transmission pylons. J. Crop Monitoring Precision Agriculture (PA) is a concept relating to farm management that benefits from new technology such as GPS, GIS, satellite and wireless communication in order to optimize the returns whilst maintaining scarce resources [41]. Row planting is a system of growing crops in a linear pattern, as opposed to broadcast planting. There are many advantages to row planting over broadcast planting. First, light absorption is increased and this results in more efficient photosynthesis and improved crop yields. Second, it enhances the passage of wind along the rows, which increases gas exchange and prevents too much humidity. Third, it facilitates access, which in turn facilitates farm operations such as weeding. Finally, it enhances the visibility of the plants, making plant inspection easier. Because of these advantages, many crops, such as rice, coconut, oil palm, rubber, corn and peanut, are planted using this pattern [42]. By applying PA on row planting, it is possible to increase crop production while reducing the cost of cultivation. The farmer can monitor the soil condition, temperature, humidity, water level, plant moisture, mineral content and insect injury, weed growth and disease [41, 43-45]. All of these parameters are monitored to create a high-quality environment and to enable the farmer take different decisions to achieve higher yields, saving natural resources and reducing the overall cost. For example, an automatic remotely controlled system was established in an irrigated area in Spain, saving 30-60% in water usage [45]. Figure 13 shows a paddy field with a row pattern. Using human labor to monitor farms is impractical and is practically impossible in large areas. Applying a technology such as wired sensor networks is also not practical in agriculture, as the cables would be inordinately long and would be costly as well as taking too much time and effort. Satellite monitoring has been used in agriculture through applying passive and active sensors and by providing images of large areas, but this technique has a time resolution of more than 10 days [41]. Alternatively WSNs can be used in agriculture in three different ways. First, in crop management, WSNs are used to monitor plants in real time and to provide an information base for farmers to detect and monitor disease development. For example, a timer is used to assess leaf wetness to detect the possibility of septoria, sending the data in real time to the farmer or to decision makers. Temperature, humidity, wind speed, light and moisture are all factors that affect the successful growing of plants. In addition, WSNs can be used to measure the density of the leaves, which determines the growing stage of the crop; this will help the farmer predict when the crop could be harvested. Second, WSNs are used in irrigation management; sensors are used to take the decision as to when it is appropriate to initiate irrigation. This not only reduces water use, but also avoids over-irrigation, which results in nutrient imbalances in the soil. Last, sensors can be used to monitor the environment around the plant, such as rain intensity or air pollution, which are critical aspects in planting and growing. WSNs have the advantage of easy and large-scale deployment, self-organization, low cost and the ability to network with other sensor systems and exchange data with external users [44, 46, 47]. WSNs for monitoring purposes are more efficient in greenhouses because the farmer can easily maintain the crop's desired environmental conditions [48]. As shown in Figures 14 and 15, the sensors are deployed in a linear form in the field, attached on columns or fitted underground. The sensors measure the required parameters and transmit the data to the base stations or the relay nodes, and then to the PC to be processed and saved. An example of a monitoring system for agriculture using WSN is proposed for monitoring the water level in paddy fields in India. By automating the water monitoring using wireless sensors, labor costs are decreased and rice production should increase [43, 46]. K. Monitoring Sports Activities The world of sport is continually changing and over the years using technology has made a considerable impact. Technology is now applied in many different fields within sport. It can assist umpires and referees in doing their job more accurately, and it is now employed in goal-line monitoring in football, in 'hawk-eye' technology (which tracks the ball in cricket and tennis), in monitoring the physiological data of players, and in various other applications [49]. We will focus on those applications that are best suited to linear structures, which are: monitoring physiological data or tracking the movement of players in a square or rectangular court, as well as those that can deal with parallel linear infrastructures and hawk-eye technology. Physiological data are very important to athletes, for determining their fitness level, maximizing their performance and avoiding injury. Also, these data are very important for coaches, through which they can identify the physiological status of their athletes and can make changes during matches or in their training plans [50]. These physiological data include heart rate, temperature, ECG and oxygen level [51, 52]. At present, monitoring athletes' physiological data depends on wired connections; this is time consuming, need much effort and is not real-time monitoring because the athlete must stop training. WSNs can be applied as an alternative to wired monitoring for obtaining physiological data; however, reports on WSN in physiological data monitoring are rare [50]. WSN affords real-time monitoring using biomedical sensor nodes that are attached to the player to sense and send data to the base stations that are installed along the boundary, as Figure 16 shows, or along the sides of racing tracks, as shown in Figure 17 [53]. WSNs provide real-time monitoring with easily deployed sensors, requiring less work from the coaches. Logbooks are commonly used by players and coaches to monitor progressive changes in training. However, this method is not practical and takes time and effort on the part of the coaches. Also, some important information may be missed. The alternative is to use video to record the training sessions or matches but this needs human labor to analyze the video, process the data and record important information [54, 55]. WSNs can be used to track the players' motion inside the court area or within the racing lines. Motion data sensors are used to collect kinematic data such as speed, rate of turn or acceleration [52]. These sensors are usually wearable devices, and the base stations are deployed along the boundary or the sides of the race track. This real-time tracking is of benefit to coaches, umpires and referees, and assists in speedy decision-making. In tennis, an electronic line judge device was used from the 1970s, which automatically detected whether the ball had landed within the boundaries of the playing zone. In 2000, the sport began to use video cameras to allow for a review of recent play when required on high visibility televisions. Using WSN, sensors can be deployed along the lines to detect whether or not the ball has landed 'in' or 'out'. An example of WSN for monitoring the physiological data of athletes was applied in an experiment in a basketball court at Zhejing University in China. The system monitored the temperature and pulse of the players. The experiments showed that the system was stable and reliable [50]. 4 OPEN RESEACH ISSUES AND CHALLENGES In order to meet the present day monitoring requirements for LWSNs, such as increasing the performance of traditional monitoring systems and benefiting from WSN features, certain design requirements need to be considered and more research issues should be investigated, especially as so few research papers have discussed the special requirements for LWSN. These issues have consequences for network performance but they can be determined based on application requirements and objectives. Therefore, they should be kept in mind when designing LWSN. The design issues presented in this paper are: choosing suitable surveillance devices, optimal deployment of sensors, choosing battery type and energy harvesting, selecting communication protocols, and increasing the network's reliability. - Choosing suitable surveillance devices The surveillance device is the major part of a wireless network, as network operations depend on it. The surveillance device is a sensor node that collects data from the surrounding environment. There are many types of sensors, and each has its own unique features, performing differently in different conditions. When applying WSN, a suitable sensor type should be chosen such that it is applicable to the information to be collected, such as physiological data, temperature, pressure, moisture, vibration, etc. Moreover, the sensing range for the sensor should be taken into account. The sensing range of the different types varies based on the environment, the design, and the event that is to be detected. Sensing ranges can differ from 5m to 15m. Another factor that should be considered when choosing the sensor type is the power requirement, as each type has a different power requirement [56]. Also, the nodes can be static or mobile. The advantages of mobile nodes over static ones are better energy efficiency, improved coverage and enhanced target tracking. Sometimes, a single type of sensor cannot capture all the needed data, and therefore more than one type may need to be used. Micro-electromechanical systems (MEMS) now allow for multiple sensors to be integrated on the IC card of a single sensor [56]. The aim is to combine the information collected by multiple sensors to provide a more complete picture of the environment. There are many types of sensors to choose from in order to create an effective monitoring system; for example, biomedical sensors, camera sensors, mobile sensors, acoustic sensors, optical sensors, ultrasound sensors, thermal sensors, chemical sensors, magnetic sensors and others. - Optimal deployment of sensors In LWSN, sensor deployment needs to be studied carefully because it influences many aspects, such as the reliability and cost of the network. Some sections of the application may need more sensors than others due to the need for more intensive monitoring, which means we may need to cluster the sensors in certain sections. Also, researchers have found that large distances between sensors means that more power is needed for communication [56]. However, deploying the sensors close to each other increases the network cost. Thus, more research is needed to study the most efficacious distance between sensors, i.e. one that will achieve a good balance between the different factors. - Choosing battery type and energy harvesting technology WSNs typically use batteries as the power supply for the sensors. The different battery types have different lifetimes, from very short (e.g. zinc-air cells) to very long (e.g. lithium thionyl chloride cells, which can work for up to 20 years). Also, some batteries are rechargeable (e.g. lithium ion), while others are not (e.g. alkaline) [56]. Therefore, the battery type to be used should be chosen based on the application requirements. Battery life is the basic limitation in WSN. Hence, researchers should focus on studying this limitation and find some solutions to it. One of the technologies used is energy harvesting, which entails collecting energy from surrounding sources. Many forms of energy harvesting have been discussed in different researches, such as solar energy, vibration-based energy, thermal energy, magnetic energy and radio frequency energy [56]. Different resources have different attributes and the optimal technology selected is based on the application needs. - Choosing communication protocol Media access control (MAC) protocols are responsible for providing reliable communication channels for sensors with the minimal power consumption. Different schemas have been used by researchers to achieve battery conservation, and each schema is based on a different mechanism designed to save the power of the sensors. The predominant MAC protocols are the Random Access (RA) schema, which uses a poweron/power-off mechanism, and Time Division Multiple Access (TDMA), which is a variation of the RA schema; it achieves power efficiency by allowing the sensors to enter an inactive state based on time-slot scheduling. There are many others schemas, such as TEEM, PAMAS and S-MAC, which are based on a listen/sleep mechanism [56]. For special types of LWSN (e.g. underwater and underground), finding a suitable protocol is a big challenge. - Increasing network reliability To provide high-level reliability, WSN employs high-density sensor deployment in order to provide multiple alternative paths; this will increase the network's reliability. However, it may increase the overall cost of the network and sometimes lead to decreased network capacity because of interference effects [56]. Therefore, determining the optimum sensor density is very important. Another factor that affects network reliability is the transport mechanism, which ensures that the quality of the data transferred within the network is reliable. The different transportation mechanisms have their own advantages and limitations, and the most suitable mechanism should be the one that best meets the requirements of the application. Another open research area is to study the possibility of integrating LWSN with other technologies (such as satellite, radio frequency identification (RFID) or cellular networks) to facilitate transferring the collected data to some distant location or to assist in transmitting the data between two different parts of the system, where each part uses a particular type of communication. The difficulties and special needs vis-à-vis integration mean that the type of protocol most suitable for transferring data between the various parts must be considered. The economic benefits and other advantages of this procedure could be considerable. 5 CONCLUSION Nowadays, WSNs are widely used in many different applications. The topology of some applications requires a linear structure for the nodes; in this situation WSN is called LWSN. This paper has fully explained almost all the potential applications that can exploit LWSN to function effectively. At the beginning, this paper presented a new classification for LWSN in network topology (linear sequential, linear parallel and grid) and in network hierarchy (flat architecture, multi-hop architecture and hierarchical architecture); each form of topology can be match with any of the hierarchy types to create different LWSN architectures based on the requirements of the given application. Then, a detailed description of each potential application was given, supported by figures, to illustrate the idea of using LWSN in the application. We found that regardless of the purpose of the system, WSN enhances the objectives of the project by decreasing the time and cost of network deployment and maintenance, by increasing its reliability, by enabling a large number of nodes to be included in the network, and by making the monitoring process effective and safe. We also explained some important design issues that should be considered when deploying LWSN in different applications. These issues can be considered as an open research area that could be studied in the future. We believe that this survey will help in designing application-specific architectures, models and protocols; this will help in increasing the efficiency of linear wireless sensor network. 6 REFERENCES [1] J. Yick, B. Mukherjee and D. Ghosal, "Wireless sensor network survey," Comput. Netw., vol. 52, pp. 2292-2330, 2008. [2] I. F. Akyildiz, W. Su, Y. Sankarasubramaniam and E. Cayirci, "Wireless sensor networks: a survey," Computer Networks, vol. 38, pp. 393422, 2002. [3] S. Alahakoon, D. M. G. Preethichandra and E. M. I. Mala Ekanayake, "Sensor Network Applications in Structures – A Survey," Electronic Journal for structural engineering international, 2009. [4] I. Jawhar, N. Mohamed and D. P. Agrawal, "Linear wireless sensor networks: Classification and applications," J. Netw. Comput. Appl., vol. 34, pp. 1671-1682, 2011. [5] W. Zhengjie, Z. Xiaoguang and Q. Xu, "The application and issuse of linear wireless sensor networks," in System Science, Engineering Design and Manufacturing Informatization (ICSEM), 2011 International Conference, 2011, pp. 9-12. [6] E. Aboelela, W. Edberg, C. Papakonstantinou and V. Vokkarane, "Wireless sensor network based model for secure railway operations," in Performance, Computing, and Communications Conference, 2006. IPCCC 2006. 25th IEEE International, 2006, pp. 6 pp.628. [7] F. Flammini, A. Gaglione, F. Ottello, A. Pappalardo, C. Pragliola and A. Tedesco, "Towards Wireless Sensor Networks for railway infrastructure monitoring," in Electrical Systems for Aircraft, Railway and Ship Propulsion (ESARS), 2010, 2010, pp. 1-6. [8] M. Shuai, K. Xie, X. Ma and G. Song, An OnRoad Wireless Sensor Network Approach for Urban Traffic State Monitoring. New York: IEEE, 2008. [9] H. Sawant, T. Jindong and Y. Qingyan, "A sensor networked approach for intelligent transportation systems," in Intelligent Robots and Systems, 2004. (IROS 2004). Proceedings. 2004 IEEE/RSJ International Conference on, 2004, pp. 1796-1801 vol.2. [10] Y. Ding, C. Wang and L. Xiao, "A static-node assisted adaptive routing protocol in vehicular networks," presented at the Proceedings of the fourth ACM international workshop on Vehicular ad hoc networks, Montreal, Quebec, Canada, 2007. [11] G. M. Robinson, "Smart photoelectric control senses lighting problems" Design News, vol. 51, p. 99, April 1995. [12] C. Iordache, S. Gavat, C. Mada, D. Stanciu and C. Holban, "Streetlight monitoring and control system Part I: System structure," in Automation, Quality and Testing, Robotics, 2008. AQTR 2008. IEEE International Conference on, 2008, pp. 183-186. [13] C. SungKwan and V. Dhingra, "Street lighting control based on LonWorks power line communication," in Power Line Communications and Its Applications, 2008. ISPLC 2008. IEEE International Symposium on, 2008, pp. 396-398. [14] J. Chunguo, S. Dongmei and G. Deying, "Design of Streetlight Monitoring and Control System Based on Wireless Sensor Networks," in Industrial Electronics and Applications, 2007. ICIEA 2007. 2nd IEEE Conference on, 2007, pp. 57-62. [15] T. Harms, S. Sedigh and F. Bastianini, "Structural Health Monitoring of Bridges Using Wireless Sensor Networks," Instrumentation & Measurement Magazine, IEEE, vol. 13, pp. 14-18, 2010. [16] A. Mishra, K. Sudan and H. Soliman, "Detecting border intrusion using wireless sensor network and artificial neural network," in Distributed Computing in Sensor Systems Workshops (DCOSSW), 2010 6th IEEE International Conference on, 2010, pp. 1-6. [17] A. S. Tanenbaum, C. Gamage and B. Crispo, "Taking sensor networks from the lab to the jungle," Computer, vol. 39, pp. 98-100, Aug 2006. [18] S. Zhi, W. Pu, M. C. Vuran, M. A. AlRodhaan, A. M. Al-Dhelaan and I. F. Akyildiz, "BorderSense: Border patrol through advanced wireless sensor networks," Ad Hoc Networks, vol. 9, pp. 468-77, May 2011. [19] A. Owen, G. Duckworth and J. Worsley, "OptaSense: Fibre Optic Distributed Acoustic Sensing for Border Monitoring," in Intelligence and Security Informatics Conference (EISIC), 2012 European, 2012, pp. 362-364. [20] N. Mohamed, I. Jawhar and K. Shuaib, Reliability Challenges and Enhancement Approaches for Pipeline Sensor and Actor Networks: CSREA Press, 2008. [21] N. Mohamed and I. Jawhar, "A Fault Tolerant Wired/Wireless Sensor Network Architecture for Monitoring Pipeline Infrastructures," in Sensor Technologies and Applications, 2008. SENSORCOMM '08. Second International Conference on, 2008, pp. 179-184. [22] N. Mohamed, I. Jawhar, J. Al-Jaroodi and L. Zhang, "Sensor Network Architectures for Monitoring Underwater Pipelines," Sensors, vol. 11, pp. 10738-10764, 2011. [23] I. Jawhar, N. Mohamed and K. Shuaib, "A framework for pipeline infrastructure monitoring using wireless sensor networks," in Wireless Telecommunications Symposium, 2007. WTS 2007, 2007, pp. 1-7. [24] (2012, 20 October). Pipelines Available: http://www.sawater.com.au/sawater/education/ ourwatersystems/pipelines.htm [25] M. R. Akhondi, A. Talevski, S. Carlsen and S. Petersen, "Applications of Wireless Sensor Networks in the Oil, Gas and Resources Industries," in Advanced Information Networking and Applications (AINA), 2010 24th IEEE International Conference on, 2010, pp. 941-948. [26] (12 October). Above Ground Facilities and Structures. Available: http://www.pipelineattorney.com/services/abov e-ground-facilities.html [27] S. Zhi, W. Pu, M. C. Vuran, M. A. AlRodhaan, A. M. Al-Dhelaan and I. F. Akyildiz, "MISE-PIPE: Magnetic induction-based wireless sensor networks for underground pipeline monitoring," Ad Hoc Networks, vol. 9, pp. 218-27, May 2011. [28] (20 October). Underwater Acoustic Sensor Networks (UW-ASN). Available: http://www.ece.gatech.edu/research/labs/bwn/ UWASN/ [29] K. Jong-Hoon, G. Sharma, N. Boudriga and S. S. Iyengar, "SPAMMS: A sensor-based pipeline autonomous monitoring and maintenance system," in Communication Systems and Networks (COMSNETS), 2010 Second International Conference on, 2010, pp. 1-10. [30] I. Jawhar, N. Mohamed, M. M. Mohamed and J. Aziz, "A routing protocol and addressing scheme for oil, gas, and water pipeline monitoring using wireless sensor networks," in Wireless and Optical Communications Networks, 2008. WOCN '08. 5th IFIP International Conference on, 2008, pp. 1-5. [31] (2012, 20 October). Different Countries Greatly Depend on Mining. Available: http://designsbydel.com/2012/02/countriesgreatly-depend-mining/ [32] T. Maity, P. s. Das and M. Mukherjee, "Rescue and protection system for underground mine workers based on Zigbee," International Journal of Advanced Computer Engineering & Architecture, vol. 2, pp. 101-106, 2012. [33] B. Cheng, X. Qiao, B. Wu, X. Wu, R. Shi and J. Chen, "RESTful Web Service Mashup Based Coal Mine Safety Monitoring and Control Automation with Wireless Sensor Network," in Web Services (ICWS), 2012 IEEE 19th International Conference on, 2012, pp. 620622. [34] W. Quan-fu, Z. Shen, Y. Yuan and T. Liang, "The application of wireless sensor networks in coal mine," in Information, Communications and Signal Processing, 2009. ICICS 2009. 7th International Conference on, 2009, pp. 1-4. [35] W. Shi and L.-l. Li, "Multi-parameter monitoring system for coal mine based on wireless sensor network technology," in Industrial Mechatronics and Automation, 2009. ICIMA 2009. International Conference on, 2009, pp. 225-227. [36] L.-m. Yu, A. Li, Z. Sun and H. Li, "Design of Monitoring System for Coal Mine Safety Based on Wireless Sensor Network," in Mechtronic and Embedded Systems and Applications, 2008. MESA 2008. IEEE/ASME International Conference on, 2008, pp. 409414. [37] N. Chaamwe, L. Wenyu and J. Hongbo, "Seismic monitoring in underground mines: A case of mufulira mine in Zambia: Using wireless sensor networks for seismic monitoring," in Electronics and Information Engineering (ICEIE), 2010 International Conference On, 2010, pp. V1-310-V1-314. [38] F. Stajano, N. Hoult, I. Wassell, P. Bennett, C. Middleton and K. Soga, "Smart bridges, smart tunnels: Transforming wireless sensor networks from research prototypes into robust engineering infrastructure," Ad Hoc Networks, vol. 8, pp. 872-888, Nov 2010. [39] J. Haifeng, P. Jiansheng and P. Wei, "Nonuniform clustering routing protocol for tunnel wireless sensor network in underground mine," in Wireless Communications & Signal Processing, 2009. WCSP 2009. International Conference on, 2009, pp. 1-5. [40] J. Ahmad, A. S. Malik, L. Xia and N. Ashikin, "Vegetation encroachment monitoring for transmission lines right-of-ways: A survey," Electric Power Systems Research. [41] J. C. Giacomin and F. H. Vasconcelos, "Wireless Sensor Network as a Measurement Tool in Precision Agriculture," XVIII IMEKO WORLD CONGRESS - Metrology for a Sustainable Development, pp. 17-22, 2006. [42] B. G. Bareja. (April 2011, 20 October). What Is and How Crops are Arranged in Row Planting. Available: http://www.cropsreview.com/rowplanting.html [43] S. Simon and K. P. Jacob, "Preliminary Design on the Development of Wireless Sensor Network for Water Table Monitoring in Paddy Fields," International Journal of Distributed and Parallel Systems, vol. 2, pp. 87-93, 2011. [44] I. F. Akyildiz and E. P. Stuntebeck, "Wireless underground sensor networks: Research challenges," Ad Hoc Networks, vol. 4, pp. 669686, 2006. [45] W. Ning, Z. Naiqian and W. Maohua, "Wireless sensors in agriculture and food industry - Recent development and future perspective," Computers and Electronics in Agriculture, vol. 50, pp. 1-14, Jan. 2006. [46] S. Simon and K. P. Jacob, "Wireless Sensor Networks for Paddy Field Crop Monitoring Application in Kuttanad," International Journal of Modern Engineering Research (IJMER), vol. 2, pp. 2017-2020, 2012. [47] L. Ruiz-Garcia, L. Lunadei, P. Barreiro and I. Robla, "A Review of Wireless Sensor Technologies and Applications in Agriculture and Food Industry: State of the Art and Current Trends," Sensors, vol. 9, pp. 4728-4750, 2009. [48] D. D. Chaudhary, S. P. Nayse and L. M. Waghmare, "Application of Wireless Sensor Networks for Greenhouse Parameter Control in Precision Agriculture," International Journal of Wireless & Mobile Networks (IJWMN), vol. 3, pp. 140-149, 2011. [49] (20 October). Technology in Sports Available: http://www.topendsports.com/resources/techno logy.htm [50] [50] Y. Xie, F.-q. Wu, and L.-g. Li, "An intelligent wireless sensor network applied research on dynamic physiological data monitoring of athletes," pp. 71301F-71301F, 2008. [51] V. Sivaraman, S. Grover, A. Kurusingal, A. Dhamdhere and A. Burdett, "Experimental study of mobility in the soccer field with application to real-time athlete monitoring," in Wireless and Mobile Computing, Networking and Communications (WiMob), 2010 IEEE 6th International Conference on, 2010, pp. 337345. [52] P. Wilhelm, E. Monier, F. Xu and U. Witkowski, Analysis of Indoor Team Sports Using Video Tracking and Wireless Sensor Network. Germany, 2008. [53] D. Benferhat, F. Guidec and P. Quinton, "Disruption-tolerant wireless biomedical monitoring for marathon runners: A feasibility study," in Wireless Personal Multimedia Communications (WPMC), 2011 14th International Symposium on, 2011, pp. 1-5. [54] J. Pansiot, A. Elsaify, B. Lo and Y. GuangZhong, "RACKET: Real-time autonomous computation of kinematic elements in tennis," in Computer Vision Workshops (ICCV Workshops), 2009 IEEE 12th International Conference on, 2009, pp. 773-779. [55] V. Braysy, J. Hurme, H. Teppo, T. Korpela and M. Karjalainen, "Movement tracking of sports team players with wireless sensor network," in Ubiquitous Positioning Indoor Navigation and Location Based Service (UPINLBS), 2010, 2010, pp. 1-8. [56] G. Owojaiye and Y. Sun, "Focal design issues affecting the deployment of wireless sensor networks for pipeline monitoring," Ad Hoc Networks.
A Greener World Briefing Paper #2 Comments on Research from UK's Glasgow University on Antimicrobial Resistance Certified Animal Welfare Approved by A Greener World (AGW) has the most rigorous standards for farm animal welfare currently in use by any organization in North America. Its standards have been developed in collaboration with scientists, veterinarians, researchers and farmers across the globe to maximize practicable, high-welfare farm management. In recent research published in the Proceedings of the Royal Society B, Mather et al (2011) examined long-term surveillance data of Salmonella typhimurium DT104 from co-located humans and animals in Scotland. The researchers were trying to compare the development of antibiotic resistance in animals and people in Scotland in a major strain of salmonella. Their paper concluded that the local animal populations were unlikely to be the major source of antibiotic resistance in humans, and that in the majority of resistances which are common to both animals and humans the resistances appeared first in humans. Several agricultural industry websites and magazines picked up on this report and subsequently used it to promote the position that antibiotic resistance does not result from the overuse of antibiotics in animal agriculture, and that further restrictions on antibiotics are therefore unnecessary. This is despite the fact that numerous published scientific papers already argue the exact opposite. So how did the University of Glasgow researchers reach this conclusion and why are their results so at odds with almost all published research on salmonella? It is fair to say that the paper contains enough complex statistical analysis to evoke the old saying about "lies, damn lies and statistics." So Animal Welfare Approved sought expert advice from Richard Young of the Alliance to Save Our Antibiotics. 1 Richard has been working on antibiotic use in farmed animals for over 10 years. As the author and major contributor to a number of reports on antibiotic use in farmed animals he is well placed to explain what's going on. Weaknesses in the Research 1 The Soil Association, Compassion in World Farming and Sustain are founder members of the Save Our Antibiotics Alliance. Richard Young is Policy Advisor to the Soil Association. Animal Welfare Approved would also like to thank Cóilín Nunan for his contribution to this analysis of Mather et al (2011). According to Richard, Mather et al (2011) were essentially trying to compare the development of antibiotic resistance in animals and people in Scotland in a major strain of salmonella, one that mostly affects cattle but also pigs and poultry. Their conclusion was that animal and human DT104 populations differ significantly in several ways, such as prevalence, linkage, time of emergence and diversity. As a result, they infer that local animal populations are unlikely to be the major source of antibiotic resistant disease in humans. However, Richard has highlighted several weaknesses in the research which significantly undermine the validity of their conclusions. The Omission of Key Data The researchers focused on the different resistance profiles (in other words, the different lists of antibiotics to which the salmonella is resistant) which are found in humans only, in animals only, or in both. As Richard explains, one of their core arguments is that because they found more samples of salmonella with unique resistance profiles in humans than in animals, this means that more of the antibiotic resistance found in humans is coming from human rather than veterinary medicines. In making their claim that the salmonella DT104 from humans are distinguishable from the animal salmonella, the researchers found that of the 52 profiles found in humans, 30 were unique to humans, whereas only 22 were also found in animals. Yet when Richard examined the research paper more closely he found that the 30 human-only profiles actually accounted for just a tiny fraction of all the human cases, while the 22 common profiles (shared between humans and animals) accounted for 2,707 of the 2,761 (or 98%) of the human cases – something that the researchers completely failed to mention in their paper. Richard feels that such highly relevant information should really have been clearly highlighted in the paper; yet the information is actually hidden away in Table S4 of the supplementary material, which is only available on the journal's website. Insufficient Evidence Richard explains that the researchers then looked at the 22 resistance profiles that are common to both humans and animals to see if they were first found in humans or in animals. The paper claims that 11 resistance profiles first emerged in humans, six appeared simultaneously in humans and animals, and just five first appeared in animals. Yet the key question the researchers fail to answer is which of the different resistance profiles first emerged in humans and which in animals? The 65 different resistance profiles are listed in the supplementary data accompanying the report. From this list it is easy to pick out the 22 profiles that appear in both humans and animals. But there is nothing to further break down this list of 22 resistance profiles into the different categories noted above. In other words, which are the 11 resistance profiles that first emerged in humans? Which are the six profiles that appeared simultaneously? And which are the five that first appeared in animals? The researchers must know – yet they don't tell us. It should be noted that one resistance profile alone accounts for 90% of animal cases and 70% of human cases. This has to be the most important profile for us to look at, but we aren't told where this resistance profile first emerged. Was it in humans or animals? In fact, the seven most common resistance profiles in humans account for 2,676 of the 2,761 human cases (or 97% of the cases), and all these are also found in farm animals. So where did these resistance profiles first emerge – in animals or in humans? Again, the paper fails to say. Thus, on the basis of the information provided, we cannot even judge whether the overwhelming majority of cases are accounted for by resistance profiles which first emerged in animals or in humans. It seems extraordinary that this fundamental question is not addressed. The paper also mentions that 13 of the 35 resistance profiles found in animals were not found in humans. This represents 37% of all resistance profiles found in animals. The researchers say that this percentage is too big; that if animals are the source of resistance for humans then with only a few exceptions the resistance profiles would be the same in both. The researchers suggest that finding 37% of animal profiles that don't appear in humans implies that the resistance can't be coming from animals. However, what the researchers fail to declare is that these 13 animal resistance profiles together account for less than 1% of the salmonella cases found in animals. In other words, over 99% of the salmonella cases found in animals had resistance profiles that were also found in humans. Looking at actual cases rather than the percentage of profiles is obviously far more relevant to the transmission of resistance – and in doing so, we drop from 37% of animal resistance profiles that are not found in humans to less than 1%. As the researchers argue themselves, if the source of resistance was indeed animals then we wouldn't expect to find many resistance profiles that were detected in animals but not in humans. Less than 1% certainly isn't much! Clearly, this fact raises real concerns about the way the researchers chose to draw conclusions about antibiotic resistance. Neglecting the Potential Role of Imported Meat Richard goes on to explain that the greater diversity of resistance profiles which the study found in humans is likely to be due to a combination of two factors: * No data on the impact of imported meat was considered. Humans frequently consume imported meat, but Scottish farm animals are only occasionally exposed to imported live animals * Human antibiotic use may contribute to creating greater diversity of resistance profiles. As many studies have already shown, resistance in human salmonella comes mainly from farmanimal antibiotic use, but human antibiotic use may subsequently increase diversity. In contrast, diversity of resistance profiles in farm animals will only come from farm-animal antibiotic use. In relation to imported food, we know that at least half of the pork and a significant proportion of the poultry meat eaten in Scotland would have been imported from elsewhere in the UK or EU, with additional poultry imports coming from South America and South East Asia. Although there is generally less Salmonella typhimurium DT104 (the salmonella they considered) in pork and poultry than in beef, we know that people were eating much more poultry and pork than beef during the period in question. Levels of resistance to some antibiotics in Salmonella typhimurium DT104 from turkeys in particular are higher than in cattle. In addition, it is known that poultry and pork are much more common sources of food poisoning than beef, largely due the way the meat is slaughtered, eviscerated, stored, handled and cooked. Richard's point is that if the researchers failed to take into account the resistance profiles for Salmonella typhimurium DT104 in imported poultry and pork that Scottish people would have eaten during the period concerned then the results may be very misleading. The authors attempt to get around this weakness by stating: "Given that Salmonella infections in humans are associated with the food chain and imported food is not derived from the sympatric [local] animal population, imported food as a source of infection and/or resistance must also be addressed." Yet they then completely fail to address this issue in the paper and fall back on the circular argument that because they only considered data for Scottish animals that their results remain valid for Scottish animals. Irresponsible Conclusions In conclusion, Richard contends that the University of Glasgow research is flawed. It starts from the perspective of "addressing the basic tenet that the use of antimicrobials in animal populations is the major influence on the emergence and maintenance of resistance in human pathogens." But the fact is that this "basic tenet" does not actually exist. No responsible campaign group is claiming that use of antimicrobials in animal populations causes resistance in all human infections. However, there is considerable scientific justification to claim that the overuse of antimicrobials in intensive farming is a significant cause of antimicrobial resistance for a significant proportion of serious human pathogens – including salmonella. Rather than try to disprove this, we must address it alongside efforts to reduce the unnecessary prescribing and inappropriate use of antibiotics in human medicine. As a result, Richard is extremely concerned by the overall conclusions that Mather et al (2011) present at the end of their paper: "'Furthermore, we infer that the sympatric [local] animal population is unlikely to be the major source of resistance diversity for humans. This suggests that current policy emphasis on restricting antimicrobial use in domestic animals may be overly simplistic. While these conclusions pertain to DT104 in Scotland, this approach could be applied to antimicrobial resistance in other bacteria–host ecosystems". Richard feels it is highly irresponsible for the researchers to make such sweeping claims based on just one study, especially since their conclusions contradict more than 50 years of research in this field. The statement is also unhelpful as it further encourages those who are seeking any justification to block efforts to promote the more responsible use of farm antibiotics. Indeed, this new research has already been used to bolster beliefs in the veterinary and farming sectors that antibiotic resistance in farm animals makes no significant contribution to resistance in humans – despite the significant weight of scientific evidence to the contrary. 2 2 See British Veterinary Association (2012). Richard recognizes that some cases of salmonella will be caught from human sources rather than directly from meat, and that these will therefore reflect antibiotic use in human as well as animals. However, since people eat farm animals – and farm animals do not eat people – he feels it is counterintuitive to suggest that one of the major causes of food poisoning would not also represent a major source of the antibiotic resistance genes in salmonella infections in people. Richard's thorough analysis of Mather et al (2011) has revealed a number of weaknesses that raise significant questions about the validity of the results and conclusions presented. At the very least, this research paper should have been published with far more modest and balanced conclusions. Further research of a similar nature– albeit with more complete and reliable data – is needed before any clear conclusions can be drawn. References and further reading Alliance to Save Our Antibiotics (2011) Case Study of a Health Crisis: How human health is under threat from over-use of antibiotics in intensive livestock farming, Available at www.animalwelfareapproved.org/farmers/recommended-reading/ Mather, A.E., Matthews, L., Mellor, D.J., Reeve, R., Denwood, M.J., Boerlin, P., Reid-Smith, R.J., Brown, D.J., Coia, J.E., Browning, L.M., Haydon, D.T., and Reid, S.W. (2011). An ecological approach to assessing the epidemiology of antimicrobial resistance in animal and human populations, Proceedings of the Royal Society B. 2011 Nov 16. [Epub ahead of print ]. Abstract available at http://rspb.royalsocietypublishing.org/content/early/2011/11/10/rspb.2011.1975.abstract British Veterinary Association (2012) New research suggests animals not to blame for human antimicrobial resistance, press release, 6 January 2012, http://www.bva.co.uk/2651.aspx Comments on Research from UK's Glasgow University on Antimicrobial Resistance is one of A Greener World's Briefing Paper range, designed to provide analysis and comment on current issues. For more information visit agreenerworld.org.
Sacred Heart Catholic Church July 22, 2018 PASTOR: Rev. Msgr. John C. Peters, V.G. PAROCHIAL VICAR: Rev. Max Landman Email: email@example.com DEACONS: Rev. Mr. Joseph (Joey) Targac Rev. Mr. Linard Harper Rev. Mr. Michael Tankersley ADMINISTRATIVE ASSISTANTS: Dorothy A. Jansky, Phyllis Steffek, Brenda Henneke, and Jackie Pettus MASS SCHEDULE WEEKENDS: Saturday: Vigil Mass at 5:30 p.m. Sunday: 8:00 a.m. and 10:30 a.m. SPANISH MASS: Last Sunday of every month at 5:00 p.m. WEEKDAYS: Monday, Tuesday and Thursday – 7:00 a.m. Wednesday and Friday – 7:00 a.m. and 8:05 a.m. NURSING HOME MASSES: Hallettsville Rehab. – 10:00 a.m., every Monday Stevens – 10:00 a.m., every Thursday SACRAMENT OF PENANCE Confessions are heard on Saturdays beginning at 4:30 p.m. and by appointment at any time. SACRAMENT OF MARRIAGE & BAPTISM Contact the Rectory well in advance of anticipated date. BAPTISM PREPARATION CLASSES 4th Sunday of every month at 9:00 a.m. in the Family Center. Please call the Rectory in advance to register. PERPETUAL ADORATION Adoration of the Blessed Sacrament begins on Sundays at 6:00 p.m. and continues through Friday at 6:00 p.m. NEW PARISHIONERS Welcome to our parish family. Please stop by the Rectory or call to register. RIGHT TO LIFE CONTACT NUMBER: (888) 735-3448 EWTN – Cable Channel 71 or Dish Channel 261; Direct TV Channel 370. 400 East Fifth Street P. O Drawer H Hallettsville, TX 77964 Rectory: (361) 798-5888 E-Mail Address: firstname.lastname@example.org Convent: (361) 798-5069 PASTORAL COUNCIL CATHOLIC ACTION: Denise Barton, Joyce Machicek, Cori Chovanetz CEMETERY: Aaron Machac, Ronnie Sevcik EDUCATION: Robert Klekar, Donald Shimek LITURGY: Mary Hall MAINTENANCE: Randy L. Fojt, Michael Janak FINANCE: John Henke, Jr. PARISH FINANCE COUNCIL John Henke, Jr., Frank Janecek, Dennis Matula, Roman Shimek, Debra Technik & Debbie Wagner SACRED HEART SCHOOL (798-4251) Grades Pre-K3 - 12, fully accredited by the Texas Catholic Conference Education Department and the Texas Education Agency. Principal: Kevin Haas; Secretary: Kathy Haas SCHOOL ADVISORY COUNCIL Lisa Dworsky, Allen Machicek, Chuck Pavliska, Ann Slatter, Katie Steffek, Robert Timm RELIGIOUS EDUCATION (CCD) (798-3124) Grades K-12, Sacramental Programs, Adult Education. For information, call Angela McConnell (798-3124 or 741-8730) or the Rectory. Classes for Grades K-12 are on Wednesdays, 6:00–7:00 p.m. Like us on Facebook – www.facebook.com/SacredHeartReligiousEducation YOUTH MINISTRY: Troy Spring (772-1797) CHANGE OF ADDRESS Notify the Rectory for address or other changes. PARISH WEBSITES: Parish: www.shcatholicchurch.org School: www.shschool.org Cemetery: www.victoriadiocese.org Safe Environment: www.victoriadiocese.org ADORATION CHAPEL: Charlene Bradbury (798-3224) BULLETIN DEADLINE: Tuesdays by noon. JULY 22, 2018 SIXTEENTH SUNDAY IN ORDINARY TIME hen he disembarked and saw the vast crowd, his heart was moved with pity for them, for they were like sheep without a shepherd; and he began to teach them many things. - Mk 6:34 W Excerpts from the Lectionary for Mass ©2001, 1998, 1970 CCD. Sunday, July 22, Sixteenth Sunday in Ordinary Time, Am 7:12-15/Ps 85:9-10, 11-12, 13-14 [8]/Eph 1:3-14 or 1:3-10/Mk 6:7-13 8:00 am – Daniel Wick 10:30 am – George E. Bujnoch Monday, July 23,Weekday, St. Bridget, Religious,Mi 6:1-4, 6-8/Ps 50:5-6, 8-9, 16bc-17, 21 and 23 [23b]/Mt 12:38-42 7:00 am – Buster and Anne Hale 10:00 am – Marge Rehm (Hallettsville Rehab) Tuesday, July 24, Weekday, Saint Sharbel Makhlūf, Mi 7:14-15, 18-20/Ps 85:2-4, 5-6, 7-8 [8a]/Mt 12:46- Priest, 50 7:00 am – Mrs. Daniel Haas & the Rudolph Haas Family Wednesday, July 25, Saint James, Apostle, 2 Cor 4:7- 15/Ps 126:1bc-2ab, 2cd-3, 4-5, 6 [5]/Mt 20:20-28 7:00 am – Newton & Frieda Renken 8:05 am – Eugene Novak Thursday, July 26,Weekday, Saints Joachim and Anne, Parents of the Blessed Virgin Mary, Jer 2:1- 3, 7-8, 12-13/Ps 36:6-7ab, 8-9, 10-11 [10a]/Mt 13:10-17 7:00 am – Rose Trojcak 10:00 am – Wilhelm & Georgie Grahmann (Stevens) Friday, July 27,Weekday,Jer 3:14-17/Jer 31:10, 11- 12abcd, 13 [cf. 10d]/Mt 13:18-23 7:00 am – Alois & Buck Leopold 8:05 am – Tim Schaefer Saturday, July 28,Weekday, BVM,Jer 7:1-11/Ps 84:3, 4, 5-6a and 8a, 11 [2]/Mt 13:24-30 5:30 pm – Herbert, Heddy, Wilbert, & Robert Greer & H. G. Cobb Sunday, July 29,Seventeenth Sunday in Ordinary Time, 2 Kgs 4:42-44/Ps 145:10-11, 15-16, 17-18 [cf. 16]/Eph 4:1-6/Jn 6:1-15 8:00 am – Helen Margaret Treptow 10:30 am – For the Parish 5:00 pm – Ernesto Reyes, Jr. (Spanish Mass) Bulletin Sponsor: In Memory of Mrs. Daniel Haas and the Rudolph Haas Family Radio Sponsor: In Memory of Tim & Weldon Schaefer by the Family Vigil Light Sponsor: In Honor of Alice Janak's Birthday by Mark & Karen Janak Family Our Gift to God: Envelopes-$4,936; Loose-$1,185; Children's-$79; Peter's Pence-$472 CALENDAR OF EVENTS SUNDAY, JULY 22 -Baptism Class- 9:00 a.m., Family Center MONDAY, JULY 23 - No Rosary & Evening Prayer until August TUESDAY, JULY 24 -Christian Mothers' New Members Mass – 6:00 p.m. followed by Reception at Sacred Heart Family Center. -Quilting Circle – KC Hall Annex, 9:00 a.m. SUNDAY, JULY 29 -Spanish Mass – 5:00 p.m. (Covered Dish Supper in Family Center after Mass). Among Our Sick: Ryan Janak, Harvey Drozd, Cynthia Spanihel, Gene Schulte, Kimberly Jalufka, Wilton Hrncir, Alma (Sweet) Hrncir, Gloria Juarez, James Brooks, Kristen Brooks, DeDe Waelder, Emil Doubrava, Becky Pekar, Henry Muenster, Don Netek, Jr., Marcella Henke, Laura Berlin, Roland Henneke, Elizabeth (Hubert) Janak, Patricia Schlageter, Tina Chovanetz, Margaret Novak, Brian Wisnoski, Gertrude (Trudy) Janak, Susie Strauss, Jack Ross, Betsy Brown, Shawn Janak, Theresa Matula, Georgia Bujnoch, Adela Grahmann, Rose Thumann, Cole Ohrt, Ryan Munson, Geraldine Taylor, Carolyn Strauss, Johnny Pohl, Robert Drozd, Eddie Kosh, Sylvester Garza, Marvin Huser, Frank Bludau, Annette Technik, Bernard Grahmann, Henry Joe Repka, James Horecka, Daniel Drozd, Emma Henke, Tina Russ, Gloria Haas, and nursing home residents & the homebound. Happy Anniversary! Charles & Delores Sommer 53 years July 24 William & Virginia Grafe 50 years July 27 Ed & Gail Kallus 45 years July 28 FRIENDLY REMINDER TO PARISHIONERS If you have information for the Bulletin, please be reminded that the Deadline for Bulletin entries is Tuesday at Noon. UPDATE PARISHIONERS' PHONE NUMBERS If you have changed your phone number or no longer have a land-line and have not contacted the Rectory, please call the Rectory at 7985888. We would like to update the phone numbers of everyone in the Parish. Thank you in advance. L.A.M.B. Thrift Shop has opened at its new location. The hours are Tuesday & Wednesday from 9:15 a.m. to 3:15 p.m. The location is 1429 Hwy. 90A East. From the Desk of Msgr. John Many people today are afflicted with cancer. St. Peregrine is the Patron of Cancer Victims. Please say the following prayer to St. Peregrine for cancer victims: O God, who gave to St. Peregrine an angel for his companion, the Mother of God for his Teacher and Jesus for the Physician of his malady; grant, we beseech Thee, through his merits, that we may on earth intensely love our holy angel, the Blessed Virgin, and our Savior and in heaven bless them forever. Grant that we receive the favor for which we now petition. Through the same Christ our Lord. Amen. Say one Our Father, Hail Mary. Glory be to the Father, with the invocation: St. Peregrine, pray for us. Let us keep all our cancer patients and all others who are ill in our prayers. AREA NEWS Stevens Nursing & Rehab is hosting a Community Bingo on the last Friday of each month. Everyone is invited, prizes will be given—2:00 p.m. in Dining Room A. Holy Family K of C Council #9088 Presents the Sixteenth Annual K of C Readin', Ritin' & Reelin' Fishing Tournament, August 3 & 4, 2018, Port O'Connor Community Center. Door Prizes, Cash Prizes, Live Auction, Cash Prizes & Raffle. For Info Contact: Sister Ann Meletio—361-485-2044; Brenda Hermes—361-564-8361; George Wenzel—361-649-7707 St. Anthony's Catholic Church, Palaciouos, Texas 54 th Annual Shrimporee, August 4-5, 2018. Shrimporee Sunday, Lunch begins at 10:30 am. Shrimp or BBQ (Beef or Chicken) $10 per plate; live auction, music, games and more. St. Pio Vocation Club First Saturday Mass will be August 4 th at the Sts. Cyril & Methodius Church in Shiner. Rosary at 7:30 a.m. followed by Mass at 8:00 a.m. No evening meal meeting in August due to the Seminary Supper on August 7 th . Please pray for Vocations to the Priesthood and Religious Life. Please pray for the Veterans who have served Our Country and have sacrificed and given so much for our freedom. The flowers at the Altar this past week were in Memory of Delores Grahmann by the Family. ACTS Community Annual Family Picnic, Sunday, August 12, 2018at Splashway Waterpark in Sheridan, Texas. Mass at 10:00 a.m. followed by Lunch and Fellowship. Lunch furnished by ACTS Core. Individual and family swim time 12:00 p.m.-6:00 p.m. Tickets are $19.99 each. Age 2 & under are free. Please RSVP by July 30 th —Courtney Perez (361772-5881 and email coutneyperez11@hotmailcom MARRIAGE RETREAT Calling all married couples!! Are you longing to spend quality time with your spouse and better understand God's plan for your marriage and your family? If so, please join us for the annual Hallettsville Deanery Marriage Retreat, which will be held August 17-19, 2018, at Disciple Oaks in Gonzales. Why go??? Here are the top ten reasons to attend the marriage retreat: 10. Enjoy 2 date nights, kid free! 9. The weekend is very casual and laid back, with a limited number of couples attending. 8. The retreat is available for ANY and ALL couples, whether you are newlyweds or you have been married for decades. 7. You will be able to take a break before the hustle and bustle of the new school year. 6. At $250 per couple, you cannot find a cheaper allinclusive weekend getaway! 5. Your family is invited to attend Mass with you on Sunday, followed by a pool party with hamburgers for lunch. 4. You will eat GREAT – this is not the time to be on a diet!! 3. With check-in at approximately 6 p.m., you will not have to take off work on Friday. 2. You and your spouse will have your own private bedroom and bathroom. And the number one reason to attend the marriage retreat: You will spend quality time with your spouse without the usual distractions of everyday life and grow in your relationship with each other and with God. "A cord of three strands is not easily broken." Ecclesiastes 4:12 Please prayerfully consider if God is calling you and your spouse to attend this retreat. We look forward to spending the weekend with you! Registration forms are located in the back of church. Please call Stephen and Ashley Grahmann (361-7725150) or Heath and Melanie Ressler (281-543-7110) for more information. God Bless! NEW CHURCH ORGAN DONORS Credit Union-$1,000; In Memory of Mike Chovanetz by Alice Jo Mr. & Mrs. Charles Hardilek--$1,000; In Memory of Joshua Leopold by Jimmie & Sylvia Steffek-$50; In Memory of Lou Kubena by Robert Kubena-$10,000; Sacred Heart Federal Summers-$20; Charles & Kathy Haas-$100; Eddie & Catherine Kosh-$500; James & Ruby Bujnoch-$100; Charles & Doloris Leopold-$5,000; Frances Michalec-$20; Glenn & Shara Steffek$300; Gladys LaMere-$1,000; Anonymous-$250; George & Irene Knebel-$500; In Memory of His Parents-Msgr. John C. Peters-$1,000; Winfred & Ida Bludau-$1,000; In Memory of Terry Wick by Sarah Wick-$100; In Memory of Mr. & Mrs. John Grahmann by Loretta and Roy Hardcastle-$500; In Memory of Frank V. & Rose Lee Henke by Anthony & Rachel Siegel-$50; Glenn & Rose Pagel-$500; In Memory of Anita Pesek by Paulie Pesek-$1,000; In Memory of Rebecca & Julie Steffek by Raymond & Virginia Steffek-$500; Bernard & Mary Grahmann$50; In Memory of Ervin Bludau, Sr. by Ella Mae Bludau Family$200; John & Sherry Henke-$100; In Memory of Joe & Alice Bludau, Jr., Marilyn Bludau Marikle & Charles Bludau by Joe Bludau III Family-$100; In Memory of Rita Zaruba by Frank Zaruba-$300; In Memory of Joe, Banna & Chris Jares by Michael & Janice Jares-$500; In Memory of Georgia Schaefer by Roland Schaefer & Family-$500; In Memory of Georgie Etzler by Bernie & Marcie Patek-$25; Alvin Paul & Barbara Grahmann-$300; Phillip and Phyllis Steffek-$500; Dennis & Gerardette Haas-$500; In Memory of Lisa Gerlich Grissom by Hubert & Agnes Gerlich-$100; In Honor of Bohumir & Mary Ann Pustejovsky's 64 th Wedding Anniversary by Allan & Mary Leopold and Family-$100; Ronald & Linda Wischnewsky-$250; In Memory of Rose Trojcak and James Bludau by John & LaVerne Trojcak-$2,000; In Memory of Louis and Julia Kallus, Carolyn Steffek, and Alfred, Mary and Debbie Technik by Mike and Helen Technik-$250; In Memory of Michael Chovanetz by Robert & Sally Janak-$100; In Memory of Paul V. Wood by Kubena Funeral Home (Dan, Eugene, Andy & Allison)-$20; In Memory of Paul V. Wood by David & Mary Polasek-$25; In Memory of Georgie Etzler by Pat & Theresa Brewer-$20; In Memory of Rebecca & Julia Steffek by Pat & Theresa Brewer & Family-$200; Don & Barbara Rainosek-$1,000; In Memory of Karen Steffek by Robert & Leona Steffek and Family-$500; In Memory of Georgie Etzler by Betty Kristek-$20; Lillian Harned$100; Mark & Karen Janak & Family-$100; Rick & Brenda Masek-$200; In Memory of Raymond Dornak by Agnes & Hubert Gerlich-$20;In Memory of Georgie Etzler by David & Kathy Orsak-$25; Barbara J. Grahmann-$100; In Memory of Barbara Kubena & Duchess, A.J. & Agnes Kubena & Eva Brent by Dan Kubena, Beverly McCabe, Eugene & Andy Kubena$15,000; Leroy and Alice Janak-$500; James & Marsha Steffek$500; Robert & Margaret Klekar-$200; Gilbert & Mary Rose Schindler-$100; Kevin & Janice Busselman-$500; Ed & Peggy Scherer-$300; In Memory of Georgie Etzler: Morley & Jeannie Sommer-$25; Leonard & Mary Sklar-$20; Mr. & Mrs. Kenneth Etzler-$20; Mike, Pam & Kenzie Etzler-$20; Wilbert & Carol Etzler-$20; Gary & Karen Clark, Austin, Krystal, Steven, Nailene, & Sadie-$20; Douglas Henke-$20; Bob & Debra Raymond Gaidusek-$25; Anthony & Virginia Kristek-$50; Continued-Church Organ Donations Hubert & Agnes Gerlich-$20; John & Frances Bock-$15; Elrose Technik-$20; Judy Jalufka-$20; Evelyn Henke-$20; Sharon & Kalisek-$20; Mr. & Mrs. Patrick Belcik-$20; Royce & Anna Brown-$20; Mike & Lois Kallus-$20; Wade & Ashley Kallus-$20; Kubena Funeral Home-$20; Mike & Helen Technik-$50; R. L. & Elsie Orsak-$20; Robert & Marie Tobola-$20; In Memory of Jodie Hermes: John & Frances Bock-$20; Bruce, Kelly, Brennan & Emily Schimcek-$25; In Memory of Jerry Migl: Kubena Funeral Home (Dan, Eugene, Andy, & Alison)-$20; In Memory of Margaret Dornak by R.L. & Elsie Orsak-$100; In Memory of Otto & Victoria Orsak by the Family-$150; Mr. & Mrs. Norbert Sobotik-$100; In Memory of Georgie & August Henke by Carl & Anita Hobbs-$200; In Memory of Nick Hoffer by Delores Chaloupka-$50; John & Charlene Pillow-$100; In Memory of Rita Zaruba and Patsy & Frankie Mikes, Sr. by Jack & Sandy Zaruba-$100; In Memory of Rebecca & Julie Steffek by Ray, Jr. and Michele Steffek-$250; In Memory of Joe N. Steffek by Magdalene M. Steffek-$50; Pat Mladenka-$50; Tommy & Elsie Grahmann-$100; In Memory of William & Mary Zappe and Pete, Martha & Bill Mican by Gilbert & Elaine Mican-$250; In Memory of Charlie & Annie Henke by Johnny & Anna Havel and Johnny Jr. & Mandi Havel and Birkley & Granger Havel-$100; Matthew, Martha, and John Bludau-$100; In Memory of Maxie and Evelyn Bennett by Dean & Barbara Tesch-$20; Calvin and Jeanette Albrecht-$50; In Memory of Raymond Dornak-$25 by Ella Mae Bludau; In Memory of Anton Vavrusa by Lillian Harned-$100.00: In Memory of Raymond Dornak by Phyllis & Phillip Steffek-$25; In Memory of Rose Leopold Henneke by the Graduating Class of 1973-$20; Jimmy & Marcie Appelt-$50; Jerry & Margaret Kallus-$500; In Memory of Rose Leopold Henneke by Dukie and Nola Bohuslav--$20; In Memory of Rose Leopold Henneke by Mark Vavrusa-$50; Arthur, Sr. & Rose Mary Etzler-$500—In Memory of Frank & Agnes Polansky by Irene Szwarc-$100; In Memory of Leo T. & Viola Henke and Anton & Frances Honish by James & Mary Honish and Family$100; Harvey Jahn-$200; In Memory of Rose Leopold Henneke: Chris Hermes-$20; John & Frances Bock-$20; Joyce Hermes$10; Bohumir & Mary Ann Pustejovsky-$25; Daniel & Dorothy Rother-$20; Jim & Susan Williams-$20; Magdelen Steffek$20.00; In Memory of Siegfried & Mary Golsch by Jennifer Golsch-$100; Dolores Johnson-$25; In Memory of Theo A. & Mary B. Golsch by Hubbard & Bea Wyatt-$200; In Memory of Willie C. Migl by Mary Migl-$100; In Memory of Sidonia Klekar: John & Sherry Henke-$25; Joyce Hermes-$10; Dennis & Sheila Jansky & Family-$20.00; In Memory of William C. Gohlke by Lillian Gohlke-$100; Larry & Doris Grubert-$200; Thomas & Charlotte Sitka-$275.00; Lawrence & Kathy Korenek-$250; In Memory of Robert & Elsie Zoch-$500 & In Memory of Charles & Alma Hardilek-$500- Anonymous; In Memory of Weldon Schaefer by Evelyn Schaefer-$100; Stephen & Renee Bludau$500; In Memory of Anton Steffek by Mary Steffek-$200; In Memory of Frank Luke by Frank Fishar--$100; Frank & Charlene Fishar-$100; Bernice Smith-$50; In Honor of Parents' Charlene Wick and Henry Wick by Susan & Thomas Tolson$25; In Memory of Harry Macik by Vernell Macik-$25; In Memory of Victor & Leona Buzek and Mike Chovanetz by Continued-Church Organ Donations Harvey & Betty Woytek-$20; In Memory of Henry J. Sitka and Victor & Cecilia Bujnoch by Marvin & Susan Bujnoch-$100; In Memory of Delores Grahmann by Charlie & Dorothy Jansky$20; Raymond & Virginia Steffek-$20; Doris Opela-$10; In Memory of Rose Leopold Henneke by Jim & Susan Williams$20; Chris Hermes-$20; John & Frances Bock-$20; Joyce Hermes-$10; Bohumir & Mary Ann Pustejovsky-$25; Daniel & Dorothy Rother-$20; Magdelen Steffek-$20; Bruce & Joan Polach & Family-$50; In Memory of Sidonia Klekar by John & Sherry Henke-$25; Joyce Hermes-$10; Dennis & Sheila Jansky and Family-$20--(Total $57,505.00) CHRISTIAN MOTHERS NEW MEMBERS MASS & RECEPTION The Sacred Heart Christian Mothers will hold their new members Mass on Wednesday, July 25 th at 6:00 p.m., followed by a reception in the Sacred Heart Family Center. Members are encouraged to invite friends or relatives to join Christian Mothers. If you are inviting a potential new member, please give their contact information to Lynette Sykora at 361-7999630 or email@example.com. Bring an appetizer, side dish, or dessert to share. KJT KJT State Family Day, July 29, 2018 at KJT Activity Center in La Grange. Registration begins at 11:00 a.m. with Holy Mass at 11:30 a.m. followed by a BBQ meal. All members and their families are invited to come enjoy a day of fun. Prizes will be given throughout the day, with a water slide and face painting for the children. Sacred Heart Fall 2018 Picnic We are in need of Raffle Donations for the Fall 2018 Picnic Raffle. Please call the Church Rectory at 798-5888. Cattle Donations * 2-year old Brangus Cow with first calf donated by Charles & Doloris Leopold Cash Donations * Roy & Pam Wick-$50; Bea Butschek-$50 The Sacred Heart 2018 Fall Picnic Country Store will be in need of handmade craft items for our Fall Picnic. If you are a "crafty" person, please be working on handmade aprons, potholders, embroidered pillow cases, cup towels or any other craft items. Attention All Parishioners: The Fall Picnic 2018 is just around the corner. (6 Weeks to be exact). Fall Picnic Donations, such as cattle, antiques, unique or interesting items to donate to the Auction, are needed for the Fall Picnic held on September 2, 2018. Please call the Rectory. Cash Donations may be dropped off at the Rectory or placed in an envelope and dropped off in the collection basket. Your help is greatly appreciated! THE EMMAUS CENTER-Counseling in the Catholic Tradition—Sponsored by the Diocese of Victoria—1908 N. Laurent Street, Suite 140, Victoria, Texas 77901. For an appointment, go to www.emmauscounselingcenter.com or call 361-212-0830. Extending a Listening Heart to Those in Need. THE EMMAUS CENTER AND HOSPICE OF SOUTH TEXAS are offering Grief Support Group on Mondays, at Mary's House in Hallettsville. These groups are for those adjusting to life changes, or struggling with the emotional roller coaster of coping with loss. Groups are held weekly for 8 weeks. Limited to10 people per group. To register to attend, or to help determine if a grief group is right for you, please call our office at 361-572-4300 (Hospice) or 361-2120830 (Emmaus Center). THE EMMAUS CENTERhas a change of address and information. New Address: 1508 E. Airline St, Victoria, TX 77901 For appointments call– 361-212-0830 Now offering some services in Spanish: Mrs. Valeria Dubourdieu has joined the staff on a part-time basis. Satellite Offices: Annie Coffey is now working in two satellite offices (Hallettsville & El Campo) several times a month for personal counseling and family counseling from a Catholic perspective. June 30 & July 1 Altar Servers: Cantor & Organist: Lector: Ministers: Ushers: Lector: Ushers: Lector: Ushers: Lector: Ushers: Lector: Ushers: Lector: Ushers: David Fuller Grahmann Bludau, Jr. ***If you are unable to serve your Ministry, you are responsible for finding another person to take your place. June 30, 2018—August 5, 2018 Eucharist Ministry Schedule 5:30 p.m. 8:00 a.m. Allie Bludau, Garrett Matura, Bailey Schindler, Matthew Roznovsky Karen Janak, Charlene Pillow Bailey Haas, Brady Haas, Carley Haas, Shelby Haas Anna Neumeyer, Ida Bludau 10:30 a.m. Addison Belicek, Arianna Henke, Audrey Ross, Emma Hawkins Denise Drozd, Pat Mladenka \| Dr. Warren Migura \| \| Jackie Bludau \| \| \|---\|---\|---\|---\| \| Harry Cull, Linda Cull, Mary Leopold, Diane Kainer, Andrew Pesek, Karen Janak, Dr. Warren Migura, Debra Technik \| \| Jimmy Appelt, John Barton, Ruth Barton, Donald Shimek, Donna Shimek, Renee Bludau, Steve Bludau, Kathy Haas \| \| \| Helen Motal \| \| Monica Holik \| \| \| Anthony Petru, Clarence Wenske, Kenneth Barton \| \| Lawrence Henke, Kenneth Henneke, Charles Matula \| \| \| \| 5:30 p.m. \| \| 8:00 a.m. \| \| Emilie Griffin, Morgan Machac, Paige Wright, Amanda Janak \| \| John Bludau, Jordan Bludau, Korbin Koehne, Lilly Machicek \| \| \| Anna Neumeyer, Roger Janak \| \| Anna Neumeyer, Monica Holik \| \| \| Pat Mladenka \| \| Rita Chase \| \| \| Debbie Schneider, Tommy Sitka \| \| Barbara Grahmann, Robert Grahmann, Jr. \| \| \| Pat Mladenka \| \| Joyce Machicek \| \| \| Jacob Fawbush, David Fuller, Chris Hermes \| \| Anton Machicek, Bobby Machicek, Dennis Matula \| \| \| \| 5:30 p.m. \| \| 8:00 a.m. \| \| Paige Wright, Erin Fawbush, Bailey Schindler, Amanda Janak \| \| Adam Steffek, Hailey Steffek, Nolan Steffek, Cole Bohuslav \| \| \| Kelly Schimcek, Callie Bludau \| \| Anna Neumeyer, Ed Scherer \| \| \| Debra Technik \| \| Jennifer Golsch \| \| \| Tommy Sitka, Susan Tolson \| \| Barbara J. Grahmann, Larry Korenek \| \| \| Loretta Hardcastle \| \| Monica Holik \| \| \| Gene Janak, Larry Korenek, Andrew Kutac \| \| Gilbert Schindler, Marty Steffek, Phillip Steffek \| \| \| \| 5:30 p.m. \| \| 8:00 a.m. \| \| Hayden Grahmann, Alexandra Kraatz, Adalyn Pohl, Alisyn Pardo \| \| Abby Clark, Brianna Clark, Quade Henneke, Ann Estelle Brown \| \| \| Anna Neumeyer, Charlene Pillow \| \| Anna Neumeyer, Debi Sevcik \| \| \| Liz Treptow \| \| Barbara Grahmann \| \| \| JoAnn Bubela, Fran Byrd \| \| Joyce Machicek, Carol Pustejovsky \| \| \| Maggie Pustka \| \| Joyce Machicek \| \| \| Glenn Leopold, Daniel Melnar, Anthony Petru \| \| Robert Steffek, Clayton Wimberly, Chandler Wimberly, Jace Wimberly \| \| \| \| 5:30 p.m. \| \| 8:00 a.m. \| \| Arabella Arellano, Lance Barton, Seth Migura, Shane Migura \| \| Dalton Grahmann, Elizabeth Grahmann, Kara Immekus, Kay Immekus \| \| \| Kelly Schimcek, Jo Ann Shimek \| \| Anna Neumeyer, Bea Wyatt \| \| \| John Henke, Jr. \| \| Monica Holik \| \| \| Pat Fawbush, John Henke, Jr. \| \| Glenda Trlicek, Daniel Wagner \| \| \| Helen Motal \| \| Monica Holik \| \| \| Don Rainosek, Kevin Shimek, Clarence Wenske \| \| Bruce Bludau, Winfred Bludau, Franklin Bohuslav \| \| \| Allie Bludau, Garrett Matura Bailey Schindler, Matthew Roznovsky \| \| Lani Pilat, Austin Kutac, Madison Kutac, Hudson Kutac \| \| \| Amber Nieto, Kay Fawbush \| \| Anna Neumeyer, Ida Bludau \| \| \| Cheryl Leopold \| \| Kathy Korenek \| \| \| Harry Cull, Linda Cull, Mary Leopold, Diane Kainer, Andrew Pesek, Karen Janak, Dr. Warren Migura, Debra Technik \| \| Jimmy Appelt, John Barton, Ruth Barton, Donald Shimek, Donna Shimek, Renee Bludau, Steve Bludau, Kathy Haas \| \| \| Janice Hill \| \| Joyce Machicek \| \|
Cookies Policy Consent By using this website (www.fix-beer.gr ) you consent to the use of cookies in accordance with this cookies policy. You will have seen a pop up to this effect on your first visit to the Website. Although it will not usually appear on subsequent visits, you may withdraw your consent at any time by following the instructions below. Disabling cookies If you do not agree to our use of cookies on the Website please disable them by following the instructions for your browser set out http://allaboutcookies.org Please note that some of the uses of the Website and the services provided on the Website will not function so well if cookies are disabled. Where the organisation setting the cookie provides an automated disabling tool in respect of its cookie(s) we list below the name of that organisation, the category of cookies it sets together with a link to its automated disabling tool. In all other cases, we list the names of the cookies themselves and their source at the date of this cookies policy so that you can easily identify and disable them if you want through your browser controls. Some browsers make it possible for you to signal that you do not want your internet browsing activity to be tracked. Disabling tracking may interfere with some uses of the Website and the services provided on the Website. After your initial visit to the Website we may change the cookies we use. This cookies policy will always allow you to know who is placing cookies and for what purpose, and give you the means to disable them, so you should check it from time to time. What are cookies? Cookies are text files containing small amounts of information which are downloaded to your device when you visit a website. Cookies are then sent back to the originating web domain on your subsequent visits to that domain. Most web pages contain elements from multiple web domains, so when you visit the Website your browser may receive cookies from several sources. Cookies are useful because they allow a website to recognise a user's device. Cookies allow you to navigate between pages efficiently, remember preferences and generally improve the user experience. They can also be used to tailor advertising to your interests through tracking your browsing across websites. Session cookies are deleted automatically when you close your browser and persistent cookies remain on your device after the browser is closed (for example to remember your user preferences when you return to a website). What types of cookies does Olympic Brewery use? We describe the categories of cookies Olympic Brewery, its affiliates and its contractors use below. Strictly Necessary Cookies These cookies are essential in order to enable you to move around the Website and use its features. Without these cookies, services you have asked for (such as navigating between pages, using a shopping cart or e-billing services) cannot be provided. The Website currently uses the following, strictly necessary cookies: Performance Cookies We make use of analytic cookies to analyse how our visitors use the Website and to monitor the Website's performance. This allows us to provide a high quality experience by customising our offering, and quickly identifying and fixing any issues that arise. For example, we might use performance cookies to keep track of which pages are most popular, which method of linking between pages is most effective, and to determine why some pages are receiving error messages. We might also use these cookies to highlight articles or site services that we think will be of interest to you based on your usage of the Website. The information collected by these cookies is not associated with your personal information by us or by our contractors. The Website currently uses the following analytic cookies [from Google Analytics]: \| Cookie Name \| Source \| Purpose \| Duration \| \|---\|---\|---\|---\| \| -utma \| Google Analytics \| These cookies are used to collect information about how visitors use the Website. We use the information to compile reports and to help us improve the Website. The cookies collect information in an anonymous form, including the number of visitors to the Website, where \| \| \| -utmb \| \| \| \| \| -utmc \| \| \| \| \| -utmz \| \| \| \| Website Functionality Cookies We make use of cookies to provide you with certain functionality - for example, to remember choices you make (such as your user name, language or the region you are in), or to recognise the platform from which you access the Website, and to provide enhanced and more personal features. These cookies are not used to track your browsing on other sites. The Website uses the following functional cookies: \| Cookie Name \| Source \| Duration \| Purpose \| \|---\|---\|---\|---\| \| has-js \| [Fix-Beer] \| \| This cookie enables us to tell if your browser runs Javascript. This cookie expires when you leave the Website \| \| m.client.com \| [Fix-Beer] \| \| This cookie stores information about the device from which you last accessed the Website which allows the mobile site or Website to load automatically. \| \| BaselCookie \| [Fix-Beer] \| \| This cookie stores user login details to allow use of Basel alerts section without having to rekey on each visit. \| \| AlumniCookie \| [Fix-Beer] \| \| This cookie stores user login details to allow use of the Alumni section without having to rekey on each visit. \| \| RSPWD \| [Fix-Beer] \| \| These cookies facilitate navigation through the Website and the saving of preferences and content. \| \| RSPWDTMP \| \| \| \| \| RSLOGINEVENT \| \| \| \| \| RSGENPAGEEVENT \| \| \| \| \| RSGENPAGEEVENT LAST \| \| \| \| \| RSPROCESSEVENT \| \| \| \| Advertising Cookies Advertising cookies (or targeting cookies) collect information about the browsing habits associated with your device and are used to make advertising more relevant to you and your interests. They are also used by services provided by third parties on the Website, such as 'Like' or 'Share' buttons, in addition to providing the requested functionality. Third parties provide these services in return for recognising that you (or more accurately your device has) have visited a certain website. These third parties put down advertising cookies both when you visit the Website, and when you use their services and navigate away from the Website. Their privacy practices are set out below: * AddThis (the service that runs some of our social sharing buttons): http://www.addthis.com/privacy#.T6j--usS0bw * YouTube video player cookie policy: https://policies.google.com/privacy?hl=en (Google's standard terms). * Facebook's data use policy: http://www.facebook.com/about/privacy/your-info-on-other * Twitter's privacy policy: https://twitter.com/privacy * LinkedIn's cookie policy: https://www.linkedin.com/legal/cookie-policy You can opt out of the advertising cookies set by these third parties at http://www.youronlinechoices.com/uk/your-ad-choices * Facebook's data use policy: http://www.facebook.com/about/privacy/your-info-on-other * Twitter's privacy policy: https://twitter.com/privacy In addition to the cookies set by third parties set out above, the following other advertising cookies are also used: \| Cookie Name \| Source \| Duration \| Purpose \| \|---\|---\|---\|---\| Local Shared Objects ("Flash cookies") In addition to the above cookies, we use Local Shared Objects, also referred to as "Flash cookies," on the Website. These are used to enhance your user experience, for example, by storing your user preferences and settings, [such as your volume/mute settings, and in connection with animated content on the Website]. Local Shared Objects are similar to browser cookies, but can store more complex data than simple text. By themselves, they cannot do anything to, or with, the data on your computer. Like other cookies, they can only access personally identifiable information that you have provided on the Website, and cannot be accessed by other websites. To find out more about Flash cookies or how to disable them, please click here http://helpx.adobe.com/flash-player/kb/disable-local-shared-objects-flash.html. HTML email web beacons Our emails may contain a single, campaign-unique "web beacon pixel" to tell us whether our emails are opened and verify any clicks through to links within the email. We may use this information for purposes including determining which of our emails are more interesting to you and to query whether users who do not open our emails wish to continue receiving them. The pixel will be deleted when you delete the email. If you do not wish the pixel to be downloaded to your device, you should select to receive emails from us in plain text rather than HTML. Some of the pages on the Website may also contain web beacons and allow us to count visitors who have viewed our pages. They allow us to develop statistical information about the activities and features that most interest our consumers for the purpose of providing more personalised content. In general, they are not used to access personally identifiable information without your consent. Pixel tags may be shared with third parties that directly support our promotional activities and website development. For example, in order to measure the effectiveness of our ads, third parties, including Facebook, may use cookies, web beacons, and other storage technologies to collect or receive information from the Website and elsewhere on the internet, and use that information to provide measurement services to and target ads on their own platforms. You can find out how to opt-out of the collection and use of information for ad targeting by third parties here (links to http://www.aboutads.info/choices and http://www.youronlinechoices.eu/). Use of IP addresses and web logs We may also use your IP address and browser type to help diagnose problems with our server, to administer the Website and to improve the service we offer to you. An IP address is a numeric code that identifies your computer on the internet. Your IP address might also be used to gather broad demographic information. We may perform IP lookups to determine which domain you are coming from (e.g. google.com) to more accurately gauge our users' demographics. Cookies policy does not cover third party websites Please note that this cookies policy does not apply to, and we are not responsible for, the privacy practices of third party websites that may be linked to the Website. Changes to the cookies policy We may update this cookies policy and we would encourage you to review the policy from time to time to stay informed of how we are using cookies. This cookies policy was last updated on 25 May 2018. Cookie Consent Pop Up Language Step 1 - Header/ Landing Page Mechanism: Header page (no shading) obscuring site or part of site until another part of the page is clicked - cookies not set until user consents – user to be prevented from navigating past the first page until user consents to cookies. Must be sufficiently prominent for site operator to maintain that user could not have failed to have seen and read it. Cookie used to keep the header page up for at least the user's next [3] visits and then takes header down (if cookie is deleted the header will reappear). Text of Landing Page: "Use of cookies by [website] We uses cookies to deliver our online services. Details and instructions on how to disable those cookies are set out [here] [please insert link to cookies policy here]. By clicking 'I Accept', you consent to our use of our cookies unless you have disabled them." ["I Accept"] [button or hyperlink which the user must click to allow website to drop cookies and to allow the user to navigate beyond the homepage of the website]. Step 2 - Informative link on Home Page at all times Ensure that there is a prominent cookies link to the cookies policy on the home page at all times.
DoorstepNews Sept/ Oct 2018 Volume 22/Issue 5 Serving Internationals On Campus The fear factor University of Wisconsin / Madison, WI International Friendship Center volunteer Wayne wiess / ISM INC vice-President I'm not comfortable around strangers, especially internationals. My time is limited. I don't speak any language other than English. What if I can't understand them? I wouldn't know what to say to them. I wouldn't have anything in common with them. Over fi ft een years ago I contacted Karen Bjornstad, then director of the International Friendship Center, an LCMS international ministry on the University of Wisconsin/ Madison campus. I called her to seek assistance in establishing a small group ministry with an outreach emphasis for my home church. I didn't know Karen, but I thought she must be doing that at her ministry. She indicated she was thinking about establishing such an outreach, would I like to meet with her to discuss it further. Aft er our initial meeting she contacted a local LCMS pastor whose church was having success in this area and arranged a meeting. Th e pastor was extremely helpful. As we were leaving the meeting, I thanked Karen for her help, still looking at this as something I would take to my own church. Karen stopped me dead in my tracks by stating strongly: "Wait a minute! You're going to help me! I brought you down here to join me at the IFC!" My response was "But that's out of my comfort zone, and my time is limited." "Don't worry," she replied, "God will take care of that! Meet me next Monday and we'll set up the procedures and goals." As they say, "Th e rest is history." Some time before that, I had asked the Lord to lead me and use me in an outreach role. I always thought it would be in my church. Be careful what you pray for, because God will answer it and it might be in ways you never expected. Within six weeks of our organizational meeting, my wife, Suzanne and I were attending our fi rst small group Bible study at the International Friendship Center. Over fi ft een years have passed, with God providing and blessing us beyond our wildest dreams. Karen addressed my biggest objection on comfort rather quickly and forcefully, but what about the second one, my limited time? God took care of that one too. Th e loving reception we received from the internationals made this new ministry a top priority. Time was no longer an issue. I internally had all the concerns listed at the beginning of this article. Over a very short period of time, God addressed all of them. Th e promise he gives and keeps is: "So Christ himself gave the apostles, the prophets, the evangelists, the pastors and teachers, to equip his people for works of service, so that the body of Christ may be built up…" Ephesians 4:11-12 Not only does God equip, but he blesses. Your international friends are blessed because they feel an unconditional acceptance for who they are as individuals. Th ey now have American friends whom they will treasure forever. You are making it possible for them to make lifetime friends from other countries. Th eir English will improve. Th ey will gain a better understanding of our culture. Th ey will experience what it is like to receive a "servant's" love and to feel God's love through you. And, they will have the opportunity to hear God's Word and have the seeds of salvation planted in their hearts. Th e blessings you will receive are countless and eternal. Every new person you meet will be a blessing. Th e smiles and hugs you receive will overcome any of the fears you may have. Th e crowning joy comes when one of your international friends accepts Jesus as their Lord and Savior. So do not fear, for I am with you; do not be dismayed, for I am your God. I will strengthen you and help you; I will uphold you with my righteous right hand. Isaiah 41:10 Th e nations of the world are coming to the United States. Don't allow your fears to keep you from reaching out to them. You're loving kindness will be felt for all eternity. Learning from others Flint International Friends / Flint, Mi Kate Cole, ISM Director Where do you go when you have a problem and need help? Th is is a question we frequently ask international students who come to our conversational English groups. Students want to know all the intricacies' of American culture-from introducing themselves in a formal setting, to understanding their American peers' slang. But where do our ISMinc leaders go for help when they have questions? We're thankful to God for all the help we get from our international ministry partners across the US—and for the information we need to connect with other sites via our ISMinc.org website. Recently our local board approved a plan to begin a student-led conversational group where students develop their own lesson plans. I called Students from Flint International Friends enjoy a conversation at the Friendship House in Lansing, MI with Teacher Maxine. an ISMinc partner at the nearby Friendship House, Lansing MI, to ask permission for our new student-teachers to sit-in on one of their conversational English classes to get ideas. Aft er a great morning of learning, Teacher Maxine took time to answer our individual questions and provide additional information—which resulted in a new more student-oriented class format that better serves our students. Director, Rich Bearup and his staff including Teacher Maxine, arranged for our visit. Our group from Flint sat in on an inspirational conversation class with students from Russia, Turkey, Palestine, China and Brazil. We witnessed a worldclass example of international conversation at a level we'd not discovered yet. Some of the students who are still in town over the summer join us on Th ursdays for English conversation, international food, and Bible study. Collaborative learning in the highest degree is waiting for all of our ministry leaders when you take advantage of the experience of others who have been there and done that! Check out our list of ministry partners at our ISMinc.org next time your group is resolving an issue. Help is just a click away. Th is week's Bible study centered on Jesus and his Fishermen Friends. We talked about how some of us love to fi sh, but have trouble fi nding good places to fi sh. Family friends invited us to bring anyone from ISM to their Saturday celebration at the lake. Miao and Martin were excited to come. On the pontoon boat ride they caught nothing. I encouraged them to try off the boat dock and they happily caught little perch and sunfi sh. Martin's rod broke, but he continued to use the line, with a big hook and a night-crawler he hooked a "nice bass". What joy! Look again at the happy looks on their faces! A Fish tale Wayne state university / Detroit, MI Bob Dickhudt What fun it will be to check out God's Word and some of the great times Jesus' fi shermen friends had at the lake with Jesus. We'll share with them, too, the words of Jesus that motivate some of us fi sher-folk; "I will make you fi shers of men..." HAPPY FISHING! Bob, Miao and Martin show off Their Prize from a day on the lake. memory lane All Saints Lutheran Church and Student Center / Slippery Rock Augusta R. Mennell , Campus Ministry Director Th is summer Chulsoon, a Korean alumnus of Slippery Rock University brought his wife, daughter, and son to see where he had gone to college and to see the Lutheran Student Center he had oft en visited. He thought it was going to be a trip down memory lane, but I believe that God intended it to be an opportunity for him to once again hear the Gospel that he had heard for several years, during our many discussions. Soon aft er coming into the All Saints building, Chulsoon and his wife asked if I would like to hear their children sing a song in Korean that they had memorized in church. Th e children sang beautifully and were very proud of their music, which sounded like a Psalm. It was very evident that Chulsoon's wife and his children are Christians. Chulsoon described his life. He owns a successful school, which teaches English to Korean children. It even prepares college-age students to come to study in America. Chulsoon said he works at the school seven days a week. He is pleased to be so successful, but he intimated that he is tired of doing the same old work day in and day out. He claimed that he did not have time for church. Out of the blue Chulsoon's wife stated matter-of-factly that "He is not a Christian." I saw tears come into her eyes as she said this. Her words shook me and shocked me. I thought Chulsoon would be angry with her for being so outspoken. Her statement was very blunt. Amazingly, he admitted that he was not a Christian. He said that he does not believe because there are "too many hypocrites in the church." He added that too many people in his wife's church try too much to pressure him into coming to worship. So here we were, right back where we began when Chulsoon was a student, eight to ten years ago. Once more we talked about faith. Th is visit for Chulsoon was turning out to be more than a trip down memory lane. For us, it was another opportunity to share God's love with Chulsoon, who did listen willingly. We suggested to him that Christians realize that we all are hypocrites, all of us, and that is why we go to church: to receive God's gift of forgiveness. We again talked about mistakes we Christians make when we try to evangelize our friends and neighbors. We suggested that we need to invite others to church in a loving way, not with a hectoring manner. Attempting to strong-arm a person into belief in Jesus never works. Perhaps Chulsoon could tell his wife's fellow believers that. Th e visit with Chulsoon and his family ended on a good note. Th ey left feeling cared about no matter what happens next. All Saints will pray that the Holy Spirit will help Chulsoon to open his heart to God. We said goodbye with tears on our faces, not knowing when we will ever meet again, but believing that seeds of friendship and faith have been planted. It was more than a walk down memory lane, it was a gift from the Lord to Chulsoon and his family. Our goal for the coming school year remains the same as ever. We will open our hearts and church to all the Chulsoons who come to the Lutheran Student Center. We feel it is a privilege to share the Gospel with students. Please pray for our work here. A summer full of fun and learning University of Wisconsin / Madison, WI International Friendship Center Judy tang / director Every summer the Wisconsin Chamber Orchestra has a wonderful program called "Concerts on the Square." Th ousands of people bring blankets and enjoy some beautiful music on the lawn of the Capitol building. We had a great time talking, eating, and continuing to build friendships! Many of the IFC English classes and Bible studies this summer have 20-25 people in attendance! And it's been quite an international group! Th e IFC has wonderful classes including idioms, grammar, pronunciation, US history, conversation, and Bible. So much fun to learn and share together! International students love to be able to see how Americans live. Joe and Lois graciously opened their home and hosted a traditional American BBQ for 30 international friends. We enjoyed some lawn games, eating hamburgers and the best Wisconsin brats, along with fruit, potato salad, chips, lemonade, and homemade chocolate chip cookies. So thankful for the awesome IFC volunteers! So thankful for friends from Lyndon Station, WI who came to lead a special class for "Embroidery on Paper." Th e international students were excited to learn something new and were very good at craft s. Ping-pong University Lutheran Chapel / College Station, TX Rev. Paul Hoemann / ISM INC president Chinese students Daisy Xu, left , and Xi Wang try out the new ping pong table at University Lutheran Chapel in College Station. Th e table was donated by a former Texas A&M student to the glory of God and in thanksgiving for University Lutheran Chapel and its ministries to both American and international students. It was given in memory of former Chapel volunteer Alta Kirk, who passed away in 2017. For many years, Mrs. Kirk served as a faithful conversation partner, English class leader and friend to many international students at Texas A&M. To God alone be the glory! Address Service Requested DoorstepNews The Doorstep is the official publication of ISM, Inc., a Recognized Service Organization of The Lutheran Church—Missouri Synod, dedicated to ministry among international students. E-mail: firstname.lastname@example.org Web site: www.isminc.org FB: https://www.facebook.com/ groups/ISMCommunity/
Permits By Type Lago Vista From: 10/01/2019 To: 10/31/2019 \| Description \| Permit Number \| Contractor \| Address \| Type \| Issued Date \| Square Footage \| Contstruction Cost \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| Commercial \| 5125 \| Tchen Architects \| 4712 Lohmans Ford Road \| Commercial Permit (More than 5,000 Sq. Ft.) \| 10/28/2019 \| 7040 \| $500000.00 \| \| Permits \| \| \| Total = 1 \| \| \| 7040 \| $500000.00 \| \| Residential Permits \| 5387 \| Tabb Improvements \| 7213 Comstock Cove \| Residential Mobile Home \| 10/1/2019 \| 980 \| $130000.00 \| \| \| 5239 \| MonDel Homes \| 21703 Crystal Way \| Residential Single Family \| 10/2/2019 \| 2786 \| $200000.00 \| \| \| 5350 \| Brohn Homes \| 8026 Flintlock Circle \| Residential Single Family \| 10/3/2019 \| 2501 \| $126280.00 \| \| \| 5351 \| Homeowner \| 20501 Bonanza St. \| Residential Single Family \| 10/3/2019 \| 3916 \| $300000.00 \| \| \| 5353 \| Tom Richter Custom Homes \| 21209 High Dr. \| Residential Single Family \| 10/8/2019 \| 4214 \| $200000.00 \| \| \| 5363 \| Gehan Homes \| 8200 Prairie Rye Drive \| Residential Single Family \| 10/9/2019 \| 2798 \| $286070.00 \| \| \| 5365 \| Las Villas Builders \| 20902 Oak Dale Dr \| Residential Single Family \| 10/9/2019 \| 3155 \| $280000.00 \| \| \| 5422 \| At Mobile Home Soles \| 7100 Crossbow Trail \| Residential Mobile Home \| 10/9/2019 \| 840 \| $35000.00 \| \| \| 5369 \| Fulford Builders \| 20601 Bridle Path \| Residential Single Family \| 10/10/2019 \| 3892 \| $245000.00 \| \| \| 5380 \| Brohn Homes \| 21606 Bluejay Blvd \| Residential Single Family \| 10/10/2019 \| 2188 \| $126280.00 \| \| \| 5392 \| Brohn Homes \| 3009 Patriot Drive \| Residential Single Family \| 10/14/2019 \| 2460 \| $126280.00 \| \| \| 5398 \| Brohn Homes \| 4204 Outpost Trace \| Residential Single Family \| 10/15/2019 \| 2299 \| $126280.00 \| \| \| 5405 \| Brohn Homes \| 4207 Outpost Trace \| Residential Single Family \| 10/15/2019 \| 2364 \| $126280.00 \| \| \| 5399 \| Brohn Homes \| 20618 Oak Ridge \| Residential Single Family \| 10/16/2019 \| 2040 \| $126280.00 \| \| \| 5364 \| MHI \| 7716 Pace Ravine Dr \| Residential Single Family \| 10/17/2019 \| 3130 \| $264430.20 \| \| \| 5376 \| MHI \| 7709 Desert Needle Dr \| Residential Single Family \| 10/17/2019 \| 3248 \| $263238.60 \| \| \| 5397 \| Aria Custom Homes \| 2909 Davis Cove \| Residential Single Family \| 10/17/2019 \| 2701 \| $250000.00 \| \| \| 5407 \| Fratelli Development \| 20903 National \| Residential Single Family \| 10/17/2019 \| 3111 \| $259000.00 \| \| \| 5444 \| Palm Harbor Homes \| 7213 Cowpoke Trail \| Residential Mobile Home \| 10/22/2019 \| 1178 \| $52000.00 \| \| \| 3813 \| Tesoro Builders \| 3106 Horizon Cv \| Misc. Residential Permit \| 10/23/2019 \| 2801 \| $195000.00 \| \| \| 5412 \| Brohn Homes \| 7811 Bar K Ranch \| Residential Single Family \| 10/23/2019 \| 2777 \| $126280.00 \| \| \| 5396 \| Aria Custom Homes \| 20102 Coolidge Lane \| Residential Single Family \| 10/28/2019 \| 2701 \| $25000.00 \| \| \| \| \| Total = 22 \| \| \| 58080 \| $3868698.80 \| Homes in Tessera Permits By Type Lago Vista From: 10/01/2019 To: 10/31/2019 n/a n/a n/a n/a \| Description \| Permit Number \| Contractor \| Address \| Type \| Issued Date \| \|---\|---\|---\|---\|---\|---\| \| Miscellaneous Permits \| 5389 \| CTX Civil Constructors \| Patriot Dr & Azure Ave. \| Nonpoint Pollution Permit \| 10/1/2019 \| \| \| 5390 \| CTX Civil Constructors \| Patriot Dr & Azure Ave \| Nonpoint Pollution Permit \| 10/1/2019 \| \| \| 5394 \| Builders & Landscaping Services \| 1914 Owens Ln \| Sprinkler System \| 10/1/2019 \| \| \| 5395 \| Las Villas Builders \| 20902 Oak Dale Dr \| Fences, Driveways, Cosmetic \| 10/1/2019 \| \| \| 5388 \| CTX Civil Constructors \| 20503 Bonanza \| Nonpoint Pollution Permit \| 10/3/2019 \| \| \| 5401 \| MTI Custom Homes \| 3409 Boone Dr. \| Nonpoint Pollution Permit \| 10/3/2019 \| \| \| 5408 \| Lago Homes/Fratelli \| 20903 National Dr. \| Nonpoint Pollution Permit \| 10/3/2019 \| \| \| 5393 \| IronStream LLC \| 2301 Hancock \| Sprinkler System \| 10/7/2019 \| \| \| 5410 \| Homeowner \| 5701 Thunderbird St \| Boat Docks, Decks, and Patios \| 10/7/2019 \| \| \| 5379 \| Lago Vista Fence \| 20319 Continental Dr \| Fences, Driveways, Cosmetic \| 10/8/2019 \| \| \| 5413 \| City of Lago Vista \| 5803 Thunderbird St. \| Residential Accessory Structure \| 10/8/2019 \| \| \| 5414 \| Builders & Landscaping Services \| 2009 Omaha Dr \| Sprinkler System \| 10/8/2019 \| \| \| 5416 \| Builders & Landscaping Services \| 2023 Omaha Dr \| Sprinkler System \| 10/8/2019 \| \| \| 5417 \| Best of Texas Landscapes \| 7812 Pace Ravine \| Sprinkler System \| 10/8/2019 \| \| \| 5419 \| R & L Remodeling \| 21481 Coyote Trail \| Fences, Driveways, Cosmetic \| 10/8/2019 \| \| \| 5421 \| Homeowner \| 4500 Rimrock Dr \| Boat Docks, Decks, and Patios (Up \| 10/9/2019 \| \| \| 5424 \| Homeowner \| 7708 Diamond Trail \| Boat Docks, Decks, and Patios \| 10/9/2019 \| \| \| 5425 \| Builders & Landscaping Services \| 4202 Rimrock Dr \| Sprinkler System \| 10/10/2019 \| \| \| 5426 \| Builders & Landscaping Services \| 4114 Hillside Dr \| Sprinkler System \| 10/10/2019 \| \| \| 5429 \| Tuff Shed \| 5203 Thunderbird St. \| Residential Accessory Structure (Up \| 10/10/2019 \| \| \| 5430 \| Vista Verde \| 6005 Lynn Ln \| Fences, Driveways, Cosmetic \| 10/10/2019 \| \| \| 5403 \| Homeowner \| 20600 High Drive \| Residential Accessory Structure (Up \| 10/14/2019 \| \| \| 5418 \| Southern Craftsman Fence \| 5004 Arrowhead Dr. \| Fences, Driveways, Cosmetic \| 10/14/2019 \| \| \| 5433 \| Juan "Miguel" Aguirre \| 21001 Twisting Trail \| Fences, Driveways, Cosmetic \| 10/16/2019 \| \| \| 5427 \| Builders & Landscaping Services \| 20708 Ridgeview Rd \| Sprinkler System \| 10/21/2019 \| \| \| 5428 \| Builders & Landscaping Services \| 4103 Hillside Dr \| Sprinkler System \| 10/21/2019 \| \| \| 5434 \| Builders & Landscaping Services \| 20205 Travis Dr \| Sprinkler System \| 10/21/2019 \| \| \| 5432 \| Builders & Landscaping Services \| 21207 Ridgeview Rd \| Sprinkler System \| 10/22/2019 \| \| \| 5442 \| Alltex \| 2203 Vicksburg Cv \| Fences, Driveways, Cosmetic \| 10/22/2019 \| \| \| 5438 \| Best of Texas Landscapes \| 7817 Turnback Ledge \| Sprinkler System \| 10/23/2019 \| \| \| 5439 \| Builders & Landscaping Services \| 5501 Thunderbird \| Sprinkler System \| 10/23/2019 \| \| \| 5440 \| Builders & Landscaping Services \| 21534 Paine Ave \| Sprinkler System \| 10/23/2019 \| \| \| 5441 \| Builders & Landscaping Services \| 21109 Santa Carlo \| Sprinkler System \| 10/23/2019 \| \| \| 5449 \| IES Pools \| 2912 Patriot Dr. \| Pool Permit \| 10/23/2019 \| \| \| 5453 \| Homeowner \| 21440 Coyote Trail \| Fences, Driveways, Cosmetic \| 10/23/2019 \| \| \| 5452 \| Buffalo West/Kenwood Homes \| 2605 Warren Cove \| Nonpoint Pollution Permit \| 10/24/2019 \| \| \| 5402 \| Homeowner \| 4100 Rockwood Dr. \| Residential Accessory Structure \| 10/28/2019 \| \| \| 5451 \| Vista Verde \| 6005 Lynn Ln \| Remodeling and Room Addition \| 10/28/2019 \| \| \| 5437 \| Elite Stone & Landscape Supply \| 20608 Twisting Trail \| Fences, Driveways, Cosmetic \| 10/29/2019 \| \| \| 5457 \| The Hollows on Lake Travis \| Quiet Brook & Leisure Ln. \| Nonpoint Pollution Permit \| 10/29/2019 \| \| \| 5460 \| D&L Landscaping \| 20702 Falcon \| Sprinkler System \| 10/30/2019 \| \| \| 5467 \| American Quality Fence \| 21600 Bluejay Blvd. \| Fences, Driveways, Cosmetic \| 10/30/2019 \| \| \| 5469 \| Tarr/Buffalo West/Kenwood \| 4202 Cooper Lane \| Nonpoint Pollution Permit \| 10/30/2019 \| \| \| 5456 \| Shamrock Total Lawn \| 6617 Avenida Ann \| Sprinkler System \| 10/31/2019 \| \| \| 5468 \| Marlin Construction \| 7317 Quiet Brook Place \| Residential Accessory Structure \| 10/31/2019 \| \| \| \| \| Total = 45 \| \| \| \| Sign Permits \| 5374 \| Liberty Signs \| 6201 Lohmans Ford Rd. \| Freestanding Sign \| 10/1/2019 \| \| \| 5436 \| Image Solutions \| 7503 Lohman Ford Rd. \| Freestanding Sign \| 10/16/2019 \| \| \| \| \| Total = 2 \| \| \| Permits By Type Lago Vista From: 10/01/2019 To: 10/31/2019 Description Electrical Trade Permits \| Permit \| Contractor \| Address \| Type \| Issued Date \| \|---\|---\|---\|---\|---\| \| 5281 \| IES Residential \| 8501 Prairie Rye Drive \| Residential Electrical \| 10/1/2019 \| \| 5293 \| IES Residential \| 21301 Pioneer Cove \| Residential Electrical \| 10/1/2019 \| \| 5349 \| Momentum Solar \| 21201 Palomino Cv \| Minor Electrical Repairs \| 10/1/2019 \| \| 5268 \| IES Residential \| 4225 Hillside Drive \| Residential Electrical \| 10/1/2019 \| \| 5141 \| IES Residential \| 3101 Mac Arthur Avenue \| Residential Electrical \| 10/1/2019 \| \| 5239 \| Martinez Electric \| 21703 Crystal Way \| Residential Electrical \| 10/2/2019 \| \| 5001 \| IES Residential \| 21109 Santa Carlo Avenue \| Residential Electrical \| 10/2/2019 \| \| 5007 \| IES Residential \| 21534 Paine Avenue \| Residential Electrical \| 10/3/2019 \| \| 5032 \| IES Residential \| 3005 Newton Drive \| Residential Electrical \| 10/3/2019 \| \| 5137 \| IES Residential \| 7204 Bar K Ranch Rd \| Residential Electrical \| 10/3/2019 \| \| 5410 \| Ronald J Visco \| 5701 Thunderbird St \| Minor Electrical Repairs \| 10/7/2019 \| \| 5089 \| Hoskins Electric \| 2704 Warren Cove \| Residential Electrical \| 10/7/2019 \| \| 5088 \| C & C Central Texas Electric \| 2800 Warren Cove \| Residential Electrical \| 10/7/2019 \| \| 5088 \| Hoskins Electric \| 2800 Warren Cove \| Residential Electrical \| 10/7/2019 \| \| 5089 \| C & C Central Texas Electric \| 2704 Warren Cove \| Residential Electrical \| 10/7/2019 \| \| 5225 \| Powerhouse Electrical Services \| 5610 Clubhouse Dr \| Residential Electrical \| 10/8/2019 \| \| 5075 \| IES Residential \| 4110 Rockwood \| Residential Electrical \| 10/9/2019 \| \| 4421 \| Goss Electric \| 8312 Timber Trail \| Residential Electrical \| 10/10/2019 \| \| 5147 \| Goss Electric \| 8516 Bronco Lane \| Residential Electrical \| 10/10/2019 \| \| 5300 \| IES Residential \| 21110 Needles Cove \| Residential Electrical \| 10/14/2019 \| \| 5314 \| IES Residential \| 21405 Santa Carlo Ave \| Residential Electrical \| 10/14/2019 \| \| 4906 \| Dan Hernandez Electric \| 7304 Quiet Brook Pl \| Residential Electrical \| 10/15/2019 \| \| 5369 \| Page Electric \| 20601 Bridle Path \| Residential Electrical \| 10/16/2019 \| \| 4997 \| Canyon Electric \| 3604 Roosevelt Cove \| Residential Electrical \| 10/16/2019 \| \| 5319 \| AMP Electric \| 2801 Hancock Ave \| Residential Electrical \| 10/17/2019 \| \| 5142 \| Dosey Pro \| 20602 Dawn Dr. \| Minor Electrical Repairs \| 10/17/2019 \| \| 5341 \| Espinoza Electric \| 21133 Northland Dr \| Residential Electrical \| 10/17/2019 \| \| 5310 \| Espinoza Electric \| 2023 American Drive \| Residential Electrical \| 10/17/2019 \| \| 4237 \| Castle Electric \| 7708 Lohman Ford ste 105 \| Minor Electrical Repairs \| 10/17/2019 \| \| 5315 \| In Charge Electric \| 8303 Prairie Rye Drive \| Residential Electrical \| 10/21/2019 \| \| 5246 \| In Charge Electric \| 20204 Lincoln Cove \| Residential Electrical \| 10/21/2019 \| \| 5376 \| IES Residential \| 7709 Desert Needle Dr \| Residential Electrical \| 10/21/2019 \| \| 5232 \| In Charge Electric \| 21007 Niagara Cove \| Residential Electrical \| 10/21/2019 \| \| 5261 \| IES Residential \| 7417 Turnback Ledge Tr \| Residential Electrical \| 10/21/2019 \| \| 5363 \| In Charge Electric \| 8200 Prairie Rye Drive \| Residential Electrical \| 10/21/2019 \| \| 5270 \| In Charge Electric \| 8313 Prairie Rye Drive \| Residential Electrical \| 10/21/2019 \| \| 5364 \| IES Residential \| 7716 Pace Ravine Dr \| Residential Electrical \| 10/21/2019 \| \| 5443 \| Premier Electrical \| 21301 Paseo de Vaca \| Minor Electrical Repairs \| 10/21/2019 \| \| 5444 \| Tommy L Powers \| 7213 Cowpoke Trail \| Residential Electrical \| 10/22/2019 \| \| 5098 \| IES Residential \| 21202 Santa Rosa Avenue \| Residential Electrical \| 10/23/2019 \| \| 5422 \| Powers Electric \| 7100 Crossbow Trail \| Residential Electrical \| 10/24/2019 \| \| 5318 \| IES Residential \| 21524 Horseshoe Loop \| Residential Electrical \| 10/24/2019 \| \| 5129 \| Silver's Electric \| 7502 Stable Ln \| Residential Electrical \| 10/24/2019 \| \| 5317 \| IES Residential \| 3009 American Drive \| Residential Electrical \| 10/24/2019 \| \| 5301 \| IES Residential \| 20210 Boggy Ford Road \| Residential Electrical \| 10/28/2019 \| \| 5014 \| I-B Electric \| 4404 Silverhill Dr \| Residential Electrical \| 10/28/2019 \| \| 5462 \| Wells Solar & Electrical Services \| 20117 Highland Lake Drive \| Minor Electrical Repairs \| 10/29/2019 \| \| 5264 \| IES Residential \| 2906 Norton Avenue \| Residential Electrical \| 10/30/2019 \| \| 5350 \| IES Residential \| 8026 Flintlock Circle \| Residential Electrical \| 10/30/2019 \| \| 5275 \| IES Residential \| 20805 Harrison Cove \| Residential Electrical \| 10/30/2019 \| \| 5313 \| IES Residential \| 20606 Falcon Street \| Residential Electrical \| 10/30/2019 \| \| \| \| Total = 51 \| \| \| Permits By Type Lago Vista From: 10/01/2019 To: 10/31/2019 \| Mechanical Trade Permits \| 5099 \| Texas Comfort Air \| 20601 Buckskin Ridge \| Residential Mechanical \| 10/1/2019 \| \|---\|---\|---\|---\|---\|---\| \| \| 5400 \| Sierra Air Service \| 20401 Stampede \| Minor Mechancial \| 10/1/2019 \| \| \| 5143 \| Stan's Heating and Air \| 8605 Blue Sky Ln. \| Residential Mechanical \| 10/2/2019 \| \| \| 5138 \| Casa Mechanical Services \| 7529 Desert Needle Drive \| Residential Mechanical \| 10/7/2019 \| \| \| 5074 \| Austin Air Conditioning \| 20507 Southbend Street \| Residential Mechanical \| 10/7/2019 \| \| \| 5032 \| Austin Air Conditioning \| 3005 Newton Drive \| Residential Mechanical \| 10/7/2019 \| \| \| 5144 \| Stan's Heating & Air \| 21817 Surrey Ln. \| Residential Mechanical \| 10/7/2019 \| \| \| 4389 \| G & S Mechanical \| 3700 Bunyan Circle \| Residential Mechanical \| 10/8/2019 \| \| \| 5215 \| Airtron - Jeanie James \| 8308 Prairie Rye Drive \| Residential Mechanical \| 10/10/2019 \| \| \| 5198 \| G & S Mechanical \| 2907 Hancock Ave \| Residential Mechanical \| 10/15/2019 \| \| \| 4906 \| Quality Living Services \| 7304 Quiet Brook Pl \| Residential Mechanical \| 10/15/2019 \| \| \| 4860 \| Epic Mechanical \| 21605 Santa Carlo Ave. \| Residential Mechanical \| 10/17/2019 \| \| \| 5200 \| Casa Mechanical Services \| 7505 Knotted Sedge Court \| Residential Mechanical \| 10/17/2019 \| \| \| 5157 \| Casa Mechanical Services \| 7503 Knotted Sedge Court \| Residential Mechanical \| 10/17/2019 \| \| \| 4798 \| Texas Comfort Air \| 4306 Lindberg Lane \| Residential Mechanical \| 10/17/2019 \| \| \| 5319 \| G & S Mechanical \| 2801 Hancock Ave \| Residential Mechanical \| 10/21/2019 \| \| \| 4425 \| Capital One Enterprise (Dalton's Air) (For Unit A Only) \| 20107 Continental Dr \| Residential Mechanical \| 10/21/2019 \| \| \| 5444 \| Tommy L Powers \| 7213 Cowpoke Trail \| Residential Mechanical \| 10/22/2019 \| \| \| 5097 \| Airtron \| 7520 Pace Ravine Dr \| Residential Mechanical \| 10/22/2019 \| \| \| 5190 \| Casa Mechanical Services \| 22611 Fountaingrass Lane \| Residential Mechanical \| 10/24/2019 \| \| \| 5160 \| Houk Air Condition \| 8409 Prairie Rye Drive \| Residential Mechanical \| 10/28/2019 \| \| \| 5221 \| Casa Mechanical Services \| 7605 Desert Needle Drive \| Residential Mechanical \| 10/29/2019 \| \| \| 4204 \| Epic Mechanical \| 20300 Boggy Ford Rd \| Residential Mechanical \| 10/30/2019 \| \| \| 5147 \| Scorpion Mechanical \| 8516 Bronco Lane \| Residential Mechanical \| 10/31/2019 \| \| \| 4421 \| Scorpion Mechanical \| 8312 Timber Trail \| Residential Mechanical \| 10/31/2019 \| \| \| \| \| Total = 25 \| \| \| Plumbing Trade Permits Permits By Type Lago Vista From: 10/01/2019 To: 10/31/2019 \| 5281 \| Mustang Plumving \| 8501 Prairie Rye Drive \| Residential Plumbing \| \|---\|---\|---\|---\| \| 4997 \| Central Texas Plumbing \| 3604 Roosevelt Cove \| Residential Plumbing \| \| 5232 \| Lantz Plumbing \| 21007 Niagara Cove \| Residential Plumbing \| \| 4846 \| Kelly Grabow Plumbing \| 21000 Newhaven \| Residential Plumbing \| \| 5239 \| Victory Plumbing \| 21703 Crystal Way \| Residential Plumbing \| \| 5246 \| Can Do Plumbing \| 20204 Lincoln Cove \| Residential Plumbing \| \| 5319 \| Lantz's Plumbing \| 2801 Hancock Ave \| Residential Plumbing \| \| 5129 \| Abarcas Plumbing \| 7502 Stable Ln \| Residential Plumbing \| \| 5233 \| Victory Plumbing \| 20506 National Drive \| Residential Plumbing \| \| 5300 \| Victory Plumbing \| 21110 Needles Cove \| Residential Plumbing \| \| 5301 \| Victory Plumbing \| 20210 Boggy Ford Road \| Residential Plumbing \| \| 5313 \| Victory Plumbing \| 20606 Falcon Street \| Residential Plumbing \| \| 5420 \| Christianson \| 5501 Country Club Dr \| Minor Plumbing Repairs \| \| 5225 \| Mustang Plumbing \| 5610 Clubhouse Dr \| Residential Plumbing \| \| 5311 \| Can Do Plumbing \| 2019 American Dr \| Residential Plumbing \| \| 5314 \| Victory Plumbing \| 21405 Santa Carlo Ave \| Residential Plumbing \| \| 5312 \| Can Do Plumbing \| 2102 Valley Forge Cove \| Residential Plumbing \| \| 5317 \| Victory Plumbing \| 3009 American Drive \| Residential Plumbing \| \| 5318 \| Victory Plumbing \| 21524 Horseshoe Loop \| Residential Plumbing \| \| 5341 \| Can Do Plumbing \| 21133 Northland Dr \| Residential Plumbing \| \| 5310 \| Can Do Plumbing \| 2023 American Drive \| Residential Plumbing \| \| 5098 \| Victory Plumbing \| 21202 Santa Rosa Avenue \| Residential Plumbing \| \| 5264 \| Victory Plumbing \| 2906 Norton Avenue \| Residential Plumbing \| \| 5014 \| HM Plumbin \| 4404 Silverhill Dr \| Residential Plumbing \| \| 5197 \| Mustang Plumbing \| 7518 Desert Needle Drive \| Residential Plumbing \| \| 5363 \| Mustang Plumbing \| 8200 Prairie Rye Drive \| Residential Plumbing \| \| 5315 \| Mustang Plumbing \| 8303 Prairie Rye Drive \| Residential Plumbing \| \| 5275 \| Victory Plumbing \| 20805 Harrison Cove \| Residential Plumbing \| \| 5316 \| Victory Plumbing \| 6901 Pinto Cove \| Residential Plumbing \| \| 5261 \| Casa Mechanical \| 7417 Turnback Ledge Tr \| Residential Plumbing \| \| 5365 \| G & R Lone Star Plumbing \| 20902 Oak Dale Dr \| Residential Plumbing \| \| 5444 \| Tommy L Powers \| 7213 Cowpoke Trail \| Residential Plumbing \| \| 5350 \| Victory Plumbing \| 8026 Flintlock Circle \| Residential Plumbing \| \| 4963 \| Cooper & Bright Plumbing \| 7905 Bar K Ranch Rd. \| Residential Plumbing \| \| 5364 \| Casa Mechanical \| 7716 Pace Ravine Dr \| Residential Plumbing \| \| 5376 \| Casa Mechanical \| 7709 Desert Needle Dr \| Residential Plumbing \| \| 5252 \| Can Do Plumbing \| 5405 Arrowhead Dr \| Residential Plumbing \| \| 5353 \| Kelly Grabow Plumbing \| 21209 High Dr. \| Residential Plumbing \| \| 5412 \| Victory Plumbing \| 7811 Bar K Ranch \| Residential Plumbing \| \| 5392 \| Victory Plumbing \| 3009 Patriot Drive \| Residential Plumbing \| \| 5398 \| Victory Plumbing \| 4204 Outpost Trace \| Residential Plumbing \| \| \| \| Total = 41 \| \| City of Lago Vista Certificate of Occupancy Report For date range 10/1/2019 through 10/31/2019 Permit Number 3536 4312 4318 4335 4346 4390 4433 4749 4798 4848 4849 4850 4855 4861 4884 4902 4915 4917 4926 4928 4931 4984 4990 5003 5415 \| Cert. Of Occupancy \| Owner Name \| Location \| Permit Type \| \|---\|---\|---\|---\| \| 10/18/2019 \| KCG Vista Bella \| 21101 Boggy Ford Road Lago Vista TX 78645 \| Commercial \| \| 10/01/2019 \| Webb Custom Homes \| 7900 Flintlock Circle Lago Vista TX 78645 \| Residential Single Family \| \| 10/15/2019 \| Millennium Homes \| 21507 Penn Cv Lago Vista TX 78645 \| Residential Single Family \| \| 10/15/2019 \| Homeowner \| 4118 Rockwood Dr. Lago Vista TX 78645 \| Residential Single Family \| \| 10/31/2019 \| MWS Builders \| 21112 Ridgeview Rd. Lago Vista TX 78645 \| Residential Single Family \| \| 10/01/2019 \| Genaro Ledezma \| 1917 Owens Lane Lago Vista TX 78645 \| Residential Single Family \| \| 10/09/2019 \| Homeowner \| 20719 Camel Back Lago Vista TX 78645 \| Residential Single Family \| \| 10/24/2019 \| Highland Homes \| 7812 Pace Ravine Drive Lago Vista TX 78645 \| Residential Single Family \| \| 10/24/2019 \| DH Homes \| 4306 Lindberg Lane Lago Vista TX 78645 \| Residential Single Family \| \| 10/09/2019 \| Highland Homes \| 7514 Desert Needle Drive Lago Vista TX 78645 \| Residential Single Family \| \| 10/09/2019 \| Highland Homes \| 7516 Desert Needle Drive Lago Vista TX 78645 \| Residential Single Family \| \| 10/29/2019 \| Highland Homes \| 7525 Desert Needle Drive Lago Vista TX 78645 \| Residential Single Family \| \| 10/14/2019 \| Highland Homes \| 7521 Desert Needle Drive Lago Vista TX 78645 \| Residential Single Family \| \| 10/21/2019 \| Homeowner \| 20704 Harvard Cove Lago Vista TX 78645 \| Residential Single Family \| \| 10/17/2019 \| Highland Homes \| 7508 Knotted Sedge Court Lago Vista TX 78645 \| Residential Single Family \| \| 10/04/2019 \| Brohn Homes \| 19903 Lincoln Cove Lago Vista TX 78645 \| Residential Single Family \| \| 10/22/2019 \| Silverstone Custom \| 20608 Adobe Trail Lago Vista TX 78645 \| Residential Single Family \| \| 10/25/2019 \| Brohn Homes \| 21838 Ticonderoga Avenue Lago Vista TX 78645 \| Residential Single Family \| \| 10/04/2019 \| Brohn Homes \| 20500 Southbend Street Lago Vista TX 78645 \| Residential Single Family \| \| 10/03/2019 \| Brohn Homes \| 4702 Country Club Drive Lago Vista TX 78645 \| Residential Single Family \| \| 10/28/2019 \| Starbucks Coffee \| 7708 Lohman Ford Road, Suite A-101 Lago Vista TX 78645 \| Commercial \| \| 10/10/2019 \| MHI \| 22621 Fountaingrass Ln Lago Vista TX 78645 \| Residential Single Family \| \| 10/01/2019 \| Brohn Homes \| 4134 Rockwood Drive Lago Vista TX 78645 \| Residential Single Family \| \| 10/04/2019 \| Brohn Homes \| 2002 Omaha Dr. Lago Vista TX 78645 \| Residential Single Family \| \| 10/24/2019 \| Silverstone Custom \| 21103 Niagara Cove Lago Vista TX 78645 \| Residential Single Family \| Contract $8,000,000.00 $160,000.00 $210,000.00 n/a $140,000.00 $180,000.00 $80,000.00 $348,240.00 $239,500.00 $307,640.00 $316,195.00 $311,190.00 $261,890.00 n/a $320,440.00 $126,280.00 $195,000.00 $112,200.00 $126,280.00 $112,200.00 $633,029.00 $234,513.00 $126,280.00 $112,200.00 $265,000.00 Homes in Tessera Total = 25 11/4/2019 11:30:29 AM Zoning and Subdivision Report Lago Vista From: 10/01/2019 To: 10/31/2019 \| Description \| Permit Number \| Address \| Type \| \|---\|---\|---\|---\| \| Zoning Application \| 19-1525-L-CON \| 1905 Patriot Dr. & 21802 Owens Cove \| Lot Consolidation \| \| \| 19-1526-SP-E \| 2025 American Dr. \| Special Exception \| \| \| 19-1527-L-CON \| 21000 Newhaven Cove \| Lot Consolidation \| \| \| 19-1528-MF-FM \| Farmer's Market \| Farmers Market \| \| \| 19-1529-L-CON \| 7324 & 7325 Quiet Brook Place \| Lot Consolidation \| \| \| 19-1530-PERM-FE \| 20602 FM 1431 \| Food Establishment - Permit \| \| \| 19-1531-PSR-R \| 21101 Boggy Ford Rd. \| Pool/Spa Registration \| \| \| 19-1532-PERM-FE \| 20601 FM 1431 \| Food Establishment - Permit \| \| \| 19-1533-PERM-FE \| 7708 Lohman Ford Rd. \| Food Establishment - Permit \| \| \| 19-1534-CO-U \| 20102 Victoria Chase \| Conditional Use Permit \| \| \| 19-1535-MF-FM \| Farmer's Market \| Farmers Market \| \| \| 19-1536-TEMP-FE \| 7708 Lohman Ford Rd. \| Temporary Food Event \| \| \| \| Total = 12 \| \| Monday, November 04, 2019 Page 1 of 1 Development Services Fiscal Year to Date Six Year Comparison New Residential and Commercial Building Permits October 2014 - October 2019 \| Permit Type \| FY 2015 \| FY 2016 \| FY 2017 \| FY 2018 \| FY 2019 \| FY 2020 \| \|---\|---\|---\|---\|---\|---\|---\| \| Residential \| 73 \| 113 \| 185 \| 276 \| 292 \| 22 \| \| Commercial \| 3 \| 5 \| 7 \| 10 \| 6 \| 1 \| \| Totals \| 76 \| 118 \| 192 \| 286 \| 298 \| 23 \| District Type Permit Address Issued Date Expiration Status District 1 Number CE-11805 Accessory Use Violation No Permit CE-11843 21301 Choctaw Cove 21302 Choctaw Cove Date 10/31/2019 Open 11/14/2019 Open 10/23/2019 10/30/2019 \| \| 2 \| \| \| \| \|---\|---\|---\|---\|---\| \| Address Numbers Not Visible \| CE-11758 \| 21133 Northland Dr. \| 10/15/2019 \| 10/23/2019 \| \| \| CE-11766 \| 9314 Oxbow Circle \| 10/16/2019 \| 11/12/2019 \| \| \| CE-11849 \| 7905 Bar K Ranch Rd. \| 10/31/2019 \| 11/14/2019 \| \| \| 3 \| \| \| \| \| Boat Parked On Improved Lot \| CE-11765 \| 6107 La Mesa St. \| 10/15/2019 \| 10/20/2019 \| \| \| CE-11838 \| 21661 Coyote Trail \| 10/29/2019 \| 10/31/2019 \| \| \| 2 \| \| \| \| \| Brush on Unimproved Lot \| CE-11724 \| 8323 Timber Trail \| 10/8/2019 \| 10/26/2019 \| \| \| CE-11725 \| 8325 Timber Trail \| 10/8/2019 \| 10/26/2019 \| \| \| CE-11745 \| 21402 Sierra Trail \| 10/10/2019 \| 11/15/2019 \| \| \| CE-11752 \| 6800 Pinto Cove \| 10/14/2019 \| 11/30/2019 \| \| \| CE-11758 \| 21133 Northland Dr. \| 10/15/2019 \| 10/23/2019 \| \| \| CE-11784 \| 21823 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11785 \| 21815 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11786 \| 21808 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11787 \| 21802 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11788 \| 21801 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11789 \| 21707 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11790 \| 21702 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11791 \| 21701 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11792 \| 21603 surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11793 \| 7604 Sleepy Hollow Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11794 \| 21401 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11795 \| 21105 Ridgeview Rd. \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11799 \| 6100 Pokealong Path \| 10/23/2019 \| 12/31/2019 \| \| \| CE-11800 \| 7102 Bar K Ranch Rd. \| 10/23/2019 \| 12/31/2019 \| \| \| CE-11830 \| 8323 Timber Trail \| 10/28/2019 \| 11/15/2019 \| \| \| CE-11831 \| 8325 Timber Trail \| 10/28/2019 \| 11/15/2019 \| \| \| 21 \| \| \| \| \| Commercial Dumpster Not Screened \| CE-11695 \| 8008 Bronco Lane \| 10/2/2019 \| 11/11/2019 \| \| \| 1 \| \| \| \| \| Construction w/o permit \| CE-11766 \| 9314 Oxbow Circle \| 10/16/2019 \| 11/12/2019 \| \| \| CE-11844 \| 7300 Cowboy Cove \| 10/30/2019 \| 11/14/2019 \| \| \| 2 \| \| \| \| \| Dead Tree on Improved Lot \| CE-11690 \| 7106 Cowpoke Trail \| 10/1/2019 \| 10/26/2019 \| \| \| CE-11690 \| 7106 Cowpoke Trail \| 10/1/2019 \| 10/26/2019 \| \| \| CE-11691 \| 7105 Cowpoke Trail \| 10/1/2019 \| 10/31/2019 \| \| \| CE-11753 \| 6802 Pinto Cove \| 10/14/2019 \| 11/15/2019 \| \| \| CE-11836 \| 7300 Cowboy Cove \| 10/29/2019 \| 1/15/2020 \| \| \| CE-11836 \| 7300 Cowboy Cove \| 10/29/2019 \| 1/15/2020 \| \| \| 6 \| \| \| \| \| Dead Tree on Unimproved Lot \| CE-11724 \| 8323 Timber Trail \| 10/8/2019 \| 10/26/2019 \| \| \| CE-11725 \| 8325 Timber Trail \| 10/8/2019 \| 10/26/2019 \| \| \| CE-11752 \| 6800 Pinto Cove \| 10/14/2019 \| 11/30/2019 \| \| \| CE-11830 \| 8323 Timber Trail \| 10/28/2019 \| 12/15/2019 \| \| \| CE-11831 \| 8325 Timber Trail \| 10/28/2019 \| 12/15/2019 \| \| \| 5 \| \| \| \| \| Disconnected Water Service Delinquent \| CE-11850 \| 21460 Coyote Trail \| 10/31/2019 \| 11/13/2019 \| \| \| 1 \| \| \| \| \| Fence Maintenance violation \| CE-11697 \| 21007 Buena Vista \| 10/2/2019 \| 11/11/2019 \| \| \| CE-11724 \| 8323 Timber Trail \| 10/8/2019 \| 10/26/2019 \| \| \| CE-11725 \| 8325 Timber Trail \| 10/8/2019 \| 10/26/2019 \| \| \| CE-11758 \| 21133 Northland Dr. \| 10/15/2019 \| 10/23/2019 \| \| \| CE-11830 \| 8323 Timber Trail \| 10/28/2019 \| 11/15/2019 \| \| \| CE-11831 \| 8325 Timber Trail \| 10/28/2019 \| 11/15/2019 \| \| \| CE-11846 \| 8407 Bar K Ranch Rd. \| 10/30/2019 \| 11/21/2019 \| \| \| CE-11849 \| 7905 Bar K Ranch Rd. \| 10/31/2019 \| 11/14/2019 \| \| \| 8 \| \| \| \| \| Garage/Estate Sale sign violation \| CE-11779 \| 20601 FM 1431 \| 10/21/2019 \| 10/21/2019 \| \| \| CE-11780 \| 7400 Lohman Ford Rd. \| 10/21/2019 \| 10/21/2019 \| \| \| 2 \| \| \| \| \| Garage/Estate Sale Sign Violation on City Property \| CE-11779 \| 20601 FM 1431 \| 10/21/2019 \| 10/21/2019 \| \| \| 1 \| \| \| \| \| High Grass/Weeds on Improved Lot \| CE-11727 \| 21483 Coyote Trail \| 10/9/2019 \| 10/20/2019 \| \| \| CE-11728 \| 21485 Coyote Trail \| 10/9/2019 \| 10/20/2019 \| \| \| CE-11771 \| 20702 Northland Dr. \| 10/16/2019 \| 10/31/2019 \| \| \| 3 \| \| \| \| High Grass/Weeds on Unimproved Lot CE-11724 CE-11725 8323 Timber Trail 8325 Timber Trail 10/8/2019 10/8/2019 10/26/2019 Open 10/26/2019 Open \| \| CE-11745 \| 21402 Sierra Trail \| 10/10/2019 \| 11/15/2019 \| \|---\|---\|---\|---\|---\| \| \| CE-11752 \| 6800 Pinto Cove \| 10/14/2019 \| 11/30/2019 \| \| \| CE-11784 \| 21823 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11785 \| 21815 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11786 \| 21808 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11787 \| 21802 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11788 \| 21801 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11789 \| 21707 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11790 \| 21702 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11791 \| 21701 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11792 \| 21603 surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11793 \| 7604 Sleepy Hollow Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11794 \| 21401 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11795 \| 21105 Ridgeview Rd. \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11799 \| 6100 Pokealong Path \| 10/23/2019 \| 12/31/2019 \| \| \| CE-11800 \| 7102 Bar K Ranch Rd. \| 10/23/2019 \| 12/31/2019 \| \| \| CE-11830 \| 8323 Timber Trail \| 10/28/2019 \| 11/15/2019 \| \| \| 19 \| \| \| \| \| Home Occupation Violation Permitted No Permit \| CE-11841 \| 7305 Cowpoke Trail \| 10/30/2019 \| 11/14/2019 \| \| \| 1 \| \| \| \| \| Junked Vehicle In ROW \| CE-11733 \| 7103 Comstock Cove \| 10/10/2019 \| 10/31/2019 \| \| \| CE-11733 \| 7103 Comstock Cove \| 10/10/2019 \| 10/31/2019 \| \| \| CE-11733 \| 7103 Comstock Cove \| 10/10/2019 \| 10/31/2019 \| \| \| CE-11835 \| 21106 Pawnee Trail \| 10/29/2019 \| 11/15/2019 \| \| \| 4 \| \| \| \| \| Junked Vehicle On Improved Lot \| CE-11781 \| 21409 Choctaw Cove \| 10/21/2019 \| 11/10/2019 \| \| \| CE-11840 \| 7207 Cowpoke Trail \| 10/30/2019 \| 11/23/2019 \| \| \| CE-11840 \| 7207 Cowpoke Trail \| 10/30/2019 \| 11/23/2019 \| \| \| CE-11840 \| 7207 Cowpoke Trail \| 10/30/2019 \| 11/23/2019 \| \| \| CE-11840 \| 7207 Cowpoke Trail \| 10/30/2019 \| 11/23/2019 \| \| \| 5 \| \| \| \| \| Lot Clearing \| CE-11766 \| 9314 Oxbow Circle \| 10/16/2019 \| 11/12/2019 \| \| \| CE-11833 \| Quiet Brook & Leisure Lane \| 10/29/2019 \| 11/5/2019 \| \| \| 2 \| \| \| \| \| Mailbox \| CE-11690 \| 7106 Cowpoke Trail \| 10/1/2019 \| 10/19/2019 \| \| \| CE-11731 \| 21429 Coyote Trail \| 10/10/2019 \| 10/31/2019 \| \| \| 2 \| \| \| \| \| Open storage on property violation \| CE-11685 \| 21503 Coyote Trail \| 10/1/2019 \| 10/19/2019 \| \| \| CE-11687 \| 7311 Cowpoke Trail \| 10/1/2019 \| 10/19/2019 \| \| \| CE-11726 \| 21410 Coyote Trail \| 10/9/2019 \| 10/19/2019 \| \| \| CE-11841 \| 7305 Cowpoke Trail \| 10/30/2019 \| 11/23/2019 \| \| \| 4 \| \| \| \| \| Other Building Violations \| CE-11697 \| 21007 Buena Vista \| 10/2/2019 \| 11/11/2019 \| \| \| CE-11724 \| 8323 Timber Trail \| 10/8/2019 \| 10/26/2019 \| \| \| CE-11725 \| 8325 Timber Trail \| 10/8/2019 \| 10/26/2019 \| \| \| CE-11758 \| 21133 Northland Dr. \| 10/15/2019 \| 10/23/2019 \| \| \| CE-11766 \| 9314 Oxbow Circle \| 10/16/2019 \| 11/12/2019 \| \| \| CE-11830 \| 8323 Timber Trail \| 10/28/2019 \| 12/12/2019 \| \| \| CE-11831 \| 8325 Timber Trail \| 10/28/2019 \| 11/15/2019 \| \| \| CE-11833 \| Quiet Brook & Leisure Lane \| 10/29/2019 \| 11/5/2019 \| \| \| CE-11846 \| 8407 Bar K Ranch Rd. \| 10/30/2019 \| 11/21/2019 \| \| \| CE-11848 \| 20709 Leaning Oak \| 10/31/2019 \| 11/14/2019 \| \| \| CE-11849 \| 7905 Bar K Ranch Rd. \| 10/31/2019 \| 11/14/2019 \| \| \| 11 \| \| \| \| \| Other Sign violations \| CE-11780 \| 7400 Lohman Ford Rd. \| 10/21/2019 \| 10/21/2019 \| \| \| CE-11821 \| 20601 FM 1431 \| 10/28/2019 \| 10/28/2019 \| \| \| 2 \| \| \| \| \| Other Zoning violations \| CE-11722 \| 9201 Bar K Ranch Rd. \| 10/7/2019 \| 10/27/2019 \| \| \| CE-11723 \| 308 Flightline Rd. \| 10/8/2019 \| 10/24/2019 \| \| \| CE-11723 \| 308 Flightline Rd. \| 10/8/2019 \| 10/24/2019 \| \| \| CE-11723 \| 308 Flightline Rd. \| 10/8/2019 \| 10/24/2019 \| \| \| CE-11723 \| 308 Flightline Rd. \| 10/8/2019 \| 10/24/2019 \| \| \| 5 \| \| \| \| \| Prohibited Animal On Lot (Chickens) \| CE-11749 \| 21306 Broken Bow Cove \| 10/14/2019 \| 10/31/2019 \| \| \| CE-11764 \| 6205 La Mesa St. \| 10/15/2019 \| 10/31/2019 \| \| \| 2 \| \| \| \| 10/1/2019 to 10/31/2019 Generated 11/4/2019 Property Maintenance violation District 2 CE-11685 CE-11687 CE-11690 21503 Coyote Trail 7311 Cowpoke Trail 7106 Cowpoke Trail 10/1/2019 10/1/2019 10/1/2019 10/19/2019 Closed 10/19/2019 Closed 10/19/2019 Closed \| \| CE-11727 \| 21483 Coyote Trail \| 10/9/2019 \| 10/20/2019 \| \|---\|---\|---\|---\|---\| \| \| CE-11728 \| 21485 Coyote Trail \| 10/9/2019 \| 10/20/2019 \| \| \| CE-11745 \| 21402 Sierra Trail \| 10/10/2019 \| 11/15/2019 \| \| \| CE-11752 \| 6800 Pinto Cove \| 10/14/2019 \| 11/30/2019 \| \| \| CE-11771 \| 20702 Northland Dr. \| 10/16/2019 \| 10/31/2019 \| \| \| CE-11784 \| 21823 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11785 \| 21815 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11786 \| 21808 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11787 \| 21802 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11788 \| 21801 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11789 \| 21707 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11790 \| 21702 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11791 \| 21701 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11792 \| 21603 surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11793 \| 7604 Sleepy Hollow Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11794 \| 21401 Surrey Lane \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11795 \| 21105 Ridgeview Rd. \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11799 \| 6100 Pokealong Path \| 10/23/2019 \| 12/31/2019 \| \| \| CE-11800 \| 7102 Bar K Ranch Rd. \| 10/23/2019 \| 12/31/2019 \| \| \| CE-11831 \| 8325 Timber Trail \| 10/28/2019 \| 11/15/2019 \| \| \| CE-11848 \| 20709 Leaning Oak \| 10/31/2019 \| 11/14/2019 \| \| \| CE-11849 \| 7905 Bar K Ranch Rd. \| 10/31/2019 \| 11/14/2019 \| \| \| 25 \| \| \| \| \| Short Term Occupancy Violation \| CE-11686 \| 20702 Ridgeview Rd. \| 10/1/2019 \| 10/2/2019 \| \| \| CE-11772 \| 20702 Ridgeview Rd. \| 10/21/2019 \| 10/28/2019 \| \| \| 2 \| \| \| \| \| Sign in Right-of-Way \| CE-11821 \| 20601 FM 1431 \| 10/28/2019 \| 10/28/2019 \| \| \| 1 \| \| \| \| \| Solid Waste Container Violation Out Early \| CE-11686 \| 20702 Ridgeview Rd. \| 10/1/2019 \| 10/2/2019 \| \| \| 1 \| \| \| \| \| Solid Waste Container Violation Recycle Out Early \| CE-11686 \| 20702 Ridgeview Rd. \| 10/1/2019 \| 10/2/2019 \| \| \| CE-11772 \| 20702 Ridgeview Rd. \| 10/21/2019 \| 10/28/2019 \| \| \| CE-11778 \| 21475 Coyote Trail #2B \| 10/21/2019 \| 10/22/2019 \| \| \| 3 \| \| \| \| \| Trailer Parked On Improved Lot \| CE-11744 \| 21300 Bronco Cove \| 10/10/2019 \| 11/16/2019 \| \| \| CE-11744 \| 21300 Bronco Cove \| 10/10/2019 \| 10/26/2019 \| \| \| CE-11765 \| 6107 La Mesa St. \| 10/15/2019 \| 10/20/2019 \| \| \| CE-11765 \| 6107 La Mesa St. \| 10/15/2019 \| 10/20/2019 \| \| \| CE-11838 \| 21661 Coyote Trail \| 10/29/2019 \| 10/31/2019 \| \| \| 5 \| \| \| \| \| Tree Preservation Protection During Construction \| CE-11758 \| 21133 Northland Dr. \| 10/15/2019 \| \| \| \| 1 \| \| \| \| \| Two Solid Waste Containers \| CE-11684 \| 6102 Lakeshore Dr. \| 10/1/2019 \| 10/8/2019 \| \| \| CE-11701 \| 6617 Avenida Ann St. \| 10/2/2019 \| 10/10/2019 \| \| \| CE-11804 \| 21104 Northland Dr. \| 10/23/2019 \| 10/31/2019 \| \| \| 3 \| \| \| \| \| Unsafe Structure \| CE-11766 \| 9314 Oxbow Circle \| 10/16/2019 \| 11/12/2019 \| \| \| 1 \| \| \| \| \| Vehicle Parked On Improved Lot \| CE-11763 \| 6307 La Mesa St. \| 10/15/2019 \| 10/15/2019 \| \| \| CE-11764 \| 6205 La Mesa St. \| 10/15/2019 \| 10/19/2019 \| \| \| CE-11772 \| 20702 Ridgeview Rd. \| 10/21/2019 \| 10/28/2019 \| \| \| CE-11782 \| 7203 Crossbow Trail \| 10/22/2019 \| 10/31/2019 \| \| \| CE-11801 \| 21105 Packsaddle Trl \| 10/23/2019 \| 10/24/2019 \| \| \| CE-11834 \| 2111 Pawnee Trail \| 10/29/2019 \| 10/30/2019 \| \| \| CE-11837 \| 7302 Crossbow Trail \| 10/29/2019 \| 10/31/2019 \| \| \| 7 \| \| \| \| \| Total \| 163 \| \| \| \| \| Address Numbers Not Visible \| CE-11783 \| 20606 High Dr. \| 10/22/2019 \| 11/2/2019 \| \| \| 1 \| \| \| \| \| All other miscellaneous violations \| CE-11810 \| 20319 Continental Dr. \| 10/24/2019 \| 10/30/2019 \| \| \| 1 \| \| \| \| \| Boat Parked On Improved Lot \| CE-11730 \| 20603 Deep Creek \| 10/9/2019 \| 10/11/2019 \| \| \| CE-11839 \| 2205 Vicksburg Cove \| 10/29/2019 \| 10/31/2019 \| \| \| 2 \| \| \| \| \| Brush on Improved Lot \| CE-11783 \| 20606 High Dr. \| 10/22/2019 \| 11/9/2019 \| \| \| 1 \| \| \| \| Brush on Unimproved Lot CE-11696 CE-11705 20908 Magellan Cove 21679 High Dr. 10/2/2019 10/2/2019 10/19/2019 Open 11/15/2019 Open CE-11721 5002 Moss Point 10/7/2019 11/30/2019 Open \| \| CE-11797 \| 20203 Travis Dr. \| 10/22/2019 \| 12/31/2019 \| \|---\|---\|---\|---\|---\| \| \| CE-11798 \| 20200 Travis Dr. \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11829 \| 6301 La Mesa St. \| 10/28/2019 \| 11/23/2019 \| \| \| 7 \| \| \| \| \| Construction w/o permit \| CE-11767 \| 20308 Continental Dr. \| 10/16/2019 \| 10/23/2019 \| \| \| 1 \| \| \| \| \| Dead Tree on Improved Lot \| CE-11760 \| 20707 Green Park Dr. \| 10/15/2019 \| 12/16/2019 \| \| \| CE-11760 \| 20707 Green Park Dr. \| 10/15/2019 \| 12/16/2019 \| \| \| 2 \| \| \| \| \| Dead Tree on Unimproved Lot \| CE-11721 \| 5002 Moss Point \| 10/7/2019 \| 11/30/2019 \| \| \| 1 \| \| \| \| \| Disconnected Water Service Delinquent \| CE-11773 \| 20606 High Dr. \| 10/21/2019 \| 10/21/2019 \| \| \| CE-11774 \| 3405 MacArthur Ave. #B \| 10/21/2019 \| 10/28/2019 \| \| \| CE-11775 \| 21404 Blue Jay Blvd \| 10/21/2019 \| 10/21/2019 \| \| \| CE-11776 \| 21837 Ticonderoga Ave. \| 10/21/2019 \| 10/21/2019 \| \| \| CE-11777 \| 21013 Highland Lake Dr. #82 \| 10/21/2019 \| 10/28/2019 \| \| \| CE-11847 \| 21013 Highland Lake Dr. #82 \| 10/31/2019 \| 11/12/2019 \| \| \| 6 \| \| \| \| \| Fence Maintenance violation \| CE-11783 \| 20606 High Dr. \| 10/22/2019 \| 11/9/2019 \| \| \| CE-11814 \| 20902 Oak Dale Dr. \| 10/24/2019 \| 10/31/2019 \| \| \| CE-11816 \| 20703 Broken Arrow St. \| 10/24/2019 \| 10/30/2019 \| \| \| 3 \| \| \| \| \| Garage/Estate Sale sign violation \| CE-11717 \| 6300 Lohman Ford Rd. \| 10/7/2019 \| 10/7/2019 \| \| \| CE-11718 \| 20500 FM 1431 \| 10/7/2019 \| 10/7/2019 \| \| \| CE-11826 \| 3206 Poe Cove #A \| 10/28/2019 \| 10/28/2019 \| \| \| 3 \| \| \| \| \| Garage/Estate Sale Sign Violation in ROW \| CE-11718 \| 20500 FM 1431 \| 10/7/2019 \| 10/7/2019 \| \| \| 1 \| \| \| \| \| Garage/Estate Sale Sign Violation on City Property \| CE-11717 \| 6300 Lohman Ford Rd. \| 10/7/2019 \| 10/7/2019 \| \| \| CE-11718 \| 20500 FM 1431 \| 10/7/2019 \| 10/7/2019 \| \| \| 2 \| \| \| \| \| High Grass/Weeds on Improved Lot \| CE-11699 \| 21718 Ticonderoga Ave \| 10/2/2019 \| 10/13/2019 \| \| \| CE-11700 \| 3207 MacArthur Ave #B \| 10/2/2019 \| 10/13/2019 \| \| \| CE-11742 \| 3217 Eisenhower Ave. \| 10/10/2019 \| 10/31/2019 \| \| \| CE-11746 \| 5603 Thunderbird St. #A \| 10/14/2019 \| 10/25/2019 \| \| \| CE-11754 \| 3207 Mac Arthur Ave. #A \| 10/14/2019 \| 10/25/2019 \| \| \| CE-11755 \| 3207 Mac Arthur Ave. #B \| 10/14/2019 \| 10/31/2019 \| \| \| CE-11756 \| 21201 Green Park Dr. \| 10/14/2019 \| 10/31/2019 \| \| \| CE-11812 \| 21336 Mount View Dr. \| 10/24/2019 \| 11/7/2019 \| \| \| CE-11813 \| 21332 Mount View Dr. \| 10/24/2019 \| 11/7/2019 \| \| \| CE-11845 \| 5603 Thunderbird St. #A \| 10/30/2019 \| 11/11/2019 \| \| \| 10 \| \| \| \| \| High Grass/Weeds on Unimproved Lot \| CE-11705 \| 21679 High Dr. \| 10/2/2019 \| 11/15/2019 \| \| \| CE-11721 \| 5002 Moss Point \| 10/7/2019 \| 11/30/2019 \| \| \| CE-11796 \| 20217 Travis Dr. \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11797 \| 20203 Travis Dr. \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11798 \| 20200 Travis Dr. \| 10/22/2019 \| 12/31/2019 \| \| \| 5 \| \| \| \| \| Illegal Dumping Violation Unimproved Lot \| CE-11817 \| 21403 Santa Cruz Cove \| 10/24/2019 \| 10/24/2019 \| \| \| 1 \| \| \| \| \| Junked Vehicle In ROW \| CE-11769 \| 5613 Club House Dr. \| 10/16/2019 \| 11/2/2019 \| \| \| 1 \| \| \| \| \| Junked Vehicle On Improved Lot \| CE-11740 \| 3810 Congress Ave \| 10/10/2019 \| 10/31/2019 \| \| \| CE-11819 \| 20704 Bonanza St. #A \| 10/24/2019 \| 11/16/2019 \| \| \| CE-11820 \| 20704 Bonanza St. \| 10/24/2019 \| 11/16/2019 \| \| \| 3 \| \| \| \| \| Junked Vehicle On Unimproved Lot \| CE-11829 \| 6301 La Mesa St. \| 10/28/2019 \| 11/23/2019 \| \| \| 1 \| \| \| \| \| Mailbox \| CE-11699 \| 21718 Ticonderoga Ave \| 10/1/2019 \| 10/13/2019 \| \| \| CE-11747 \| 21720 Ticonderoga Ave. \| 10/14/2019 \| 10/21/2019 \| \| \| CE-11808 \| 2304 Washington Cove \| 10/24/2019 \| 11/9/2019 \| \| \| 3 \| \| \| \| \| Mandatory Water Rationing Violation Allow Water Runoff \| CE-11694 \| 21101 Boggy Ford Rd. \| 10/1/2019 \| 10/1/2019 \| \| \| CE-11715 \| 4907 Thunderbird St. \| 10/3/2019 \| 10/3/2019 \| \| \| CE-11734 \| 4125 Rockwood Dr. \| 10/10/2019 \| 10/10/2019 \| \| \| CE-11828 \| 21716 Ticonderoga Ave. \| 10/28/2019 \| 10/28/2019 \| Mandatory Water Rationing Violation Wrong Day CE-11692 CE-11694 20609 Highland Lake Dr. 21101 Boggy Ford Rd. 10/1/2019 10/1/2019 10/1/2019 Closed 10/1/2019 Closed \| \| CE-11698 \| 21712 Ticonderoga Ave \| 10/2/2019 \| 10/2/2019 \| \|---\|---\|---\|---\|---\| \| \| CE-11715 \| 4907 Thunderbird St. \| 10/3/2019 \| 10/3/2019 \| \| \| CE-11734 \| 4125 Rockwood Dr. \| 10/10/2019 \| 10/10/2019 \| \| \| CE-11741 \| 4907 Thunderbird St. \| 10/10/2019 \| 10/10/2019 \| \| \| CE-11815 \| 20908 Oak Ridge \| 10/24/2019 \| 10/24/2019 \| \| \| CE-11828 \| 21716 Ticonderoga Ave. \| 10/28/2019 \| 10/28/2019 \| \| \| 8 \| \| \| \| \| Mandatory Water Rationing Violation Wrong Time \| CE-11692 \| 20609 Highland Lake Dr. \| 10/1/2019 \| 10/1/2019 \| \| \| CE-11694 \| 21101 Boggy Ford Rd. \| 10/1/2019 \| 10/1/2019 \| \| \| CE-11698 \| 21712 Ticonderoga Ave \| 10/2/2019 \| 10/2/2019 \| \| \| CE-11715 \| 4907 Thunderbird St. \| 10/3/2019 \| 10/3/2019 \| \| \| CE-11734 \| 4125 Rockwood Dr. \| 10/10/2019 \| 10/10/2019 \| \| \| CE-11741 \| 4907 Thunderbird St. \| 10/10/2019 \| 10/10/2019 \| \| \| 6 \| \| \| \| \| Other Building Violations \| CE-11716 \| 2800 Warren Cove \| 10/7/2019 \| 10/7/2019 \| \| \| CE-11732 \| 21102 Green Park Dr. \| 10/10/2019 \| 10/26/2019 \| \| \| CE-11783 \| 20606 High Dr. \| 10/22/2019 \| 11/9/2019 \| \| \| CE-11806 \| 21203 Newberry Cove \| 10/24/2019 \| 10/26/2019 \| \| \| CE-11807 \| 21505 High Dr. \| 10/24/2019 \| 11/9/2019 \| \| \| CE-11814 \| 20902 Oak Dale Dr. \| 10/24/2019 \| 10/31/2019 \| \| \| CE-11816 \| 20703 Broken Arrow St. \| 10/24/2019 \| 10/30/2019 \| \| \| 7 \| \| \| \| \| Other Sign violations \| CE-11822 \| 6307 Lohman Ford Rd. \| 10/28/2019 \| 10/29/2019 \| \| \| CE-11823 \| 6307 Lohman Ford Rd. \| 10/28/2019 \| 10/29/2019 \| \| \| CE-11824 \| 6307 Lohman Ford Rd. \| 10/28/2019 \| 10/29/2019 \| \| \| CE-11825 \| 4600 Lohman Ford Rd. \| 10/28/2019 \| 10/29/2019 \| \| \| CE-11827 \| 20814 Highland Lake Dr. \| 10/28/2019 \| 10/29/2019 \| \| \| 5 \| \| \| \| \| Other Zoning violations \| CE-11702 \| 21906 Ticonderoga Cove \| 10/2/2019 \| 12/4/2019 \| \| \| CE-11703 \| 21708 Ticonderoga Ave \| 10/2/2019 \| 12/4/2019 \| \| \| CE-11704 \| 2907 Thorpe Cove \| 10/2/2019 \| 12/4/2019 \| \| \| CE-11757 \| 20208 Boggy Ford Rd. \| 10/15/2019 \| 11/30/2019 \| \| \| CE-11832 \| 3706 Arlington Cove \| 10/29/2019 \| 11/4/2019 \| \| \| 5 \| \| \| \| \| Political Sign Violation Less Than 10ft From Roadway \| CE-11770 \| 5600 Country Club Dr. \| 10/16/2019 \| 10/23/2019 \| \| \| 1 \| \| \| \| \| Prohibited Animal On Lot (Chickens) \| CE-11688 \| 3602 Rock Terrace Dr. \| 10/1/2019 \| 10/31/2019 \| \| \| 1 \| \| \| \| \| Property Maintenance violation \| CE-11702 \| 21906 Ticonderoga Cove \| 10/2/2019 \| 12/4/2019 \| \| \| CE-11703 \| 21708 Ticonderoga Ave \| 10/2/2019 \| 12/4/2019 \| \| \| CE-11704 \| 2907 Thorpe Cove \| 10/2/2019 \| 12/4/2019 \| \| \| CE-11705 \| 21679 High Dr. \| 10/2/2019 \| 11/15/2019 \| \| \| CE-11746 \| 5603 Thunderbird St. #A \| 10/14/2019 \| 10/25/2019 \| \| \| CE-11754 \| 3207 Mac Arthur Ave. #A \| 10/14/2019 \| 10/25/2019 \| \| \| CE-11756 \| 21201 Green Park Dr. \| 10/14/2019 \| 10/31/2019 \| \| \| CE-11757 \| 20208 Boggy Ford Rd. \| 10/15/2019 \| 11/30/2019 \| \| \| CE-11783 \| 20606 High Dr. \| 10/22/2019 \| 11/9/2019 \| \| \| CE-11796 \| 20217 Travis Dr. \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11797 \| 20203 Travis Dr. \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11798 \| 20200 Travis Dr. \| 10/22/2019 \| 12/31/2019 \| \| \| CE-11812 \| 21336 Mount View Dr. \| 10/24/2019 \| 11/7/2019 \| \| \| CE-11813 \| 21332 Mount View Dr. \| 10/24/2019 \| 11/7/2019 \| \| \| CE-11829 \| 6301 La Mesa St. \| 10/28/2019 \| 11/23/2019 \| \| \| 15 \| \| \| \| \| Real Estate Off Premise Sign \| CE-11719 \| 3811 Capitol Ave \| 10/7/2019 \| 10/7/2019 \| \| \| CE-11719 \| 3811 Capitol Ave \| 10/7/2019 \| 10/7/2019 \| \| \| 2 \| \| \| \| \| Real Estate Sign More Than 1 \| CE-11689 \| 20500 Greeley Cove \| 10/1/2019 \| 10/15/2019 \| \| \| CE-11802 \| 20609 Falcon \| 10/23/2019 \| 10/24/2019 \| \| \| 2 \| \| \| \| \| Real Estate Sign Violation Open House \| CE-11761 \| Bowden Point \| 10/15/2019 \| 10/15/2019 \| \| \| 1 \| \| \| \| \| Short Term Occupancy Violation \| CE-11738 \| 20313 Continental Dr. \| 10/10/2019 \| 10/10/2019 \| \| \| 1 \| \| \| \| \| Sign in Right-of-Way \| CE-11717 \| 6300 Lohman Ford Rd. \| 10/7/2019 \| 10/7/2019 \| \| \| 1 \| \| \| \| Total \| Solid Waste Container Violation In Late \| CE-11706 \| 5700 Thunderbird St. \| 10/3/2019 \| 10/4/2019 \| \|---\|---\|---\|---\|---\| \| \| CE-11707 \| 5609 Roundup Way \| 10/3/2019 \| 10/4/2019 \| \| \| CE-11708 \| 21637 Boggy Ford Rd. #A \| 10/3/2019 \| 10/4/2019 \| \| \| CE-11709 \| 21635 Boggy Ford Rd. #B \| 10/3/2019 \| 10/4/2019 \| \| \| CE-11710 \| 21633 Boggy Ford Rd. #A \| 10/3/2019 \| 10/4/2019 \| \| \| CE-11711 \| 21013 Highland Lake Dr. \| 10/3/2019 \| 10/4/2019 \| \| \| CE-11712 \| 21203 Winslow Cove \| 10/3/2019 \| 10/4/2019 \| \| \| CE-11713 \| 20706 Camel Back \| 10/3/2019 \| 10/4/2019 \| \| \| CE-11714 \| 5409 Hitching Post \| 10/3/2019 \| 10/4/2019 \| \| \| CE-11720 \| 5700 Thunderbird St. \| 10/7/2019 \| 10/14/2019 \| \| \| CE-11735 \| 3405 MacArthur Ave. #A \| 10/10/2019 \| 10/10/2019 \| \| \| CE-11736 \| 3207 Mac Arthur Ave #A \| 10/10/2019 \| 10/11/2019 \| \| \| CE-11737 \| 21501 Twain Cove \| 10/10/2019 \| 10/10/2019 \| \| \| CE-11739 \| 5609 Roundup Way \| 10/10/2019 \| 10/12/2019 \| \| \| CE-11748 \| 3210 Poe Cove #A \| 10/14/2019 \| 10/15/2019 \| \| \| CE-11759 \| 5700 Thunderbird St. \| 10/15/2019 \| 10/22/2019 \| \| \| CE-11762 \| 20001 Lincoln Cove \| 10/15/2019 \| 10/15/2019 \| \| \| CE-11809 \| 21103 Santa Rosa Ave. \| 10/24/2019 \| 10/25/2019 \| \| \| CE-11842 \| 3803 Constitution Dr \| 10/30/2019 \| 10/31/2019 \| \| \| 19 \| \| \| \| \| Solid Waste Container Violation Out Early \| CE-11810 \| 20319 Continental Dr. \| 10/24/2019 \| 10/30/2019 \| \| \| CE-11810 \| 20319 Continental Dr. \| 10/24/2019 \| 10/30/2019 \| \| \| 2 \| \| \| \| \| Solid Waste Container Violation Recycle In Late \| CE-11706 \| 5700 Thunderbird St. \| 10/3/2019 \| 10/4/2019 \| \| \| CE-11707 \| 5609 Roundup Way \| 10/3/2019 \| 10/4/2019 \| \| \| CE-11708 \| 21637 Boggy Ford Rd. #A \| 10/3/2019 \| 10/4/2019 \| \| \| CE-11709 \| 21635 Boggy Ford Rd. #B \| 10/3/2019 \| 10/4/2019 \| \| \| CE-11711 \| 21013 Highland Lake Dr. \| 10/3/2019 \| 10/4/2019 \| \| \| CE-11713 \| 20706 Camel Back \| 10/3/2019 \| 10/4/2019 \| \| \| CE-11714 \| 5409 Hitching Post \| 10/3/2019 \| 10/4/2019 \| \| \| CE-11720 \| 5700 Thunderbird St. \| 10/7/2019 \| 10/14/2019 \| \| \| CE-11736 \| 3207 Mac Arthur Ave #A \| 10/10/2019 \| 10/11/2019 \| \| \| CE-11737 \| 21501 Twain Cove \| 10/10/2019 \| 10/10/2019 \| \| \| CE-11738 \| 20313 Continental Dr. \| 10/10/2019 \| 10/10/2019 \| \| \| CE-11739 \| 5609 Roundup Way \| 10/10/2019 \| 10/12/2019 \| \| \| CE-11759 \| 5700 Thunderbird St. \| 10/15/2019 \| 10/22/2019 \| \| \| CE-11842 \| 3803 Constitution Dr \| 10/30/2019 \| 10/31/2019 \| \| \| 14 \| \| \| \| \| Solid Waste Container Violation Recycle Out Early \| CE-11810 \| 20319 Continental Dr. \| 10/24/2019 \| 10/30/2019 \| \| \| 1 \| \| \| \| \| Trailer Parked On Improved Lot \| CE-11730 \| 20603 Deep Creek \| 10/9/2019 \| 10/11/2019 \| \| \| CE-11812 \| 21336 Mount View Dr. \| 10/24/2019 \| 11/7/2019 \| \| \| CE-11839 \| 2205 Vicksburg Cove \| 10/29/2019 \| 10/31/2019 \| \| \| 3 \| \| \| \| \| Two Solid Waste Containers \| CE-11693 \| 21303 National Dr. \| 10/1/2019 \| 10/9/2019 \| \| \| CE-11750 \| 2405 Farragret Cove \| 10/14/2019 \| 10/23/2019 \| \| \| CE-11751 \| 20595 Highland Lake Dr. \| 10/14/2019 \| 10/23/2019 \| \| \| CE-11803 \| 5412 Canyon Oaks Dr. \| 10/23/2019 \| 10/31/2019 \| \| \| 4 \| \| \| \| \| Vehicle Parked On Improved Lot \| CE-11743 \| 3603 Hamilton Ave \| 10/10/2019 \| 10/17/2019 \| \| \| CE-11768 \| 20100 Continental Dr. \| 10/16/2019 \| 10/23/2019 \| \| \| CE-11811 \| 20100 Continental Dr. \| 10/24/2019 \| 10/30/2019 \| \| \| CE-11818 \| 4120 Rockwood Dr. \| 10/24/2019 \| 10/29/2019 \| \| \| CE-11818 \| 4120 Rockwood Dr. \| 10/24/2019 \| 10/29/2019 \| \| \| 5 \| \| \| \| \| Total \| 162 \| \| \| \| \| \| 325 \| \| \| \|
Who Really Pays Taxes in America? Taxes and Politics in 2004 By Cheryl Woodard, Executive Director AskQuestions.org Edited by Christy Harrison April 15, 2004 AskQuestions.org is a public interest news site devoted to raising awareness about urgent popular issues. People pose questions about a range of subjects – health, politics, economics, environmental issues – and we collect public comments and 'me too' votes from other site visitors. We research the most popular questions and sometimes hire journalists to conduct original reporting funded through public donations. The non-profit site is supported entirely through public donations, and we invite you to make a contribution if you find this article useful. We also invite you to visit the site, pose questions, see what others are asking, and use the process to bring important issues into the public agenda. 1563 Solano Avenue, #108 Berkeley, CA 94707 www.askquestions.org CONTENTS Why We Need A Fair Taxes Campaign in America Fifteen years ago, socialite Leona Helmsley bragged, "only the little people pay taxes," but then she went to jail for tax fraud. 1 Unfortunately, Helmsley's statement is even more accurate today than it was at the time. Tax fraud is estimated at $311 billion this year, more than the entire budget for Medicare and more than last year's revenues at Walmart or General Electric. Most cheaters go unpunished. What's worse, the legal tax system is rigged to favor rich people and large corporations at the expense of ordinary citizens and small businesses. Even when everybody abides by the law, middle-income households pay more taxes than rich ones. And politicians keep handing out tax favors to their campaign contributors – at our expense. A chorus of academics, journalists, and private citizens are warning that a tax system favoring the rich fuels the growing concentration of wealth in America – and therefore threatens our economic growth and even our democracy. Middle class spending is the growth engine in a free market economy, and when taxes rob the middle class in favor of the rich, the economy shuts down. Huge fortunes also produce political power that is hard to control. That's why all modern democracies use their tax laws to prevent excessive concentration of wealth. And that's why we need a fair taxes campaign in America. In this election year, both candidates are certain to say a lot of things about taxes. But neither of them is likely to talk about fraud, favoritism and abuse of power – unless voters raise these issues and ask for reforms. Who Pays Taxes? The short answer is this: you and I pay the taxes that rich and powerful people ought to pay, but don't. In the year 2000 – at the height of the last economic boom and before the most recent round of tax cuts were enacted – IRS data shows that the richest 400 taxpayers paid 27% of their income in federal, state, and local taxes. On average, these 400 taxpayers each had taxable income of $151 million. All other taxpayers had average taxable income of only $34,600, and yet their tax burden was 40%. 2 Political candidates always focus on income taxes. But we have to look at all taxes people pay in order to grasp how our tax system has been quietly 1 Leona Helmsley,New York Times, July 12, 1989. Quoted in the Barlett and Steele book (see resources). 2 IRS Report, Individual Income Tax Returns: Selected Items for Taxpayers with the Top 400 Adjusted Gross Income, 1992 to 2000. transferring the tax burden from the wealthiest households to the rest of us for the last twenty years. Journalists Donald Barlett and James Steele point out that this inequity results from a political system that has been put up for auction: "Over the last three decades, America's elected officials have turned a reasonably fair tax code into one crafted for the benefit of those who give the largest campaign contributions, enjoy the greatest access, hire the most influential lobbyists, or otherwise exercise power beyond that enjoyed by average citizens." 3 Corporations have profited, too. In 1965, individual taxpayers paid 66% of all US income taxes, and corporations paid about a third. But by 2000, the corporate share had dropped to 18%, just about half what it used to be. 4 3 The Great American Tax Dodge, by Donald Barlett and James Steele, Little, Brown and Company, 2000. 4 Organization for Economic Cooperation and Development (OECD) www.oecd.org. Publishes statistics for the 30 member nations. A recent Congressional study reported that 63% of US corporations paid no income taxes at all in 2000. 5 Six in ten American corporations reported no tax liability for the five years from 1996 through 2000, even though corporate profits were growing at record-breaking levels during that period. The Tax Code Feeds Income Inequities and Increases the Problem of Concentrated Wealth Not since 1929 have so few people controlled so much of the wealth in our country. In his new book, New York Times reporter David Cay Johnston reports that between 1970 and 2000 average income for the top 13,400 households in America increased from $3.6 million to nearly $24 million. That's a staggering 538% increase. At the same time, the average income for 90% of US households actually fell from $27,060 to $27,035. These 13,400 households account for just .001% of the population, according to Johnston. 6 Income distribution in the United States is the most unequal among all developed nations, according to OECD data. 5 General Accounting Office (GAO) Report to Congress, February 2004, Comparison of the Reported Tax Liabilities of Foreign and US-Controlled Corporations, 1996-2000. 6 Perfectly Legal: The Covert Campaign to Rig our Tax System to Benefit the Super Rich—and Cheat Everybody Else, by David Cay Johnston, Penguin Books, 2004. Income table on page 38. (Source: Johnston) Prosperity that was supposed to 'trickle down' has instead flowed straight uphill. Between 1990 and 2000, the average CEO's pay increased by 571% and corporate profits grew by 93%, while workers' pay barely stayed ahead of inflation. 7 7 United for a Fair Economy is a Boston-based Nonprofit group that publishes a range of economic data. This report is an analysis of the annual CEO surveys published by Business Week magazines. www.ufenet.org What's So Unfair About the Personal Income Tax? Investors pay lower income taxes than workers. Roughly 85% of stock market wealth is owned by 10% of American households and there is no logical reason why income from those investments (called "capital gains" by the tax code) should be taxed less than income from work. But the top tax rate on wages is 35% while the top tax rate on capital gains is only 15%. This rate structure gives the richest households enormous advantages without producing any obvious social benefit. If we reversed the favor – and let workers pay lower tax rates than investors – then working families would have greater opportunity to accumulate wealth. Historians point out that more people moved up into the middle class during the 1950s and 1960s – and American wealth was much less concentrated – when the top income tax rate was 91%, impacting salaries and capital gains equally. 8 According to IRS data for 2000, most American households earned 70% of their income from work and only 10% from capital gains. But in the highest tax bracket, the situation is completely reversed. 9 8 Barlett and Steele, page 263. 9 IRS Tax Statistics on the Top 400 Taxpayers,available at www.irs.gov Eliminating the special rate for capital gains taxes would reverse a major inequity in the current income tax. And we could reduce rampant underreporting of capital gains income by instituting automatic withholding, just as we do with salaries. 10 The Estate Tax Increases Income Equality By Funding Public Investments – But Gets A Death Sentence in Washington The Federal Estate tax is the only tax that directly combats the problem of excessive accumulation of private wealth. Public investments provide American entrepreneurs with a literate work force, court-enforced property laws, and a stable business environment, among many other benefits. The estate tax recaptures some of those investments – and makes them available to future generations. Oftentimes, the assets in an estate have never been taxed. In 2000, only 52,000 estates (out of over 2 million deaths that year) were large enough to pay estate taxes. Even though the heirs of rich families kept 75% to 80% of their family's fortunes, the tax generated vast sums for the government. According to the analysts at United for a Fair Economy, "In 2000, the estate tax alone raised more than double the total amount of federal 10 Barlett and Steele income taxes paid by the bottom half of American taxpayers." 11 And yet the tax is slated for extinction by President Bush. Analysts across the political spectrum recommend keeping the estate tax. And dozens of wealthy individuals, including Bill Gates Senior and Warren Buffett, are actively working to reform but retain the estate tax. Gates, who is father to the world's wealthiest man, has recommended earmarking the proceeds for public investments, like education, that create broad-based economic opportunities. 12 Buffett, who holds the world's second-largest private fortune, joined several hundred wealthy private citizens who publicly advocated against the Bush program to eliminate estate taxes. Excess Social Security Taxes Paid by Working Families Fund Income Tax Cuts for Wealthy Households and Corporations The government collects more Social Security taxes than it needs for current benefits, and yet we face enormous shortfalls when the Baby Boomers retire. David Cay Johnston reports: From 1984 to 2002, the government collected $1.7 trillion more in Social Security taxes than the agency paid out in benefits to retirees, widows, orphans, and in disability benefits. Instead of investing that surplus to pay for the looming retirement of baby boomers, as promised, that money was used to pay the ordinary bills of the government, making up for the taxes that were no longer being paid by the rich because of the 1981 tax cuts created by Ronald Reagan. The only way that the taxes Americans have paid in advance for their Social Security benefits can be turned into retirement checks is by a new round of taxes. Because their money is gone now, Johnston says, people have lost not just what they paid, but the opportunity to invest the money for themselves. 13 Three quarters of US households pay more Social Security taxes than income taxes. Employers deduct the tax straight out of each paycheck and send the money directly to the Federal government. A middle-income household pays 9.6% of its income in Social Security taxes, while households in the top 1% of income pay less than 2%. 14 11 Winning Responses to Tough Tax Questions, by Marty Liebowitz, May 12, 2003 published at the website www.ufenet.org. 13 Johnston, page 118 and page 123 12 Wealth and Our Commonwealth: Why Americans Should Tax Accumulated Fortunes, by William H. Gates Sr. and Chuck Collins, Beacon Press, 2003, page 137. Specifically, they recommend linking estate tax revenues to college funding. 14 Congressional Budget Office, Effective Tax Rates. Social Security tax rates have increased since 1980, while income tax rates have been cut repeatedly. During the last presidential campaign, both candidates promised not to spend the Social Security surplus. And candidate Bush specifically promised not to use the surplus to finance tax cuts. But as Johnston reports, that's just what he did: "In June 2001, President Bush signed his tax cut package that lowered rates on the rich, eliminated the estate tax for one year, and gave more than half of the $1.3 trillion tax cut to the richest 1% of taxpayers. It was a tax cut that also promised years of budget deficits . . . and more raiding of Social Security so that the middle class could subsidize the rich." 15 The Social Security tax only applies to income up to $87,000 and people earning above that ceiling get a break from paying the tax. Refunding excess Social Security payments now will not repair the damages already done. But we could fix the Social Security system by taxing all salaries equally – even salaries over $87,000 that are currently exempt from the tax – and by investing the funds in real assets, not government IOUs. 15 Johnston, page 127 Cities, Counties and States Raise Taxes to Compensate for Federal Tax Cuts When Congress cuts Federal income and estate taxes it ends up sending less money to the states – and each state has to make up the lost revenue somehow. Most states have responded by increasing their sales and excise taxes, or by cutting essential programs, or both. Many states have also cut taxes for their best-off residents. As a result, people in every state are losing libraries, childcare centers and fire stations, while paying higher bus fares, bridge tolls and sales taxes. The federal income tax, which made up 11% of GDP in 1965, now consumes under 9% of the national income. Total taxes increased from 25% of GDP to 29% during those years, according to data from the Office of Management and Budgets (OMB), but the burden has shifted from the national government to the states. 16 The Bush budget for 2005 cuts another $6 billion in federal support to states, and yet public investment in education, job training, child care, the 16 Data comes from the Office of Management and Budgets (OMB) in the White House available at http://www.gpoaccess.gov/usbudget/index.html, Table 15.1: Total Government Receipts in Absolute Amounts and as Percentage of GDP: 1947-2002 environment, energy, and research is already less than half what it was during the 1960s and 1970s. States rely on regressive taxes, like sales taxes, car taxes and property taxes for their revenue. Because they impact everyone at the same rate, regardless of ability to pay, these taxes take a bigger bite from modest incomes than huge fortunes, even if the rich folks own very expensive property or buy more expensive goods. Because state and local taxes are regressive, as one study recently reported, "only four states require their best-off citizens to pay as much of their incomes in taxes as middle-income families have to pay." 17 Therefore, when we shift taxes from the national government to the states, we are once again shifting the burden from wealthy people to poor and middle class people. Raising taxes and collecting more revenue at the national level – and then passing the resources back to the states – would greatly increase tax equity in America. 17 Who Pays? A Distributional Analysis of the Tax Systems in All 50 States, by the Institute on Taxation and Economic Policy, January 2003. Available from them through the group Citizens for Tax Justice at www.ctj.org. Record-Breaking Tax Fraud Continues Without Any Significant Political Response "If tax dodging were a business, it would be the nation's largest corporation," said journalists Barlett and Steele. The current $311 billion tax gap is the equivalent of the total income taxes paid annually by all individuals and families earning less than $75,000. 18 If we simply collected the taxes cheaters are withholding from the system, we would have enough to give a free college education to every child in America, or to provide health insurance for small business employees, or to cut Social Security taxes in half. It amounts to more money than we spent for Medicare in 2003, almost as much as the Defense budget, and almost enough to pay last year's deficit. Large corporations and rich individuals have greater incentive and many more opportunities to cheat – by understating income or shipping money to foreign tax havens, by inflating deductions or claiming expenses that never existed, or by speculating in the stock market and then not reporting the gains. People 18 Barlett and Steele, page 13 with a job or a pension have no similar opportunity to lie about income or evade taxes. Unfortunately, as their biggest donors turned into the biggest tax cheaters, politicians have reacted by handcuffing the tax police. Congress has consistently under-funded IRS enforcement efforts and computer upgrades that would catch more tax dodgers. 19 Congressional misdirection of IRS resources is even worse than their failure to properly fund the agency. Statistics cited by Johnston show that the IRS polices the poor more than the rich—even though the rich have greater opportunity and incentive to cheat 20 Corporate tax dodgers get off easy, too: in 2002, the IRS assessed just 22 penalties against corporations, a decline of more than 99% from 1993 when 2,400 penalties were imposed. Audits of corporate returns fell sharply from 26 per 1000 returns in 1997 to just 7 per thousand returns in 2003. 21 19 IRS Oversight Board, FY2005 Report. 21 National Profile and Enforcement Trends Over Time, by the Transactional Records Access Clearinghouse at Syracuse University. Available online at http://trac.syr.edu/tracirs/newfindings/current/ 20 Johnston, page 134. The independent IRS Oversight Board recommends beefing up the IRS enforcement budget, targeting the biggest cheaters first (not the smaller ones), and modernizing or automating more of the IRS enforcement systems. Others have also suggested de-criminalizing tax fraud, arguing that we can catch more people – and recapture more revenue – if the penalty is a fine instead of jail. 22 Corporate Tax Incentives Fail to Produce the Promised Economic Benefits Corporate tax incentives have been used in the past to encourage socially valuable behavior, like locating a factory in an inner city, for example, or cleaning up pollution levels. But with corporate taxes already at their lowest levels in history, there is very little room left for further incentives. In 2000, only 8% (of more than 27 million American businesses that filed tax returns) were subject to the corporate income tax. Current tax law favors the wrong kind of corporate behavior. Global companies can park assets overseas, for example, and evade taxes that smaller, local companies still have to pay. Corporations can also justify excessive CEO compensation and executive perks (like private jets) because the tax code 22 Barlett and Steele. makes those expenses tax deductible. Economists argue that the current tax code encourages waste and fraudulent accounting. Some claim that expensive US income taxes give advantages to foreign corporations who pay less tax in their home countries, but the evidence does not support this claim. Total federal and state corporate income taxes in the US were less than the average for other developed countries. 23 Corporate taxes that were common in earlier generations have quietly dropped from public discussion. War profits taxes, for example, were once widely used to offset the costs of war, to share the sacrifices fairly among foot soldiers and financiers, and to prevent outright profiteering. 24 A recent issue of Newsweek magazine called for reinstituting war taxes to finance the war on terror. 25 Special windfall profit taxes were levied against companies in the past when an unfair economic advantage resulted from unusual circumstances. For instance, when the Arab oil cartel (OPEC) hiked the world oil prices in 1973, the US government initially responded by setting price controls on American crude oil, 23 OECD annual report on taxes as a percentage of GDP. 25 "Six Fixes for the Tax Mess," by Allan Sloan, Newsweek April 12, 2004. 24 Warhogs: A history of War Profits in America, by Stuart Brandes, University Press of Kentucky, 1997 but then switched to a windfall profits tax. The proceeds were earmarked for energy conservation research. Both candidates talk about corporate tax incentives, but before we consider additional tax breaks for corporations, we should evaluate the effectiveness of existing programs. Are we keeping jobs where we want them? Are we encouraging openness with shareholders and employees? Are we rewarding efficiency? Many analysts recommend reducing corporate tax evasion, closing loopholes, and increasing economic efficiency by making corporations pay taxes on the income they report to stockholders, not a separate figure cooked up for the IRS. 26 Another recommendation: boost IRS audit rates for companies that use aggressive tax avoidance tactics. 27 Practical Solutions to the Tax-Based Class War Warren Buffett has famously said, "if there is a class war in America, my side is winning." In his annual letter to shareholders this year, the billionaire investment guru urged corporations to pony up on taxes, saying, "we hope our [Berkshire Hathaway corporate income] taxes continue to rise in the future—it will mean we are prospering—but we also hope that the rest of corporate America antes up along with us." Another voice from the billionaire class, Bill Gates Senior, reminds us that public investments in our courts, schools, transit systems, public utilities, and research programs have pushed the United States to the top of the world's economy. No other investment scheme in the history of the world has been so successful, says Gates. "As taxpayers, we should take pride in the fact that the US government is the world's largest venture capitalist." 28 We can end the apparent abuse of economic power and political influence that has led us where we are today, and get the economy growing, by revamping our tax laws and boosting public investment with the proceeds. Beyond the recommendations already offered, here are three key ways we can accomplish this goal: ß Increase Federal investments in the states, by providing funds for universal public pre-school, for example, or by offering low-cost health insurance for small businesses. 26 The Great American Tax Dodge, by Donald L. Barlett and James B. Steele, Little, Brown and Company, 2000. And also David Cay Johnston. 28 Wealth and Our Commonwealth: Why Americans Should Tax Accumulated Fortunes, by William H. Gates Sr. and Chuck Collins, Beacon Press, 2003. 27 IRS Oversight Board, FY2005 Budget Report, March 2004. ß Reinstate War and Windfall Profits taxes in selected circumstances and invest the proceeds in an all-out public effort to reduce American dependence on foreign oil. ß Sunshine the tax code so that politicians must name the beneficiaries from tax legislation they propose, and disclose donations received from them. Previous generations of Americans addressed the political problem of concentrated wealth and power by actively breaking up monopolies, jailing people who put undue pressure on politicians, and helping disenfranchised people win the right to vote. This generation must find solutions appropriate to our own times. References and Resources The Tax Policy Center (www.taxpolicycenter.org) provides a wealth of tax statistics and analysis. The Center on Budget and Policy Priorities (www.cbpp.org) goes beyond taxes to look at issues of budget priorities and economic development. Citizens for Tax Justice (www.ctj.org) advocates for poor and middle-income families. Responsible Wealth (www.responsiblewealth.org) is an advocacy organization headed by Bill Gates Senior and Chuck Collins. United for a Fair Economy (www.ufenet.org) is a group working to preserve democracy from the corrupting influences of concentrated wealth. Perfectly Legal: The Covert Campaign to Rig our Tax System to Benefit the Super Rich—and Cheat Everybody Else, by David Cay Johnston, Penguin Books, 2004. , Wealth and Our Commonwealth: Why Americans Should Tax Accumulated Fortunes by William H. Gates Sr. and Chuck Collins, Beacon Press, 2003. America: Who Really Pays the Taxes, by Donald L. Barlett and James B. Steele, Simon and Schuster, 1994. Fuzzy Math: The Essential Guide to the Bush Tax Plan, by Paul Krugman, W.W. Norton Company, 2001. The Great American Tax Dodge: How Spiraling Fraud and Avoidance are Killing Fairness, Destroying the Income Tax and Costing You, by Donald L. Barlett and James B. Steele, Little Brown, 2000. Warhogs: A history of War Profits in America, by Stuart Brandes, University Press of Kentucky, 1997.
July 22, 2015 Singapore We are a world of diverse nationalities, religions, ethnicities and languages. They define us – give us meaning, and provide us with an identity. Young. Old. Man, woman and child. Given our uniqueness in the physical world, it is ironic that our identity is such a slippery concept in the virtual world. While a fingerprint, voice pattern or retinal scan uniquely identifies our physical identity, our virtual identity is defined by a user name and password. Leading us to wonder – in this virtual world -- are you really who you say you are? Are you an imposter? Can I trust you? For the sake of unlocking the potential of our shared digital world, those are questions we had better come to terms with. Ladies and gentlemen, yes, I'm Amit Yoran. There's no denying that. I've got a conference credential with my name on it, just like you. And my black shirt has a little red "RSA" logo down here somewhere. There! Authenticated! In this venue, your conference badge tells everyone who you are. And what sessions you have access to. Yet for today's businesses, tasked with managing digital resources…delivered on premise and in the cloud…accessed from corporate networks as well as mobile devices …by hundreds and thousands of employees and partners, figuring out who's who and giving them access to what they're supposed to have access to, isn't quite as clear cut…especially while trying to keep the wrong people out. I'll come back to that in just a bit. The fact is, most organizations still don't really understand the severity and the complexity of the threat landscape we are facing today. While the turnout this year for RSA Singapore is a record, even a brief review of the news over the past few years shows we have far to go. The largest enterprises with the most sophisticated, "next-generation" security tools have not been able to stop the bad guys from making off with millions of dollars, extensive personal information, confidential M+A documents and countless other secrets. The past few weeks alone have brought some pretty shocking revelations. In America, a site has recently been hacked which contained some of the most sensitive information of more than 20 million Americans. The information could cause great personal embarrassment and make them subject to blackmail and social engineering. But no, I'm not referring to the devastating attacks suffered by OPM [Office of Personnel Management]. I'm talking about the really sensitive information on Ashley Madison. For those of you who don't know, Ashley Madison is a site for cheating spouses. Their tag line is "Life is short, have an affair." This proves that cyber is not only a booming career field, it's a conversation starter at home too. Please remember as the data from Ashley Madison comes out, you should ignore any of the sexual proclivities of the handle "Deep Panda." OK, back to the matter at hand. Clearly our adversaries are out-maneuvering and outgunning the security industry, and winning by every possible measure. Once inside an enterprise's network, they often go undetected for months or even years. The only way forward is to change our cybersecurity mindset. Whether self-delusion, ignorance, or marketing from security vendors, it doesn't matter. Quite frankly, legacy mindsets in security display negligence, if not insanity. The misguided notion is that prevention will keep the bad guys out. It won't. Don't get me wrong, next generation firewalls, anti-malware technologies, and the rest are all nice to have, but if you believe for one second they'll keep the bad guys out of your environment, you're asleep at the wheel. Changing your mindset is hard. I get that. Yet history has demonstrated time and again, when facing a new era of challenges with old era thinking, it never ends well. So trust me, not changing is much harder, or at least comes at a much greater cost. Let me give you an example of an enterprise that gets it. Don't laugh. It's your friendly, local post office. For too long it was a place to stand in line and wait to be acknowledged by someone behind the counter. Then you'd wait for your package to be weighed and stamped. And then do it all over again. How old school is that? I mean, who mails letters anymore? Postal services around the globe realized that they needed to evolve if they were going to be relevant, or even survive. A few miles from here, Singapore Post, the nearly 200-year-old national post service, is doing just that - reinventing itself as a modern day digital enterprise, transforming into a one-stop shop for retailers' booming e-commerce needs across Asia. Besides traditional services, SingPost offers website development, online marketing, and, of course, package delivery. Singapore's central location makes it an obvious hub for e-commerce across Asia, with more than 600 million people living in the immediate area, and more than two billion people within a five-hour flight. That's a quarter of the world's population. E-commerce now accounts for more than 25 percent of SingPost's revenues. Japan Post just bought the largest private package and freight delivery company in Australia, Toll Holdings. It has created a global rival to UPS and FedEx. Australia Post is working with Alibaba to help local businesses connect with Chinese customers. These radical transformations are happening within our national postal services. Talk about an impressive shift in mindset. Meanwhile, the security industry is still selling stamps. In a world of sophisticated advanced threats, the security industry is still selling the perimeter as the primary line of defense. Beyond our irrational obsession with perimeter technologies, some of us still follow an equally absurd path to detecting advanced threats. Monitoring is performed with signature-based intrusion detection systems and anti-malware products. It's not that perimeter and preventative measures are bad in and of themselves; it's that they are limited by experience. They have to have seen a threat before, or have been taught about it, in order to detect it. We all know that the threats that matter most today are the ones you haven't seen before. These tools are incapable of detecting these advanced threats…threats that cause the most damage. Nonetheless, so many security professionals base their monitoring programs on the futile aggregation of telemetry from these virtually blind IDSes, AV platforms, and firewall logs, implementing that glorious and increasingly useless money-pit, known as the SIEM. It may have been a shock to them when last year's Verizon Data Breach Investigations Report asserted that less than one percent of successful advanced threat attacks were spotted by SIEM systems. Less than one percent. The game has changed but so many are still clinging to selling the stamps we are so comfortable with. So how do we re-program ourselves for success? What is the path forward? Let me share five thoughts on navigating the digital landscape, based on my conversations with CISOs, CIOs and my own experiences over the past two decades. First. Let's stop believing that even advanced protections work. They do, but surely they fail also. Here's the news flash that has underwritten each and every spectacular intrusion we read about on a daily basis and countless others that remain undiscovered and unreported – and that is that a wellresourced, creative, and focused adversary is going to get into your environment. Every modern nationstate and every organized criminal enterprise operates aggressive intelligence collection and monetization schemes online. They enjoy limitless bounty with near perfect impunity. You'll see many promises made this week – expect to see more big data solutions, solutions to IoT, "fire and forget" analytics, and all sorts of other buzzwords, but challenge yourself and challenge us vendors does this really help or is it yet another castle wall that will inevitably be breached? We're seeing analytics-resistant malware that can evade detection by sandboxes and other advanced systems. No matter how high or smart the walls, focused adversaries will find ways over, under, around, and through. Second. We must adopt a deep and pervasive level of true visibility everywhere – from the endpoint to the network to the cloud – if we have any hope of being able to see the advanced threats that are increasingly today's norm. Consider Stuxnet, Equation Group, and Carbanak intrusion sets and countless other sophisticated campaigns. One of the defining characteristics across all of them is their stealthy nature. Until written about, they were virtually undetectable because they bypassed traditional defenses. Even now, many organizations operate completely blind as to whether they are victims to these published techniques or not. We need pervasive and true visibility into our enterprise environments. In reality, I'm describing now what SIEM was meant to be, or rather what it should be. You simply can't do security today without the visibility of both continuous full packet capture and endpoint compromise assessment visibility. Within our networks, we need to know which systems are communicating with which, why, any related communications, their length, frequency & volume, and ultimately the content itself to determine what exactly is happening. These aren't nice-to-haves. They are fundamental core requirements for doing security today. If you don't have that level of visibility and agility in place, you're only pretending to do security. Traditional forms of visibility are one-dimensional, yielding dangerously incomplete snapshots of an incident let alone any semblance of understanding an attack campaign. Without the ability to rapidly knit together multiple perspectives of an attack, you'll never fully understand the scope and the overall campaign you're dealing with. Frequently, sophisticated adversaries are executing attacks using multiple tactics in concert, often from separate attack groups to assure persistent access. The single most common and most catastrophic mistake made by security teams today is under scoping an incident and rushing to clean up compromised systems before understanding the broader campaign. In fact, let me say that again. The single greatest mistake made by security teams today is underscoping incidents and rushing to clean up compromised systems before understanding the true scope of compromise and possibly broader campaign. Without fully understanding the attack, you're not only failing to get the adversary out of your networks, you're teaching them which attacks you are aware of and which ones they need to use to bypass your monitoring efforts. And I'm not just standing up here and saying "buy RSA gear." I'm the first to admit that we need to go further than what is available today. We're on a journey to full visibility. Our environments, business practices, and adversaries continue to evolve, and so must we. Third. In a world with no perimeters and with fewer security anchor points, effective identity management matters more than ever. That boils down to three things – governance, access and lifecycle. Governance is understanding who should have access to what. Access is controlling who has access to that information. And lifecycle is managing the evolution of that access over time. Identity must be managed past the gateway. Traditionally, organizations have taken a Band-Aid approach by implementing point solutions and fixing problems where they exist. Single Sign On for here; a governance solution for there; a separate mobile device management solution for tablets and smart phones; provisioning for this and for that. That mindset has to stop. Security will never succeed just being a cost center. We need to start taking a more holistic approach so that identity can become a strategic business enabler. Here's what I mean. Stop being a gatekeeper and think business centric. Focus on achieving the goals of the enterprise. To be business centric, we need to involve business owners early and often. We need to give them control over the lifecycle and privileges of identities…giving the right people access to the systems, applications and data they need. It can be done. Why am I emphasizing identity so much? Consider the evolution of today's threat actors. We tend to think about adversaries secretly developing vicious malware in a dark basement somewhere. That's our traditional view of the world. The reality is that malware is the primary attack vector in less than half of advanced threat breaches. Don't mistake an anti-malware solution for an advanced threat strategy. In breaches where confidential data was disclosed, the most popular method used was the Web application attack. And in those cases, 95% of the time, attackers used stolen credentials and simply walked right in. The Verizon Data Breach Investigations report talks about how often user credentials , not sophisticated malware or hacks, open the gates to the adversaries. At some point in every advanced threat campaign, the abuse of identity is a stepping stone the attackers use to impose their will. The creation of sysadmin or machine accounts, or the abuse of over-privileged and dormant accounts, facilitates lateral movement and access to targeted systems and information. Strong authentication, and analyzing who is accessing what can identify attack campaigns earlier in the kill chain and make the difference between successful response and unmitigated disaster. Don't make the mistake of trusting the actions of the trusted; those privileged accounts and executive users are the ones most targeted, and are precisely the ones we should be most suspicious of. Fourth. Intelligence. This is a core requirement today as well. According to the Security for Business Innovation Council, only 43% of organizations augment internal threat intelligence with external data. There are incredible sources for the right threat intelligence for your purposes, from private vendors and organizations like ISACs. Just as important as external threat intelligence is internal threat intelligence. The CISOs that give their security teams time to hunt around the environment to understand what normal looks like will quickly spot unusual traffic patterns. In the same way a neighborhood police officer gets to know people, cars, and comings and goings in a neighborhood, so the unusual strikes him immediately as odd, so too can your analyst hunters – if they are given the time to do it. Fifth and finally. Your security program needs to be guided by an understanding of risk. You must understand what matters to your business and what is mission critical. This asset categorization isn't the sexy part of security, at least not Deep Panda handle style, anyway. But it is critical to helping you prioritize the deployment of limited security resources for the greatest possible impact. You have to focus on the important accounts, roles, data, systems, apps, and devices – and defend what's important and defend it with everything you have. These five principles can work. They do work. We've seen the difference it makes when organizations take these approaches to security. We see customers understand the attack campaigns that have been running in their environment for months or longer - often right under the very noses of their intrusion detection systems and protective measures. In one incident response effort, we discovered breach artifacts that were in place for seven years. Seven years. With these ideas and agile mindsets, our teams are even catching attackers red-handed, and disrupting their ability to exfiltrate data and achieve their objectives. I'm not saying we have all of the answers. Far from it. There are resource challenges, skill gaps, and legal impediments. But we are on a path to changing a paradigm under which our industry has operated for decades. And at RSA, we're starting with ourselves. We're re-engineering RSA across the board to enable us to deliver on this vision. As an industry, we are on a journey that will continue to evolve in the years to come through the efforts of all of us. I'm reminded of an old story from the age of exploration when many maps weren't yet complete. There were uncharted areas of our world. As the story goes, a captain was sailing his ship and reached the edge of his map. He sent word back to his commanders, "Have sailed off map. Am awaiting instruction." In security, we find ourselves in uncharted waters. We have sailed off the map, my friends. Sitting here and awaiting instructions? Not an option! And neither is doing what we've been doing – continuing to sail on in these new waters with our existing maps. What I'm describing is not a technology problem. We have the technology today to provide true visibility. Strong authentication and identity management solutions are readily accessible. We have great threat intelligence and insight into even sophisticated adversaries. And we have systems that map and manage our digital and business risk. This is not a technology problem. This is a mindset problem. The world has changed. We must change, too. I hope you use the conference to start thinking about that change. But remember, that change has to start right here. Thank you.
William C. Dennis Philadelphia Society National Meeting New Orleans, March 28, 2009 Panel of Former Philadelphia Society Presidents ________________________________________________________________________ Thank you. It is a pleasure to be with so many friends this Sunday Morning. I believe this is the second time I have had the opportunity to speak on a panel of past Philadelphia Society presidents where, as with this panel, we were asked to remark on the role of the United States in the World Today. Stephen Tonsor told me once that the future had a logic of its own, so that it was a perilous activity thinking that one had anything useful to say about future events. So before I say a few words again about looking ahead I think I will briefly look back to the National Meeting in 2006, to see how well my remarks then have held up after three years. I began with two assertive comments on speeches given previously at our 2006 meeting. 1. Whatever one may think of the Iraq war, our military has fought a magnificent operation. For a military to be great it must be used once in awhile, as awful as that is, and the young officers now serving in Iraq are now gaining the experience necessary to provide us a superb officer corps for decades to come. I think I got this right. And we should continue to be grateful to the young men and women in the military who serve us well and faithfully. 2. Our economy is booming—not on the brink of collapse—if we cannot do what we need to do in the world today with this economy, we will never be able to, for as a nation we are rich, entrepreneurial, creative, and optimistic. I think I got this mostly right—we did have a great economy going, but the mistakes of the Fed, the SEC, and especially Fannie Mae and Freddie Mac were already beginning to undermine our economic strengths. No doubt private mistakes and personal greed played a role too. No one quite understands how our current situation came about. We will need some time to sort things out and learn how to lessen future risks. But while doing so, we must continue to defend the general institution of capitalism against its critics. 1 But the main body of my talk in 2006 was devoted to a plea for conservatives to deal more realistically, as conservatives are supposed to be realists, with globalization and immigration. As I remember it, some of this commentary turned out to be controversial. I am not going to go over my argument again, but here are two sentences from that paper that pretty much sum it up: Only those nations prepared to embrace the possibilities of globalization will thrive, and through their successes have the better hope of protecting and enhancing the positive aspects of their nation's characteristics and traditions. Since America is a nation of immigrants, multi-cultural in fact and tradition, populous, creative, growing, and since we are also a relatively free society, we should be more able to meet the challenges of globalization that any other society on earth. I continue to believe that conservatives have failed in their vision by not embracing the positive sides of globalization in the way they should. In part, because of this, we have a president who likely will divert the United States from its proper place as a force for good in the world. I note in passing that none of the previous speakers at our meetings this year have discussed these issues. We cannot continue to avoid them, But that was then, what of 2009? Early on after Steve Hayward and Bill Campbell invited me to speak I had decided to talk about "Responsibility", even before our new president called for a "New Era of Responsibility" in his Inaugural Address, and then labeled his first budget "The New Era of Responsibility." For the President responsibility means massive new governmental responsibilities over our lives, combined with higher taxes on the most productive and responsible Americans, and excuses for the mistakes and lack of accomplishment of the irresponsible. It certainly has nothing to do with individuals standing up and taking charge of their own lives as responsible parents, friends, neighbors, professionals, and citizens. As has been widely remarked, this is the most irresponsible budget in American history in its profligacy and in its grasp for power. This irresponsibility now has been widely noted— by Rush and Sean, by Mark Levin in is new book Liberty and Tyranny, by The Weekly Standard, by the scholar Paul Rahe in his new book, Soft Despotism, Democracy's Drift, and by many others. So much so, that I come before you this morning without much new to offer, but only to say great minds think alike, and that I came up with the message that follows without the help of these other good authorities. I had even contemplated quoting Tocqueville's famous commentary on such democratic irresponsibility, only hesitating to do so because I thought it so well known as to be redundant. But the The Weekly Standard in its March 9, 2009 issue, with its cover of Americans as a Nation of Sheep, used Tocqueville and his passage as its opening editorial, so I decided to use a portion of the Tocqueville again here (from the George Lawrence 1966 translation, rather than the Mansfield and Winthrop translation used by The Weekly Standard. "I am trying to imagine under what novel features despotism may appear in the world. In the first place, I see an innumerable multitude of men, alike and equal constantly circling around in pursuit of the petty and banal pleasures with which they glut their souls…. Over this kind of men stands an immense protective power which is alone responsible for securing their enjoyment and watching over their fate. That power is absolute, thoughtful of detail, orderly, provident, and mild. It would resemble parental authority if, father-like, it tried to prepare its charges for a man's life, but on the contrary, it only tries to keep them in perpetual childhood. It likes to see the citizens enjoy themselves, provided that they think of nothing but enjoyment. It gladly works for their happiness but wants to be sole agent and judge of it. It provides for their security, foresees and supplies their necessities, facilitates their pleasures, manages their principal concerns, directs their industry, makes rules for their testaments and divides their inheritances. Why should it not entirely relieve them from the trouble of thinking and all the cares of living?" There is much more. It is in Volume II, Part Four, Chapter Six, of Democracy in America, "What Kind of Despotism Democratic Nations Have to Fear." When I started working on this talk I had also been reading Seeing Like a State: How Certain Schemes to Improve the Human Condition Have Failed, by James C. Scott, (1998, Yale University Press) the first two parts of which I recommend highly to all thoughtful conservatives, even though, especially though, Scott is a self-professed man of the left, because he pretty much comes to the same conclusion as Tocqueville about the dangers of the all knowing, all pervasive modern democratic state. With what Scott calls "authoritarian high modernism" comes an altogether new idea that "one of the central purposes of the state was the improvement of all members of society—their health, skill and education, longevity, productivity, morals, and family life… (41). I like that phrase" Authoritarian High Modernism." We should use it often. These high modernists, as Tocqueville predicted, do wish to take over our living for us. Authoritarians everywhere have promised as much: the Southern slave holder, the communist apparatchik, welfare state social worker, the Grand Inquisitor. All tell us that life is hard and that they wish to bear the burdens of living for us. High modernity gives them the knowledge, the tools, the necessary measurements and statistics, and the financial might to make their promises seem plausible and attractive to many. They promise us pleasure and security, and assure us that this soft despotism will work, that freedom is slavery, and we need not worry. But do we want to live as their slaves? Or do we want to live real human lives, directing our own courses of action, making our own life choices as much as in humanly possible? So what should the conservative responsible response be to this coming New Era of Irresponsibility or perhaps more correctly "unresponsibility?" Time here is short, but let me give one example of what I think out approach should be. You all have heard this before, but I think the thought often gets lost in the cacophony of daily political life. Take American health care—already a mess with third party payers and government involvement. Now many in Congress plan to move us towards some system of national health care based on the Canadian or British model. Now we know what this will lead to, because a lot of careful studies have been done. Some of you in the audience have written some of these studies, and this is difficult, important, and necessary work. We know compulsory national health care will lead to delays in treatment, long queues for services, denial of best available treatments, medical decisions made by bureaucratic boards, further regulation of medical professionals, huge paper work inefficiencies at every doctor's office in the country, and reduced medical research and innovation. This is bad; this is wrong-headed; this is unnecessary; this is shameful. But it is not the whole story. Canada and England have suffered all these perverse consequences of in their medical systems and yet they still are not awful places to live. They get by with National Health Service. And America will get by too. We will not become some soviet hellhole or another Zimbabwe. We just won't have anymore the world-class medical system we have become accustomed to. Lots of us, needlessly, will suffer a bit, and some of us will die sooner that otherwise. Well too bad, because lots of our fellow citizens will think they are getting on just fine and since the cost will be mostly hidden many will believe that they are doing better than before. So these good policy studies are necessary but not sufficient. They do not tell the whole story. They do not tell the worst of it. Our primary loss will not be fairly good health care, but, more significantly, a slice of our humanity. We will have turned over some more of the cares of living to government officials; we will lose control of an important part of our lives. And that will be tragic. Are we then going to stand on our own two feet and be free men, or are we going to sink back into the statism of the past, into the mire of history? Besides the policy studies which need wide publicity, this is the point we must emphasize over and over in every debate, with everyone we deal with when the opportunity presents itself and with constant mention in our daily lives: We are losing our liberties and with that a portion of ourselves and what it means to be human. And we must make this point again when it comes to similar issues involving family law and education policy, the regulation of commerce and enterprise, environmental issues, and the control over our property and our tastes. We need to become scolds about liberty. We must reject the kind blandishments of the high modern authoritarians because we reject their false promises of care and concern and well-being. We know that they do not mean well, for their real purpose is not to provide necessary assistance, but to keep us from being free men. Here is Paul Rahe's final paragraph from his new book: Rahe, Paul A., Soft Despotism, Democracy's Drift: Montesquieu, Rousseau, Tocqueville & The Modern Prospect. New Haven. Yale University Press. 2009. The great storms have come and gone; the horrors of the twentieth century recede now into the past. But tyrannical ambition and servile temptation will always be with us, as they are most emphatically now. The choice is, nonetheless, ours. We can be what once we were, or we can settle for a gradual, gentle descent into servitude. It is high time that we reclaim what is, after all, our legacy as Americans, for the genuine self-government that we once enjoyed in plenitude is a possession wholly consonant with our dignity as human beings and with our rights as women and men. Let our motto be, as once it was, "Don't tread on me!" And let our virtue be individual responsibility. 7 Amen to that. We live in nation based on "The Pursuit of Happiness," not as happiness defined as entitlements provided by a benevolent state. Ladies and gentlemen, that is the true argument; that is the reason why we must not just retire from the scene, but must stand for Liberty again and again. I fear, however, it will not be a winning stance. The High Modern Authoritarians are right: Living free is a serious and difficult business. Humanity in general may not be up to it. Will Americans be any different? We shall see. Thank you.
Press Release New analysis from the IntroDia ® survey reveals how people with type 2 diabetes are informed of their diagnosis - Experts involved in the IntroDia ® survey comment on why face-to-face conversations between doctors and people with type 2 diabetes at an early stage are vital to improve patient outcomes Ingelheim, Germany and Indianapolis, USA, 14 November 2016 – New insights from the IntroDia ® survey highlight that more than 1 in 10 (11 percent) of people with type 2 diabetes (T2D) did not receive their diagnosis in a face-to-face appointment with their healthcare professional. Of these, the majority either received a call from their doctor (44 percent) or were told the news by the doctor's receptionist (36 percent), whilst the remainder (20 percent) were told via another form of communication, for example an email or letter. 1 This new analysis coincides with this year's World Diabetes Day (WDD) theme, 'Eyes on Diabetes', which focuses on improving early diagnosis of T2D. The IntroDia ® survey, developed by Boehringer Ingelheim and Eli Lilly and Company, in partnership with the International Diabetes Federation (IDF), is the largest multinational survey to date studying early conversations between physicians and people with T2D. This new subset of data was taken from 5,904 people with T2D in 26 countries who were asked specifically about their diagnosis experience. Research from the broader IntroDia ® survey has previously shown that the vast majority of physicians believe conversations at diagnosis are crucial and the quality of communication is linked to future diabetes outcomes. 2-7 Dr Matthew Capehorn, UK, Primary Care Physician and member of the IntroDia ® survey Advisory Board, says, "These survey results clearly tell us that not all people with type 2 diabetes are being diagnosed face-to-face. Given the overwhelming evidence demonstrating how important early patientdoctor conversations are, this new information highlights that there is room for improvement at this crucial stage. I would like to see all patients being diagnosed with type 2 diabetes face-to-face with an appropriate specialist healthcare professional. It is an important life event where people need support, encouragement and advice to make sure they get on the right path from the start and manage their type 2 diabetes as best they can." There were also wide variations across the different countries involved in the survey, with the most face-to-face interaction in Indonesia and South Africa (where all patients received a face-to-face T2D diagnosis with a healthcare professional), and the least in the United Arab Emirates, where only 1 percent of patients received a face-to-face T2D diagnosis with a healthcare professional. (Please see Table 1 below for individual country statistics). 1 Page 1 "Whenever possible, the diagnosis of type 2 diabetes should be made in a formal face-to-face setting. There is so much at stake for a diabetes patient from that day onward. News that is likely to impact our life should always be handled in a face-to-face manner, with the utmost care and consideration. Imagine hearing about losing your job via an email or through a third party," comments Dr Aus Alzaid, Saudi Arabia, Consultant Diabetologist and member of the Advisory Panel. "These face-to-face conversations significantly impact how patients foresee their future and how they go on to manage their condition. The use of encouraging and collaborative communication-styles are key to making early conversations successful," Dr Alzaid concludes. Table 1: Percentage of people who did not receive a face-to-face T2D diagnosis with a healthcare professional by country \| Country \| \| Percentage of people who did not receive a \| \|---\|---\|---\| \| \| \| face-to-face T2D diagnosis with a healthcare \| \| \| \| professional \| \| UAE \| 99% \| \| \| Saudi Arabia* \| 43% \| \| \| Denmark \| 18% \| \| \| Netherlands, USA \| 16% \| \| \| UK \| 14% \| \| \| China \| 13% \| \| \| South Korea \| 12% \| \| \| Austria* \| 11% \| \| \| France \| 8% \| \| \| Germany, Russia \| 5% \| \| \| Canada \| 4% \| \| \| Brazil, Israel, Spain \| 3% \| \| \| Australia, Japan, Mexico \| 2% \| \| \| Argentina, Bulgaria \| 1% \| \| \| India, Indonesia, Norway, Philippines, South Africa \| 0% \| \| *Please note these countries included fewer than 50 participants Additional country statistics are available upon request About IntroDia ® IntroDia ® is the largest multi-national survey to date investigating early conversations between physicians and people with T2D. It includes insights from 6,753 physicians and 10,139 people with T2D from 26 countries. The survey focuses on two potentially pivotal time points in T2D management: diagnosis and the 'add-on' moment, when additional oral medication is introduced. The IntroDia ® survey's physician insights and patient findings will be used to develop solutions that help shape the early T2D conversations and ultimately improve quality of care. IntroDia ® is an initiative of Boehringer Ingelheim and Eli Lilly and Company in partnership with the International Diabetes Federation. It has been developed in collaboration with an international, multidisciplinary Advisory Board of T2D experts from the field of primary care, endocrinology, behavioural psychology, nursing and diabetes education including: Ms. Anne Belton, Canada; Dr. Page 2 William Polonsky, USA; Dr. Steven Edelman, USA; Dr. Matthew S. Capehorn, UK and Ms. Susan Down, UK, Prof. Aus Alzaid, Saudi Arabia. For more details, please visit www.introdia.com Boehringer Ingelheim and Eli Lilly and Company In January 2011, Boehringer Ingelheim and Eli Lilly and Company announced an alliance in diabetes that centres on compounds representing several of the largest diabetes treatment classes. This alliance leverages the strengths of two of the world's leading pharmaceutical companies. By joining forces, the companies demonstrate commitment in the care of patients with diabetes and stand together to focus on patient needs. Find out more about the alliance at www.boehringer-ingelheim.com or www.lilly.com. Boehringer Ingelheim Boehringer Ingelheim is one of the world's 20 leading pharmaceutical companies. Headquartered in Ingelheim, Germany, Boehringer Ingelheim operates globally through 145 affiliates and a total of some 47,500 employees. The focus of the family-owned company, founded in 1885, is on researching, developing, manufacturing and marketing new medications of high therapeutic value for human and veterinary medicine. Social responsibility is an important element of the corporate culture at Boehringer Ingelheim. This includes worldwide involvement in social projects through, for example, the initiative "Making More Health" while also caring for employees. Respect, equal opportunity and reconciling career and family form the foundation of mutual cooperation. The company also focuses on environmental protection and sustainability in everything it does. In 2015, Boehringer Ingelheim achieved net sales of about 14.8 billion euros. R&D expenditure corresponds to 20.3 per cent of net sales. For more information please visit www.boehringer-ingelheim.com About Lilly Diabetes Lilly has been a global leader in diabetes care since 1923, when we introduced the world's first commercial insulin. Today we are building upon this heritage by working to meet the diverse needs of people with diabetes and those who care for them. Through research and collaboration, a wide range of therapies and a continued determination to provide real solutions—from medicines to support programs and more—we strive to make life better for all those affected by diabetes around the world. For more information, visit www.lillydiabetes.com or follow @LillyDiabetes. About Eli Lilly and Company Lilly is a global healthcare leader that unites caring with discovery to make life better for people around the world. We were founded more than a century ago by a man committed to creating high-quality medicines that meet real needs, and today we remain true to that mission in all our work. Across the globe, Lilly employees work to discover and bring life-changing medicines to those who need them, improve the understanding and management of disease, and give back to communities through philanthropy and volunteerism. To learn more about Lilly, please visit us at www.lilly.com and newsroom.lilly.com/social-channels. About the International Diabetes Federation The International Diabetes Federation (IDF) is an umbrella organisation of over 230 national diabetes associations in 170 countries and territories. It represents the interests of the growing number of people with diabetes and those at risk. The Federation has been leading the global diabetes community since 1950. The Federation's activities aim to influence policy, increase public awareness and encourage health improvement, promote the exchange of high-quality information about diabetes, and provide education for people with diabetes and their healthcare providers. IDF is associated with the Department of Public Information of the United Nations and is in official relations with the World Health Organization (WHO) and the Pan American Health Organization (PAHO). Page 3 References 1. Boehringer Ingelheim and Eli Lilly and Company Diabetes Alliance. Data on file. 2. Piette, J.D., et al. Dimensions of patient-provider communication and diabetes self-care in an ethnically diverse population. J Gen Intern Med. 2003;18(8):624-33. 3. Polonsky W.H., et al. Physicians' challenges when discussing the type 2 diabetes (T2D) diagnosis with patients: Insights from a cross-national study (IntroDia™). Poster 62-LB at the American Diabetes Association's (ADA) 74th Scientific Sessions ® 2014, San Francisco, USA. 4. Polonsky, W.H., et al. Physicians' challenges when discussing the type 2 diabetes diagnosis with patients: insights from a cross-national study (IntroDia™). Abstract #1030 at the 50th Annual European Association for the Study of Diabetes (EASD) Scientific Meeting 2014, Vienna, Austria. 5. Capehorn, M., et al. Physician-patient Communication at Prescription of an Additional Oral Agent for Type 2 Diabetes (T2D): Link Between Key Conversation Elements, Physician Empathy and Patient Outcomes – Insights From the Global IntroDia™ Study. Poster 63-LB at the 75th Scientific Sessions of the American Diabetes Association ® (ADA) 2015, Boston, USA. 6. Polonsky, W.H., et al. Physician-patient communication at type 2 diabetes diagnosis and its links to physician empathy and patient outcomes: new results from the global IntroDia™ study. Poster A-15-449 at the 51st Meeting of the European Association for the Study of Diabetes (EASD) 2015, Stockholm, Sweden. 7. Edelman, S., et al. Physician-patient communication at prescription of an additional oral agent for type 2 diabetes: link between conversation elements, physician empathy and patient outcomes. Poster A-15-496 at the 51st Meeting of the European Association for the Study of Diabetes (EASD) 2015, Stockholm, Sweden. 8. World Health Organization. Diabetes Fact Sheet, March 2016. Available at: http://www.who.int/mediacentre/factsheets/fs312/en/. Accessed October 2016. CONTACT: Dr Petra Kienle Product Communication Manager Boehringer Ingelheim GmbH Email: petra.kienle@boehringer- ingelheim.com Phone: +49 6132 77 143877 Molly McCully Communications Manager Lilly Diabetes Email: email@example.com Phone: +1 317 478 5423 Page 4
Volume 27, Number 5 Hawthorn Chapter Officers: President Vanessa Melton 573-864-3905 email@example.com Vice President Nancy Langworthy firstname.lastname@example.org 573-874-2463 Secretary Ann Wakeman 5798 Windy Meadows Lane Fulton, MO 65251 573-642-6927 email@example.com Treasurer John George 573-234-1784 firstname.lastname@example.org Membership Paula Peters 2216 Grace Ellen Dr Columbia, MO 65202 573-474-4225 email@example.com Chapter Representative John [Rusty] White 573-886-8698 firstname.lastname@example.org Web Master Doug Miller email@example.com Web site: http://columbianativeplants.org/ 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 firstname.lastname@example.org Missouri Native Plant Society Hawthorn Chapter Newsletter May 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 Call Vanessa or Paula for more information.. Carpool meeting place, commuter parking lot at AC and US63. May 2 Wednesday: Wildflower walk with Randal Clark. 5:30 Devil's Icebox parking off Old63 in Rockbridge SP. No dogs. 4-6 Camping weekend at Hawn SP: Friday evening thru Sunday noon. Room for one more tent with up to four people. Call Paula immediately 573-474-4225 9 Wednesday: Wildflower walk with Randal Clark. 5:30 Devil's Icebox parking off Old63 in Rockbridge SP. No dogs. 12 Wildflower walk at PGT. Kay and George Yatskievych 9 am. To register email email@example.com . No dogs. [Earthquake Hollow mosey is cancelled for this date and you are strongly encouraged to attend the Yatskievych walk at PGT. G.Y. is the editor of the most recent edition of Steyermark's Flora of MO.] 14 Membership Meeting 7pm Unitarian Church, 2615 Shepard 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. 16 Wednesday: Wildflower walk with Randal Clark. 5:30 Devil's Icebox parking off Old63 in Rockbridge SP. No dogs. 17 Thursday: Lunch with Native Plant Enthusiasts 11:30 am RagTag, 10 Hitt St. Just south of Broadway. 19 Saturday Clifty Creek NA [Maries Co]: A little off the beaten path, beautiful woods and streams. Easy walk 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. Depart from commuter lot at AC & US63 at 8:30 am. Socialized dogs welcome. 23 Wednesday: Wildflower walk with Randal Clark. 5:30 Devil's Icebox parking off Old63 in Rockbridge SP. No dogs. June 2 Saturday: Fern Walk at PGT. Led by Dennis Figg [MDC biologist] 9 am. To register email firstname.lastname@example.org . No dogs. 1-3 Fri –Sun: State Camdenton area/Ozark Caverns/Rocky Top Glade, etc. See Petal Pusher for details on moseys and motels. No dogs. 9 Saturday Warren Taylor: Private property in Callaway County putty root orchid, goldenseal, glade plants, and others. 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. Depart from commuter lot at AC & US63 9 am. Directions will be in June newsletter. Socialized dogs welcome. 14 Thursday: Lunch with Native Plant Enthusiasts 11:30 am RagTag, 10 Hitt St. Just south of Broadway. 21 Thursday Quail Day Workshop at Bradford Farm. Our booth will be set up from 3 to 7pm. Please volunteer for the plant sale; call Paula. Hamburgers are available for dinner. 30 Saturday: Tucker Prairie mosey. Most of it was burned this winter so blooming plants and [flat/easy] walking should be good. Depart from commuter lot at AC & US63 at 8:30 am. Announcements: Still room for one more tent for the camping weekend at Hawn. Call Paula. -^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^- Carpool meeting place for moseys is changed to the commuter parking lot at AC and US63. All Columbia MDC offices have moved to Discovery Park so the Research building at Stadium & College is closed. -^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^- Earthquake Hollow mosey is cancelled for 12 May. You are strongly encouraged to attend the George Yatskievych walk at PGT. G. Y. is the editor of the most recent edition of Steyermark's Flora of MO. -^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^- 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. -^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^- June Lunch at RagTag has been changed to 15 June because Quail Day, Bradford Farm, plant sale is 21 June = the usual day we have lunch. Sign up to help with the Quail Day plant sale; call Paula. -^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^- 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. Summer Calendar Cont. . . . July 7 Saturday: Butterfly walk with Donna Brunett at PGT. See details on the PGT website. To register for the walk email email@example.com . No dogs. 9 July Membership Meeting 7pm Unitarian Church, 2615 Shepard Blvd. Randall Clark will speak: Costa Rica, Land of Biodiversity. 19 Thursday: Lunch with Native Plant Enthusiasts 11:30 am RagTag, 10 Hitt St. Just south of Broadway. August 16 Thursday: Lunch with Native Plant Enthusiasts 11:30 am RagTag, 10 Hitt St. Just south of Broadway. September 10 Monday: Membership Meeting 7pm Unitarian Church, 2615 Shepard Blvd 15 Saturday: Plant Sale, Bradford Farm 28-30 Fri-Sun State Meeting at Cuiver River State Park. See Petal Pusher for details. No dogs. October 6 Saturday: Spring Creek Gap mosey asters goldenrods fall colors. Easy. Depart from commuter lot at AC & US63 9 am. Socialized dogs welcome. Late October: Wreath workshop Late October Cookout: place and date will be determined. MONPS Board Meeting Schedule for 2012 See Petal Pusher for details on programs, moseys and motels. All are welcomed to see the wild places of MO with people who know plants, ecology and history. Summer – June 1-3, 2012 – Camdenton area/Ozark Caverns/Rocky Top Glade/Coakley Hollow, and other places. Fall – Sep. 28-30, 2012 – Cuivre River State Park and vicinity. Winter – Sat. Dec. 1, 2012 – UMO Herbarium, Columbia, MO. Business and planning. -^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^- Paula has several of our beautiful new orchid design T-shirts available. 474-4225 -^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^-^- Earth Day and Bradford Farm Plant Sales Submitted by Paula Peters, Booth chair We are off to a great start with our first two booth events of the year! The Bradford Farm Native Plant Sale, 14 April, started off with stormy weather. We stood in the rain and wondered if the day would get better with sales or not. Surprisingly cars rolled in, many people who appreciate native plants in the garden came, braved the weather and bought many plants. At the end of the sale, we tallied the day's take on the hood of a truck and counted $1166. What a surprise! Earth Day started much the same: windy and chilly with threats of rain, but by the end of the day, weather broke at times and we were surprised we made $526. (minus a $40 booth fee). We had a good time visiting all the Earth Day booths and displays and visiting with a good turnout of volunteers. Our next Native Plant Sale will again be at Bradford on Thursday June 21, 3 to 8 pm. We hope you will come to help other volunteers educate booth visitors in the reasons and joys of native plant gardening and pollinators. Remember the profit from sale of plants and books goes to our grant fund for public school teachers to have resources to teach a natural science section. News from Stateside . . . Branson April 13 – 15, 2012 Submitted by John White, Chapter Representative The Spring Board Meeting was held at the Bull Shoals Field Station of Missouri State University, located in the Drury-Mincy Conservation Area near Branson, MO. This area is five miles east of Branson, then six miles south on Route J, and borders Bull Shoals Reservoir. It is in Taney County, has 3,400 acres of forest and comprises 5,599 acres. Located in the heart of the White River glade region, it was the Conservation Department's first deer refuge. The rolling hills in this area provide bluestem glades and post oak savannas, with the Mincy, Fox, and Bee Creeks meandering through stands of wild cane on their way to Bull Shoals Lake. Unusual plants such as Purple beardtongue, fringetree, and Ashe juniper can be found in the area. Friday Evening Program On Friday evening we received an enjoyable presentation from Larry Wegmann and Laszio Kovacs, a biology professor at Missouri State University, on Native Grapevines of Missouri and the use of native MO grapes for the wine industry. The North American Continent is the origin of grapevines and is the center of the Vitis genus. They grow naturally only in the northern hemisphere. Seven species grow naturally in Missouri. European grapes are all cultivated from American grapes. There was a time when disease nearly wiped out the European species of grapes. Since pests and pathogens also evolved in America, the co-evolution of plant and pathogen made them resistant to pests. The rootstock from our grapes were grafted to European stock and saved the European grape industry. We have grape varieties, such as the Norton grape, that are resistant to everything. Field Trips: Bear Cave Trail This trail leads from J highway through the forest to a large glade on the next ridge. Some of the plants seen along the trail and glade include White Climbing Milkweed (Matelea baldwyniana), Whorled Milkweed (Asclepias quadrifolia), Spider Milkweed (Asclepias viridis), Western False Gromwell (Onosmodium molle), Hair Grass (Muhlenbergia capillaries), Sensitive Brier (Mimosa quadrivalvis), Horsemint (Monarda bradburiana), and Indian Paintbrush (Castillleja coccinea). Bee Creek Trail From a parking area south of the Bear Cave Trail, a road leads east through the park and ends at the lake. Our group walked part of the road observing vegetation along the road and adjoining Bee creek, where we saw Fire Pink (Silene virginica), Green Violet (Hybanthus concolor), and Fringe Tree (Chionanthus virginicus), among others. Then a fairly long drive and more walking took us to the lake where we found Smoke tree (Cotinus obovatus). Saturday Board Meeting Highlights The meeting was called to order by Paul McKenzie, a quorum was present, and minutes of the last meeting were approved. The Society assets were reported to be $37,000.00. Some issues were brought up concerning the formatting of the Petal Pusher as well as the late dates of issue. Paul Mckenzie will send Janet Haworth a letter suggesting options to solve the issue and Brian Edmond will send Janet some back issues of the Petal Pusher as a format guide as well as offer to assist in showing her how the Society wants the Newsletter to look. Concerning the problem of keeping the society website updated, Sue Hollis talked with David Winn and David will be glad to turn the Webmaster position over to someone else. Brian Edmond has offered to take over as Webmaster. Additional copies of the Missouriensis, Vol. 30, have been printed and the next edition is still in the works. Membership status: 14 new members, 57 life members, and 318 total members to date. Hudson Award: Alice Tipton was selected from seven applicants to receive the Hudson Award. Alice is currently TA for one of the Plant Taxonomy labs at MU. Congratulations, Alice. A motion was made, seconded, and passed to keep the brochure format as is for now, and print 1500 more copies. T-Shirt update: As of the meeting date there are 7 SM, 19 LG, 17 XL, and 7 XXXL orchid T-Shirts available. If more are needed contact Allison Vaughn. Local Database update: Brian Edmond reported it will be next winter before the Database is ready or possibly further delayed if he takes on the Webmaster position. The next Board Meeting will be June 1-3, at Camdenton, MO. Everyone is welcome to join the field trips Details on destinations and motels are in the next Petal Pusher. 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.
Briefing To Participant Date : 21 st July 2016, Thursday Time : 3.00pm – 4.00pm Venue : Level 3, MIP National Office Agenda Introduction to Planning Excellence Award 2016 Timeline Award Categories General Requirements Introduction to Planning Excellence Award 2016 Background of MIPPEA… 2016 : Ninth year of the award 1998: 1 st Inception 12 Award Categories 02 Special Recognition Award MIP PLANNING EXCELLENCE AWARD 2016 6 new categories introduced since its first inception MIP aims to acknowledge projects and works which are able to respond to the market needs… evolution respond effort good importance excellence Acknowledge quality needs dynamic changes encourageleadership achievement holistic multidisciplinary improvements better future professional commitmentexpanded contribute advancing profession refinements service demonstratePlanner Outstanding …..participating in the MIP PEA is an important way to demonstrate your commitment towards advancing the profession as well as contribute towards a better future Timeline and important dates… 1 st June Call for Entry PRESIDENT'S AWARD 01 * Malaysia's most outstanding planner who has shown great leadership in the field, * Inspirational for others in the profession * Contributed towards initiatives to transform the field of planning towards a developed nation. Who Can Nominate? Nominations are not sought for this category. Eligibility is at the discretion of the President. Submission Fee : Not Applicable * The most creative project or building or development PLACE MAKING & PUBLIC SPACE AWARD 02 Special RecognitionNew Category * Creation or restoration of a public space, which is valued and accessible to local community and visitors, * Quality of its public realm, urban design, landscape quality, streetscape * Successful integration of surrounding uses and creation of a sense of place. * Demonstrates consideration on physical character, readability, physical and social integration with the existing urban fabric, adaptability of spaces, pedestrianism and alternative transportation modes, sustainability and healthy living. Who Can Nominate? This category is open for public nomination What to Submit? A short report, approximately 5 x A3 pages (font size 12, 1.5 spacing) consists of: * Project Name and location * Status, size/scale and nature of project * Objectives and strategies of project * Name of key leader(s), partner-organisation(s) and /or other stakeholders * Results and lesson learnt. Describe the results in relation to objectives set (i.e. liveability, vibrancy, sustainability and quality of life) * Clearly outline the sustainable approach towards the lifecycle of the project/area (i.e. planning, implementation and maintenance) Submission Fee : Not Applicable * This Award recognises a comprehensive or general plan, projects in rural, suburban, regional areas and major schemes and regeneration in larger urban areas. STRATEGIC PLANNING AWARD 03 * The award emphasises on the contribution that advances the science and art of planning. It is awarded for an outstanding quality of any of the following plans: Regional Plan \| Structure Plan \| Local Plan \| Special Area Plan \| Strategic Planning Submission of projects other than the above mentioned plans will be subjected to the eligibility evaluation by nomination secretariat before it can be considered by award judges Who Might Apply? Planning Consultants \| Government Agencies \| Government-Link Companies (GLC) What to Submit? A short report, approximately 5 x A3 pages (font size 12, 1.5 spacing) consists of: Project Name and Location * Status, size/scale and nature of project * Objectives and strategies of project * Name of key leader(s), partner-organisation(s) and /or other stakeholders * Description of project (i.e. key projects/programmes proposed and key challenges). Explain how these projects/ programmes benefitted the community and the city or area * Identify the expected key results Who Can Submit? Any registered and good standing member of MIP and Board of Town Planners Submission Fee? RM 1,000.00 (One Thousand Ringgit) * This Award recognises a master plan that has or will have a positive impact on the physical or environmental quality of a place or the economic or social well-being of a community. DESIGN EXCELLENCE AWARD 04 What to Submit? A short report, approximately 5 x A3 pages (font size 12, 1.5 spacing) consists of: * Project Name and Location. * Status, size/scale and nature of project * Objectives and strategies of project * Name of key leader(s), partner-organisation(s) and /or other stakeholders * Description of project (i.e. clear methodology and approach and the key design principles applied in the master plan). Explain how the principles benefitted the area/city and community and the contribution towards reducing CO2 emissions Who Might Apply? Planning Consultants \| Government Agencies \| Government-Link Companies (GLC) Who Can Submit? Any registered and good standing member of MIP and Board of Town Planners Submission Fee? RM 1,000.00 (One Thousand Ringgit) LOW CARBON CITY AWARD 05 * Any project that implements low carbon city initiatives promoted in the Low Carbon Cities Framework (2011). * Cover small or large scale township * One-system approach or city-based approach What to Submit? A short report, approximately 5 x A3 pages (font size 12, 1.5 spacing) consists of: * Project Name and Location, Status, size/scale and nature of project * Objectives and strategies of project * Name of key leader(s), partner-organisation(s) and /or other stakeholders * Description of project (i.e. clear methodology and approach and the key design principles applied in the master plan). Explain how the principles benefitted the area/city and community and the contribution towards reducing GHG emissions. LCCF Checklist to be submitted as minimum requirement for this category.New Category Who Might Apply? Planning Consultants \| Government Agencies \| Government-Link Companies (GLC) Who Can Submit? Any registered and good standing member of MIP and Board of Town Planners Submission Fee? RM 1,000.00 (One Thousand Ringgit) * Outstanding new and innovative planning initiatives INNOVATIVE PLANNING AWARD 06 * Initiatives that supplement or precede more traditional planning efforts * Innovative and state-of-the-art planning methods * and practices helped to implement a plan or advance planning practices regulations and codes \| growth management or design guidelines \| land acquisition public and private partnerships \| applications of technology \| handbooks \| tool programme or efforts that foster greater stakeholders participation. Who Might Apply? Planning Consultants \| Government Agencies \| Government-Link Companies (GLC) What to Submit? A short report, approximately 5 x A3 pages (font size 12, 1.5 spacing) consists of: * Project Name and Location * Status, size/scale and nature of project * Objectives and strategies of project * Name of key leader(s), partner-organisation(s) and /or other stakeholders * Description of project (i.e. key projects/programmes proposed and key challenges). Explain how these projects/ programmes benefitted the community and the city or area * Identify the expected key results Who Can Submit? Any registered and good standing member of MIP and Board of Town Planners Submission Fee? RM 1,000.00 (One Thousand Ringgit) COMMUNITY-BASED PLANNING AWARD 07 Initiatives in best practice towards public engagement that achieves an outstanding and innovative contribution to social planning practices & outcomes Policy, scheme, project, report, process or event * involvement of the local community in the planning process * improve the physical or environmental quality of a place or the economic or social well-being of its community. Who Might Apply? Planning Consultants \| Government Agencies \| Government-Link Companies (GLC) \| Developers What to Submit? A short report, approximately 5 x A3 pages (font size 12, 1.5 spacing) consists of: * Project Name and Location * Status, size/scale and nature of project * Objectives and strategies of project * Name of key leader(s), partner-organisation(s) and /or other stakeholders * Description of project (i.e. clear methodology and approach, key design principles and key challenges). Explain how the principles benefitted the area/city and community and how the challenges were addressed Who Can Submit? Any registered and good standing member of MIP and Board of Town Planners Submission Fee? RM 1,000.00 (One Thousand Ringgit) HERITAGE & CONSERVATION AWARD 08 * A scheme or project that makes an outstanding contribution to heritage and conservation * Efforts to improve the environmental performance of historical area/buildings or conservation of community built or cultural heritage. * Project or plan that has used or plan to use a place or community's heritage to improve the physical or environmental quality of the place or the economic or social well-being of the community. * Involve the conservation/preservation of historic building or a wider area or cultural/intangible heritage Eligible entries should include characterisationof project, appraisals, design statement and management plans alongside investment programmes. What to Submit? A short report, approximately 5 x A3 pages (font size 12, 1.5 spacing) consists of: * Project Name and Location * Status, size/scale and nature of project * Objectives and strategies of project * Name of key leader(s), partner-organisation(s) and /or other stakeholders * Description of project (i.e. clear methodology and approach, key design principles and key challenges). Explain how the principles benefitted the area/city and community, how the challenges were addressed and how the project transform the city/area in a sustainable manner. Who Might Apply? Planning Consultants \| Government Agencies Who Can Submit? Any registered and good standing member of MIP and Board of Town Planners Submission Fee? RM 1,000.00 (One Thousand Ringgit) PLANNING SERVICE EXCELLENCE AWARD 09 * Achievements in translating good planning processes and practices that are beneficial for the community for industry players as well as for the government. * Organisation, agency or institution that makes planning more efficient and accessible through innovative and imaginative use of planning process and system. Report \| Document \| Scheme \| Strategy Who Might Apply? Planning Consultants \| Government Agencies What to Submit? A short report, approximately 5 x A3 pages (font size 12, 1.5 spacing) consists of: * Project Name and Location * Status, size/scale and nature of project * Objectives and strategies of project * Name of key leader(s), partner-organisation(s) and /or other stakeholders * Description on the continuous improvement programmes and future planning strategies Who Can Submit? Any registered and good standing member of MIP and Board of Town Planners Submission Fee? RM 1,000.00 (One Thousand Ringgit) * Efforts and achievements in public promotion and documenting of planning issues, thoughts and innovations PLANNING SCHOLAR AWARD 10 * Outstanding contribution to the understanding of issues that advances the importance of planning and captures public interest Published reports, articles, journals or books Who Might Apply? Individuals \| Planning Consultants \| Government Agencies \| Tertiary Institutions Who Can Submit? Any registered and good standing member of MIP and Board of Town Planners What to Submit? An essay up to 1,000 words, A4 pages (font size 12, 1.5 spacing) consists of: * Explanation on how the planning issues/policy/ideas been highlighted and its relevance to current planning scenario * Description on how these issues/policy/ideas were addressed and benefitted the community/ city/country Submission Fee : Not Applicable YOUNG PLANNER OF THE YEAR 11 * Outstanding contribution or achievement of a young individual to the planning profession as well as celebrating the leaders of tomorrow. * leadership, outstanding work, effort and/or achievement by a Young Planner * Demonstrated excellence in the professional workplace and an activity or project that furthers the practice of planning or improves planning processes * Nomination is limited for one young planner only for each organisation and must be under 35 years of age. Nomination is limited for one young planner only for each organisation and must be under 35 years of age Who Can Nominate? Employers/Heads of Departments for : Planning Consultants \| Government Agencies \| Tertiary Institutions What to Submit? A short essay (1,500 words, font size 12, 1.5 spacing) consists of : * Demonstration of good leadership, vision, innovation, commitment and achievements * Description on how would candidate promote planning as a professional activity List of projects/programmes involved and role of candidate in managing the projects/programmes * Evidence on how his/her achievements inspire the other young planners * Curricular Vitae (CV) and passport-sized photo of the nominees to be attached together with essay Who Can Submit? Any registered and good standing member of MIP and Board of Town Planners Submission Fee : Not Applicable OUTSTANDING STUDENT PROJECT 12 * Outstanding projects or papers by a student or a group of students * substantial project, research or thesis which makes a significant contribution to issues relating to * The project may focus or address one or more of planning elements such as sustainable development, low carbon initiatives, social planning, environmental planning, transport planning, urban design, economic development and planning law. Who Can Nominate? Tertiary Institutions What to Submit? A short report, approximately 5 x A3 pages (font size 12, 1.5 spacing) consists of: * Project Name and Location * Status, size/scale and nature of project * Objectives and strategies of project * Name of key leader(s), partner-organisation(s) and /or other stakeholders * Description of project (i.e. clear methodology and approach, key design principles and key challenges). Explain how the principles benefitted the area/city and community and how the challenges were addressed Who Can Submit? Any registered and good standing member of MIP and Board of Town Planners Submission Fee? RM 250.00 (Two Hundred Fifty Ringgit) GENERAL REQUIREMENTS WRITTEN hard copies 03 of each entry submission are required for the purposes of judging. 300-500 words One or More Proof of Nomination of abstract suitable for media and promotional use written testimonials from a client, community group or third party involved in the project of process, and/or a peer review or statement made with full knowledge of client or initiating body, and all entities involved in the project GENERAL REQUIREMENTS IMAGES Min. of 3 Max. of 7 images of the project are required on CD for the purposes of presentations and winners book Photos should be clearly labelled. CD is clearly labelled on both the CD and the case and is separate to the electronic copy of the written submission Clearly Labelled Basic requirements for the electronic images: File Type Resolution Preferred JPEG / JPG or GIF Dimensions 300 pixels per inch At least 2,000 pixels (width or height) GENERAL REQUIREMENTS DIGITAL DOCUMENTS A full electronic copy of the submission inclusive of all compulsory materials in pdf format. GENERAL REQUIREMENTS EXHIBITION Winning entries from each category will automatically be submitted to the MIP Planning Excellence Awards 2016 GENERAL REQUIREMENTS LODGING SUBMISSIONS Cheque payable to Malaysian Institute of Planners (MIP) to be submitted together with entry form. All entries including a full electronic copy of the submission are to be posted/delivered to: Malaysian Institute of Planners B-1-02, Jalan SS 7/13B, Plaza Kelana Jaya, 47301 Petaling Jaya, Selangor Darul Ehsan. Tel: 603-7877 0636 / 37 Fax: 603-7877 9636 E: email@example.com Entries must be received by 4.00pm on 30th August 2016 Nominations postmarked or received by hand later than this date will NOT be considered
Challenges in Operationalising Predictive Analytics JAMES OGUNLEYE Middlesex University, United Kingdom ABSTRACT The phenomenon of big data has brought home the importance of predictive analytics as a technology and statistical technique critical to taking the sting out of the big data mayhem. Although predictive analytics has been around for some time, the benefits of predictive analytics have only recently been appreciated due largely to the phenomenon of big data. This new-found appreciation of predictive analytics is coupled with a desire by many corporate organisations not only to inform strategic business decisions with evidence, but also to predict future trends with a high level of confidence. While many organisations are able to use predictive analytics technology with greater success, the outcome for some organisations has been less than successful. This paper argues that predictive analytics can only achieve so much when organisations and their analytics teams consider the main challenges in predictive analytics projects. The paper suggests a number of measures that analytics teams can take to address the challenges of predictive analytics. The paper concludes that although some machine learning algorithms based on artificial intelligence are increasingly being used to address aspects of the challenges of predictive analytics but with ever present danger of lurking variables or unknown factors, there is no sustainable alternative to good data quality assurance. Keywords: Predictive analytics, data quality, limitations, model and modelling, return on investment, legal and ethics Introduction In the recent years, predictive analytics has been transformed by the phenomenon of big data, the innovation that surrounds the use of digital information. These datasets—85% of which are non metric data or unstructured (SAS Institute, 2012) —are huge and complex in volume, velocity, variety, veracity and variability they are significantly beyond the capability of standard data processing and analytic tools, and even threatens traditional computing architectures (Ogunleye, 2014). Predictive analytics can be conceptualised as both an analytical process and technology. OPCC (2012, p.3) conceptualise predictive analytics as a 'general purpose analytical process that enables organisations to identify patterns in data that can be used to make predictions of various outcomes, not all of which have an impact on individuals.' But predictive analytics is more than an analytical process: it combines human skills and capability with technology such as machine learning of patterns in current and historical data and the application of algorithms not only to identify patterns in the data but also to forecast future probabilities of the outcome of those patterns (Ogunleye, 2014). According to Miller (2014, p.2): Predictive analytics, like much of statistics, involves searching for meaningful relationships among variables and representing those relationships in models. There are response variables—things we are trying to predict. There are explanatory variables or predictors—things we observe, manipulate, or control that could relate to the response. It is these generally accepted conceptions of predictive analytics that have given organisations confidence to deploy and, for some organisations, embed predictive analytics in functional and operational decision making (Accenture, 2013) to ensure that decisions are based on hard evidence and to achieve high level of confidence in prediction. In other words, these widely accepted conceptions of predictive analytics have enabled data-driven organisations to take the sting out of the big data mayhem as well as strengthen their ability to 'generate better decisions, greater consistency, and lower costs' (CGI, 2013, p. 2). Predictive analytics technology is therefore critical to sense- and meaningmaking of Big Data, as predictive analytics not only 'makes it possible to harness the power of big data' (Heitmueller, et al. 2014, p.1523) thereby leveraging organisation data assets, but also critical to translating Big Data into 'meaningful, useable business information' (Abbott, 2014). Operationalising predictive analytics Predictive analytics brings together management, information technology and modelling (Miller, 2014), and three elements—environment, models and architecture—are crucial in operationalising it (Taylor, 2012). Take environment, the first element. To ensure that the right issue is addressed or the right problem is solved, there is a need for an enabling environment that encourages team work and collaboration where everyone involved subscribe to a shared goal, agree to the problem that is needed to be solved and, more importantly, take ownership of the project. This is the foundation for a cost-effective, successful application of predictive analytics in any setting. The second element in operationalising predictive analytics is model. The word 'model' in this context refers to the relation of one set of variables to another (Miller, 2014). Modeling is at the heart of predictive analytics project and it is extremely important that an organisation has in place a process for developing predictive analytic models. According to Taylor (2012), the modelling process has to be 'repeatable, industrial-scale' to ensure effective development of 'dozens or even thousands' of required predictive analytic models. The third element is a robust architecture for predictive analytics. The choice of architecture—be it relational or non-relational—is critical to the deployment and management of predictive analytic models in production systems. The choice of architecture will be determined by the architecture drivers and the extent to which the architecture drivers are able to handle large volume of data, process non-metric or unstructured data, reliable and tolerance of fault, provide outcome in real time, are cost–effective and quality, consistency and security-assured, etc. Nonetheless, the deployment and management of predictive analytic models should be a shared/ collaborative effort that should involve a 'collaborative team of data modelers, data architects, scoring officers, and validation testers' (Chu, et al, 2007, p2). These three elements of environment, model and architecture could be seen as both a predictive analytics tripod where each leg is important and a triangle where everything connects. More importantly, ensuring confidence in, and assuring the integrity of predictive analytics should be a continuous and non-stop process as Challenges in operationalising predictive analytics Like some technologies or statistical techniques, predictive analytics has its challenges. However, predictive analytics as conceptualised above can only be limited by errors of omission or commission on the part of businesses, users of predictive analytics and their analytics teams. Since so much depends on human input (figure 2) in making any predictive analytics project successful, the likelihood of human errors cannot be over stated. Thus, a major consideration in the deployment of any predictive analytics project is subject knowledge or the extent to which an organisation is familiar with the concepts of predictive analytics. In other words, before the project is launched or embarked upon, businesses and their analytics team need to have a deeper understanding of the concepts of predictive analytics noting in particular what is involved in operationalising predictive analytics and how people, tools and algorithms are connected, issues in predictive analytics, and the application of predictive analytics to big data (see Ogunleye, 2014). The following paragraphs highlight some of the practical considerations for analytics teams. Quality of data A significant issue in predictive analytics relates to the quality of the data sets. As a statistical technique, data is central to predictive analytics and it is important that organisations their analytics teams have a deeper knowledge of the quality of the available data before investing in predictive analytics technology (see also McCue, 2007). A recent study by Andreescu, et al. (2014, p.15) has underlined the significant of good quality of data in analytics projects. Andreescu, et al found that poor data could 'cause serious consequences for the efficiency of organizations' and that poor attention to 'quality issue could potentially lead to erroneous data mining and analysis results which in turn could lead to severe consequences, financial or otherwise.' To prevent the likelihood of poor data being used in predictive analytics, Ogunleye (2014) points out that it is important that analytics teams secure the integrity of data and super secure in their judgement that the data is free of bias or that bias has been corrected and everything else that goes with operationalising predictive analytics—including (predictive) model development and implementation, monitoring, calibration and re-calibration. This process of assuring and measuring data quality involves data preparation, cleaning and formatting—all of which are essential for data mining, 'the process of discovering interesting patterns and knowledge from large amounts of data' (Han, et al. 2011, p6). Two issues are also worth mentioning. First, lack of historic data as a limitation can be minimised by re-creating the data 'back in time' as Jain (2015) has argued. Second, it is possible to use artificial intelligence based on machine learning algorithms to minimise the impact of data quality on the outcome of predictive analytics – for example, to reduce noise, correct errors and address biases especially when data are mixed and contain thousands of independent variables. The only proviso is that, with the ever present danger of the so-called lurking variables or unknown factors, good algorithms might not be a sustainable alternative to good data quality assurance. Model and modelling Model refers to a 'representation of the world, a rendering or description of reality, an attempt to relate one set of variables to another' (Miller, 2014, p. 2). Modelling, therefore, is a mathematical representation of an entity and very important in any predictive analytics project. According to Dickey (2012): Predictive modelling is a name given to a collection of mathematical techniques having in common the goal of finding a mathematical relationship between a target, response, or "dependent" variable and various predictor or "independent" variables with the goal in mind of measuring future values of those predictors and inserting them into the mathematical relationship to predict future values of the target variable. As modelling is important in predictive analytics, it can also be a major limitation if the modelling process is not well understood. As Taylor (2012) explains, the modelling process has to be 'repeatable, industrial-scale' to ensure effective development of 'dozens or even thousands' of required predictive analytic models—in order to search for 'meaningful relationship among models and representing those relationships in models' (Miller, 2014, p.2). So, whatever the type of predictive model/s is deployed—be it regression or classification—an important issue for consideration is the level of user discretion that is considered acceptable. User discretion, judgement and experience (or lack of them) will have impact on the outcome of predictive analytics. Thus, without an effective model life-cycle management build into the production system or environment, predictive analytics project will not archive desire results (see also Chu, et el., 2007). Similarly, a predictive modelling based on an out-of-date or incorrect data might 'wrongfully skew' analytics results (Viswanathan, 2013) or leads to wrong conclusions (Heger, 2014). In deploying modelling in predictive analytics, there is, sometimes, a lack of a clear understanding of the difference between 'prediction' and 'projection' and how the two terms compare. Although both 'projection' and 'prediction' have the term 'forecast' in their meaning, but an understanding of how the two terms compare is very important. Prediction is about the predicting future trends and projection is about projecting (forecasting) events. Analytics teams might run into trouble when projections are used to predict future trends when the underlying assumptions, implicit and explicit assumptions, of their models are not constant or, at best, susceptible to seasonality trap. In other words, when analytics teams are not clear about how the two terms compare, they might not be able to guarantee the stability in the phenomenon to be predicted (see also Elkan, 2013). Additionally, there is a general tendency to equate correlation with causation. As Viswanathan (2013) argues there is evidence to 'mistake' correlation for causation in predictive analytics especially if the latter is conceptualised as in Miller (2014, p.2), involving 'searching for meaningful relationships among variables and representing those relationships in models'. Coefficient of Correlation highlights the linearity of relationships between variables in the model or data item, but implies little about the nature of those relationships. Thus, in making judgement about how the two terms—correlation and causation—compare in predictive analytics results, the nature of the organisation and the phenomenon to which the statistical technique applies are a significant consideration. As Huang (2013, p. 1) argues: Genetics and molecular biology have historically been blessed with simple cases of unidirectional, linear causality, which have taught us a great deal about gene function, but also stifled the intellectual embrace of mutual causation. .. Thus, unintentionally, equating correlation with causation is warranted in complex, networked systems where positive feedback loops are a characteristic feature and entail mutual causation. Understanding such relationships will help optimize approaches to disrupting the cycle—for instance, by treating certain symptoms. But it will also open the door to the deeper cause: what kicked off the causation cycle in the first place? Return on investment The return of investment (ROI) is an often-overlooked issue in predictive analytics projects. There is evidence that return of investment is as higher as 250% in predictive analytics projects, compare to the 89% return of investment of projects that focused solely on accessing information and seeking internal gains in productivity, according to a survey by the International Data Corporation (Vesset and Harries, 2011). There is also evidence that many organisations deploy predictive analytics projects with little or cognisance of the return on investment and those organisations that did have 'struggled to see a meaningful' ROI (Accenture, 2013). Historically, the return of investment is conceptualised in financial term, used as a critical performance evaluation tool for financial returns and costs. However, in the recent decades, the concept of return of investment has been extended to and applied in a range of contexts including information system especially when organisations are making decisions about acquisitions of intellectual property or software (Botchkarev and Andru, 2011). Operationalising predictive analytics involves a sizeable amount of investments in people, tools and technology. An earlier survey by the IDC (Harries, 2003) found that predictive analytics projects required significant higher levels of investment. Even though the IDC survey took place over a decade ago, the levels of investment required for predictive analytics project remain high (Accenture, 2013). Take human resources, for instance, investment begins well before the initial model-build and the continuous maintenance phases. This investment in human resources is particularly justifiable because of the rate at which models deteriorate over time (Jain, 2015). With regards to the methodological approach to or the process of calculating return of investment, there is no universally agreed formula or method for calculating. A lot depends on the individual organisation and the context in which an organisation deploys predictive analytics. However, it is generally accepted that calculating ROI will compare technology and labour costs with before- business results and after-business results. Additionally, as McCann (2014) explains: ... Many companies run controlled studies where, for example, a new marketing tactic suggested by the analytics is directed at a portion of an audience, with the benefit quantified by comparing it with results for a control group. What is clear from the foregoing is that irrespective of the methodological approach, an organisation should strike a balance between the available resources and the ROI before deploying predictive analytics technology. Legal and ethical There are legal and ethical considerations in the deployment of predictive analytics, especially where a company operates in different jurisdictions or cultures. The way information about customers are kept and mined and the 'extent to which data mining's outcomes are themselves ethical' with respect to individual customers in corporate and non organisations (Johnson, 2014; EDUCAUSEreview, 2013; Kay, et al., 2012) should conform to the highest ethical standards. According to Schwartz (2010, p.3), it is critical that an organisation 'assess whether its decisionmaking with analytics reflects legal, cultural, and social norms about acceptable activities and take steps, when needed to comply with these norms.' (See also Johnson, 2013; OPCC, 2012). Business case for predictive analytics Another consideration for organisations and their analytics teams is a perception that the case for a predictive project has to be about technologies or has to be predicated on information technology infrastructure. Any decision to deploy predictive analytics must reflect the business proposition. This is what Heger (2014, p. 47) says about any organisation considering a big data analytics project, an argument that also applies to any predictive analytics project: Any company considering a Big Data project has to first evaluate the business cases, specify the goals and objectives, and stipulate the outcomes of the proposed Big Data initiatives. After the people and business impact and outcome is clearly understood, the IT capabilities and requirements can be evaluated. Developing a roadmap of how to achieve the desired business outcomes provides the organization with the understanding of what is required from a financial and organizational perspective It is therefore important to understand the business and people aspects of any predictive analytics project. It is important that the case for predictive analytics starts with a business problem/preposition that requires a multidisciplinary team of data scientists, statisticians, data analysts as well as individuals with risk management expertise. It is important that members of the multidisciplinary team come together and agree on how predictive analytics technology can be used to address critical business problems. A central part of the role of the analytics team is therefore to demonstrate how businesses can seamlessly and effectively align predictive analytics with IT decisions (see Boris, 2014). Human factor An often-overlooked issue in predictive analytics is the challenge pose by human factor. The introduction of predictive analytics technology will require attitudinal change and people in the organisation who have used to making decision based on intuition or gut feeling and who considered themselves an essential part of the existing decision making process might feel that their toes are being stepped on. These individuals have an interest to protect—which is to make sure that no machine takes over their jobs! They need to be listened to, won over and assured that the predictive analytics technology is required solely as a decision makingsupporting tool for the organisation. It is therefore important that champions of predictive analytics anticipate the human relations challenges that will arise as a result of the introduction of predictive analytics technology. In other words, these champions should be mindful of concerns by those in the organisations who might have reservations about the project. Conclusion The phenomenon of big data occasioned by the recent explosion in digital data has underlined the significance of predictive analytics as both a technology and statistical technique critical to taking the sting of the big data mayhem. Although predictive analytics has been around for some time and has been used successfully by large companies operating in a small number of industrial sectors, it was only in the recent years that the benefits and potential of predictive analytics have been appreciated. Predictive analytics offers data-driven organisations in particular and users alike tremendous benefits—the main being the ability to base operational and functional decisions on hard facts and the ability to embed analytics across enterprise operations and functions. Thus, predictive analytics is new approach to decision making as the technology enables organisations to make real time predictions with a high degree of confidence. However, predictive analytics has its limitations. The main limitation is quality of data. Out-of-date or incorrect data can skew analytics results or produce wrong or incorrect conclusions. Although, it is possible to use artificial intelligence based on machine learning algorithms to minimise the impact of data quality on the outcome of predictive analytics, but with the ever present danger of lurking variables or unknown factors, good algorithms cannot possibly be a sustainable alternative to good data quality assurance. Correspondence James Ogunleye Middlesex University, UK Email: firstname.lastname@example.org References Abbott, D. (2014) Applied Predictive Analytics: Principles and Techniques for the Professional Data Analyst, New Jersey: John Wiley & Sons. Accenture (2013) Analytics in Action: Breakthroughs and Barriers on the Journey to ROI, online: http://www.accenture.com/sitecollectiondocuments/pdf/accentureanalytics-in-action-survey.pdf; accessed: 28.5.15 Andreescu, I. A., Anda Belciu, A., Alexandra Florea, A. and Diaconita, V. (2014) Measuring Data Quality in Analytical Projects, Database Systems Journal, 5 (1), pp. 15-25. Boris, Z. (2014) 'Application of Predictive Analytics for Better Alignment of Business and IT', International Conference on Knowledge, Innovation and Enterprise, Big Data Summit, 25 July, Riga, Latvia, available at: http://www.kiecon.org/pdf% 20%20Application%20of%20Predictive%20Analytics%20for%20Better% 20Alignment%20of%20Business%20and%20IT.pdf. Cao, C. (2012) Sports data mining technology used in basketball outcome prediction. Masters Dissertation. Dublin Institute of Technology, Ireland. http:// arrow.dit.ie/cgi/viewcontent.cgi?article=1040&context=scschcomdis; accessed: 13 April 2013 Chu, R. , Duling, D. and Thompson, W. (2007) Best Practices for Managing Predictive Models in a Production Environment, SAS Global Forum 2007, Paper 0762007, SAS Institute Inc. Available: http://www2.sas.com/proceedings/ forum2007/076-2007.pdf; accessed: 20 September 2012. CGI (2013) Predictive analytics. The rise and value of predictive analytics in enterprise decision making, White paper, [Online], www.cgi.com; accessed: 20.4.2015 Dickey, A. D. (2012) 'Introduction to Predictive Modeling with Examples', SAS Global Forum 2012: Statistics and data Analysis, Paper 337-2012, SAS Institute Inc. http://support.sas.com/resources/papers/proceedings12/337-2012.pdf; accessed: 16.5.15. EDUCAUSEreview (2013) 'Ethics, Big Data, and Analytics: A Model for Application', online: http://www.educause.edu/ero/article/ethics-big-data-and-analyticsmodel-application; accessed: 10.2.2014. Elkan, C. (2013) 'Predictive analytics and data mining', Online: http:// cseweb.ucsd.edu/~elkan/255/dm.pdf; accessed: 10/3/15. Harries, D. H. (2003) Predictive Analytics and ROI: Lessons from IDC's Financial Impact Study, International Data Corporation (IDC), Online: http:// www.analyticalinsights.com/web_images/IDC PredictiveanalyticsandROI.pdf; accessed: 3.5.15. Vesset, D. and Harries, D. H. (2011) 'The Business Value of Predictive Analytics', White Paper, International Data Corporation (IDC), Online: http:// www.nexdimension.net/resources/products/ibm/spss/ibm-spss-predictive-analyticsbusiness-value-whitepaper.pdf; accessed: 3.5.15. Han, J., Kamber, M., and Pei, J. (2011) Data Mining Concepts and Techniques (Third ed). Elsevier Inc.: p.6 and 8. Heger, D. (2014) Big Data Analytics—'Where to go from Here', International Journal of Develkopments in Big Data and Analytics, 1, 1, pp.42-58. Heitmueller, A., Henderson, S., Warburton, W., Elmagarmid, A. Pentland , A. and Darzi, A. ( 2014) Developing Public Policy To Advance The Use Of Big Data In Health Care, Health Aff (Millwood), 33, 9, pp. 1523-1530. Huang, S. (2013) 'When correlation and causation coincide', BioEssays, 36, 1, pp1 -2, Online: http://onlinelibrary.wiley.com/doi/10.1002/bies.201370003/pdf; accessed: 22.5.15. Jain, P. (2015) 'Predictive Analytics: 4 Key Constraints', Online: http:// www.aryng.com/blog/predictive-analytics-4-key-constraints/; accessed: 15.5.15. Johnson, J. A. (2013) 'Ethics of Data Mining and Predictive Analytics in Higher Education', Association for Institutional Research Annual Forum, Long Beach, California, May 19-22, 2013. Available at http://ssrn.com/abstract=2156058 or http://dx.doi.org/10.2139/ssrn.2156058; accessed: 19 June 2014. Johnson, J. A. (2014) 'The Ethics of Big Data in Higher Education', International Review of Information Ethics, http://www.i-r-i-e.net/inhalt/021/IRIE-021Johnson.pdf; accessed: 10 September 2014. Kay, D., Korn, N. and Oppenheim, C. (2012) Legal, Risk and Ethical Aspects of Analytics in Higher Education, JISC CETIS Analytics Series, Vol.1, No. 6 Online: http://publications.cetis.org.uk/wp-content/uploads/2012/11/Legal-Risk-andEthical-Aspects-of-Analytics-in-Higher-Education-Vol1-No6.pdf; accessed: 26.5.15. McCann, D. (2014) Predictive Analytics: How Clear Is the ROI?, CFO Magazine, Online: http://ww2.cfo.com/technology/2014/07/predictive-analytics-clear-roi/; accessed: 26.5.15. McCue, C. (2007) Data Mining and Predictive Analysis: Intelligence Gathering and Crime Analysis, Butterworth-Heinemann: Oxford, UK. Miller, M. T. (2014) Modeling Techniques in Predictive Analytics: Business Problems and Solutions with R, Pearson Education, Inc Ogunleye, J. (2014) The Concepts of Predictive Analytics, International Journal of Developments in Big Data and Analytics, 1, 1, pp. 86-94. OPCC (2012) The Age of Predictive Analytics: From Patterns to Predictions. Report prepared by the Research Group of the Office of the Privacy Commissioner of Canada, available: https:// www.priv.gc.ca/information/research-recherche/2012/ pa_201208_e.pdf; accessed: 23 July2014. SAS Institute (2012) Big Data Meets Big Data Analytics, White Paper. SAS Institute Inc. Available:http://www.sas.com/content/dam/SAS/en_us/doc/whitepaper1/ big-data-meets-bigdata-analytics-105777.pdf; accessed: 2 January 2014. Schwartz, M. P. (2010) Data Protection Law and the Ethical Use of Analytics, The Centre for Information Policy Leadership LLP [online] http:// www.huntonfiles.com/files/webupload/CIPL_Ethical_Undperinnings_of_ Ana- lytics_Paper.pdf); accessed: 26 January 2014.
General Information Artwork Information To speed the processing of your artwork include: - Company Name - Contact - Email - Phone - Order # - Catalog Item Numbers Ordered - Date PO Submitted 1. When supplied artwork does not meet factory's requirements or clean-up, revisions and changes to artwork are requested, an art charge of $45 will apply. Add one additional day of production time. 2. Artwork must be one color high contrast with no gradients, halftones, screens, or shadows or bold typestyles. All strokes and outlines should be 1 point or greater. Type, characters or lines that are within 1/16'' on finished art will fill in. Very fine and intricate details cannot be clearly reproduced. 3. Artwork should be submitted in CMYK format. PMS matching available on items so noted. 4. Artwork should be submitted as EPS or PDF at 300 dpi or better. 5. Hard Copy for Verification: No matter what the format or transfer method, artwork should always be submitted with either a hard copy for verification or the electronic equivalent. Properly prepared PDF files or JPG files are often suitable as verification. 6. Size of Artwork: Indicate if supplied artwork is 'to size'. If not to size, indicate at what percentage it should be used or what the finished size should be (e.g.. make 1 1/4'' wide). Factory will enlarge or reduce artwork at no charge. When maximum imprint area is requested, or when percentage is not specified, factory will use its best judgment to achieve an attractive imprint and may reduce or enlarge artwork. 7. Layout: If layout is not supplied, factory will use its best judgment. 8. Personalization: Not available. 9. Preferred programs: Adobe Illustrator. Acceptable Programs: Adobe Photoshop, Corel Draw. 10. Preferred Formats: o Vector Artwork Files (EPS): Must be saved in the Postscript Format and contain no Postscript errors. All design elements in the file should be 1 point or greater. Failure to do so may compromise the final imprint quality. If the vector file contains any linked (placed) raster images, these images must meet the minimum requirement for resolution when rendered at 100% actual imprint size and must be submitted with the original vector file. o Acrobat Files (PDF): PDF files created from vector files must retain the editing capabilities of the program that was used to create them (e.g. Illustrator or Freehand). PDF files that contain raster elements must meet the minimum requirements for raster art files as outlined below. PDF files that contain vector elements must meet the minimum requirements for vector art files as indicated above. PDF files created from page layout documents should be submitted together with the source documents, fonts and all supporting files. Acceptable Formats: o Raster Artwork Files (TIFF or JPEG): All raster elements and art files must be sized to 100% or larger than the actual imprint size. All Raster images must meet or exceed 300 dpi (minimum resolution) and must be submitted in the proper color space (CMYK). 11. Font Information: The smallest font size that can be clearly reproduced is 8 pt. in sans serif or 12 pt. in serif fonts. Script fonts must be at least 12 pt. Convert text to paths, curves or outlines (text that becomes an object and can no longer be edited as text.) If this is not possible, send in PC compatible screen and printer fonts used only for the job submitted. . There are a few simple steps that you can take to convert fonts to outlines: In Adobe Illustrator, select the text that needs to be converted, click on Type (in the top toolbar), and then click on Create Outlines. In Adobe Photoshop, select the text that needs to be converted, click on Layer (in the top toolbar), select Type, and then select Convert to Shape. Be sure you've chosen one of our stock fonts (Typestyles). If you desire a font other than one of our standard fonts submit it as vector art. 12. Repeat (foil-stamped ribbon only): Imprint repeats approximately every 3-5 inches. There is approximately 2-2 1/2 inches in between each imprint. Proofs 1. Art Proofs: Proofs are sent only when requested on the purchase order. Proofs will be sent within 48 hours upon receipt of the complete order and usable artwork. Order will remain on HOLD until receipt of the complete order including proof approval. 2. Virtual Proofs: Virtual proofs are sent only when requested on the purchase order. Virtual proofs will be sent within 48 hours upon receipt of the complete order and usable artwork. Order will remain on HOLD until receipt of the complete order including virtual proof approval. 3. Pre-Production Proofs: Pre-production proofs are sent only when requested on the purchase order. Order will remain on HOLD until receipt of the complete order including pre-production proof approval. Pre-production proofs will be billed at purchased quantity price. 4. Greeting Card Proofs: Greeting card proofs are sent on all layouts that are deemed questionable and the order will be placed on HOLD until the greeting card proof is approved. Stock Greeting Cards Maple Ridge Farms Stock Gift Cards: For extra convenience, we are happy to provide a variety of enclosure cards for your gifts. Your message (and logo, if you wish) is printed on the inside of the cards. Please limit your count for messages to 30 words without a logo or 15 words with a logo. 1. Choose the design that you desire and specify on purchase order. Item# is listed under each card. See below. 2. If no card design is designated on order, blank cards will be used with your message printed inside. 3. Cards are printed with black ink and the font is Times New Roman Italic. 4. Same message on all cards: $4.00 per card. 5. If any card does not contain the identical message, the charge is $8.00 per card for all cards. 6. Logos on cards: Black & white logos can be included on the gift card at no charge. The logo will be placed toward the bottom of the card beneath your message. 7. If layout is not specified, factory will use its best judgment. 8. Proofs are sent on all layouts that are deemed questionable and order will be placed on hold until the proof is approved. Enclosure of customer supplied gift card: For your convenience, we can insert your Greeting Cards at no charge if all cards are the same and are provided with the order. 1. Review bullets below each price grid for maximum card size per item. 2. No charge if all cards are the same and are provided with order. 3. If cards must be matched to individual recipients or groups of recipients or if only certain packages get cards, the charge is $2.50 per card. 4. If cards must be enclosed in provided envelopes, the charge is $0.75 per card. 5. Factory will use its best efforts to accommodate cards that exceed gift dimensions; folding and bending of cards may be required. 6. Please include 5 extra cards per order. If enough cards are not provided for your order, Maple Ridge Farms will provide our stock card at $4.00 per card. Addresses Addresses must contain name, street address, apartment or suite number, city, state, and correct zip code. Please verify all addresses for accuracy. UPS and Federal Express will not deliver to PO boxes and will not accept addresses with incorrect zip codes. While we are pleased to guarantee our products, we cannot guarantee or credit products lost, spoiled or returned because of inaccurate or incomplete shipping addresses. UPS and FedEx add a significant delivery area surcharge to more than 20% of our shipments. Individual Drop Shipment For extra convenience, your gifts can be drop shipped individually to each recipient within the United States. These charges are in addition to UPS or FedEx residential charges. The cost for this service is $4.00 per carton plus shipping charges for lists correctly submitted and emailed using Maple Ridge Farms' preformatted spreadsheet. For faxed lists and lists in other formats, the cost is $6.00 per carton.. When supplied list does not match the quantity on the purchase order, factory will adjust order to match the quantity on the shipping list. Correct Format for Electronic Lists Please read carefully before preparing mailing list. 1. Download a preformatted spreadsheet. 2. Only one shipping list accepted per order. 3. All hidden rows/columns must be removed from the spreadsheet for factory to process. Lists that are not formatted correctly will be returned and considered not complete. 4. Lists containing more than one recipient per address location will be considered and prepared as Individual Drop Shipments at $4.00 per recipient plus shipping charges. 5. All addresses must be submitted in a single worksheet, document or file. 6. We will accept MS Excel or MS Word in PC format. 7. Excel files must use the exact field names shown below. The cells must be formatted as text. MS Word files must have the list in a table with the first row containing the field name for the column from the list below. 8. Comma and tab delimited files must have a header row with the field names from below. 9. When supplied list does not match the quantity on the purchase order, factory will adjust order to match the quantity on the shipping list. Below is an example of a list in MS Excel format. Top row indicates maximum field size. \| 29 \| 30 \| 30 \| 30 \| 25 \| 2 \| 10 \| 20 \| 7 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| Name \| Company \| Addres1 \| Address2 \| City \| State \| Zip \| Item \| Qty \| \| John Smith \| ABC Co. \| 2nd Floor \| 123 4th St. \| Milwaukee \| WI \| 54455 \| K102 \| 1 \| \| Sales Dept \| A+ Sales \| 1 Easy St \| \| Beverly Hills \| CA \| 90210 \| GN121 \| 2 \| \| \| XYK Inc. \| Our Bldg. \| 9 Main St \| Memphis \| TN \| 38118 \| K102 \| 1 \| addresses, the 'Item' field must include the Maple Ridge Farms item number. If the quantity per address varies, the 'Quantity' field must include the number of units for that address. Changes To Orders Unfortunately, orders shipping within 48 hours cannot be changed. Changes to orders already in production will result in delayed shipment and may incur additional charges. This includes changes to quantity, ship method, ship date, address(es), item or imprint. Please contact factory prior to submitting change. 1. Changes to orders already in production will result in delayed shipment. The charge for changing an order that is in production is $30 plus the cost of any work that must be redone. This includes changes in quantity, ship method, ship date, address, item or imprint. 2. Request of change to an address(es), please reference purchase order number and provide us with the old shipping address(es) and the new shipping address(es). Please do not submit a new list, as this may delay production time further. 3. Request of change to the ship method or ship date, please reference the distributor purchase order number, along with the requested change. 4. Changes in quantity: 1. For additions to order see Additions To Orders. 2. Reductions to orders already in production must be handled with a gift specialist, please contact factory. 5. Request of change to imprint(s) must be handled with a gift specialist. Please contact factory. 6. Request of change to item(s) must be handled with a gift specialist. Please contact factory. Additions To Orders Additions to orders already at factory are handled in the following manner: 1. A new purchase order is required. 2. If the addition is less than one-half the catalog minimum, the following Less than Minimum Charge applies: o $20 Add-on Charge 3. Standard Production time will apply. 4. Pricing from the original order will be honored with the exception of promotional discount offers that have expired. General To avoid delays and extra charges, please read and follow these instructions carefully. 1. Acknowledgements: Orders are acknowledged upon receipt. 2. Combined Quantity Pricing: Not available. 3. Illustrations: Logos used in the catalog are for illustrative purposes only. They do not imply endorsement, nor are items with those imprints available to anyone other than parties expressly authorized by the owner of such designs. 4. Less Than Minimum Charges: From November 25 through December 17, less than minimum orders cannot be processed. Imprinted orders $50.00; Unimprinted orders $20.00 . Less than minimum charges will apply for any item for which the minimum quantity is not ordered. 5. Perishability: Natural cheeses and smoked meats need to be refrigerated within 24 hours of receipt. Chocolates and nuts should be stored in a cool, dry place. Baked goods should be enjoyed within 2 weeks, or stored in a freezer for up to three months. Instructions for storage are included with each gift. 6. Returns: Requests for returns must be made within 5 days of receipt. Credit will not be issued for returns made without a return authorization number. Restocking charges will apply to all returns. Because of their perishable nature, smoked meats and cheese cannot be returned for credit. 7. Seasonal Availability: From March 1 to November 1, certain items that can normally be shipped by ground may require special packaging or special shipping. Contact factory for details. 8. Substitutions: Factory reserves the right to substitute items of greater or equal value if necessary to ensure on-time shipment. When Canadian shipment is requested for items not available for Canadian shipment, factory will substitute item(s) of equal or greater value. Production & Shipping Information 1. Production Time: 5 working days from complete order (with the exception of items being pad printed, which are 7 working days) for imprinted and unimprinted orders shipping to one location. Complete order means: purchase order, artwork, proof approvals, enclosure cards, and shipping instructions. Individual shipments require 10 working days. 2. Rush Service: Usually available. Extra charge may apply. Contact factory prior to placement of order to obtain ship date. 3. Methods: Standard: Ground. Best: Overnight, 2 Day or 3 Day service available. Orders that request shipping charges to be prepaid and added to the invoice will have the gross freight charges added. A $4.00 per carton charge will apply to all shipments whether they are shipped 'prepay & add', billed to your account number, or to your customer's account number. 4. Addresses: Addresses must contain name, street address, apartment or suite number, city, state, and correct zip code. UPS and Federal Express will not deliver to PO boxes and will not accept addresses without correct zip code. The cost to find and correct zip codes is $5.00 per package. Factory cannot be responsible for lost or delayed packages because of insufficient address. Credit is not provided for packages that are returned because of inadequate or inaccurate address. 5. C.O.D. Shipments: Not available. 6. Export Shipments: Due to custom regulations, foreign shipments are limited to Canada. Meat, Salmon and Cheese cannot be shipped outside the United States. Individual drop shipments to Canada can be accommodated via US Mail at $12.50 per recipient, plus postage. Mail shipments to Canada are not traceable. Bulk or individual drop shipments to Canada can be accommodated via UPS at $30.00 per address plus shipping charges. A UPS third party number is required. Shipping, brokerage, duties and taxes are billed to the number provided. 7. Shipping Weights: Approximate shipping weights are shown in catalog. Dimensional weights used for determining shipment charges are higher for certain gifts. Refer to price grids for dimensional weights. 8. Shipping Dates: Desired ship date must be specified. Allow adequate transit time from Wisconsin factory. Please indicate 'in hand date'. Factory cannot be responsible for delivery date, as transit time is not in its control. If you need assistance in determining ship date, contact factory. Most carriers do not guarantee transit time during December. 9. Split Shipments (multiple ship dates): $12.50 per shipment. 10. Drop Shipment Charge: $4.00 per carton plus shipping charges. 11. Bills of Lading: For shipments via carriers that require a bill of lading or airbills, factory will prepare bills at $6.25 each. 12. FOB: Wisconsin Factory UPS Ground - Time In Transit Map Note: Stock Designs have been reduced for illustrative purposes. Limited Editition Design available on wooden boxes and cutting boards only. Stock Designs - Foil Stamped Ribbon Typestyles Note: Mural Script and Chancery available in upper and lower case only. Extra Services \| Cancellations (plus cost of work already completed) \| 125.00 \| \|---\|---\| \| Corrections to zip code or finding zip code \| 5.00 each \| \| Changes to Orders \| 30.00 \| \| Change of copy \| 37.50 \| \| Drop Shipment (Bulk) \| 4.00 per carton \| \| Individual Drop Shipments directly to recipients \| 4.00 per carton \| \| Changes to Orders \| 30.00 \| \|---\|---\| \| Change of copy \| 37.50 \| \| Drop Shipment (Bulk) \| 4.00 per carton \| \| Individual Drop Shipments directly to recipients \| 4.00 per carton \| \| Enclosure of gift cards (when supplied by customer): \| \| \| All cards the same \| No Charge \| \| Cards to be matched to each recipient \| 2.50 each \| \| Cards to be enclosed in provided envelope \| 0.75 each \| \| Gift cards (provided by Maple Ridge Farms): \| \| \| Same message on all cards \| 4.00 each \| \| Various messages on cards \| 8.00 each \| \| Foreign shipments. Because of the changes in customs procedures, foreign shipments to destinations other than Canada can no longer be accommodated. The charges below are in addition to carrier's shipping and handling charges and are per recipient: \| \| \| US Mail \| 12.50 \| \| UPS \| 30.00 \| \| Other Carriers \| 75.00 \| \| Intercept \| 20.00 per carton \| \| Less than minimum (not available from Nov. 25 - Dec. 17) \| \| \| Imprinted \| 50.00 per item \| \| Unimprinted \| 20.00 per item \| \| Line Drawing Service \| 90.00 each \| \| Oversize imprints (Wooden Collector's Boxes Only) \| 62.50 per order \| \| Preparation of bills of lading or airbills \| 6.25 each \| \| Rebilling charge \| 25.00 \| \| Release charge (per release) \| 12.50 per release \| \| Second position imprint \| 4.00 each \| \| Set-up Charges \| \| \| Set-up Charge \| 50.00 \| \| Exact Reorder Set-up Charge \| 20.00 \| \| Signature Required Service \| 10.00 per carton \| \| Spec samples \| EQP + 20.00 \| \| Special imprint location \| 62.50 \|
: Regular Sunset Astronomical Society The Sunset Gazette Serving the Tri-Cities since 1975 Volume 7, Issue 10 Meeting information Meetings are generally in the theater in the Delta College Planetarium in Bay City. The meetings will usually be on the 2nd Friday of each month at 7:00 PM. Watch the newsletter for changes in dates and times. Membership is not required to participate in meetings and activities. See Page 6 for this month's meeting site. Membership Information Student / Senior: (17 years & younger, 65+ years) 1 year - $15 2 year - $20 (18+ years) 1 year - $20 2 year - $30: Family 1 year - $25 2 year - $40 Membership includes voting privileges, the newsletter and free admission into Delta College Planetarium shows. Treasurer's address for renewals and subscriptions: Tom Smith 3423 Hidden Rd. Bay City, MI 48706-1243 Subscription Information June, 2010 RESPONSE NEEDED FROM YOU, PLEASE! Dear SAS member, For those of you who have attended the monthly meetings in the last year we have seen steady decrease of dollars in our treasury report. The point is we have more expenditures than income. The major expenditure is the monthly newsletter. The cost of one issue including printing, envelope and postage is $1 give or take a few cents. At the last meeting of May 14,2010 a vote was cast and accepted by overwhelming majority that from now on (June 2010 issue) we will send out hardcopies of the newsletter until the current dues paid by the members expire. For those of you who have been receiving e-mail from the club please request to receive the e-mail notification only. Please send your request to Tom Smith (tom258 @att.net) as he holds the master list. We will send out an e-mail notification with either a pdf attached or a reminder to go to the SAS website, www.sunsetastronomicalsociety.com . This is where the latest but also previous newsletters can be accessed. The members who do not opt to receive e-mail notification now will have three options when they renew their dues next time: 1.For those who have e-mail addresses but still want to be mailed a hardcopy to hold in their hands we have decided to charge an additional amount of $10 per year. At this time $10 should roughly cover the cost of the yearly issues. 2.Those who have e-mail addresses but do not longer need a hardcopy will just pay the usual fees for the one or two year membership and will receive a e-mail notification with either a pdf attached or a reminder to go to the SAS website, www.sunsetastronomicalsociety.com . This is where the latest but also previous newsletters can be accessed. 3.We understand that some of more senior members are not familiar with e-mail or do not have e-mail addresses. For those we will still send out hardcopies with no additional costs. Some of our other expenses are to cover the cost like the monthly break supplies at each meeting, the Christmas pot luck costs, maintenance to keep up Dobzilla and the trailer in safe and good working order. Subscription prices available at club rate with the purchase of individual or family membership. We hope you understand the reasons for this step but we think it's for the best of the SAS and should secure a healthy (financial) future of the club! Thank you, "Sky and Telescope" Magazine: 1 year - $33.00 + Membership "Astronomy" Magazine: 1 year - $34.00 + Membership 2 year - $60.00 + Membership Steve VanTol (President), Dale Sisson (1.Vice President), Tim Ross (2.Vice President), Thomas Smith (Treasurer), Martin Grasmann (Secretary) RESPONSE NEEDED FROM YOU, PLEASE! ARE WE ALONE? or "The discovery of one-cell organisms on a distant planet in our solar system or beyond would have an impact as big as the Copernicus revolution" By Martin Grasmann. This is the 20th of an (very) extended summary of a lecture about Astrobiology that Dana Bachmann, SETI Institute/ SOFIA-Ames gave on Wednesday, March 26th 2008 at the CMU. Antimatter rockets The antimatter rocket is probably the most far flung design of the various rockets we have discussed so far but it is still based on somewhat conceivable science. An antimatter rocket does not consist of antimatter (it would not get very far!) but uses antimatter as the source of power in its drive system. The potential advantage of this class of rockets is that by using the reaction between mater and antimatter most of the rest mass would convert to energy which allows this drive system to have a far higher energy density and specific impulse than any of the other class of rockets proposed in the previous newsletter editions. What is antimatter? Antimatter is composed of antiparticles very much in the same way that normal matter is composed of particles. For example ordinary matter is composed of atoms consisting of electrons (negatively charged particles) surrounding a positively charged core made up of protons (source of the positive charge) and neutrons, which as the name suggests do not have a charge. An antimatter atom would be the exact opposite. In place of the electrons we would have positively charged positrons surrounding a negatively charged core consisting of antiprotons and again neutrons. Both the positron and the antiproton would have the same mass as the electron re- spectively the proton. Therefore an antihydrogen atom or any other element could be formed consisting completely of antimatter. As long as it does not come in contact with ordinary matter it would be stable. Of course if one would brings matter and antimatter into direct contact the picture would change dramatically: both opposite charged particles would annihilate each other to create an enormous amount of energy. How much will show you the following example: An antimatter-matter collision will result in photon emission and the entire rest mass is converted to kinetic energy (E = m*c 2 !). The energy per unit mass is ca 10 10 times greater than the chemical energy extracted from the same mass (e.g. explosion of TNT or burning hydrogen and oxygen) and still 1000 times greater than nuclear fission and ca 140 times greater than nuclear fusion! So the reaction of 1 kg of antimatter with 1 kg of matter would form the energy equivalent of 43 megatons of TNT. For example the largest nuclear explosion ever performed by man was the "Tsar bomba" which approximately released 50 megatons of TNT but used hundreds of kgs of fission and fusion material to achieve this. Antimatter is not as rare as you think it is. Despite the fact that we and everything arround us is mostly composed of ordinary matter, there are processes in the universe that do produce antimatter: Antiparticles are created everywhere where high-energy particle collisions take place: High-energy cosmic rays impacting into Earth's atmosphere produce very small quantities of antiparticles in the resulting particle jets which are immediately annihilated by contact with nearby matter. Relativistic jets produced by the accretion disks formed when matter collects around high gravity objects like black holes or neutron stars also produce antimatter when they interact with the interstellar medium. For example when a positron annihilates with an electron the results are gamma rays which have the characteristic energy of 511 keV, which tells the astronomer that a electron-positron annihilation took place. If a antiproton annihilates with a proton it produces charged and uncharged mesons in addition to gamma rays. So how would an antimatter rocket work? In a nutshell: take some antimatter and react it with matter in controlled manner and use the energy to drive the ship forward. Sounds easy, but nothing is easy when antimatter is involved! Antimatter used as direct reaction products also called Beamed Core Engine: Both antiproton and positron annihilation has been proposed for rocketry: In the case of the antiprotons the annihilation products would be charged and uncharged mesons and gamma rays. Only the charged mesons could be channeled by a magnetic nozzle therefore the design would not be perfectly efficient because energy is lost as gamma rays and non-charged mesons cannot be directed and used as thrust. A recent much more efficient space propulsion system has been proposed by the antimatter work group at Penn State University. It would need only a tiny fraction of the antimatter consumed by a beamed core engine. The process is called antiproton-catalyzed microfission (ACMF) and would work like this: In a conventional nuclear fission reactor only heat can be transferred from the uranium core to the surrounding propellant. But the ACMF design permits all energy from fission reactions to be used for propulsion. This results in a more efficient engine that could be used for interplanetary manned missions. Positron annihilation: At the time of its proposal it was assumed that a material to deflect gamma rays would be found sometime in the future, but so far no solid material has been found which has these properties and a plasma is not sufficiently reflective to gamma rays under practically attainable conditions. However, the momentum of gamma rays can indeed be partially transferred to matter by Compton scattering: This is a type of scattering that X-rays and gamma rays undergo in matter. When photons in-elastically scatter in matter their energy is reduced because part of this energy is transferred to a scattering electron, which then recoils and is ejected from its atom. The rest of the energy is taken by the scattered X-rays or gamma rays. Antimatter used as heating a secondary exhaust fluid: This kind of technology very much resembles proposed designs for thermal nuclear rockets. One design is to use positron annihilation gamma rays to heat a solid engine core through which then a gas (e.g. helium, hydrogen etc) is ducted, heated, accelerated and finally expelled through the exhaust nozzle. Another proposal sees the use of an ablative sail onto which the annihilation gamma rays are directed. The ablative material is heated in the process, evaporated and provides the thrust. Antimatter used to generate electricity: Previously we talked about electric drives like ion or plasma drives. Here a material (argon, xenon) is accelerated by electric or magnetic fields. These drives provide a high specific impulse but very little thrust. The energy is normally generated from solar panels or via a thermoelectric nuclear battery. The idea is to use antimatter annihilations to directly or indirectly heat a working fluid, and use it to generate electricity, which is then used to power a plasma or ion drive. Apart from the mentioned problems to transfer the enormous energies released during the annihilation reaction into actual momentum to drive the ship forward there are other problems: The creation of such large amounts of antimatter and the storage of the material in a save manner. To create antimatter one needs at least the same amount of energy as will be created in the particle/antiparticle pairs. Our current methods of creating antimatter are so inefficient that we would use orders of magnitude more energy! The most efficient method to date is the use of high energy lasers: In 2008 the Lawrence Livermore National Laboratory reported a process where a laser drives ionized electrons through gold nuclei which caused the incoming electrons to emit energy quanta, that decayed into both matter and antimatter. Positrons were detected at a higher rate and in greater density than ever previously detected in a laboratory. To put a price tag on this: The estimated cost $62.5 trillion per gram for anti-hydrogen! Once produced the antimatter has to be stored. Most schemes propose the use of a Penning Trap – a supercold, evacuated electromagnetic bottle in which charged particles of antimatter can be suspended. This trap works best for antiprotons. Current traps can hold ca 10 million antiprotons for a week. But traps with a capacity 100 times greater are in work. At the same time, FermiLab is installing new equipment that will boost its production of antimatter by a factor of 10-100. Of course this is still afar cry from having enough material to even send even the tiniest probe to the moon…. The next parts will see the continuation of concepts for interstellar travel. You will hear more about some outrageous interstellar rockets and possible the start of a new series. Interested? Then watch this space! The next parts of this gripping story of 'Are We Alone?' will follow in the next issues of the Sunset Gaze tte! SUNSET ASTRONOMICAL SOCIETY THE SUNSET GAZETTE SERVING THE TRI- CITIES SINCE 1975 Martin Grasmann Secretary - SAS 6108 Summerset Drive Midland, MI 48640 New (Old) Elected Officers for the SAS: President, Steve VanTol firstname.lastname@example.org 1. Vice President, Dale Sisson email@example.com firstname.lastname@example.org 2. Vice President, Tim Ross Treasurer, Thomas Smith email@example.com Secretary, Newsletter Editor, Martin Grasmann firstname.lastname@example.org This issue can be accessed in color on the website of the SAS!!! http://sunsetastronomicalsociety.com SAS Meeting 7 PM, June 4 th , 2010 Delta Planetarium What's up in the Sky Maybe visible 1/2 hour before sunrise ca 6 deg to Mercury's left. 1. Welcome, new members 4. "Another Earth " 3. Break 4. Club Stuff June 1: Pre-Dawn: If you watch the Lagoon Nebula = Messier 8 you have the chance of seeing Ceres (recently promoted to dwarf planet) passing through its southern part. High powered binoculars or better telescopes recommended! June 2: Evening: Mars less than 2 deg right of Regulus. June 4: Last quarter Moon June 6: Dawn: Jupiter and Uranus ca 6 to 7 deg lower right of the Moon. June 8: Dawn: Opportunity to see Uranus and Jupiter in your eyepiece: Uranus at 5.9 mag is only 26' above and slightly left of Jupiter. For 1st half of June the plants are within 1 deg of each other. June 10: Dawn: Mercury visible in binoculars in the east 1/2 hour before sunrise. June 11: Dawn: Thin crescent June 11: Evening: Venus, Castor and Pollux form straight line ca 10 deg long. June 12: New Moon June 6: Evening: Mars + Regulus form tilted triangle with the Moon. June 19, 20: Evening: Venus less than 1 deg from Beehive cluster. UPCOMING EVENTS Friday & Saturday June 11-12: Dobzilla (25" Dob) at River Valley RV Park for public observing weather permitting. Everybody is invited! Contact Pat Ray or Kevin Dehne for information. email@example.com Friday, July 16: On the Hill at Sue's Saturday July?: Bay County Fairgrounds / Relay for Life October 7 - 10: Great Lake Star Gaze 8 at River Valley RV Park
Pain 120 (2006) 124–130 www.elsevier.com/locate/pain Increased taste intensity perception exhibited by patients with chronic back pain Dana M. Small a,b,c , A. Vania Apkarian d,e,f, * a The John B Pierce Laboratory, Yale University, New Haven, CT, USA b Department of Surgery, Yale University, New Haven, CT, USA c Department of Physiology, Northwestern University Feinberg School of Medicine, Chicago, IL, USA Department of Psychology, Yale University, New Haven, CT, USA e Anesthesia, Northwestern University Feinberg School of Medicine, Chicago, IL, USA f Neuroscience Institute, Northwestern University Feinberg School of Medicine, Chicago, IL, USA Received 23 April 2005; received in revised form 15 September 2005; accepted 24 October 2005 Abstract There is overlap between brain regions involved in taste and pain perception, and cortical injuries may lead to increases as well as decreases in sensitivity to taste. Recently it was shown that chronic back pain (CBP) is associated with a speciﬁc pattern of brain atrophy. Since CBP is characterized by increased sensitivity to pain, we reasoned that the sense of taste might also be enhanced in CBP. Detection and recognition thresholds were established for a sour taste and ratings of both suprathreshold taste intensity and pleasantness–unpleasantness perception were collected for sweet, sour, salty and bitter stimuli in 11 CBP patients and 11 matched control subjects. As a control, ratings were also collected for visual assessment of degree of grayness. There was no difference between CBP and control subjects for visual grayness rating. On the other hand, CBP patients in comparison to control subjects rated gustatory stimuli as signiﬁcantly more intense but no more or less pleasant and showed a trend towards a lower detection threshold (i.e. increased sensitivity). The selectivity of the taste disturbance suggests interaction between pain and taste at speciﬁc brain sites and provides further evidence that CBP involves speciﬁc brain abnormalities. q 2005 International Association for the Study of Pain. Published by Elsevier B.V. All rights reserved. Keywords: Gustation; Chronic pain; Insula; Thresholds; Sensitivity 1. Introduction Studies examining brain responses to taste have reported activation of the entire extent of the insula and overlying frontal, parietal and temporal operculum, the anterior cingulate cortex, amygdala and orbitofrontal cortex, e.g. (Faurion et al., 1999; Kinomura et al., 1994; O'Doherty et al., 2001; Small et al., 1999, 2003). Many of these same Abbreviations: CBP, chronic back pain; DTh, detection threshold; LMS, labeled magnitude scale; PROP, 6-n-propylthiouracil; RTh, recognition threshold. * Corresponding author. Address: Department of Physiology, Northwestern University Feinberg School of Medicine, Chicago, IL 60611, USA. Tel.: C1 312 5030404; fax: C1 312 5035101. E-mail address: firstname.lastname@example.org (A.V. Apkarian). regions are activated in response to pain, see reviews (Apkarian et al., 2005; Derbyshire, 1999; Peyron et al., 2000; Price, 2000; Treede et al., 2000), suggesting that taste and pain share overlapping neural substrates. Yet the interaction between pain and taste has remained essentially unexplored, although see (Formaker and Frank, 2000). Gustation and chronic back pain (CBP) also appear to have overlapping neural circuits. Baliki and colleagues used fMRI to identify brain activity related to spontaneous ﬂuctuations of ongoing CBP (Baliki et al. Society for Neuroscience Abstract 2003, manuscript in preparation). They found that activity in the anterior insula increased in phase with spontaneous pain and could explain O80% of the variance of duration of CBP. The anterior insula receives gustatory information from the taste thalamus (Pritchard d et al., 1986) and is considered a core gustatory region, which is sensitive to stimulus intensity in primates (Scott and Plata-Salaman, 1999) and humans (Small et al., 1999, 2003). Interestingly, lesions to the insula, as well as other parts of the gustatory system, may lead to increases as well as decreases in taste sensitivity (Mak et al., 2005; Pritchard et al., 1999). For example, Mak and colleagues (Mak et al., 2005) describe increased taste and smell sensitivity in a patient with a unilateral insular lesion. Similarly, patients with unilateral resection from the anteromedial lobe, including the amygdala, have been shown to lead to elevated ratings of taste intensity (Small et al., 2001a,b). In rodents, increased taste reactivity, a measure of perceived stimulus intensity and saliency, has also been observed following removal of the thalamus (Grill and Norgren, 1978) or amygdala (Touzani et al., 1997). Thus, increases in taste intensity perception are common following central lesions. A recent study in humans demonstrated that CBP is associated with brain volume and regional density decreases in the thalamus and prefrontal cortex (Apkarian et al., 2004b). Given that CBP is by deﬁnition associated with increased sensitivity to pain and that increased taste intensity responses have been observed following lesions to regions that appear dysfunctional in CBP, we reasoned patients with CBP, who have ongoing spontaneous pain, would also exhibit increased taste intensity perception without manifesting changes in visual intensity ratings because of a lack of overlap between brain representation for pain and vision. We further reasoned that if heightened sensitivity could be demonstrated at the threshold level, then any change in sensory perception likely reﬂects enhanced sensation as opposed to a bias to select higher ratings. 2. Materials and methods 2.1. Subjects Subjects were 11 patients with CBP and 11 age, gender, and education matched control volunteers. Candidates were screened by telephone interview for history of back pain, handedness, and self-reported history of medical, neurologic and psychiatric illness (see Table 1). Patients fulﬁlled the International Association for the Study of Pain (IASP) criteria for CBP (Merskey and Bogduk, 1994) and were diagnosed in accordance to recent guidelines (Deyo and Weinstein, 2001). Diagnosis was performed by experienced clinicians based on history, general physical exam, and detailed neurological exam, especially sensory, motor, reﬂex and gait examinations. Brieﬂy, all CBP patients had unrelenting pain for more than one year, primarily localized to the lumbosacral region, including buttocks and thighs, with or without pain radiating to the leg. Some CBP patients also indicated presence of pain outside this region, for example upper back. If so, they were considered CBP only if the main source of pain was lumbosacral. We did not distinguish as to the source of CBP, which may be due to various etiologies, like fracture, inﬂammatory joint disease, post-surgical, combinations of these, or idiopathic (Deyo and Weinstein, 2001). The clinical data indicated that one of 11 patients had primarily musculoskeletal diagnoses, ﬁve had pure radiculopathy, and ﬁve had a mixture of musculoskeletal and radiculopathic pain. Patients with CBP were not included in the study if they had high levels of anxiety or depression (O40 on the Beck's Anxiety or Depression Indices; (Beck and Steer, 1993a,b) or if they used large amounts of medications (O3 categories of analgesics; details regarding use of medications were not documented and we did not interfere with patients' medication use). Healthy age- and gender-matched control subjects were recruited via advertisement, phone solicitation and acquaintance. Anxiety (Beck's Anxiety Index, (Beck and Steer, 1993b), depression (Beck's Depression Index, (Beck and Steer, 1993a), and properties of pain (Short-form of McGill Pain Questionnaire, (Melzack, 1987) were documented with questionnaires. Anxiety, depression and pain ratings (Table 1) were in the reported range for back pain patients (Apkarian et al., 2004a; Grachev et al., 2001, 2002), and anxiety and depression were statistically not different between patients and normal subjects (t-test, PO0.05). There is signiﬁcant individual variation in sensitivity to taste in the normal population that is related to the number of taste receptors on the tongue and perceived intensity to the substance 6n propylthiouracil (PROP) (Bartoshuk, 2000; Lucchina et al., 1998). Subjects were therefore, matched for their ability to taste PROP to insure that our CBP and control groups were matched for overall sensitivity of the peripheral gustatory mechanisms. Age and PROP intensity rating were compared across the groups using an ANOVA. There were no group differences in either age (F1,20 Z 0.003; P Z 0.95), or PROP intensity ratings (F1,20 Z 0.26; P Z 0.87) (Table 1). 2.1.1. Taste solutions For threshold estimation, UPS grade citric acid was mixed with double-distilled deionized water to make solutions ranging in concentration from 1.0!10 K 2 to 1.0!10 K 7 M. Citric acid was chosen for two reasons: (1) to reduce individual differences in detection attributable to diet (i.e. people who use more salt are less sensitive to salt), and (2) we have previously successfully used citric acid (Small et al., 1997a). For suprathreshold whole mouth Table 1 Demographic information Mean and range [ ] or standard error of the mean (G) are shown. Education is number of years of schooling, starting from ﬁrst grade. Depression and anxiety use Beck's Anxiety and Depression Indices (Beck and Steer, 1993a,b). Pain is derived from short-form of McGill Pain Questionnaire (Melzack, 1987). stimulation, solutions were the same as those used in our previous studies sweet Z 1.0 M sucrose, salty Z 1.0 M NaCl, bitter Z 0.001 M quinine hydrochloride and sour Z 0.032 M citric acid (Small et al., 2001b). The solutions were made with UPS grade chemicals mixed with double-distilled deionized water. Q-tips were used to apply the solutions onto the tongue to achieve discrete locus stimulation according to the procedure outlined by Prutkin and colleagues (Prutkin et al., 2000). For whole mouth stimulation, solutions were presented as 5 ml in a 10 ml disposable plastic cup. A 150 ml glass tumbler was available for rinsing between trials. 2.1.2. General-labeled magnitude scale (g-LMS) Taste intensity perception was assessed via ratings made on the g-LMS, a semantic scale of perceptual intensity characterized by quasi-logarithmic spacing of its verbal labels (Green et al., 1996). A laminated photocopy of the g-LMS was placed in front of the subjects so that they could make their rating by crossing the scale with a mark made with a water-soluble marker. The LMS has been shown to yield ratio-level data comparable with those produced by magnitude estimation (Green et al., 1996). A transparency was made of the LMS with a ruler that divides the scale into 100 units. This numerical scale was superimposed on the laminated scale after each trial to ascertain the numerical value associated with the point marked by the subjects. 2.1.3. Affective scale Ratings of stimulus pleasantness and unpleasantness was made using a 21-point scale with 0 Z neutral, C10 Z extremely pleasant, and K10 as extremely unpleasant. 2.1.4. 6-n-Propylthiouracil (PROP) papers PROP papers were made according to the procedure outlined by Bartoshuk and colleagues (Bartoshuk et al., 1994). Five grams of PROP was added to 500 ml of boiling tap water to make a saturated solution. Circles (3 cm in diameter) were cut from Whatman 1 ﬁlter paper and dipped into the solution until they were completely soaked. The papers were then allowed to dry and stored for use. 2.1.5. Varying saturation of gray visual stimuli The shade cards were made from a computer-generated logarithmically valid progression of shading from white to black. This line of shade was divided into 12 sections. Every second section was mounted onto cardboard and subsequently laminated. A white card was the visual analogue of the water stimulus and a black card was the visual analogue of the most concentrated solution. Subjects rated the grayness on a modiﬁed g-LMS. 2.1.6. Procedure Detection thresholds A modiﬁed staircase method was used to establish detection thresholds (Doty et al., 1994) as previously described in (Small et al., 1997b). On each trial, two cups containing liquid were presented. One contained water plus citric acid and the other just water. Subjects sipped both cups, fully swishing each in the mouth before expectorating, and then indicated which cup contained a taste other than water. Subjects were asked to make the judgment after tasting both solutions. If the response was incorrect, on the next trial a higher concentration of the citric acid solution was presented. If the response was correct, the same concentration was presented a second time. If the subject responded correctly a second time, the concentration of citric acid was lowered for the next trial. A change in direction from increasing concentrations to lowering them, or vice versa, constituted a reversal. Eight reversals were obtained to complete the test. Concentrations for the last four reversal points were averaged to determine the detection thresholds. Subjects were told that if at any time they knew what taste they were sipping, they should inform the experimenter; however, no feedback was given until the end of testing. Once the detection threshold was determined, subjects were asked whether they could identify the taste they had been sipping. If they did, or if they had correctly identiﬁed the taste during the detection threshold testing, the concentration at which they informed the experimenter of the taste quality was taken as their recognition threshold. All other subjects were given cups of increasing concentration until they could recognize the taste. The highest concentration given during the detection threshold examination was used as the starting point. Various responses were considered correct as long as they resembled a sour drink (i.e. 'sour,' 'grapefruit,' 'lemon'). The concentration at which each subject gave a correct response was taken as the recognition threshold. Assessment of suprathreshold taste intensity and pleasantness: suprathreshold taste intensity and pleasantness perception were evaluated after thresholds were established. Subjects were presented twice with the four tastes as 5 ml solutions in 30 ml plastic cups. Order of stimulus presentation was counterbalanced across subjects, with the exception that the bitter solution was always presented last and therefore rated twice in a row. Subjects were told that there would be four different tastes and that they would be presented twice in no particular order, except that the bitter taste would be presented last. Subjects were asked to sip the entire solution, hold it in their mouths for several seconds, and then expectorate. Intensity ratings were made using the g-LMS and pleasantness ratings were made with the affective scale immediately following expectoration. Subjects then rinsed twice before tasting the next solution. Ratings of the visual stimuli: following taste testing, subjects were instructed to use a modiﬁed g-LMS to rate the saturation of each of the six visual stimuli. They were told that white Z 0 and the blackest black they could imagine represented 100. Order of presentation was randomized and each card was shown twice. Subjects were told that there were six cards and that each would be presented twice in no particular order. The average rating was used for statistical analysis. Determining PROP-taster status: ﬁnally, subjects were presented with the PROP ﬁlter paper and told that it contained a taste. Subjects then placed the whole piece into their mouths and let it moisten with saliva. When the perceived taste was at its maximum (after about 5–10 s), subjects rated the intensity using the g-LMS. 3. Results 3.1. Gustatory thresholds Two ANCOVAs were performed with PROP ratings as a covariate, one for detection thresholds and one for recognition thresholds. There was a trend towards a main effect of group for detection thresholds (F1,19 Z 2.1; P Z 0.08), with CBP patients displaying lower thresholds than controls (mean CBP Z 0.00005 and control Z 0.00012) (Fig. 1). In other words, as predicted, the CBP patients tended to be more sensitive to taste at threshold level. A similar analysis for the recognition thresholds did not reveal group differences (F1,19 Z 0.003; P Z 0.95). 3.2. Suprathreshold intensity and pleasantness estimation of taste Intensity ratings on the g-LMS and pleasantness ratings on the affective scale were analyzed separately with repeated measures ANCOVA using PROP rating as a covariate of no interest. As predicted, the CBP patients rated the taste stimuli as signiﬁcantly more intense than the control subjects (main effect of group F1,20 Z 4.6; P Z 0.02) (Fig. 2). There was also a main effect of taste (F1,20 Z 8.3; P Z 0.0001), produced by signiﬁcantly higher ratings for bitter and salty solutions compared to the sweet solution (P Z 0.003 and 0.02, respectively) and sour solution (P Z 0.001 and P Z 0.03) (mean rating for bitter Z 32.3, salty Z 28.9, sweet Z 24.3, and sour Z 24.2). There was no taste by group interaction (F1,20 Z 0.46; P Z 0.51). Planned comparisons, corrected for multiple comparisons, revealed that the lack of interaction reﬂected the fact that the CBP group rated the sweet, sour, and salty tastes as signiﬁcantly more intense than the control group (sweet P Z 0.03, salty P Z 0.04, sour P Z 0.01 and see Fig. 2). A similar relationship was observed for bitter, though it was only a trend (P Z 0.12). The lack of interaction indicates that the smaller group difference in bitter ratings does not reﬂect differential group intensity ratings of this stimulus compared to the three other tastes. In contrast to the signiﬁcant group differences in intensity, no group differences were observed for pleasantness ratings (F1,20 Z 1.3; P Z 0.27). Nor did we observe a group by taste interaction (F1,20 Z 0.38; P Z 0.77). There was, however, a main effect of taste (F1,20 Z 23.9; P! 0.001). Examination of planned pairwise comparisons showed that sweet was signiﬁcantly more pleasant Strongest Imaginable compared to all other tastes (largest P!0.001) and bitter signiﬁcantly more unpleasant compared to all other tastes (largest P!0.005) (Fig. 3). 3.3. Visual stimuli An independent sample t-test was performed on the slopes of the saturation ratings of the gray shade cards that were made on the modiﬁed g-LMS. The groups did not differ signiﬁcantly (t1,20 Z 0.78; P Z 0.45) (Fig. 4). 4. Discussion Here we show that compared to a matched control group, patients with CBP rate moderately intense gustatory stimuli as signiﬁcantly more intense. Three complimentary ﬁndings suggest that this reﬂects an increase in gustatory sensitivity rather than differences in hedonic processing of taste, rating scale use, or a general tendency to react more strongly to sensory stimuli. First, the gustatory stimuli were rated as more intense but no more or less pleasant. Second, no differences were observed in the intensity ratings of the visual stimuli. Third, the CBP patients tended to have lower detection thresholds. This measure does not require a use of a rating scale and employs non-detectable or barely detectable stimuli. Hence, the only way to consistently make correct responses is to detect the taste. Therefore, while it is possible to respond purposefully to achieve a higher detection threshold, it is not possible to manipulate responses to achieve a lower threshold. Thus, even though this ﬁnding is only a trend it suggests that subjects did not knowingly manipulate responses. The dissociation observed between the gustatory and visual modalities is in accordance with our hypothesis that the impairment of CBP patients (living with heightened pain for many years) generalizes to increased sensitivity to taste, which is co-localized with pain in the central nervous system. We show differences in taste between CBP patients and normal subjects after correcting for PROP responses. There is extensive literature showing that PROP sensitivity is related to lingual tactile acuity, and to density and diameter of fungiform papillae (Bartoshuk, 2000; Delwiche et al., 2001; Essick et al., 2003; Lucchina et al., 1998), but not related to bitter intensity of quinine (Delwiche et al., 2001), and not related to fat, saltiness, and sweetness perceptions (Yackinous and Guinard, 2001). Therefore, we can assert that the observed differences between CBP and controls are not due to differences in taste bud properties but rather to more central effects. The selectivity of the presence of CBP on taste, after matching for PROP, suggests speciﬁc interactions between the two brain networks: in primates, gustatory information is carried to the rostral division of the nucleus of the solitary tract. From here, second order ﬁbers project to the parvocellular portion of the ventral posterior medial nucleus of the thalamus ( Beckstead et al., 1980 ), and most densely to the dorsal half of the anterior insula and adjacent operculum ( Pritchard et al., 1986 ). A secondary projection exists in a region extending from areas 3a, 3b, 1, and 2 along the lateral margin of the precentral gyrus. Both regions are activated by peripheral stimulation of the gustatory nerves ( Ogawa et al., 1984 ). Functional neuroimaging studies indicate that these same regions also respond to taste in the human brain, see ( Faurion et al., 1999; Kinomura et al., 1994; O'Doherty et al., 2001; Small et al., 1999, 2003 ). Neurons that respond unimodally to taste stimulation have also been identiﬁed in the orbitofrontal cortex of the macaque ( Kadohisa et al., 2005 ) and human brain ( Small et al., 1999 ). Although not formally considered part of the gustatory system, the amygdala is highly interconnected with the classical cortical gustatory areas of the brain ( Carmichael and Price, 1996; Mesulam and Mufson, 1982 ) and consistently responds to stimulation with taste ( Frey and Petrides, 1999; O'Doherty et al., 2001; Small et al., 2003; Zald et al., 2002 ). The orbitofrontal taste region cortex appears to be relatively more sensitive to the pleasantness or unpleasantness of taste stimuli ( Small et al., 2003; Zald et al., 2002 ). All of the cortical regions involved in gustatory perception either receive or respond to nociceptive stimuli. In the thalamus the gustatory region is just adjacent to nociceptive regions, and electrical stimulation within this region evokes both pain and taste sensations in humans (Lenz et al., 1997). The exact relationship between gustatory and pain neurons in area 3a, 3b, 1 and 2 remains unknown, and electrical stimulation in and around the operculum rarely results in perception of taste (Van Buren, 1983). Here we highlight three brain regions, which appear critical to CBP and also to gustatory processing: (1) the anterior insula and (2) the medial prefrontal cortex (main brain regions activated during spontaneous ﬂuctuations of pain of CBP, Baliki et al. Society for Neuroscience Abstract 2003) and (3) the thalamus (displays atrophy in CBP (Apkarian et al., 2004b). The fact that the affective component of taste remains unchanged in CBP suggests that CBP pain and gustatory perception are represented separately within the medial prefrontal cortex. The insular cortex is the most frequently activated region of the brain in response to painful stimuli in human brain imaging studies (Apkarian et al., 2005; Derbyshire, 1999; Peyron et al., 2000), and electrical stimulation in posterior or mid-insula results in somatotopically-organized reports of pain (Ostrowsky et al., 2002). Activity in the anterior portion of insula increases with the number of years patients experience CBP. This is the same region that responds to taste. These ﬁndings suggest that the heightened sensitivity to taste observed in CBP may be related to hyperactivity of this region. It is possible that thalamic atrophy associated with CBP also leads to disinhibition in the gustatory areas. This may operate either through indirect inﬂuences of the thalamus upon the amygdala, or through direct interactions within the thalamus, or through insular projections. Future human functional and morphometric brain imaging studies will be important in differentiating between these hypotheses and in determining the types of modulation chronic pain imposes on taste perception. It is known that resection from the anterior medial temporal lobe including the amygdala in humans leads to increased taste intensity perception (Small et al., 2001a,b). The proposed explanation for this increase is that removal of amygdala modulation of taste regions leads to a release from inhibition. The site for this interaction is unknown. Pain perception has not been evaluated in this patient population, but the current results lead to the prediction that pain perception should also be increased. Additionally, since olfactory inputs are also colocalized with taste in the insula (de Araujo et al., 2003; Scott and Plata-Salaman, 1999; Small et al., 2004) the present results predict that olfactory perception may also be heightened in CBP. We attempted to match the patients and normal subjects with as many parameters as possible. Still, we cannot assert that there are no confounding factors that may inﬂuence the outcomes. At least life style and drug use are different between the groups. Extent of social interaction, mobility, and even food preferences may differ between the groups, and we have not documented these differences. Moreover, CBP patients certainly consume more drugs than normal subjects. We have not documented drug use in this speciﬁc CBP patient group. However, they are from a pool of CBP patients in which we have, in the past, quantiﬁed drug use (Apkarian et al., 2004b), where we observed that reliable information can be obtained in only about 50% of CBP patients, and in those cases, the main drugs consumed are NSAIDS, COX-2 inhibitors, and occasional consumption of opiates. This proﬁle is very similar to a recent report of drug use in CBP (Vogt et al., 2005). Abnormal taste perception has been reported with different analgesics (Carr et al., 2004; Lucker et al., 1994), although there are no systematic studies on the subject, and reported effects are disruptions in taste. Generally, there is no evidence for antipyretics affecting taste, and even long term use of high or low doses of opiates seem to have minimal lasting effects on taste (Bogucka-Bonikowska et al., 2002; Stromberg et al., 1997). Therefore, even though we cannot rule out lifestyle and drug use confounds, their contribution is unlikely to be important especially since we observe increased sensitivity to taste in CBP. In summary, the observed results provide a new approach with which the brain speciﬁcity of different chronic pain conditions may be dissected: if different chronic pain conditions impact the same brain circuitry then our results should generalize to other chronic pains, on the other hand if this abnormality is unique to back pain then it would imply the speciﬁc brain circuitry involved in back pain. Acknowledgements We would like to thank Seamus Bhatt-Mackin for help in data collection, and Y. Erica Mak and Katharine Simmons for help in the preparation of taste solutions and thoughtful criticism of this text. Funding was provided from grant NS35115 awarded to A.V.A. by NIH-NINDS. References Apkarian AV, Sosa Y, Krauss BR, Thomas PS, Fredrickson BE, Levy RE, Harden R, Chialvo DR. Chronic pain patients are impaired on an emotional decision-making task. Pain 2004a;108:129–36. Apkarian AV, Sosa Y, Sonty S, Levy RE, Harden R, Parrish T, Gitelman D. Chronic back pain is associated with decreased prefrontal and thalamic gray matter density. J Neurosci 2004b;24:10410–5. Apkarian AV, Bushnell MC, Treede RD, Zubieta JK. Human brain mechanisms of pain perception and regulation in health and disease. Eur J Pain 2005;9:463–84. Bartoshuk LM. Psychophysical advances aid the study of genetic variation in taste. Appetite 2000;34:105. Bartoshuk LM, Duffy VB, Miller IJ. PTC/PROP tasting: anatomy, psychophysics, and sex effects. Physiol Behav 1994;56:1165–71. Beck A, Steer R. Beck depression inventory. San Antonio, TX: Psychological Corporation; 1993. Beck A, Steer R. Manual for the beck anxiety inventory. San Antonio, TX: Psychological Corporation; 1993. Beckstead RM, Morse JR, Norgren R. The nucleus of the solitary tract in the monkey: projections to the thalamus and brain stem nuclei. J Comp Neurol 1980;190:259–82. Bogucka-Bonikowska A, Baran-Furga H, Chmielewska K, Habrat B, Scinska A, Kukwa A, Koros E, Kostowski W, Polanowska E, Bienkowski P. Taste function in methadone-maintained opioiddependent men. Drug Alcohol Depend 2002;68:113–7. Carmichael ST, Price JL. Connectional networks within the orbital and medial prefrontal cortex of macaque monkeys. J Comp Neurol 1996; 371:179–207. Carr DB, Goudas LC, Denman WT, Brookoff D, Staats PS, Brennen L, Green G, Albin R, Hamilton D, Rogers MC, Firestone L, Lavin PT, Mermelstein F. Safety and efﬁcacy of intranasal ketamine for the treatment of breakthrough pain in patients with chronic pain: a randomized, double-blind, placebo-controlled, crossover study. Pain 2004;108:17–27. de Araujo IE, Rolls ET, Kringelbach ML, McGlone F, Phillips N. Tasteolfactory convergence, and the representation of the pleasantness of ﬂavour, in the human brain. Eur J Neurosci 2003;18:2059–68. Delwiche JF, Buletic Z, Breslin PA. Relationship of papillae number to bitter intensity of quinine and PROP within and between individuals. Physiol Behav 2001;74:329–37. Derbyshire SW. Meta-analysis of thirty-four independent samples studied using PET reveals a signiﬁcantly attenuated central response to noxious stimulation in clinical pain patients. Curr Rev Pain 1999;3:265–80. Deyo RA, Weinstein JN. Low back pain. N Engl J Med 2001;344:363–70. Doty RL, Smith R, McKeown DA, Raj J. Tests of human olfactory function: principal components analysis suggests that most measure a common source of variance. Percept Psychophys 1994;56:701–7. Essick GK, Chopra A, Guest S, McGlone F. Lingual tactile acuity, taste perception, and the density and diameter of fungiform papillae in female subjects. Physiol Behav 2003;80:289–302. Faurion A, Cerf B, Van de Moortele PF, Lobel E, Mac LP, Le Bihan D. Human taste cortical areas studied with functional magnetic resonance imaging: evidence of functional lateralization related to handedness. Neurosci Lett 1999;277:189–92. Formaker BK, Frank ME. Taste function in patients with oral burning. Chem Senses 2000;25:575–81. Frey S, Petrides M. Re-examination of the human taste region: a positron emission tomography study. Eur J Neurosci 1999;11:2985–8. Grachev ID, Fredickson BE, Apkarian AV. Dissociating anxiety from pain: mapping the neuronal marker N-acetyl aspartate to perception distinguishes closely interrelated characteristics of chronic pain. Mol Psychiatry 2001;6:256–8. Grachev ID, Fredrickson BE, Apkarian AV. Brain chemistry reﬂects dual states of pain and anxiety in chronic low back pain. J Neural Transm 2002;109:1309–34. Green BG, Dalton P, Cowart B, Shaffer G, Rankin K, Higgins J. Evaluating the 'Labeled Magnitude Scale' for measuring sensations of taste and smell. Chem Senses 1996;21:323–34. Grill HJ, Norgren R. The taste reactivity test. II. Mimetic responses to gustatory stimuli in chronic thalamic and chronic decerebrate rats. Brain Res 1978;143:281–97. Kadohisa M, Rolls ET, Verhagen JV. Neuronal representations of stimuli in the mouth: the primate insular taste cortex, orbitofrontal cortex and amygdala. Chem Senses 2005. Kinomura S, Kawashima R, Yamada K, Ono S, Itoh M, Yoshioka S, Yamaguchi T, Matsui H, Miyazawa H, Itoh H. Functional anatomy of taste perception in the human brain studied with positron emission tomography. Brain Res 1994;659:263–6. Lenz FA, Gracely RH, Zirh TA, Leopold DA, Rowland LH, Dougherty PM. Human thalamic nucleus mediating taste and multiple other sensations related to ingestive behavior. J Neurophysiol 1997;77:3406–9. Lucchina LA, Curtis OF, Putnam P, Drewnowski A, Prutkin JM, Bartoshuk LM. Psychophysical measurement of 6-n-propylthiouracil (PROP) taste perception. Ann N Y Acad Sci 1998;855:816–9. Lucker P, Bullingham R, Hooftman L, Lloyd J, Mroszczak E. Tolerability, central effects and pharmacokinetics of intravenous ketorolac tromethamine in volunteers. Int J Clin Pharmacol Ther 1994;32: 409–14. Mak YE, Simmons KB, Gitelman D, Small DM. Taste and olfactory intensity perception changes following left insular stroke. Behav Neurosci 2005. Melzack R. The short-form McGill Pain Questionnaire. Pain 1987;30: 191–7. Merskey H, Bogduk N. Classiﬁcation of chronic pain. Seattle, WA: IASP Press; 1994. Mesulam MM, Mufson EJ. Insula of the old world monkey. I. Architectonics in the insulo-orbito-temporal component of the paralimbic brain. J Comp Neurol 1982;212:1–22. O'Doherty J, Rolls ET, Francis S, Bowtell R, McGlone F. Representation of pleasant and aversive taste in the human brain. J Neurophysiol 2001;85: 1315–21. Ogawa H, Imoto T, Hayama T. Responsiveness of solitario-parabrachial relay neurons to taste and mechanical stimulation applied to the oral cavity in rats. Exp Brain Res 1984;54:349–58. Ostrowsky K, Magnin M, Ryvlin P, Isnard J, Guenot M, Mauguiere F. Representation of pain and somatic sensation in the human insula: a study of responses to direct electrical cortical stimulation. Cereb Cortex 2002;12:376–85. Peyron R, Laurent B, Garcia-Larrea L. Functional imaging of brain responses to pain. A review and meta-analysis. Neurophysiol Clin 2000; 30:263–88. Price DD. Psychological and neural mechanisms of the affective dimension of pain. Science 2000;288:1769–72. Pritchard TC, Hamilton RB, Morse JR, Norgren R. Projections of thalamic gustatory and lingual areas in the monkey, Macaca fascicularis. J Comp Neurol 1986;244:213–28. Pritchard TC, Macaluso DA, Eslinger PJ. Taste perception in patients with insular cortex lesions. Behav Neurosci 1999;113:663–71. Prutkin J, Fisher EM, Etter L, Fast K, Gardner E, Lucchina LA, Snyder DJ, Tie K, Weiffenbach J, Bartoshuk LM. Genetic variation and inferences about perceived taste intensity in mice and men. Physiol Behav 2000; 69:161–73. Scott TR, Plata-Salaman CR. Taste in the monkey cortex. Physiol Behav 1999;67:489–511. Small DM, Jones-Gotman M, Zatorre RJ, Petrides M, Evans AC. A role for the right anterior temporal lobe in taste quality recognition. J Neurosci 1997a;17:5136–42. Small DM, Jones-Gotman M, Zatorre RJ, Petrides M, Evans AC. Flavor processing: more than the sum of its parts. NeuroReport 1997b;8: 3913–7. Small DM, Zald DH, Jones-Gotman M, Zatorre RJ, Pardo JV, Frey S, Petrides M. Human cortical gustatory areas: a review of functional neuroimaging data. NeuroReport 1999;10:7–14. Small DM, Zatorre RJ, Jones-Gotman M. Changes in taste intensity perception following anterior temporal lobe removal in humans. Chem Senses 2001a;26:425–32. Small DM, Zatorre RJ, Jones-Gotman M. Increased intensity perception of aversive taste following right anteromedial temporal lobe removal in humans. Brain 2001b;124:1566–75. Small DM, Gregory MD, Mak YE, Gitelman D, Mesulam MM, Parrish T. Dissociation of neural representation of intensity and affective valuation in human gustation. Neuron 2003;39:701–11. Small DM, Voss J, Mak YE, Simmons KB, Parrish T, Gitelman D. Experience-dependent neural integration of taste and smell in the human brain. J Neurophysiol 2004;92:1892–903. Stromberg MF, Meister SC, Volpicelli JR, Ulm RR. Low dose of morphine and the consumption of a sweetened ethanol solution: differential effects on acquisition and maintenance. Alcohol 1997;14:463–8. Touzani K, Taghzouti K, Velley L. Increase of the aversive value of taste stimuli following ibotenic acid lesion of the central amygdaloid nucleus in the rat. Behav Brain Res 1997;88:133–42. Treede RD, Apkarian AV, Bromm B, Greenspan JD, Lenz FA. Cortical representation of pain: functional characterization of nociceptive areas near the lateral sulcus. Pain 2000;87:113–9. Van Buren JM. Sensory responses from stimulation of the inferior Rolandic and Sylvian regions in man. J Neurosurg 1983;59:119–30. Vogt MT, Kwoh CK, Cope DK, Osial TA, Culyba M, Starz TW. Analgesic usage for low back pain: impact on health care costs and service use. Spine 2005;30:1075–81. Yackinous C, Guinard JX. Relation between PROP taster status and fat perception, touch, and olfaction. Physiol Behav 2001;72:427–37. Zald DH, Hagen MC, Pardo JV. Neural correlates of tasting concentrated quinine and sugar solutions. J Neurophysiol 2002;87:1068–75.
The System of Xiaokang Indicators: A Framework to Measure China's Progress Qingzhe Lv Research Institute of Statistical Sciences of National Bureau of Statistics of China 75 Yuetan Nanjie,Xichengqu,Beijing,100826,China E-mail: firstname.lastname@example.org Gang Li Research Institute of Statistical Sciences of National Bureau of Statistics of China 75 Yuetan Nanjie,Xichengqu,Beijing,100826,China E-mail: email@example.com Fangchuan Shi Research Institute of Statistical Sciences of National Bureau of Statistics of China 75 Yuetan Nanjie,Xichengqu,Beijing,100826,China E-mail: firstname.lastname@example.org Kuankuan Yang Census center, National Bureau of Statistics of China 75 Yuetan Nanjie,Xichengqu,Beijing,100826,China E-mail: email@example.com Jianjun Liu Research Institute of Statistical Sciences of National Bureau of Statistics of China 75 Yuetan Nanjie,Xichengqu,Beijing,100826,China E-mail: firstname.lastname@example.org The word "Xiaokang" (Well-off and moderate prosperity) is a concept bearing distinctive Chinese characteristics. Over 2000 years ago, this word featured one of the Chinese' ideals for a society in which people worked hard for prosperity of their own families, led a well-off life, and enjoyed orderliness of the environment. In the 1980s, the Chinese government set the goal of building a Xiaokang society conformed to China's national conditions: doubling the GNP of 1980 by 1990 to end shortages of food and clothing and quadrupling the GDP of 1980 by 2000 and raising the people's living standard to a well-off level, which has been achieved as expected after 20 years of strenuous efforts. Since the dawn of the new century, China has moved to a new stage of development of building a moderately prosperous society in all aspects. The Chinese government has set a new development goal during the period from 2000 to 2020: building a moderately prosperous society, or Xiaokang society, in all aspects for the entire Chinese population that features accelerated economic development, enhanced democracy, advanced science and education, prosperous culture, harmonious society, higher living standard, more efficient use of resources and friendly environment. The goal covers a wide range of areas as it has reflected the concepts of human orientation and scientific development and balanced the development of society and economy, production and life, democracy and law, science, education and culture, resources and environment. For the purposes of measuring China's progress and monitoring the advancement of building a Xiaokang society, we have set up the "Statistical Indicator System of Building a Moderately Prosperous Society in all Aspects", known as "System of Xiaokang Indicators" for short. The system covers six areas including economic development, social harmony, quality of life, democracy and law, culture and education, resources and environment with 23 indicators in total. I. Economic development Economic development involves five indictors such as per capita GDP, share of R&D expenses in GDP, share of value-added of the tertiary industry in GDP, proportion of urban population and urban surveyed unemployment rate, which presents a picture of economic development in terms of economic growth, technical innovation, industrial structure, demographic structure and employment. 1. Per capita GDP As a comprehensive indicator that reflects the economic development of a particular country or region, per capita GDP is an important yardstick against which a country's economic performance is measured. Economic development is not only about GDP and GDP does not speak for everything; however, compared with other indicators, GDP is irreplaceable under the current conditions as it is a comprehensive, aggregate and representative indicator in reflecting economic development. As countries differ greatly in size of the population, per capita GDP can present a more vivid picture of a country's economic development. China's GDP grows very fast and ranks the third in the world while its per capita GDP lags behind the 100th position. Economic development forms the basis of social development, without which, overall social development will not be made possible, not to mention all-around development of mankind. Given the pressure of economic development, China has set the objective of quadrupling the GDP in building a Xiaokang society in all aspects in the first 20 years of the century. 2. Share of R&D expenses in GDP Technical innovation is the driving force behind a country's economic development. Indicators such as contribution ratio of technical progress, number of patents, number of technicians and R&D expenses are often used to reflect the level of technical progress; however, it is difficult to accurately calculate the contribution ratio of technical progress as it involves a lot of estimation; the number of patents can not fully represent the level of technical progress as the patents vary in benefits; the difficulty to define the concept technician makes it difficult to specify its coverage and it is difficult to quantify the competence of technicians; whereas the input in technology is the basic guarantee sustaining technical innovation and an important indicator measuring the technical level and strength of a country; and particularly for such a large developing country as China, the input in technology is of vital importance in promoting technical innovation, strengthening economic development and tapping economic potential. 3. Share of value-added of the tertiary industry in GDP Share of the tertiary industry in total economy is an important indicator in reflecting the economic structure and a symbol representing the stage of a country's economic development. Generally speaking, economic structure evolves from agriculture-based economy, industry-based economy to service-based economy. At present, China is facing the challenge of information economy with its industrialization yet to be completed. From the perspective of economic structure, China has to accelerate industrialization while pushing forward the development of information-based economy for quite a long period of time. Seen from the perspective of statistics, this process means that the tertiary industry will account for an increasing share in GDP. 4. Proportion of urban population It is a universal necessity of industrialization and modernization that surplus labor force in the rural areas migrates toward non-agricultural industries and urban areas. Urbanization is the inevitable outcome of industrialization and modernization. The proportion of urban population directly reflects a country's urbanization level and an important symbol measuring its social progress. China is in the process of accelerated urbanization though rural population still accounts for the majority of China's population. 5. Urban unemployment rate Unemployment is one of the most important indicators commonly used in the world to reflect the status of economic development. As employment is the basis of people's livelihood, how to provide enough jobs for such a large population as that of China's is about the people's interests as well as social security and prosperity, which makes it an important symbol of China's building of a Xiaokang society. Given the seasonal characteristics of agricultural production, it is difficult to make accurate statistics on the unemployment of farmers; therefore, urban unemployment rate is used to reflect the conditions of unemployment. II. Social harmony Social harmony involves five indicators such as Gini Coefficient, urban-rural resident income ratio, regional economic development disparity coefficient, basic social security coverage and sex ratio of senior high school graduates, which reflects the conditions of social harmony in terms of income gap, urban-rural divide, regional divide, social security and gender disparity. 6. Gini Coefficient Gini Coefficient is a classical indicator commonly recognized and widely used in the world that reflects the gap of income distribution. The changes of Gini Coefficient since China's reform and opening up have basically reflected the changes in the residents' income gap. Although it is less vivid than such indicators as "income quintile", it can reflect overall income gap and its quantitative threshold has been commonly recognized. 7. Urban-rural resident income ratio Urban-rural resident income ratio is the ratio of disposable income of urban residents to rural residents that reflects the gap of urban and rural incomes. A large gap between urban and rural incomes is one of the signs showing the imbalance of China's economic development. Reversing the expansion of urban and rural income gap is one of the objectives of building a Xiaokang society. 8. Regional economic development disparity coefficient Regional difference is mainly reflected in the gap of regional economic development. Based on the per capita GDP of different regions, the coefficient of regional economic development disparity can reflect the gap of economic development in different regions. Regional difference has widened since China's reform and opening up. Reversing the expansion of regional difference and achieving balanced development of different regions is an important part in building a well-off society. Calculated with dispersion coefficient, regional economic development disparity coefficient is more accurate than it is vivid and enables us to make an overall judgment. Its formula is as follows: N is the number of regions within a certain area, i PCY is per capita GDP of region i, PCY is the mean of per capita GDP of n regions. Regional economic development disparity coefficient Vσ reflects the disparity of economic development in different regions. The larger Vσ is, the larger the disparity of regional economic development and vice versa. 9. Basic social security coverage Social security system means a lot to guaranteeing the people's living standard and promoting social harmony. Building and enhancing social security system is about giving people a well-off life where the young are employed, the old are cared for and the sick are well treated. A social security system covers many aspects such as insurance schemes, coverage rate, standard, money guarantee. Among all the items of social security, basic endowment insurance and medical insurance are most closely related to the people's living. Therefore, coverage of basic endowment insurance and that of medical insurance are selected to reflect the conditions of social security. Although social security system involves many aspects such as security items, coverage, security level and capital guarantee, coverage can best reflect how social security benefits the people. Its formula is as follows: 10. Sex ratio of senior high school graduates Gender equality forms an important part of social development and a yardstick against which social progress is measured because it is only through gender equality based development can we have a more harmonious society. The indicators that reflect gender equality include the ratio of unemployed females to unemployed males, the proportion of females in junior or senior high school graduates, the proportion of women in civil servants, and the ratio of women's average payment to that of men. Comparatively speaking, it is reasonable to use the sex ratio of senior high school graduates as the factors that affect employment, income and social status are more complicated than gender alone; meanwhile, as China has made the nine-year (up to junior high school) compulsory education universal and the future goal is to make senior high school education universal; therefore, sex ratio of senior high school graduates is used to reflect gender equality. Its formula is as follows: III. Quality of life Quality of life involves per capita disposable income, Engel's Coefficient, per capita usable floor space, under-five mortality rate and life expectancy, which reflects the people's quality of life in terms of income level, consumption structure, housing conditions, health care and people's health conditions. 11. Per capita disposable income Per capita disposable income provides basis for raising people's living standard and improving their quality of life. There is no consumption without income. Although per capita GDP is closely related to the changes of per capita disposable income, they do not always go together. Per capita GDP can not fully replace per capita disposable income as the latter can be put under separate observation. In China, disposable income is separately calculated for urban and rural residents; therefore, the calculation of nationwide per capita disposable income shall be based on the weight of urban and rural populations. 12. Engel's Coefficient Engel's Coefficient, the proportion of food expenditure in total spending, is an important indicator commonly used in the world that reflects household's total consumption and its structure. Evidence shows that Engel's Coefficient tends to go down as people's consumption goes up. Engel's Coefficient and per capita disposable income complement each other and reflect resident's living standard in terms of income and consumption structure. Of course, the changes of Engel's Coefficient are influenced by drastic movements in food prices. In this case, it can not fully reflect the changes of people's living standard, which should be noted in analysis. 13. Per capita usable floor space Housing is an important indicator that measures the people's living standard. Housing involves a number of aspects such as space, facilities, quality and environment. Since China's reform and opening up, the floor space of people's housing has been greatly improved, which is particularly true in rural areas; however, compared with quality improvement and environment enhancement, expanding floor space remains the top priority on the overall basis; therefore, per capita usable floor space is used to reflect housing conditions. Usable floor space is selected here as it can reflect the size of living space more accurately than floor space. Of course, selecting floor space does not mean that housing quality is left unconsidered; for example, the houses in rural areas that are below the standard of reinforced concrete or brick and wood structures are not included. 14. Under-five mortality rate Under-five mortality rate is an important indicator stressed by the United Nations Children's Fund and United Nations Millennium Development Goals to measure the level of children's health and welfare. Compared with "enrollment rate for children of school age", "per capita calorie intake" or "physicians per 1 000 persons", the indicator is highly representative of the result of various inputs or actions, including mothers' knowledge in nutrition and health care, planned immunization, maternal and child health care, family income and food sources, clean water and sanitary facilities and safe environment for children. In spite of its flaws, the indicator can accurately reflect the health conditions of most children and thus indirectly reflect the health care conditions of the society. 15. Life expectancy Total mortality rate, standardized mortality rate and life expectancy are the indicators commonly used to measure the health conditions of a cohort of people, of which, life expectancy is commonly used in all countries because the improvement of life expectancy is the result of improved quality of life and enhanced medical and health care that reflects the progress of social and economic development. Life expectancy has two features: one is that it is not affected by age composition and the other is that its changes are relatively moderate and it shows a rising trend along with the development of society in the absence of significant natural disasters or when there is a major medical breakthrough (the cure of cancer). IV. Democracy and law Democracy and law involves two indicators such as citizens' satisfaction of democratic rights and social safety index, which reflects the conditions of China's socialist democracy and law. 16. Citizens' satisfaction of democratic rights It is the satisfaction of citizens about whether their political, economic and cultural rights and interests are respected and guaranteed. Developing socialist democracy and political civilization is an important objective in building a well-off society. Satisfaction of the people is the basis in the building of democratic systems. Data for the indicator can be obtained through ad-hoc sample surveys. 17. Social safety index The rule of law requires that there must be laws to follow, the laws must be observed and strictly enforced, and lawbreakers must be prosecuted; however, it is difficult to monitor legal construction on a quantitative basis. We have considered using indicators such as rate of legal maturity, case reporting, case occurrence, case registration, case solution, case settlement, public trial, jury trial, retrial, appeal and citizens' satisfaction about legal construction to monitor legal construction; however, it is difficult to accurately calculate these indicators, such as legal maturity rate; or these indicators are subject to inspection of the relevant departments making it difficult to measure them on a regular basis. After careful deliberation, we have decided to use the changes in social safety to reflect the achievements of China's socialist legal construction in terms of public security, traffic safety, living safety and production safety. Social safety index is a composite index that shows the changes in social order, involving the overall changes of the major aspects of social order (public security, traffic safety, living safety and production safety) within a certain period. Its formula is as follows: V. Culture and education Culture and education involves three indicators such as share of value-added of cultural industry in GDP, share of household's expenses on cultural, educational and recreational services in total expenses and average years of education, which reflects the development of culture and education in terms of cultural industry, social service and education. 18. Share of value-added of cultural industry in GDP It is the share of value-added of cultural industry in Gross Domestic Product and the increase in the share can reflect the prosperity and development of a country's cultural industry. 19. Share of household's expenses on cultural, educational and recreational services in total expenses The share of household's expenses on cultural, educational and recreational services in total expenses reflects the diversity of people's spiritual life and improvement of their education from the perspective of a household. 20. Average years of education Improving scientific and cultural competence and education is the basis and inevitable requirement of building a well-off society. The indicators that reflect the development and competency of national education include: number of students at school, school enrollment rate, illiteracy rate and average years of education. The former two indicators reflect school education and the latter reflect the education of the entire population. As a structural indicator, illiteracy rate can not reflect the education level of the entire population while the average years of education shows a picture of the overall situation. We should focus on the education level of the entire population in building a well-off society. Compared with other countries in the world, China has greatly reduced its illiteracy rate while the education of the entire population is still lagging behind. VI. Resources and environment Resources and environment involves three indicators such as per unit GDP energy consumption, arable land area index and environmental quality index, which reflects the conditions of sustainable development in terms of resources utilization efficiency and environmental quality. 21. Per unit GDP energy consumption "Per unit GDP energy consumption" can reflect the efficiency of resources utilization. China is lagging behind the world average level in per capita occupation of natural resources. It is only through reducing energy consumption and saving resources can we meet the requirement for rapid economic development. The experience of the world social and economic development indicates that increased energy consumption is an important factor for global warming and worsening of regional environment; therefore, reducing energy consumption is actually one of the basic measures of protecting and improving the environment. 22. Arable land area index Arable land is the most important strategic resource of a country as well as the basis of human being's livelihood and development. As a country with a large population and scarce land, China must practice the most strict arable land protection policy. China has set the objective of achieving a dynamic balance of total arable land area and balancing the requisition and compensation. Arable land area index is used here to measure the protection of arable land and its formula is as follows: Arable land area of the base period (2000) 23. Environmental quality index Environmental quality index gives a comprehensive evaluation of environmental quality. Environmental quality is a comprehensive concept that involves such factors as water environment, air environment, soil environment, ecological environment, geological environment and noise environment. Given the restriction of statistics, calculation of environmental quality index is temporarily based on air environment, water environment and land greening with other factors yet to be added at the right time. Its formula is as follows: Of which, (1) urban air quality conformity rate: proportion of days with air quality above the level of good throughout the year in a certain area (days when Air Pollution Index is below or equal to 100) (2) Surface water conformity rate: proportion of the number of sections that have met the standard of water quality in a certain area to the number of total sections in a certain area. Its formula is as follows: (3) Land greening conformity rate: the ratio of forest coverage in a certain area divided by target value 23%. Its formula is as follows: The above-mentioned 23 indicators present the different aspects of the China's development from different perspectives and constitute a comprehensive framework to measure the societal progress. The selected indicators constrain and reinforce each other, with each one having its target value and weight. We have made an estimation of China's progress in building a moderately prosperous society during the period from 2000 to 2009 according to this framework. The result shows that China's economy has delivered rapid development, the people's quality of life has been greatly improved, social causes have been promoted and the building of a moderately prosperous society is being steadily pushed forward. In 2009, China completed 77.1% of the plan of building a Xiaokang society in all aspects, up 17.5 percentage points from 2000, representing an increase of 1.94 percentage points each year, of which, economic development accounts for 72.6%, up 22.3 percentage points; social harmony accounts for 77.3%, up 19.8 percentage points; quality of life accounts for 83.6%, up 25.3 percentage points; democracy and law accounts for 93.1%, up 8.3 percentage points; culture and education accounts for 65.4%, up 7.1 percentage points; resources and environment accounts for 76.8%, up 11.4 percentage points. Generally speaking, it is likely that China will attain the goal of building a moderately prosperous society in all aspects by 2020.
The Augsburg Confession The Confession of Faith which was submitted to His Imperial Majesty Charles V at the Diet of Augsburg in the year 1530 by certain princes and cities I will speak of thy testimonies before kings, and will not be put to shame. -- Psalm 119:46 Editor's Introduction: Click here for background information on the Augsburg Confession from Bente's Historical Introduction to the Book of Concord. Click here for information on Melanchthon's Alterations to the Augsburg Confession Preface to the Emperor Charles V. 1] Most Invincible Emperor, Caesar Augustus, Most Clement Lord: Inasmuch as Your Imperial Majesty has summoned a Diet of the Empire here at Augsburg to deliberate concerning measures against the Turk, that most atrocious, hereditary, and ancient enemy of the Christian name and religion, in what way, namely, effectually to withstand his furor and assaults by strong and lasting military provision; 2] and then also concerning dissensions in the matter of our holy religion and Christian Faith, that in this matter of religion the opinions and judgments of the parties might be heard in each other's presence; and considered and weighed 3] among ourselves in mutual charity, leniency, and kindness, in order that, after the removal and correction of such things as have been treated and understood in a different manner in the writings on either side, these matters may be settled and brought back to one simple truth and Christian concord, 4] that for the future one pure and true religion may be embraced and maintained by us, that as we all are under one Christ and do battle under Him, so we may be able also to live in unity and concord in the one Christian Church. And inasmuch as we, the undersigned Elector and 5] Princes, with others joined with us, have been called to the aforesaid Diet the same as the other Electors, Princes, and Estates, in obedient compliance with the Imperial mandate, we have promptly come to Augsburg, and—what we do not mean to say as boasting—we were among the first to be here. 6] Accordingly, since even here at Augsburg at the very beginning of the Diet, Your Imperial Majesty caused to be proposed to the Electors, Princes, and other Estates of the Empire, amongst other things, that the several Estates of the Empire, on the strength of the Imperial edict, should set forth and submit their opinions and judgments in the German and the Latin 7] language, and since on the ensuing Wednesday, answer was given to Your Imperial Majesty, after due deliberation, that we would submit the Articles of our Confession for our side on next Wednesday, therefore, in obedience to Your Imperial Majesty's 8] wishes, we offer, in this matter of religion, the Confession of our preachers and of ourselves, showing what manner of doctrine from the Holy Scriptures and the pure Word of God has been up to this time set forth in our lands, dukedoms, dominions, and cities, and taught in our churches. 9] And if the other Electors, Princes, and Estates of the Empire will, according to the said Imperial proposition, present similar writings, to wit, in Latin and German, giving their opinions in this 10] matter of religion, we, with the Princes and friends aforesaid, here before Your Imperial Majesty, our most clement Lord are prepared to confer amicably concerning all possible ways and means, in order that we may come together, as far as this may be honorably done, and, the matter between us on both sides being peacefully discussed without offensive strife, the dissension, by God's help, may be done away and brought back to one true accordant 11] religion; for as we all are under one Christ and do battle under Him, we ought to confess the one Christ, after the tenor of Your Imperial Majesty's edict, and everything ought to be conducted according to the truth of God; and this it is what, with most fervent prayers, we entreat of God. 12] However, as regards the rest of the Electors, Princes, and Estates, who constitute the other part, if no progress should be made, nor some result be attained by this treatment of the cause of religion after the manner in which Your Imperial Majesty has wisely held that it should be dealt with and treated namely, by such mutual presentation of writings and calm conferring together among ourselves, 13] we at least leave with you a clear testimony, that we here in no wise are holding back from anything that could bring about Christian concord,— such as could be effected with God and a good conscience,—as 14] also Your Imperial Majesty and, next, the other Electors and Estates of the Empire, and all who are moved by sincere love and zeal for religion, and who will give an impartial hearing to this matter, will graciously deign to take notice and to understand this from this Confession of ours and of our associates. 15] Your Imperial Majesty also, not only once but often, graciously signified to the Electors Princes, and Estates of the Empire, and at the Diet of Spires held A.D. 1526, according to the form of Your Imperial instruction and commission given and prescribed, caused it to be stated and publicly proclaimed that 16] Your Majesty, in dealing with this matter of religion, for certain reasons which were alleged in Your Majesty's name, was not willing to decide and could not determine anything, but that Your Majesty would diligently use Your Majesty's office with the Roman Pontiff for the convening of a General Council. 17] The same matter was thus publicly set forth at greater length a year ago at the last Diet which met at Spires. 18] There Your Imperial Majesty, through His Highness Ferdinand, King of Bohemia and Hungary, our friend and clement Lord, as well as through the Orator and Imperial Commissioners caused this, among other things, to be submitted: that Your Imperial Majesty had taken notice of; and pondered, the resolution of Your Majesty's Representative in the Empire, and of the President and Imperial Counselors, and the Legates from other Estates convened at Ratisbon, 19] concerning the calling of a Council, and that your Imperial Majesty also judged it to be expedient to convene a Council; and that Your Imperial Majesty did not doubt the Roman Pontiff could be induced to 20] hold a General Council, because the matters to be adjusted between Your Imperial Majesty and the Roman Pontiff were nearing agreement and Christian reconciliation; therefore Your Imperial Majesty himself signified that he would endeavor to secure the said Chief Pontiff's consent for convening, together with your Imperial Majesty such General Council, to be published as soon as possible by letters that were to be sent out. 21] If the outcome, therefore, should be such that the differences between us and the other parties in the matter of religion should not be amicably and in charity settled, then here, before Your Imperial Majesty we make the offer in all obedience, in addition to what we have already done, that we will all appear and defend our cause in such a general, free Christian Council, for the convening of which there has always been accordant action and agreement of votes in all the Imperial Diets held during Your Majesty's reign, on the part of the Electors, Princes, and other Estates of the Empire. 22] To the assembly of this General Council, and at the same time to Your Imperial Majesty, we have, even before this, in due manner and form of law, addressed ourselves and made appeal in this matter, by far the greatest and gravest. To this 23] appeal, both to Your Imperial Majesty and to a Council, we still adhere; neither do we intend nor would it be possible for us, to relinquish it by this or any other document, unless the matter between us and the other side, according to the tenor of the latest Imperial citation should be amicably and charitably settled, allayed, and brought to Christian concord; 24] and regarding this we even here solemnly and publicly testify. Chief Articles of Faith Article I: Of God. 1] Our Churches, with common consent, do teach that the decree of the Council of Nicaea concerning the Unity of the Divine Essence and concerning the Three Persons, is true and to be believed without any doubting; 2] that is to say, there is one Divine Essence which is called and which is God: eternal, without body, without parts, of infinite power, wisdom, and goodness, the Maker and Preserver of all things, visible and invisible; and 3] yet there are three Persons, of the same essence and power, who also are coeternal, the Father, the Son, and the Holy Ghost. And the term "person" 4] they use as the Fathers have used it, to signify, not a part or quality in another, but that which subsists of itself. 5] They condemn all heresies which have sprung up against this article, as the Manichaeans, who assumed two principles, one Good and the other Evil: also the Valentinians, Arians, Eunomians, Mohammedans, and all such. 6] They condemn also the Samosatenes, old and new, who, contending that there is but one Person, sophistically and impiously argue that the Word and the Holy Ghost are not distinct Persons, but that "Word" signifies a spoken word, and "Spirit" signifies motion created in things. ? - Confession - Confutation - Defense Article II: Of Original Sin. 1] Also they teach that since the fall of Adam all men begotten in the natural way are born with sin, that is, without the fear of God, without trust in God, and with 2] concupiscence; and that this disease, or vice of origin, is truly sin, even now condemning and bringing eternal death upon those not born again through Baptism and the Holy Ghost. 3] They condemn the Pelagians and others who deny that original depravity is sin, and who, to obscure the glory of Christ's merit and benefits, argue that man can be justified before God by his own strength and reason. ? - Confession - Confutation - Defense Article III: Of the Son of God. 1] Also they teach that the Word, that is, the Son of God, did assume the human nature in 2] the womb of the blessed Virgin Mary, so that there are two natures, the divine and the human, inseparably enjoined in one Person, one Christ, true God and true man, who was born of the Virgin Mary, truly suffered, was crucified, dead, and 3] buried, that He might reconcile the Father unto us, and be a sacrifice, not only for original guilt, but also for all actual sins of men. 4] He also descended into hell, and truly rose again the third day; afterward He ascended into heaven that He might sit on the right hand of the Father, and forever reign and have dominion over all creatures, and sanctify 5] them that believe in Him, by sending the Holy Ghost into their hearts, to rule, comfort, and quicken them, and to defend them against the devil and the power of sin. 6] The same Christ shall openly come again to judge the quick and the dead, etc., according to the Apostles' Creed. ? - Confession - Confutation - Defense 1] Also they teach that men cannot be justified before God by their own strength, merits, or works, but are freely justified for 2] Christ's sake, through faith, when they believe that they are received into favor, and that their sins are forgiven for Christ's sake, who, by His death, has made satisfaction for our sins. 3] This faith God imputes for righteousness in His sight. Rom. 3 and 4. ? - Confession - Confutation - Defense Article V: Of the Ministry. 1] That we may obtain this faith, the Ministry of Teaching the Gospel and administering the Sacraments was instituted. For through the Word and Sacraments, as through instruments, 2] the Holy Ghost is given, who works faith; where and when it pleases God, in them that hear 3] the Gospel, to wit, that God, not for our own merits, but for Christ's sake, justifies those who believe that they are received into grace for Christ's sake. 4] They condemn the Anabaptists and others who think that the Holy Ghost comes to men without the external Word, through their own preparations and works. ? - Confession - Confutation - Defense Article VI: Of New Obedience. 1] Also they teach that this faith is bound to bring forth good fruits, and that it is necessary to do good works commanded by God, because of God's will, but that we should not rely on those works to merit justification 2] before God. For remission of sins and justification is apprehended by faith, as also the voice of Christ attests: When ye shall have done all these things, say: We are unprofitable servants. Luke 17:10. The same is also taught by 3] the Fathers. For Ambrose says: It is ordained of God that he who believes in Christ is saved, freely receiving remission of sins, without works, by faith alone. ? - Confession - Confutation - Defense Article VII: Of the Church. 1] Also they teach that one holy Church is to continue forever. The Church is the congregation of saints, in which the Gospel is rightly taught and the Sacraments are rightly administered. 2] And to the true unity of the Church it is enough to agree concerning the doctrine of the Gospel and 3] the administration of the Sacraments. Nor is it necessary that human traditions, that is, rites or ceremonies, instituted by men, should be everywhere alike. 4] As Paul says: One faith, one Baptism, one God and Father of all, etc. Eph. 4:5-6. ? - Confession - Confutation - Defense 1] Although the Church properly is the congregation of saints and true believers, nevertheless, since in this life many hypocrites and evil persons are mingled therewith, it is lawful to use Sacraments administered by evil men, according to the saying of Christ: The Scribes and 2] the Pharisees sit in Moses' seat, etc. Matt. 23:2. Both the Sacraments and Word are effectual by reason of the institution and commandment of Christ, notwithstanding they be administered by evil men. 3] They condemn the Donatists, and such like, who denied it to be lawful to use the ministry of evil men in the Church, and who thought the ministry of evil men to be unprofitable and of none effect. ? - Confession - Confutation - Defense Article IX: Of Baptism. 1] Of Baptism they teach that it is necessary 2] to salvation, and that through Baptism is offered the grace of God, and that children are to be baptized who, being offered to God through Baptism are received into God's grace. 3] They condemn the Anabaptists, who reject the baptism of children, and say that children are saved without Baptism. ? - Confession - Confutation - Defense Article X: Of the Lord's Supper. 1] Of the Supper of the Lord they teach that the Body and Blood of Christ are truly present, and are distributed 2] to those who eat the Supper of the Lord; and they reject those that teach otherwise. ? - Confession - Confutation - Defense Article XI: Of Confession. 1] Of Confession they teach that Private Absolution ought to be retained in the churches, although in confession 2] an enumeration of all sins is not necessary. For it is impossible according to the Psalm: Who can understand his errors? Ps. 19:12. ? - Confession - Confutation - Defense Article XII: Of Repentance. 1] Of Repentance they teach that for those who have fallen after Baptism there is remission of sins whenever they are converted 2] and that the Church ought to impart absolution to those thus returning to repentance. Now, repentance consists properly of these 3] two parts: One is contrition, that is, 4] terrors smiting the conscience through the knowledge of sin; the other is faith, which is born of 5] the Gospel, or of absolution, and believes that for Christ's sake, sins are forgiven, comforts 6] the conscience, and delivers it from terrors. Then good works are bound to follow, which are the fruits of repentance. 7] They condemn the Anabaptists, who deny that those once justified can lose the Holy Ghost. Also those who contend that some may attain to such 8] perfection in this life that they cannot sin. 9] The Novatians also are condemned, who would not absolve such as had fallen after Baptism, though they returned to repentance. 10] They also are rejected who do not teach that remission of sins comes through faith but command us to merit grace through satisfactions of our own. ? - Confession - Confutation - Defense Article XIII: Of the Use of the Sacraments. 1] Of the Use of the Sacraments they teach that the Sacraments were ordained, not only to be marks of profession among men, but rather to be signs and testimonies of the will of God 2] toward us, instituted to awaken and confirm faith in those who use them. Wherefore we must so use the Sacraments that faith be added to believe the promises which are offered and set forth through the Sacraments. 3] They therefore condemn those who teach that the Sacraments justify by the outward act, and who do not teach that, in the use of the Sacraments, faith which believes that sins are forgiven, is required. ? - Confession - Confutation - Defense Article XIV: Of Ecclesiastical Order. Of Ecclesiastical Order they teach that no one should publicly teach in the Church or administer the Sacraments unless he be regularly called. ? - Confession - Confutation - Defense Article XV: Of Ecclesiastical Usages. 1] Of Usages in the Church they teach that those ought to be observed which may be observed without sin, and which are profitable unto tranquillity and good order in the Church, as particular holy days, festivals, and the like. 2] Nevertheless, concerning such things men are admonished that consciences are not to be burdened, as though such observance was necessary to salvation. 3] They are admonished also that human traditions instituted to propitiate God, to merit grace, and to make satisfaction for sins, are opposed to the Gospel and the doctrine of faith. Wherefore vows and traditions concerning meats and 4] days, etc., instituted to merit grace and to make satisfaction for sins, are useless and contrary to the Gospel. ? - Confession - Confutation - Defense Article XVI: Of Civil Affairs. 1] Of Civil Affairs they teach that lawful civil ordinances are good works of God, and that 2] it is right for Christians to bear civil office, to sit as judges, to judge matters by the Imperial and other existing laws, to award just punishments, to engage in just wars, to serve as soldiers, to make legal contracts, to hold property, to make oath when required by the magistrates, to marry a wife, to be given in marriage. 3] They condemn the Anabaptists who forbid these civil offices to Christians. 4] They condemn also those who do not place evangelical perfection in the fear of God and in faith, but in forsaking civil offices, for 5] the Gospel teaches an eternal righteousness of the heart. Meanwhile, it does not destroy the State or the family, but very much requires that they be preserved as ordinances of God, and that charity be practiced in such 6] ordinances. Therefore, Christians are necessarily bound to obey their own magistrates 7] and laws save only when commanded to sin; for then they ought to obey God rather than men. Acts 5:29. ? - Confession - Confutation - Defense Article XVII: Of Christ's Return to Judgment. 1] Also they teach that at the Consummation of the World Christ will appear for judgment, and 2] will raise up all the dead; He will give to the godly and elect eternal life and everlasting joys, 3] but ungodly men and the devils He will condemn to be tormented without end. 4] They condemn the Anabaptists, who think that there will be an end to the punishments of condemned men and devils. 5] They condemn also others who are now spreading certain Jewish opinions, that before the resurrection of the dead the godly shall take possession of the kingdom of the world, the ungodly being everywhere suppressed. ? - Confession - Confutation - Defense Article XVIII: Of Free Will. 1] Of Free Will they teach that man's will has some liberty to choose civil righteousness, and to work 2] things subject to reason. But it has no power, without the Holy Ghost, to work the righteousness of God, that is, spiritual righteousness; since the natural man 3] receiveth not the things of the Spirit of God, 1 Cor. 2:14; but this righteousness is wrought in the heart when the Holy Ghost is received 4] through the Word. These things are said in as many words by Augustine in his Hypognosticon, Book III: We grant that all men have a free will, free, inasmuch as it has the judgment of reason; not that it is thereby capable, without God, either to begin, or, at least, to complete aught in things pertaining to God, but only in works of this life, whether good 5] or evil. "Good" I call those works which spring from the good in nature, such as, willing to labor in the field, to eat and drink, to have a friend, to clothe oneself, to build a house, to marry a wife, to raise cattle, to learn diverse useful arts, or whatsoever good 6] p ertains to this life. For all of these things are not without dependence on the providence of God; yea, of Him and through Him they are and have their being. "Evil" 7] I call such works as willing to worship an idol, to commit murder, etc. 8] They condemn the Pelagians and others, who teach that without the Holy Ghost, by the power of nature alone, we are able to love God above all things; also to do the commandments of God as touching "the substance of the act." For, although nature is able in a manner to do the outward work, 9] (for it is able to keep the hands from theft and murder,) yet it cannot produce the inward motions, such as the fear of God, trust in God, chastity, patience, etc. ? - Confession - Confutation - Defense Article XIX: Of the Cause of Sin. Of the Cause of Sin they teach that, although God does create and preserve nature, yet the cause of sin is the will of the wicked, that is, of the devil and ungodly men; which will, unaided of God, turns itself from God, as Christ says John 8:44: When he speaketh a lie, he speaketh of his own. ? - Confession - Confutation - Defense Article XX: Of Good Works. 1] Our teachers are falsely accused of forbidding Good Works. 2] For their published writings on the Ten Commandments, and others of like import, bear witness that they have taught to good purpose concerning all estates and duties of life, as to what estates of life and what works in every calling be pleasing to God. 3] Concerning these things preachers heretofore taught but little, and urged only childish and needless works, as particular holy-days, particular fasts, brotherhoods, pilgrimages, services in honor of saints, the use of rosaries, monasticism, and such like. 4] Since our adversaries have been admonished of these things, they are now unlearning them, and do not preach these unprofitable works as heretofore. 5] Besides, they begin to mention faith, of which there was heretofore marvelous silence. 6] They teach that we are justified not by works only, but they conjoin faith and works, and say that we are justified by faith and works. 7] This doctrine is more tolerable than the former one, and can afford more consolation than their old doctrine. 8] Forasmuch, therefore, as the doctrine concerning faith, which ought to be the chief one in the Church, has lain so long unknown, as all must needs grant that there was the deepest silence in their sermons concerning the righteousness of faith, while only the doctrine of works was treated in the churches, our teachers have instructed the churches concerning faith as follows:— 9] First, that our works cannot reconcile God or merit forgiveness of sins, grace, and justification, but that we obtain this only by faith when we believe that we are received into favor for Christ's sake, who alone has been set forth the Mediator and Propitiation, 1 Tim. 2:5, in order that the Father may be reconciled through Him. 10] Whoever, therefore, trusts that by works he merits grace, despises the merit and grace of Christ, and seeks a way to God without Christ, by human strength, although Christ has said of Himself: I am the Way, the Truth, and the Life. John 14:6. 11] This doctrine concerning faith is everywhere treated by Paul, Eph. 2:8: By grace are ye saved through faith; and that not of your selves; it is the gift of God, not of works, etc. 12] And lest any one should craftily say that a new interpretation of Paul has been devised by us, this entire matter is supported by the testimonies of the Fathers. For 13] Augustine, in many volumes, defends grace and the righteousness of faith, over against the merits of works. 14] And Ambrose, in his De Vocatione Gentium, and elsewhere, teaches to like effect. For in his De Vocatione Gentium he says as follows: Redemption by the blood of Christ would become of little value, neither would the preeminence of man's works be superseded by the mercy of God, if justification, which is wrought through grace, were due to the merits going before, so as to be, not the free gift of a donor, but the reward due to the laborer. 15] But, although this doctrine is despised by the inexperienced, nevertheless God-fearing and anxious consciences find by experience that it brings the greatest consolation, because consciences cannot be set at rest through any works, but only by faith, when they take the sure ground that for Christ's sake they have a reconciled God. As Paul teaches Rom. 5:1: 16]Being justified by faith, we have peace with God. 17] This whole doctrine is to be referred to that conflict of the terrified conscience, neither can it be understood apart from that conflict. Therefore 18] inexperienced and profane men judge ill concerning this matter, who dream that Christian righteousness is nothing but civil and philosophical righteousness. 19] Heretofore consciences were plagued with the doctrine of works, they did not hear the consolation from the Gospel. 20] Some persons were driven by conscience into the desert, into monasteries hoping there to merit grace by a monastic life. 21] Some also devised other works whereby to merit grace and make satisfaction for sins. 22] Hence there was very great need to treat of, and renew, this doctrine of faith in Christ, to the end that anxious consciences should not be without consolation but that they might know that grace and forgiveness of sins and justification are apprehended by faith in Christ. 23] Men are also admonished that here the term "faith" does not signify merely the knowledge of the history, such as is in the ungodly and in the devil, but signifies a faith which believes, not merely the history, but also the effect of the history—namely, this article: the forgiveness of sins, to wit, that we have grace, righteousness, and forgiveness of sins through Christ. 24] Now he that knows that he has a Father gracious to him through Christ, truly knows God; he knows also that God cares for him, and calls upon God; in a word, he is not 25] without God, as the heathen. For devils and the ungodly are not able to believe this article: the forgiveness of sins. Hence, they hate God as an enemy, call not upon Him, 26] and expect no good from Him. Augustine also admonishes his readers concerning the word "faith," and teaches that the term "faith" is accepted in the Scriptures not for knowledge such as is in the ungodly but for confidence which consoles and encourages the terrified mind. 27] Furthermore, it is taught on our part that it is necessary to do good works, not that we should trust to merit grace by them, but because it is the will of God. 28] It is only by faith that forgiveness of sins is apprehended, and that, for nothing. 29] And because through faith the Holy Ghost is received, hearts are renewed and endowed with new affections, so as to be able to bring forth good works. 30] For Ambrose says: Faith is the mother of a good will and right doing. 31] For man's powers without the Holy Ghost are full of ungodly affections, and are too weak to do works which are good in God's sight. 32] Besides, they are in the power of the devil who impels men to divers sins, 33] to ungodly opinions, to open crimes. This we may see in the philosophers, who, although they endeavored to live an honest life could not succeed, 34] but were defiled with many open crimes. Such is the feebleness of man when he is without faith and without the Holy Ghost, and governs himself only by human strength. 35] Hence it may be readily seen that this doctrine is not to be charged with prohibiting good works, but rather the more to be commended, because it shows how we are enabled to do good works. 36] For without faith human nature can in no wise do the works of the First or of the Second Commandment. 37] Without faith it does not call upon God, nor expect anything from God, nor bear the cross, but seeks, and trusts in, man's help. 38] And thus, when there is no faith and trust in God all manner of lusts and human devices rule in the heart. 39] Wherefore Christ said, John 15:5: Without Me ye can do nothing; 40] and the Church sings: Lacking Thy divine favor, There is nothing found in man, Naught in him is harmless. ? - Confession - Confutation - Defense Article XXI: Of the Worship of the Saints. 1] Of the Worship of Saints they teach that the memory of saints may be set before us, that we may follow their faith and good works, according to our calling, as the Emperor may follow the example of David in making war to drive away the Turk from his country. 2] For both are kings. But the Scripture teaches not the invocation of saints or to ask help of saints, since it sets before us the one Christ as the Mediator, Propitiation, High Priest, and Intercessor. 3] He is to be prayed to, and has promised that He will hear our prayer; and this worship He approves above all, to wit, that in all afflictions He be called upon, 1 John 2:1: 4] If any man sin, we have an Advocate with the Father, etc. 5] This is about the Sum of our Doctrine, in which, as can be seen, there is nothing that varies from the Scriptures, or from the Church Catholic, or from the Church of Rome as known from its writers. This being the case, they judge harshly who insist that our teachers be regarded as heretics. 6] There is, however, disagreement on certain abuses, which have crept into the Church without rightful authority. And even in these, if there were some difference, there should be proper lenity on the part of bishops to bear with us by reason of the Confession which we have now reviewed; because even the Canons are not so severe as to demand the same rites everywhere, neither, at any time, have the rites of all churches been the same; 7] although, among us, in large part, the ancient rites are diligently observed. 8] For it is a false and malicious charge that all the ceremonies, all the things instituted of old, are abolished in our churches. 9] But it has been a common complaint that some abuses were connected with the ordinary rites. These, inasmuch as they could not be approved with a good conscience, have been to some extent corrected. ARTICLES IN WHICH ARE REVIEWED THE ABUSES WHICH HAVE BEEN CORRECTED. 10] Inasmuch, then, as our churches dissent in no article of the faith from the Church Catholic, but only omit some abuses which are new, and which have been erroneously accepted by the corruption of the times, contrary to the intent of the Canons, we pray that Your Imperial Majesty would graciously hear both what has been changed, and what were the reasons why the people were not compelled to observe those abuses against their conscience. 11] Nor should Your Imperial Majesty believe those who, in order to excite the hatred of men against our part, disseminate strange slanders among the people. 12] Having thus excited the minds of good men, they have first given occasion to this controversy, and now endeavor, by the same arts, to increase the discord. 13] For Your Imperial Majesty will undoubtedly find that the form of doctrine and of ceremonies with us is not so intolerable as these ungodly and malicious men represent. 14] Besides, the truth cannot be gathered from common rumors or the revilings of enemies. 15] But it can readily be judged that nothing would serve better to maintain the dignity of ceremonies, and to nourish reverence and pious devotion among the people than if the ceremonies were observed rightly in the churches. Article XXII: Of Both Kinds in the Sacrament. 1] To the laity are given Both Kinds in the Sacrament of the Lord's Supper, because this usage has the commandment of the Lord in Matt. 26:27: Drink ye all of it, 2] where Christ has manifestly commanded concerning the cup that all should drink. 3] And lest any man should craftily say that this refers only to priests, Paul in 1 Cor. 11:27 recites an example from which it appears that the whole congregation did use both kinds. 4] And this usage has long remained in the Church, nor is it known when, or by whose authority, it was changed; although Cardinal Cusanus mentions the time 5] when it was approved. Cyprian in some places testifies that the blood was given to the people. 6] The same is testified by Jerome, who says: The priests administer the Eucharist, and distribute the blood of Christ to the people. Indeed, Pope Gelasius 7] commands that the Sacrament be not divided (dist. II., De Consecratione, cap. Comperimus). 8] Only custom, not so ancient, has it otherwise. But it is evident 9] that any custom introduced against the commandments of God is not to be allowed, as the Canons witness (dist. III., cap. Veritate, and the following chapters). 10] But this custom has been received, not only against the Scripture, but also against the old Canons 11] and the example of the Church. Therefore, if any preferred to use both kinds of the Sacrament, they ought not to have been compelled with offense to their consciences to do otherwise. And because the division 12] of the Sacrament does not agree with the ordinance of Christ, we are accustomed to omit the procession, which hitherto has been in use. ? - Confession - Confutation - Defense Article XXIII: Of the Marriage of Priests. 1] There has been common complaint concerning the examples of priests who were not chaste. 2] For that reason also Pope Pius is reported to have said that there were certain causes why marriage was taken away from priests, but that there were far weightier ones why it ought to be given back; for so Platina writes. 3] Since, therefore, our priests were desirous to avoid these open scandals, they married wives, and taught that it was lawful for them to contract matrimony. First, because 4] Paul says, 1 Cor. 7:2,9: To avoid fornication, let every man have his own wife. Also: It is better to marry than to burn. Secondly 5] Christ says, Matt. 19:11: All men cannot receive this saying, where He teaches that not all men are fit to lead a single life; for God created man for procreation, Gen. 1:28. 6] Nor is it in man's power, without a singular gift and work of God, to alter this creation. [For it is manifest, and many have confessed that no good, honest, chaste life, no Christian, sincere, upright conduct has resulted (from the attempt), but a horrible, fearful unrest and torment of conscience has been felt by many until the end.] Therefore, 7] those who are not fit to lead a single life ought to 8] contract matrimony. For no man's law, no vow, can annul the commandment and ordinance of God. For these reasons 9] the priests teach that it is lawful for them to marry wives. 10] It is also evident that in the ancient Church priests were married men. 11] For Paul says, 1 Tim. 3:2, that a bishop should be chosen who is the husband of one wife. 12] And in Germany, four hundred years ago for the first time, the priests were violently compelled to lead a single life, who indeed offered such resistance that the Archbishop of Mayence, when about to publish the Pope's decree concerning this matter, was almost killed in the tumult raised by the enraged priests. 13] And so harsh was the dealing in the matter that not only were marriages forbidden for the future, but also existing marriages were torn asunder, contrary to all laws, divine and human, contrary even to the Canons themselves, made not only by the Popes, but by most celebrated Synods. [Moreover, many God-fearing and intelligent people in high station are known frequently to have expressed misgivings that such enforced celibacy and depriving men of marriage (which God Himself has instituted and left free to men) has never produced any good results, but has brought on many great and evil vices and much iniquity.] 14] Seeing also that, as the world is aging, man's nature is gradually growing weaker, it is well to guard that no more vices steal into Germany. 15] Furthermore, God ordained marriage to be a help against human infirmity. 16] The Canons themselves say that the old rigor ought now and then, in the latter times, to be relaxed because of the weakness of men; which it is to be wished were done also in this matter. 17] And it is to be expected that the churches shall at some time lack pastors if marriage is any longer forbidden. 18] But while the commandment of God is in force, while the custom of the Church is well known, while impure celibacy causes many scandals, adulteries, and other crimes deserving the punishments of just magistrates, yet it is a marvelous thing that in nothing is more cruelty exercised than against 19] the marriage of priests. God has given commandment to honor marriage. By the laws of all 20] well-ordered commonwealths, even among the heathen, marriage is most highly honored. 21] But now men, and that, priests, are cruelly put to death, contrary to the intent of the Canons, for no other cause than 22] marriage. Paul, in 1 Tim. 4:3, calls that a doctrine of devils which forbids marriage. 23] This may now be readily understood when the law against marriage is maintained by such penalties. 24] But as no law of man can annul the commandment of God, so neither can it be done by any vow. 25] Accordingly, Cyprian also advises that women who do not keep the chastity they have promised should marry. His words are these (Book I, Epistle XI): But if they be unwilling or unable to persevere, it is better for them to marry than to fall into the fire by their lusts; they should certainly give no offense to their brethren and sisters. 26] And even the Canons show some leniency toward those who have taken vows before the proper age, as heretofore has generally been the case. ? - Confession - Confutation - Defense Article XXIV: Of the Mass. 1] Falsely are our churches accused of abolishing the Mass; for the Mass is retained among 2] us, and celebrated with the highest reverence. Nearly all the usual ceremonies are also preserved, save that the parts sung in Latin are interspersed here and there with German hymns, which have been added 3] to teach the people. For ceremonies are needed to this end alone that the unlearned 4] be taught [what they need to know of Christ]. And not only has Paul commanded to use in the church a language understood by the people 1 Cor. 14:2-9, but it has also been so ordained by man's law. 5] The people are accustomed to partake of the Sacrament together, if any be fit for it, and this also increases the reverence and devotion of public 6] worship. For none are admitted 7] except they be first examined. The people are also advised concerning the dignity and use of the Sacrament, how great consolation it brings anxious consciences, that they may learn to believe God, and to expect and ask of Him all that is good. 8] [In this connection they are also instructed regarding other and false teachings on the Sacrament.] This worship pleases God; such use of the Sacrament nourishes true devotion 9] toward God. It does not, therefore, appear that the Mass is more devoutly celebrated among our adversaries than among us. 10] But it is evident that for a long time this also has been the public and most grievous complaint of all good men that Masses have been basely profaned and applied to purposes of lucre. 11] For it is not unknown how far this abuse obtains in all the churches by what manner of men Masses are said only for fees or stipends, and how many celebrate them contrary to the Canons. 12] But Paul severely threatens those who deal unworthily with the Eucharist when he says, 1 Cor. 11:27: Whosoever shall eat this bread, and drink this cup of the Lord, unworthily, shall be guilty of the body and blood of the Lord. 13] When, therefore our priests were admonished concerning this sin, Private Masses were discontinued among us, as scarcely any Private Masses were celebrated except for lucre's sake. 14] Neither were the bishops ignorant of these abuses, and if they had corrected them in time, there would now be less dissension. Heretofore, 15] by their own connivance, they suffered many corruptions to creep into the Church. Now, when it is too late, they begin to complain 16] of the troubles of the Church, while this disturbance has been occasioned simply by those abuses which were so manifest that they could be borne no longer. There have been great 17] dissensions concerning the Mass, concerning the Sacrament. 18] Perhaps the world is being punished for such long-continued profanations of the Mass as have been tolerated in the churches for so many centuries by the very men who 19] were both able and in duty bound to correct them. For in the Ten Commandments it is written, Ex. 20:7: The Lord will not hold him guiltless that taketh His name in vain. But since 20] the world began, nothing that God ever ordained seems to have been so abused for filthy lucre as the Mass. 21] There was also added the opinion which infinitely increased Private Masses, namely that Christ, by His passion, had made satisfaction for original sin, and instituted the Mass wherein an offering should be made for daily sins, 22] venial and mortal. From this has arisen the common opinion that the Mass 23] takes away the sins of the living and the dead by the outward act. Then they began to dispute whether one Mass said for many were worth as much as special Masses for individuals, and this brought forth that infinite multitude of Masses. [With this work men wished to obtain from God all that they needed, and in the mean time faith in Christ and the true worship were forgotten.] 24] Concerning these opinions our teachers have given warning that they depart from the Holy Scriptures and diminish the glory of the passion of Christ. For Christ's passion 25] was an oblation and satisfaction, not for original guilt only, but also for all other sins, as it is written to the Hebrews 10:10: 26] We are sanctified through the offering of Jesus Christ once for all. Also, Hebrews 10:14: 27]By one offering He hath perfected forever them that are sanctified. [It is an unheard-of innovation in the Church to teach that Christ by His death made satisfaction only for original sin and not likewise for all other sin. Accordingly it is hoped that everybody will understand that this error has not been reproved without due reason.] 28] Scripture also teaches that we are justified before God through faith in Christ, when we believe that our sins are forgiven for Christ's sake. 29] Now if the Mass take away the sins of the living and the dead by the outward act justification comes of the work of Masses, and not of faith, which Scripture does not allow. 30] But Christ commands us, Luke 22:19: This do in remembrance of Me; therefore the Mass was instituted that the faith of those who use the Sacrament should remember what benefits it receives through Christ, and cheer and comfort the anxious conscience. For to remember Christ is to remember His benefits, 31] and to realize that they are truly offered unto us. 32] Nor is it enough only to remember the history; for this also the Jews and the ungodly can remember. 33] Wherefore the Mass is to be used to this end, that there the Sacrament [Communion] may be administered to them that have need of consolation; as Ambrose says: Because I always sin, I am always bound to take the medicine. [Therefore this Sacrament requires faith, and is used in vain without faith.] 34] Now, forasmuch as the Mass is such a giving of the Sacrament, we hold one communion every holy-day, and, if any desire the Sacrament, also on other days, when it is given to such as ask for it. 35] And this custom is not new in the Church; for the Fathers before Gregory make no mention of any private Mass, but of the common Mass [the Communion] they speak very much. Chrysostom says 36] that the priest stands daily at the altar, inviting some 37] to the Communion and keeping back others. And it appears from the ancient Canons that some one celebrated the Mass from whom all the other presbyters and deacons received the body of he Lord; for thus 38] the words of the Nicene Canon say: Let the deacons, according to their order, receive the Holy Communion after the presbyters, from the bishop or from a presbyter. 39] And Paul, 1 Cor. 11:33, commands concerning the Communion: Tarry one for another, so that there may be a common participation. 40] Forasmuch, therefore, as the Mass with us has the example of the Church, taken from the Scripture and the Fathers, we are confident that it cannot be disapproved, especially since public ceremonies, for the most part like those hither to in use, are retained; only the number of Masses differs, which, because of very great and manifest abuses doubtless might be profitably reduced. 41] For in olden times, even in churches most frequented, the Mass was not celebrated every day, as the Tripartite History (Book 9, chap. 33) testifies: Again in Alexandria, every Wednesday and Friday the Scriptures are read, and the doctors expound them, and all things are done, except the solemn rite of Communion. ? - Confession - Confutation - Defense Article XXV: Of Confession. 1] Confession in the churches is not abolished among us; for it is not usual to give the body of the Lord, except to them that have been previously examined and absolved. And 2] the people are most carefully taught concerning faith in the absolution, about which formerly there 3] was profound silence. Our people are taught that they should highly prize the absolution, as being the voice of God, 4] and pronounced by God's command. The power of the Keys is set forth in its beauty and they are reminded what great consolation it brings to anxious consciences, also, that God requires faith to believe such absolution as a voice sounding from heaven, and that such faith in Christ truly obtains and receives the forgiveness of sins. Aforetime satisfactions were immoderately extolled; 5] of faith and the merit of Christ and the righteousness of faith no mention was made; wherefore, on this point, our churches are by no means to be blamed. For this even our adversaries must needs concede 6] to us that the doctrine concerning repentance has been most diligently treated and laid open by our teachers. 7] But of Confession they teach that an enumeration of sins is not necessary, and that consciences be not burdened with anxiety to enumerate all sins, for it is impossible to recount all sins, as the Psalm 19:13 testifies: Who can understand his errors? Also Jeremiah 17:9 : 8] The heart is deceitful; who can know it? But if no sins were forgiven, except those that are recounted, 9] consciences could never find peace; for very many sins they neither see 10] nor can remember. The ancient writers also testify that an enumeration is not necessary. For in the Decrees, Chrysostom is quoted, 11] who says thus: I say not to you that you should disclose yourself in public, nor that you accuse yourself before others, but I would have you obey the prophet who says: "Disclose thy way before God." Therefore confess your sins before God, the true Judge, with prayer. Tell your errors, not with the tongue, but with the memory of your conscience, etc. 12] And the Gloss (Of Repentance, Distinct. V, Cap. Consideret) admits that Confession is of human right only [not commanded by Scripture, but ordained by the Church]. 13] Nevertheless, on account of the great benefit of absolution, and because it is otherwise useful to the conscience, Confession is retained among us. ? - Confession - Confutation - Defense Article XXVI: Of the Distinction of Meats. 1] It has been the general persuasion, not of the people alone, but also of those teaching in the churches, that making Distinctions of Meats, and like traditions of men, are works profitable to merit grace, and able to make satisfactions for sins. And that 2] the world so thought, appears from this, that new ceremonies, new orders, new holy-days, and new fastings were daily instituted, and the teachers in the churches did exact these works as a service necessary to merit grace, and did greatly terrify men's consciences, if they should omit any of these things. 3] From this persuasion concerning traditions much detriment has resulted in the Church. 4] First, the doctrine of grace and of the righteousness of faith has been obscured by it, which is the chief part of the Gospel, and ought to stand out as the most prominent in the Church, in order that the merit of Christ may be well known, and faith, which believes that sins are forgiven for Christ's sake be exalted far above works. Wherefore Paul also lays 5] the greatest stress on this article, putting aside the Law and human traditions, in order to show that Christian righteousness is something else than such works, to wit, the faith which believes that sins 6] are freely forgiven for Christ's sake. But this doctrine of Paul has been almost wholly smothered by traditions, which have produced an opinion that, by making distinctions in meats and like services, 7] we must merit grace and righteousness. In treating of repentance, there was no mention made of faith; only those works of satisfaction were set forth; in these the entire repentance seemed to consist. 8] Secondly, these traditions have obscured the commandments of God, because traditions were placed far above the commandments of God. Christianity was thought to consist wholly in the observance of certain holydays, rites, fasts, and vestures. These 9] observances had won for themselves the exalted title of being the spiritual life and the perfect life. Meanwhile the commandments of God, according to 10] each one's calling, were without honor namely, that the father brought up his offspring, that the mother bore children, that the prince governed the commonwealth,—these were accounted works that were worldly and imperfect, and far below those glittering observances. And this error greatly tormented 11] devout consciences, which grieved that they were held in an imperfect state of life, as in marriage, in the office of magistrate; or in other civil ministrations; on the other hand, they admired the monks and such like, and falsely imagined that the observances of such men were more acceptable to God. 12] Thirdly, traditions brought great danger to consciences; for it was impossible to keep all traditions, and yet men judged these observances to be necessary acts of worship. Gerson writes that many fell 13] into despair, and that some even took their own lives, because they felt that they were not able to satisfy the traditions, and they had all the while not heard any consolation of the righteousness of faith and 14] grace. We see that the summists and theologians gather the traditions, and seek mitigations whereby to ease consciences, and yet they do not sufficiently unfetter, but sometimes entangle, consciences even more. 15] And with the gathering of these traditions, the schools and sermons have been so much occupied that they have had no leisure to touch upon Scripture, and to seek the more profitable doctrine of faith, of the cross, of hope, of the dignity of civil affairs of consolation of sorely tried consciences. 16] Hence Gerson and some other theologians have grievously complained that by these strivings concerning traditions they were prevented from giving attention to a better kind of doctrine. Augustine also forbids that men's consciences should be burdened 17] with such observances, and prudently advises Januarius that he must know that they are to be observed as things indifferent; for such are his words. 18] Wherefore our teachers must not be looked upon as having taken up this matter rashly or from hatred of the bishops, 19] as some falsely suspect. There was great need to warn the churches of these errors, which had arisen from misunderstanding the traditions. 20] For the Gospel compels us to insist in the churches upon the doctrine of grace, and of the righteousness of faith; which, however, cannot be understood, if men think that they merit grace by observances of their own choice. 21] Thus, therefore, they have taught that by the observance of human traditions we cannot merit grace or be justified, and hence we must not think such observances necessary acts of worship. 22] They add hereunto testimonies of Scripture. Christ, Matt. 15:3, defends the Apostles who had not observed the usual tradition, which, however, evidently pertains to a matter not unlawful, but indifferent, and to have a certain affinity with the purifications of the Law, and says, Matt. 15:9, In vain do they worship Me with the commandments of men. 23] He, therefore, does not exact an unprofitable service. Shortly after He adds: Not that which goeth into the mouth defileth a man. So also Paul, Rom. 14:17: 24]The kingdom of God is not meat and drink. 25] Col. 2:16: Let no man, therefore, judge you in meat, or in drink, or in respect of an holy-day, or of the Sabbath-day; also: If 26]ye be dead with Christ from the rudiments of the world, why, as though living in the world, are ye subject to ordinances: Touch not, taste not, handle not! And Peter says, Acts 15:10: Why 27] tempt ye God to put a yoke upon the neck of the disciples, which neither our fathers nor we were able to bear? But we believe that through the grace of the Lord Jesus Christ 28] we shall be saved, even as they. Here Peter forbids to burden the consciences with many rites, 29] either of Moses or of others. And in 1 Tim. 4:1,3 Paul calls the prohibition of meats a doctrine of devils; for it is against the Gospel to institute or to do such works that by them we may merit grace, or as though Christianity could not exist without such service of God. 30] Here our adversaries object that our teachers are opposed to discipline and mortification of the flesh, as Jovinian. But the contrary may be learned 31] from the writings of our teachers. For they have always taught concerning the cross that it behooves Christians to bear afflictions. This is the true, 32] earnest, and unfeigned mortification, to wit, to be exercised with divers afflictions, and to be crucified with Christ. 33] Moreover, they teach that every Christian ought to train and subdue himself with bodily restraints, or bodily exercises and labors that neither satiety nor slothfulness tempt him to sin, but not that we may merit grace or make satisfaction for sins by such exercises. 34] And such external discipline ought to be urged at all times, not only on a few and set days. So Christ commands, 35] Luke 21:34: Take heed lest your hearts 36] be overcharged with surfeiting; also Matt. 17:21: This kind goeth not out but 37] by prayer and fasting. Paul also says, 1 Cor. 9:27: I keep under my body and bring it into subjection. 38] Here he clearly shows that he was keeping under his body, not to merit forgiveness of sins by that discipline, but to have his body in subjection and fitted for spiritual things, and for the discharge of duty according 39] to his calling. Therefore, we do not condemn fasting in itself, but the traditions which prescribe certain days and certain meats, with peril of conscience, as though such works were a necessary service. 40] Nevertheless, very many traditions are kept on our part, which conduce to good order in the Church, as the Order of Lessons 41] in the Mass and the chief holy-days. But, at the same time, men are warned that such observances do not justify before God, and that in such things it should not be made sin if they be omitted without offense. 42] Such liberty in human rites was not unknown to the Fathers. 43] For in the East they kept Easter at another time than at Rome, and when, on account of this diversity, the Romans accused the Eastern Church of schism, they were admonished by others 44] that such usages need not be alike everywhere. And Irenaeus says: Diversity concerning fasting does not destroy the harmony of faith; as also Pope Gregory intimates in Dist. XII, that such diversity does not violate the unity of the Church. 45] And in the Tripartite History, Book 9, many examples of dissimilar rites are gathered, and the following statement is made: It was not the mind of the Apostles to enact rules concerning holy-days, but to preach godliness and a holy life [to teach faith and love]. ? - Confession - Confutation - Defense Article XXVII: Of Monastic Vows. 1] What is taught on our part concerning Monastic Vows, will be better understood if it be remembered what has been the state of the monasteries, and how many things were daily done in those very monasteries, contrary to the Canons. 2] In Augustine's time they were free associations. Afterward, when discipline was corrupted, vows were everywhere added for the purpose of restoring discipline, as in a carefully planned prison. 3] Gradually, many other observances were added besides vows. 4] And these fetters were laid upon many before the lawful age, contrary to the Canons. 5] Many also entered into this kind of life through ignorance, being unable to judge their own strength, though they were of sufficient age. 6] Being thus ensnared, they were compelled to remain, even though some could have been freed by the kind provision of the Canons. 7] And this was more the case in convents of women than of monks, although more consideration should have been shown the weaker sex. 8] This rigor displeased many good men before this time, who saw that young men and maidens were thrown into convents for a living. They saw what unfortunate results came of this procedure, and what scandals were created, what snares were cast upon consciences! They were grieved 9] that the authority of the Canons in so momentous a matter was utterly set aside and despised. To 10] these evils was added such a persuasion concerning vows as, it is well known, in former times displeased even those monks who were more considerate. 11] They taught that vows were equal to Baptism; they taught that by this kind of life they merited forgiveness of sins and justification before God. 12] Yea, they added that the monastic life not only merited righteousness before God but even greater things, because it kept not only the precepts, but also the so-called "evangelical counsels." 13] Thus they made men believe that the profession of monasticism was far better than Baptism, and that the monastic life was more meritorious than that of magistrates, than the life of pastors, and such like, who serve their calling in accordance with God's commands, without any man-made services. 14] None of these things can be denied; for they appear in their own books. [Moreover, a person who has been thus ensnared and has entered a monastery learns little of Christ.] 15] What, then, came to pass in the monasteries? Aforetime they were schools of theology and other branches, profitable to the Church; and thence pastors and bishops were obtained. Now it is another thing. It is needless to rehearse what is known to all. 16] Aforetime they came together to learn; now they feign that it is a kind of life instituted to merit grace and righteousness; yea, they preach that it is a state of perfection, and they put it far above all other kinds of life ordained of God. 17] These things we have rehearsed without odious exaggeration, to the end that the doctrine of our teachers on this point might be better understood. 18] First, concerning such as contract matrimony, they teach on our part that it is lawful for all men who are not fitted for single life to contract matrimony, because vows cannot annul the ordinance and commandment of God. 19] But the commandment of God is 1 Cor. 7:2: To avoid fornication, let every man have 20] his own wife. Nor is it the commandment only, but also the creation and ordinance of God, which forces those to marry who are not excepted by a singular work of God, according to the text Gen. 2:18: It is not good 21]that the man should be alone. Therefore they do not sin who obey this commandment and ordinance of God. 22] What objection can be raised to this? Let men extol the obligation of a vow as much as they list, yet shall they not bring to pass that the vow 23] annuls the commandment of God. The Canons teach that the right of the superior is excepted in every vow; [that vows are not binding against the decision of the Pope;] much less, therefore, are these vows of force which are against the commandments of God. 24] Now, if the obligation of vows could not be changed for any cause whatever, the Roman Pontiffs could never have given dispensation for it is not lawful for man to annul an obligation which is simply 25] divine. But the Roman Pontiffs have prudently judged that leniency is to be observed in this obligation, and therefore 26] we read that many times they have dispensed from vows. The case of the King of Aragon who was called back from the monastery is well known, and there are also examples in our own times. [Now, if dispensations have been granted for the sake of securing temporal interests, it is much more proper that they be granted on account of the distress of souls.] 27] In the second place, why do our adversaries exaggerate the obligation or effect of a vow when, at the same time, they have not a word to say of the nature of the vow itself, that it ought to be in a thing possible, that it ought to be free, 28] and chosen spontaneously and deliberately? But it is not unknown to what extent perpetual chastity is in the power of man. 29] And how few are there who have taken the vow spontaneously and deliberately! Young maidens and men, before they are able to judge, are persuaded, and sometimes even compelled, to take the vow. Wherefore 30] it is not fair to insist so rigorously on the obligation, since it is granted by all that it is against the nature of a vow to take it without spontaneous and deliberate action. 31] Most canonical laws rescind vows made before the age of fifteen; for before that age there does not seem sufficient judgment in a person to decide concerning a perpetual life. 32] Another Canon, granting more to the weakness of man, adds a few years; for it forbids a vow to be made before the age of eighteen. 33] But which of these two Canons shall we follow? The most part have an excuse for leaving the monasteries, because most of them have taken the vows before they reached these ages. 34] Finally, even though the violation of a vow might be censured, yet it seems not forthwith to follow that the marriages of such persons must be dissolved. 35] For Augustine denies that they ought to be dissolved (XXVII. Quaest. I, Cap. Nuptiarum), and his authority is not lightly to be esteemed, although other men afterwards thought otherwise. 36] But although it appears that God's command concerning marriage delivers very many from their vows, yet our teachers introduce also another argument concerning vows to show that they are void. For every service of God, ordained and chosen of men without the commandment of God to merit justification and grace, is wicked, as Christ says Matt. 15:9: 37]In vain do they worship Me with the commandments of men. And Paul teaches everywhere that righteousness is not to be sought from our own observances and acts of worship, devised by men, but that it comes by faith to those who believe that they are received by God into grace for Christ's sake. 38] But it is evident that monks have taught that services of man's making satisfy for sins and merit grace and justification. What else is this than to detract from the glory of Christ and to obscure and deny the righteousness of faith? 39] It follows, therefore, that the vows thus commonly taken have been wicked services, and, consequently, are void. 40] For a wicked vow, taken against the commandment of God, is not valid; for (as the Canon says) no vow ought to bind men to wickedness. 41] Paul says, Gal. 5:4: Christ is become of no effect unto you, whosoever of you are justified by the Law, ye are fallen from grace. 42] To those, therefore, who want to be justified by their vows Christ is made of no effect, and they fall from grace. 43] For also these who ascribe justification to vows ascribe to their own works that which properly belongs to the glory of Christ. 44] Nor can it be denied, indeed, that the monks have taught that, by their vows and observances, they were justified, and merited forgiveness of sins, yea, they invented still greater absurdities, saying 45] that they could give others a share in their works. If any one should be inclined to enlarge on these things with evil intent, how many things could he bring together whereof even the monks are now ashamed! 46] Over and above this, they persuaded men that services of man's making were a state of Christian perfection. 47] And is not this assigning justification to works? 48] It is no light offense in the Church to set forth to the people a service devised by men, without the commandment of God, and to teach that such service justifies men. For the righteousness of faith, which chiefly ought to be taught in the Church, is obscured when these wonderful angelic forms of worship, with their show of poverty, humility, and celibacy, are cast before the eyes of men. 49] Furthermore, the precepts of God and the true service of God are obscured when men hear that only monks are in a state of perfection. For Christian perfection is to fear God from the heart, and yet to conceive great faith, and to trust that for Christ's sake we have a God who has been reconciled, to ask of God, and assuredly to expect His aid in all things that, according to our calling, are to be done; and meanwhile, to be diligent in outward good works, 50] and to serve our calling. In these things consist the true perfection and the true service of God. It does not consist in celibacy, or in begging, or in vile apparel. 51] But the people conceive many pernicious opinions from the false commendations of monastic life. 52] They hear celibacy praised above measure; therefore they lead their married life with offense to their consciences. 53] They hear that only beggars are perfect; therefore they keep their possessions and do business with offense to their consciences. 54] They hear that it is an evangelical counsel not to seek revenge; therefore some in private life are not afraid to take revenge, for they hear that it is but a counsel, and 55] not a commandment. Others judge that the Christian cannot properly hold a civil office or be a magistrate. 56] There are on record examples of men who, forsaking marriage and the administration of the Commonwealth, have hid themselves in monasteries. This 57] they called fleeing from the world, and seeking a kind of life which would be more pleasing to God. Neither did they see that God ought to be served in those commandments which He Himself has given and not in commandments 58] devised by men. A good and perfect kind of life is that which has for it the commandment of God. 59] It is necessary to admonish men of these things. 60] And before these times, Gerson rebukes this error of the monks concerning perfection, and testifies that in his day it was a new saying that the monastic life is a state of perfection. 61] So many wicked opinions are inherent in the vows, namely, that they justify, that they constitute Christian perfection, that they keep the counsels and commandments, that they have works of supererogation. All these things, since they are false and empty, make vows null and void. ? - Confession - Confutation - Defense Article XXVIII: Of Ecclesiastical Power. 1] There has been great controversy concerning the Power of Bishops, in which some have awkwardly confounded the power of the Church 2] and the power of the sword. And from this confusion very great wars and tumults have resulted, while the Pontiffs, emboldened by the power of the Keys, not only have instituted new services and burdened consciences with reservation of cases and ruthless excommunications, but have also undertaken to transfer the kingdoms of this world, 3] and to take the Empire from the Emperor. These wrongs have long since been rebuked in the Church 4] by learned and godly men. Therefore our teachers, for the comforting of men's consciences, were constrained to show the difference between the power of the Church and the power of the sword, and taught that both of them, because of God's commandment, are to be held in reverence and honor, as the chief blessings of God on earth. 5] But this is their opinion, that the power of the Keys, or the power of the bishops, according to the Gospel, is a power or commandment of God, to preach the Gospel, to remit and retain sins, and to administer Sacraments. 6] For with this commandment Christ sends forth His Apostles, John 20:21 sqq.: As My Father hath sent Me, even so send I you. Receive ye the Holy Ghost. Whosesoever sins ye remit, they are remitted unto them; and whosesoever sins ye retain, they are retained. 7] Mark 16:15: Go preach the Gospel to every creature. 8] This power is exercised only by teaching or preaching the Gospel and administering the Sacraments, according to their calling either to many or to individuals. For thereby are granted, not bodily, but eternal things, as eternal righteousness, the Holy Ghost, eternal life. 9] These things cannot come but by the ministry of the Word and the Sacraments, as Paul says, Rom. 1:16: The Gospel is the power of God unto salvation to every one that believeth. 10] Therefore, since the power of the Church grants eternal things, and is exercised only by the ministry of the Word, it does not interfere with civil government; no more than the art of singing interferes with civil government. 11] For civil government deals with other things than does the Gospel. The civil rulers defend not minds, but bodies and bodily things against manifest injuries, and restrain men with the sword and bodily punishments in order to preserve civil justice and peace. 12] Therefore the power of the Church and the civil power must not be confounded. The power of the Church has its own commission to teach the Gospel and 13] to administer the Sacraments. Let it not break into the office of another; let it not transfer the kingdoms of this world; let it not abrogate the laws of civil rulers; let it not abolish lawful obedience; let it not interfere with judgments concerning civil ordinances or contracts; let it not prescribe laws to civil rulers concerning the form of the Commonwealth. 14] As Christ says, John 18:36: My kingdom is not of this world; 15] also Luke 12:14: Who made Me a judge or a divider over you? 16] Paul also says, Phil. 3:20: Our citizenship is in heaven; 17] 2 Cor. 10:4: The weapons of our warfare are not carnal, but mighty through God to the casting down of imaginations. 18] After this manner our teachers discriminate between the duties of both these powers, and command that both be honored and acknowledged as gifts and blessings of God. 19] If bishops have any power of the sword, that power they have, not as bishops, by the commission of the Gospel, but by human law having received it of kings and emperors for the civil administration of what is theirs. This, however, is another office than the ministry of the Gospel. 20] When, therefore, the question is concerning the jurisdiction of bishops, civil authority must be distinguished from 21] ecclesiastical jurisdiction. Again, according to the Gospel or, as they say, by divine right, there belongs to the bishops as bishops, that is, to those to whom has been committed the ministry of the Word and the Sacraments, no jurisdiction except to forgive sins, to judge doctrine, to reject doctrines contrary to the Gospel, and to exclude from the communion of the Church wicked men, whose wickedness is known, and this without human force, 22] simply by the Word. Herein the congregations of necessity and by divine right must obey them, according to Luke 10:16: He that heareth you heareth Me. 23] But when they teach or ordain anything against the Gospel, then the congregations have a commandment of God prohibiting obedience, Matt. 7:15: Beware of false prophets; 24] Gal. 1:8: Though an angel from heaven preach any other gospel, let him be accursed; 25] 2 Cor. 13:8: We can do nothing against the truth, but for the truth. 26] Also: The power which the Lord hath given me to edification, and not to destruction. 27] So, also, the Canonical Laws command (II. Q. VII. Cap., Sacerdotes, and Cap. Oves). 28] And Augustine (Contra Petiliani Epistolam): Neither must we submit to Catholic bishops if they chance to err, or hold anything contrary to the Canonical Scriptures of God. 29] If they have any other power or jurisdiction, in hearing and judging certain cases, as of matrimony or of tithes, etc., they have it by human right, in which matters princes are bound, even against their will, when the ordinaries fail, to dispense justice to their subjects for the maintenance of peace. 30] Moreover, it is disputed whether bishops or pastors have the right to introduce ceremonies in the Church, and to make laws concerning meats, holy-days and grades, that is, orders of ministers, etc. 31] They that give this right to the bishops refer to this testimony John 16:12-13: I have yet many things to say unto you, but ye cannot bear them now. Howbeit when He, the Spirit of Truth, is come, He will guide you into all truth. 32] They also refer to the example of the Apostles, who commanded to abstain from blood and from things strangled, Acts 15:29. 33] They refer to the Sabbath-day as having been changed into the Lord's Day, contrary to the Decalog, as it seems. Neither is there any example whereof they make more than concerning the changing of the Sabbath-day. Great, say they, is the power of the Church, since it has dispensed with one of the Ten Commandments! 34] But concerning this question it is taught on our part (as has been shown above) that bishops have no power to decree anything against the Gospel. The Canonical Laws teach the same thing (Dist. IX). 35] Now, it is against Scripture to establish or require the observance of any traditions, to the end that by such observance we may make satisfaction for sins, or merit grace and righteousness. 36] For the glory of Christ's merit suffers injury when, by such observances, 37] we undertake to merit justification. But it is manifest that, by such belief, traditions have almost infinitely multiplied in the Church, the doctrine concerning faith and the righteousness of faith being meanwhile suppressed. For gradually more holy-days were made, fasts appointed, new ceremonies and services in honor of saints instituted, because the authors of such things thought that by these works they were meriting 38] grace. Thus in times past the Penitential Canons increased, whereof we still see some traces in the satisfactions. 39] Again, the authors of traditions do contrary to the command of God when they find matters of sin in foods, in days, and like things, and burden the Church with bondage of the law, as if there ought to be among Christians, in order to merit justification a service like the Levitical, the arrangement of which God had committed to the Apostles and bishops. 40] For thus some of them write; and the Pontiffs in some measure seem to be misled by the example 41] of the law of Moses. Hence are such burdens, as that they make it mortal sin, even without offense to others, to do manual labor on holy-days, a mortal sin to omit the Canonical Hours, that certain foods defile the conscience that fastings are works which appease God that sin in a reserved case cannot be forgiven but by the authority of him who reserved it; whereas the Canons themselves speak only of the reserving of the ecclesiastical penalty, and not of the reserving of the guilt. 42] Whence have the bishops the right to lay these traditions upon the Church for the ensnaring of consciences, when Peter, Acts 15:10, forbids to put a yoke upon the neck of the disciples, and Paul says, 2 Cor. 13:10, that the power given him was to edification not to destruction? Why, therefore, do they increase sins by these traditions? 43] But there are clear testimonies which prohibit the making of such traditions, as though they merited grace or were necessary to 44] salvation. Paul says, Col. 2:16-23: Let no man judge you in meat, or in drink, or in respect of an holy-day, or of the new moon, or of the Sabbath-days. 45] If ye be dead with Christ from the rudiments of the world, why, as though living in the world, are ye subject to ordinances (touch not; taste not; handle not, which all are to perish with the using) after the commandments and doctrines of men! which things have indeed a show of wisdom. 46] Also in Titus 1:14 he openly forbids traditions: Not giving heed to Jewish fables and commandments of men that turn from the truth. 47] And Christ, Matt. 15:14,13, says of those who require traditions: Let them alone; they be blind leaders of the blind; 48] and He rejects such services: Every plant which My heavenly Father hath not planted shall be plucked up. 49] If bishops have the right to burden churches with infinite traditions, and to ensnare consciences, why does Scripture so often prohibit to make, and to listen to, traditions? Why does it call them "doctrines of devils"? 1 Tim. 4:1. Did the Holy Ghost in vain forewarn of these things? 50] Since, therefore, ordinances instituted as things necessary, or with an opinion of meriting grace, are contrary to the Gospel, it follows that it is not lawful for any bishop 51] to institute or exact such services. For it is necessary that the doctrine of Christian liberty be preserved in the churches, namely, that the bondage of the Law is not necessary to justification, as it is written in the Epistle to the Galatians 5:1: Be not entangled again with the yoke of bondage. 52] It is necessary that the chief article of the Gospel be preserved, to wit, that we obtain grace freely by faith in Christ, and not for certain observances or acts of worship devised by men. 53] What, then, are we to think of the Sunday and like rites in the house of God? To this we answer that it is lawful for bishops or pastors to make ordinances that things be done orderly in the Church, not that thereby we should merit grace or make satisfaction for sins, or that consciences be bound to judge them necessary services, and to think that it is a sin to break them 54] without offense to others. So Paul ordains, 1 Cor. 11:5, that women should cover their heads in the congregation, 1 Cor. 14:30, that interpreters be heard in order in the church, etc. 55] It is proper that the churches should keep such ordinances for the sake of love and tranquillity, so far that one do not offend another, that all things be done in the churches in order, and without confusion, 1 Cor. 14:40; comp. Phil. 2:14 . 56] but so that consciences be not burdened to think that they are necessary to salvation, or to judge that they sin when they break them without offense to others; as no one will say that a woman sins who goes out in public with her head uncovered provided only that no offense be given. 57] Of this kind is the observance of the Lord's Day, Easter, Pentecost, and like holy-days and 58] rites. For those who judge that by the authority of the Church the observance of the Lord's Day instead of the Sabbath-day was ordained as a thing necessary, 59] do greatly err. Scripture has abrogated the Sabbath-day; for it teaches that, since the Gospel has been revealed, all the ceremonies of Moses can be omitted. And 60] yet, because it was necessary to appoint a certain day, that the people might know when they ought to come together, it appears that the Church designated the Lord's Day for this purpose; and this day seems to have been chosen all the more for this additional reason, that men might have an example of Christian liberty, and might know that the keeping neither of the Sabbath nor of any other day is necessary. 61] There are monstrous disputations concerning the changing of the law, the ceremonies of the new law, the changing of the Sabbath-day, which all have sprung from the false belief that there must needs be in the Church a service like to the Levitical, and that Christ had given commission to the Apostles and bishops to devise new ceremonies as necessary to 62] salvation. These errors crept into the Church when the righteousness of faith was not taught clearly enough. 63] Some dispute that the keeping of the Lord's Day is not indeed of divine right, but in a manner so. They prescribe concerning holy-days, how far it is lawful to work. What else 64] are such disputations than snares of consciences? For although they endeavor to modify the traditions, yet the mitigation can never be perceived as long as the opinion remains that they are necessary, which must needs remain where the righteousness of faith and Christian liberty are not known. 65] The Apostles commanded Acts 15:20 to abstain from blood. Who does now observe it? And yet they that do it not sin not; for not even the Apostles themselves wanted to burden consciences with such bondage; but they forbade it for a time, to avoid offense. 66] For in this decree we must perpetually consider what the aim of the Gospel is. 67] Scarcely any Canons are kept with exactness, and from day to day many go out of use even among those who are the most zealous advocates of traditions. 68] Neither can due regard be paid to consciences unless this mitigation be observed, that we know that the Canons are kept without holding them to be necessary, and that no harm is done consciences, even though traditions go out of use. 69] But the bishops might easily retain the lawful obedience of the people if they would not insist upon the observance of such traditions as cannot be kept with a good conscience. 70] Now they command celibacy; they admit none unless they swear that they will not teach 71] the pure doctrine of the Gospel. The churches do not ask that the bishops should restore concord at the expense of their honor; which, nevertheless, 72] it would be proper for good pastors to do. They ask only that they would release unjust burdens which are new and have been received contrary to the custom of the Church Catholic. 73] It may be that in the beginning there were plausible reasons for some of these ordinances; and yet they are not adapted to later times. 74] It is also evident that some were adopted through erroneous conceptions. Therefore it would be befitting the clemency of the Pontiffs to mitigate them now, because such a modification does not shake the unity of the Church. For many human traditions have been changed in process of time, 75] as the Canons themselves show. But if it be impossible to obtain a mitigation of such observances as cannot be kept without sin, we are bound to follow the apostolic rule, Acts 5:29, which commands us to obey God rather than men. 76] Peter, 1 Pet. 5:3, forbids bishops to be lords, and to rule over the churches. 77] It is not our design now to wrest the government from the bishops, but this one thing is asked, namely, that they allow the Gospel to be purely taught, and that they relax some few observances which 78] cannot be kept without sin. But if they make no concession, it is for them to see how they shall give account to God for furnishing, by their obstinacy, a cause for schism. ? - Confession - Confutation - Defense Conclusion. 1] These are the chief articles which seem to be in controversy. For although we might have spoken of more abuses, yet, to avoid undue length, we have set forth the chief points, from which the rest may be readily judged. 2] There have been great complaints concerning indulgences, pilgrimages, and the abuse of excommunications. The parishes have been vexed in many ways by the dealers in indulgences. There were endless contentions between the pastors and the monks concerning the parochial right, confessions, burials, sermons on extraordinary occasions, and 3] innumerable other things. Issues of this sort we have passed over so that the chief points in this matter, having been briefly set forth, might be the more readily understood. 4] Nor has anything been here said or adduced to the reproach of any one. 5] Only those things have been recounted whereof we thought that it was necessary to speak, in order that it might be understood that in doctrine and ceremonies nothing has been received on our part against Scripture or the Church Catholic. For it is manifest that we have taken most diligent care that no new and ungodly doctrine should creep into our churches. 6] The above articles we desire to present in accordance with the edict of Your Imperial Majesty, in order to exhibit our Confession and let men see a summary of the doctrine of our teachers. 7] If there is anything that any one might desire in this Confession, we are ready, God willing, to present ampler information according to the Scriptures. 8] Your Imperial Majesty's faithful subjects: 9] John, Duke of Saxony, Elector 10] George, Margrave of Brandenburg. 11] Ernest, Duke of Lueneberg. 12] Philip, Landgrave of Hesse. 13] John Frederick, Duke of Saxony. 14] Francis, Duke of Lueneburg. 15] Wolfgang, Prince of Anhalt. 16] Senate and Magistracy of Nuremburg. 17] Senate of Reutlingen.
Date of Approval: December 18, 2015 PIA ID Number: A. SYSTEM DESCRIPTION 1. Enter the full name and acronym for the system, project, application and/or database. Enterprise Document Management Platform , EDMP 2. Is this a new system? Yes 3. Check the current ELC (Enterprise Life Cycle) Milestones (select all that apply) Yes Vision & Strategy/Milestone 0 Yes Project Initiation/Milestone 1 Yes Domain Architecture/Milestone 2 Yes Preliminary Design/Milestone 3 Yes Detailed Design/Milestone 4A No System Development/Milestone 4B No System Deployment/Milestone 5 No Operations & Maintenance (i.e., system is currently operational) 4. Is this a Federal Information Security Management Act (FISMA) reportable system? No A.1 General Business Purpose 5. What is the general business purpose of this system? Provide a clear, concise description of the system, application or database, the reason for the system, and the benefits to the IRS to use the information, and how the information will be used. Enterprise Document Management Platform (EDMP) is made up of Development, Test, Production and Disaster Recovery Linux Consolidated Systems located in Enterprise Computing Center – Martinsburg (ECC-MTB) and Enterprise Computing Center – Memphis (ECC-MEM) within Enterprise Operations (EOPS). EOPS is responsible for the deployment and daily maintenance of the hardware and software configurations of EDMP's infrastruce. EDMP provides a common document management platform to support existing and proposed projects with Document and Records Management requirements. It also provides a collaborative environment that allows users to manage documents that need to be processed and stored securely in a repository. Currently a number of existing IRS systems like AMS, MEDS, RSPCC, eContracts, DocIT, Chief Counsel and CMC, use Documentum to manage their documents. EDMP would allow the IRS to realize economies of scale brought about through implementing shared content servers, DB servers, index servers and SAN. EMDP is built on a Red Hat Linux Platform B. PII DETAIL 6. Does the system use, collect, receive, display, store, maintain, or disseminate IR Code 6103 taxpayer information; or any type of Sensitive but Unclassified (SBU) or Personally Identifiable Information (PII)? Yes 6a. If yes, does the system use, collect, receive, display, store, maintain, or disseminate Social Security Numbers (SSN s) or tax identification numbers (i.e. last 4 digits, etc.)? Yes If yes, check who the SSN (or tax identification number) is collected on. Yes On Primary Yes On Spouse Yes On Dependent If yes, check all types SSN s (or tax identification numbers) that apply to this system: Yes Social Security Number (SSN) No Employer Identification Number (EIN) Yes Individual Taxpayer Identification Number (ITIN) No Taxpayer Identification Number for Pending U.S. Adoptions (ATIN) No Practitioner Tax Identification Number (PTIN) Describe the planned mitigation strategy and forecasted implementation date to mitigate or eliminate the use of SSN s (or tax identification numbers). There is no alternative to the use of the SSN. The SSN is the significant part of the data being processed. There is no planned mitigation strategy to mitigate or eliminate the use of the SSN on the system. 6b. Does this system contain other (non-SSN) PII that it uses, collects, receives, displays, stores, maintains, or disseminates? (i.e. Names, addresses, etc.) Yes If yes, specify the information. On On On 6c. Does this system contain SBU information that is not PII, it uses, collects, receives, displays, stores, maintains, or disseminates? Yes Selected SBU Name SBU Description Information 6d. Are there other types of SBU/PII used in the system? No 6e. Cite the authority for collecting SBU/PII (including SSN if relevant) No PII for federal tax administration is generally Internal Revenue Code Sections 6001, 6011, 6012e(a Yes SSN for tax returns and return information is Internal Revenue Code Section 6109 No SSN for personnel administration (IRS Employees) is 5 USC & Executive Order 9397 No PII for personnel administration is 5 USC No PII about individuals for Bank Secrecy Act compliance 31 USC No Information by CI for certain money laundering cases may be 18 USC 6f. Has the authority been verified with the system owner? Yes B.1 BUSINESS NEEDS AND ACCURACY 7. Explain the detailed business needs and uses for the SBU/PII, and how the SBU/PII is limited only to that which is relevant and necessary to meet the mission requirements of the system. If SSNs (or tax identification numbers) are used, explicitly explain why use of SSNs meets this criteria. Be specific. The systems\projects that reside on EDMPs platform may collect and store documents that contain PII data. EDMP will provide the platform for document management requirements. The type of PII information is limited to the scope of projects leveraging EDMP. The collection of PII data is based on specific project requirements and will be contained within the projects application. SSNs are used for identification purposes and is also limited to the scope of projects leveraging EDMP. 8. How is the SBU/PII verified for accuracy, timeliness, and completeness? Explain how steps are taken to ensure that all information maintained by the system that is used by IRS to make any adverse determination about an individual's rights, benefits, and/or privileges is maintained with such accuracy, relevance, timeliness, and completeness as is reasonably necessary to assure fairness to the individual in the determination The projects on this infrastructure have data validation checks in place. Please refer to projects PIA for details on the process involved C. PRIVACY ACT AND SYSTEM OF RECORDS 9. Are 10 or more records containing SBU/PII maintained, stored, and/or transmitted by or through this system? Yes 9a. If yes, are records in the system retrieved by any personal identifier (e.g., name, SSN, Photograph, IP Address) for an individual? Yes If yes, is there a System of Records Notice(s) or SORNs that addresses the PII records in this system? Yes If yes, enter the SORN number(s) and the complete the name of the SORN. If yes, does the System of Records Notice(s) (SORN) published in the Federal Register adequately describe the records as required by the Privacy Act? Yes D. RESPONSIBLE PARTIES 10. Identify the individuals for the following system roles. N/A E. INCOMING PII INTERFACES 11. Does the system receive SBU/PII from other system or agencies? F. PII SENT TO EXTERNAL ORGANIZATIONS No G. PRIVACY SENSITIVE TECHNOLOGY 13. Does this system use social media channels? No 14. Does this system use privacy-sensitive technologies such as mobile, cloud, global position system (GPS), biometrics, RFID, etc.? No 15. Does the system use cloud computing? No 16. Does this system/application interact with the public? No H. INDIVIDUAL NOTICE AND CONSENT 17. Was/is notice provided to the individual prior to collection of information? Yes 17a. If yes, how is notice provided? Was the individual notified about the authority to collect the information, whether such is mandatory or voluntary, the purpose for which the information will be used, with whom the information may be shared, and the effects, if any, if they decide not to provide any of the requested information? EDMP is a platform that provides infrastructure support (i.e. applications that reside on EDMP) to document management applications. Verification and notification is provided by the projects leveraging EDMP. Due Process is provided pursuant to 5 USC. 18. Do individuals have the opportunity to decline from providing information and/or from consenting to particular uses of the information? Yes 18a. If yes, describe the mechanism by which individuals indicate their consent choice(s): Tax Payers have the option to decline to send information. Due Process is provided pursuant to 5 USC. 19. How does the system or business process ensure due process regarding information access, correction and redress? The system will allow affective parties the opportunity to clarify or dispute negative information that could be used against them in denying benefits or disciplinary actions. Due Process is provided pursuant to 5 USC. I. INFORMATION PROTECTION 20. Identify the owner and operator of the system (could be IRS owned and Operated; IRS owned, contractor operated; contractor owned and operated) IRS Owned and Operated 21. The following people have access to the system with the specified rights: IRS Employees? Yes \| Managers \| Yes \| Read-Only \| \|---\|---\|---\| \| Sys. Administrators \| Yes \| Administrator \| \| Developers \| Yes \| Read-Only \| Contractor Employees? Yes \| Contractor Employees? \| Yes/No \| Access Level \| \|---\|---\|---\| \| Contractor Users \| Yes \| Read-Only \| \| Contractor Managers \| No \| \| \| Contractor Sys. Admin. \| Yes \| Administrator \| \| Contractor Developers \| Yes \| Read-Only \| 21a. How is access to SBU/PII determined and by whom? Authorized users who have requested and been granted access through OL5081 and are approved by their management 21b. If computer matching occurs, can the business owner certify that it meets requirements of IRM 11.3.39 Disclosure of Official Information, Computer Matching & Privacy Protection Act ? Not Applicable I.1 RECORDS RETENTION SCHEDULE 22. Are these records covered under the General Records Schedule (GRS), or have a National Archives and Records Administration (NARA) archivist approved a Record Control Schedule (RCS) for the retention and destruction of official agency records stored in this system? Yes 22a. If yes, how long are the records required to be held under the corresponding RCS and how are they disposed of? In your response, please include the complete IRM number 1.15.XX and specific item number and title. All records housed in the system will be erased, purged, destroyed, or transferred from the system at the conclusion of their retention period(s) as required under IRM 1.15.6, and in accordance with IRS Records Control Schedule (RCS) 19 and Document 12829 (GRS) 4.3. Recordkeeping series using this infrastructure and identified as unscheduled are to be scheduled in coordination with the IRS Records and Information Management (RIM) Program Office and the IRS Records Officer I.2 SA&A OR ECM-R 23. Has the system been through SA&A (Security Assessment and Authorization) or ECM-R (Enterprise Continuous Monitoring Reauthorization)? Yes 23a. If yes, what date was it completed? 3/2/2015 23.1 Describe in detail the system s audit trail. EDMP provides audit trail capability. EDMP tracks and maintains a log of all user activity that takes place in the system. Audit data is collected on successful login (SEID that signed in), document accessed, document created or modified, date and time accessed and workflow initiated. Each transaction is recorded in the audit tables and can be retrieved through a query. J. PRIVACY TESTING 24. Does the system require a System Test Plan? Yes 24b. If yes, Is the test plan in process or completed: In Process , when is the test plan scheduled for completion? 12/17/2015 If in process 24.3 If completed/ or in process, describe what testing and validation activities have been conducted or are in progress to verify and validate that the applicable Privacy Requirements (listed in header) have been met? The objective of EDMP STP IST Release 1 is to test the infrastructure in the following areas, supported by the physical architecture below and as such the Privacy Requirements listed above are Not Applicable to EDMP Release 1 1. Authentication and authorization to allow users to log into EDMP 2. Client tools (Webtop and Taskspace) connectivity to allow users to access various repositories and content management services per assigned user privilege 3. SAN connectivity to allow users to retrieve stored data 4. LDAP integration on project systems K. SBU Data Use 25. Does this system use, or plan to use SBU Data in Testing? No L. NUMBER AND CATEGORY OF PII RECORDS 26. Identify the number of individual records in the system for each category: 26a. IRS Employees: Under 50,000 26b. Contractors: Under 5,000 26c. Members of the Public: Not Applicable 26d. Other: No M. CIVIL LIBERTIES 27. Does the system maintain any information describing how any individual exercises their rights guaranteed by the First Amendment? No 28. Is the system information used to conduct data-mining as defined in the Implementing the 9/11 Commission Recommendations Act of 2007, Public Law 110-53, Section 804? No 29. Will this system have the capability to identify, locate, and monitor individuals or groups of people? No N. ACCOUNTING OF DISCLOSURES 30. Does the system include or require disclosure of tax or employee information to anyone other than IRS employees in the performance of their duties, or to the person to whom the information pertains or to a 3rd party pursuant to a Power of Attorney, tax or Privacy Act consent? No End of Report
JESUS CHRIST, THE HOLY SPIRIT AND THE APOSTLES Ed Dye 1. INTRODUCTION 1. A gross misconception of the Holy Spirit and his work leads to all kinds of religious error. In fact, it may ultimately be the fundamental error underlying all other errors. 2. This is especially true of the almost universal failure to comprehand the Biblical teaching concerning the work of the Holy Spirit through the Apostles of Christ. 3. No one can properly understand the new covenant of Jesus Christ without at least a working knowledge of the apostle's role in is revelation, delivery, and confirmation. 4. Therefore, in our introduction to the study of "Jesus Christ, The Holy Spirit And The Apostles Of Christ" we offer a summary of the subject to be discussed. 5. During his early ministry Jesus chose 12 men to represent him on earth (to be his ambassadors) after he ascended back to heaven. Then after his ascension another man was selected for the same purpose and work. 6. These chosen men, known as Apostles of Jesus Christ, were to be "baptized with the Holy Spirit," by which means they would reveal the truth, all the truth, and speak for the Lord of all matters pertaining to "the faith" and its practice. 7. As his chosen ambassadors what they bound or loosed on earth was to be (in fact, was already) bound or loosed in heaven, Mt.18:18. 8. In short, the Holy Spirit revealed God's will to man through the apostles of Christ and through no others. 9. But in order to fully understand this process, we need to get a broader, fuller Biblical perspective of the function of the apostles under the direction and guidance of the Holy Spirit, which is the burden of this study of "Jesus Christ, The Holy Spirit And The Apostles Of Christ." II. DISCUSSION A. FIRST, THERE WAS JOHN, THE BAPTIST, AND THE PROMOSE OF HOLY SPIRIT BAPTISM, Mt.3:7-11. 1. John, of course, was the harbinger of Jesus Christ – he came before the time of Jesus and his apostles. Them identified and introduced Jesus to the Jews as the Christ. Jno.1. 2. John preached only to the Jews – to the "lost sheep of the house of Israel." 3. John was the first one in the N.T. to declare that the coming Savior would be the one to baptize with the Holy Spirit when he said: the one "that cometh after me is mightier that I, whose shoes I am not worthy to bear: he shall baptize you with the Holy Spirit…", 3:11. B. LATER, THE FOUR-FOLD PROMISE JESUSS MADE TO HIS CHOSEN APOSTLES. 1. The promise of Holy Spirit baptism to them (the Apostles). a. Lk.24:48,49. b. Ac.1:1-5. 2. The promise of the keys to the kingdom of heaven. a. In Mt.16:19 the promise was made to Peter alone. b. But in Mt.18:18 what had been promises to Peter alone in Mt.16:19 is here promised to all the apostles. c. The keys were symbols of authority, the authority delegated to the apostles of Christ, and to them alone. (1) No one else, then or now, was or is given this authority. (2) It was something peculiar to the apostles and their work. (3) Their mission, the reason they were chosen, called, and sent, was to authoritatively represent Jesus Christ on earth after his ascension to heaven. (4) They were his authoritative spokesmen, his ambassadors, in the establishment and propagation of Christianity, the faith of Christ. See 2Cor.5:1720. 3. The promise to act as judges, Mt.19:27,28. a. The context shows that the "ye which have followed me" refers to his chosen apostles, Vv.27,28a. b. These chosen apostles were to act as judges: "ye also shall sit upon twelve thrones, judging the twelve tribes of Israel," V.28b. (1) The 12 tribes of Israel here referred to obviously means the spiritual Israel of God or Christians, not the literal 12 tribes of ancient and fleshly Israel. See Jas.1:1-3; Gal.6:15,16. (2) The thrones are simply symbols of authority. (3) The apostles were thus to be the judges (exercasing the authority delegated to them by Christ) of spiritual matters. (4) They were to reveal and bind heaven's decisions on all matters of faith. c. The time during which they were to do this is identified by Jesus in V.28: "And Jesus said unto them, verily I say unto you That ye which have followed me, in the regeneration when the Son of man shall sit in the throne of his glory, ye also shall sit upon thrones, judging the twelve tribes of Israel." See Lk.22:29,30. (1) It was during the period of regeneration. (2) "In the regeneration," or the period of regeneration can hardly bear any meaning but the period of time (the Christian age)when men could be, and would be, regenerated or born again, be saved and become Christians. (3) See especially Tit.3:4-7; Jno.3:3-7; Ac.2:21-42 for the process of regeneration, or being born again. (4) During the period of "the regeneration" is the exact time "when the Son of man shall sit in the throne of his glory." (5) Jesus took his seat on the right hand of God when he ascended back to heaven after his earthly ministry, from which he will rule till his 2 nd Coming, Lk.24:50,51; Ac.1:1,2; 2:29-35; 7:56; Heb.1:1-3; 1Cor.15:23-26. (6) Thus "the regeneration" is the period between Christ's ascension to heaven and his 2 nd Coming, wherein the process of regeneration is in force. 4. The promise to reveal all truth to the apostles. a. Jno.14:25,26. b. Jno.15:26,27. c. Jno.16:12,13. d. This was the Lord's method of making his will and way known to all men. See Mt.28:18-20. e. The apostles were the Lord's human instruments in the revelation of God's will to man. f. They were to make known what the Holy Spirit revealed unto them, which was all of the truth. See 1Cor.2:9-13. g. To prepare for the time when no apostle would be living on the earth, and the end of miraculous intervention by God, the Holy Spirit guided the apostles to write down the message they had received by revelation, Eph.3:3,4. h. What they wrote became the N.T., at which time the message ceased to be in living men but was contained in an inspired Book. i. Yet it is the same message as before, spoken by the same authority, and having the same power. See Heb.4:12; Jas.1:18,21; Rom.1:16,17. j. The only difference is that it was in the men while they lived, now it is the Book after they died. (1) It is still the apostle's doctrine (Mt.18:18; Ac.2:42) and/or the "doctrine of Christ" (2Jno9,10). (2) This word of God is still living and active, Heb.4:12. C. THE PROMISE OF CHRIST RECEIVED: TIME AND PLACE. 1. Lk.24:48,49. a. What they were to be to Jesus: his "witnesses of these things." b. What they were to receive: "the promise of my Father," and "be endued with power from on high." c. The place where they were to receive this promise: "in the city of Jerusalem." 2. Ac.1:1-5,8. a. Shortly before "he was taken up…he through the Holy Spirit" gave commandments to his chosen apostles, V.2. b. He had also "showed himself alive (to them) after his passion by many infallible proofs (positive proofs). c. V.4 identifies the place they were to receive what. (1) The place: Jerusalem. (2) The what: "the promise of the Father," as mentioned in Lk.24. d. V.5 identifies "the promise of the Father" as being "baptized with the Holy Spirit." e. See V.8. Cf. Mk.9:1. 3. Ac.2:1-4 tells us when they received the promise of the power of the Holy Spirit. D. THE RESULTS OF THE PROMISE RECEIVED. 1. They were enabled to "speak with other tongues, as the Spirit gave them utterance," V.4. a. These "tongues" were "languages," V.6. b. They were the tongues of the people they addressed, or as the people said: "and how hear we every man in our tongue, wherein we were born?" V.8. (1) They were not born speaking. (2) "Wherein we were born" simply means our native tongue or language. c. Thus these were not ecstatic utterances, such as characterizes the modern Pentecostal movement. d. The Spirit gave them the power to speak languages which they had not studies to learn the normal way. e. This power of the Spirit was necessary in order for them to preach the gospel in all the world to people of different languages. f. See 1Cor.14:37; 1Cor.12,13. 2. The apostles were given the power of the Holy Spirit to work miracles to confirm their message; not the personal indwelling of the Holy Spirit, but the power of the Holy Spirit. a. Mk.16:19,20 b. 2Cor.12:12. c. Heb.2:1-4. d. See Lk.24:49; Ac.1:8 Mk.9:1 the power of the Holy Spirit. 3. The apostles, and only the apostles, had the extraordinary power of the Spirit of passing on to others different miraculous gifts by the laying on of their hands. a. Ac.8:12-19 (1) They did not receive the Holy Spirit, but the power of the Holy Spirit to perform or use the spiritual gifts by the laying on of the apostles' hands. b. Compare Ac.19:5,6 with Ac.8:17. See 1Cor.12:7-11. c. Rom.1:11; 2Tim.1:6. d. See Ac.2:16-18,21,37,38 (Joel 2:28-30; Mk.16:17,18; Rom.12:6. Cf. Rom.1:11. 4. They, then being the recipients of the revealed word of God, began to be witnesses and ambassador of Jesus Christ to the world. a. Lk.24:44-49; Ac.1:8. b. Ac.2:42; 2Cor.5:17-20. c. Mt.28:18-20; Jno.20:21-223; Ac.2:36-38. III. CONCLUSION 1. Thus we have Scriptural proof of and can now see that the work of the Holy Spirit through the apostles of Christ is an integral part of God's scheme of human redemption. 2. In fact, its clear that the scheme of human redemption was revealed by the Holy Spirit through the apostles. 3. Which means it was from God the Father to Jesus Christ, the Son, then to the apostles by means of the Holy Spirit, by which it was revealed to all men, all nations – both Jew and Gentile. (Credit to Howard Winters – from his book: "The Work of the Holy Spirit," pp.18-32.)
AN EXAMINATION OF THE INTERSECTION OF OUTDOOR ADVENTURE EDUCATION AND TEACHER EDUCATION by Lincoln Ingraham Davie A dissertation submitted in partial fulfillment of the requirement for the degree of Doctor of Philosophy in Education MONTANA STATE UNIVERSITY Bozeman, Montana May 2016 ©Copyright by Lincoln Ingraham Davie 2016 All Rights Reserved ACKNOWLEDGEMENTS I would like to thank all who have aided in the process of completing this degree. I would like to thank, first and foremost, my family and friends for supporting me in this endeavor, through the highs and the lows. Completing this degree would not have been possible without the support of a variety of mentors. Dr. Laurence Soroka, I am forever grateful for all your insight, guidance, and willingness to allow me to participate in your Expeditionary Studies Program. Your mentorship has been invaluable to me as a teacher, adventurer, and researcher. I would like to thank Dr. Sweeney Windchief for your wisdom and guidance in both the classroom and during my "hall walking" endeavors. I would like to sincerely thank Dr. Tena Versland and Dr. Nick Lux for your guidance and support in navigating the comprehensive exam and dissertation process. I would like to express my sincere and deep appreciation for the amazing Dr. Art Bangert. I feel privileged to have spent the past four years working closely with you. Finally, I would like to express my deepest appreciation for my chair and mentor Dr. Jayne Downey. I will forever appreciate all you have done for me in supporting, guiding, and inspiring me throughout this process. TABLE OF CONTENTS TABLE OF CONTENTS-CONTINUED TABLE OF CONTENTS-CONTINUED \| Contribution to Understanding \| \|---\| \| of Outdoor Adventure Engagement \| LIST OF TABLES LIST OF TABLES-CONTINUED viii LIST OF FIGURES Figure Page ABSTRACT Scant research exists investigating the intersection of outdoor adventure education and teacher education. The purpose of the current study is to explore the relationship of outdoor adventure engagement and pre-service teachers' perceptions of preparedness to teach. A sample of 209 undergraduate students enrolled in education classes competed a survey consisting of: demographic questions pertaining to outdoor adventure engagement, The 12-item Teacher Sense of Efficacy Scale (TSES) (Tschannen-Moran & Hoy, 2001), The Short Grit Scale (Grit-S) (Duckworth & Quinn, 2009), and survey questions regarding preparedness to teach derived from the InTASC standards (CCSSO, 2013). A partial least squares structural equation model (PLS-SEM) was used to investigate this relationship and was mediated by teacher efficacy beliefs and the personality trait of grit. The results of the current study demonstrate the unique nature of outdoor adventure engagement in relation to pre-service teachers. The current study did not find significant relationships between outdoor adventure engagement and perceptions of preparedness to teach. This may be the result of a homogenous population that reported a higher than expected level of experience with outdoor adventure activities. Results from the path analysis did find significant direct effects of teacher efficacy and grit on preparedness to teach. However, the direct effect of grit on preparedness was significantly mediated by teacher efficacy. The research supports the need for more investigation of outdoor adventure education and teacher education. Additionally, the study supports the need for more investigation of healthy manifestations of grit, which may be informed through outdoor adventure education. CHAPTER 1 INTRODUCTION Background of the Study The Nature and Role of Individuals' Beliefs The study of the nature and role of individuals' beliefs has a long and wellestablished history (Ajzen, 1985; Deci & Ryan, 1985; Seligman, 1991; Weiner, 1974). This body of literature has defined individual beliefs as "mental constructions of experience – often condensed and integrated into schemata or concepts" (Sigel, 1985, p. 351). Findings suggest that individuals' beliefs play a key role in how life tasks and experiences are interpreted, as well what and how people learn from those tasks and experiences (Nespor, 1987). Thus, individuals' beliefs serve a vital role in the interpretation of experiences as they aid the individual in the action of integrating and condensing experiences. Consequently, an increasing body of research has investigated the relationship between beliefs and actions. As emphasized by Bandura (1989) "expectations, beliefs, self-perceptions, goals, and intentions give shape and direction to behavior. What people think, believe, and feel, affects how they behave" (p. 3). The Role of Beliefs in Teaching Grounded in the knowledge of the connection between individuals' beliefs and actions in everyday life, educational researchers have carefully explored the relationship between K-12 teachers' beliefs and actions in classroom settings. Studies have found that teachers' beliefs are closely related to their goal-setting, aspirations, and instructional decision-making in the classroom (Kuzborska, 2011). Research has also explored how teachers' beliefs and their consequent actions impact student learning. As highlighted by Sanders and Horn (1998), "the teacher effects on student achievement have found to be both additive and cumulative with little evidence that subsequent effective teachers can offset the effects of ineffective one" (p. 254). In light of the substantial impact of teacher beliefs on student learning, this area of investigation continues to be an important construct in educational research. The Role of Beliefs in Preservice Teacher Preparation An important area of consideration within teacher preparation programs is the role of preservice teachers' (PT) beliefs about teaching and learning. Research suggests that PTs enter their teacher education program with explicit and tactic beliefs of what constitutes good teaching (Pajares, 1992; Pintrich & De Groot, 1990). These beliefs have been formed as a result of observing teaching for 12 years in K-12 classrooms (Lortie, 1975). However, the "apprenticeship of observation" (Lortie, 1975, p. 61) can result in serious misconceptions about the work of teaching and learning. For example, one study revealed an alarming underestimation of the amount of effort required for effective instruction. Lortie (2002) reported that 90% of in-service teachers found teaching to be more difficult than they expected. Consequently, scholars such as Larabee (2002) have deemed this misconception about teaching and learning as "endemic among teacher candidates" (p. 231). Research has established that PTs' existing beliefs about teaching and learning (in domains such as student motivation, pedagogy, or content), can influence what PTs learn in their preparation programs (Kagan, 1992; Tiezzi & Cross, 1997). Research has also found that PTs explicit and tacit beliefs can support and/or impair their knowledge acquisition, interpretation, and subsequent teaching practice (Strutchens, 2000; Wentworth & Pinnegar, 1996). Given the serious consequences that a teacher's beliefs can have for students' academic success (Strutchens, 2000), researchers have investigated various approaches to helping PTs' develop constructive beliefs about the teaching and learning process (Nilson, 1998). Previous research has found that engaging PTs in authentic learning experiences can provide the space for PTs to recognize and critically examine their underlying beliefs (Nilson, 1998). As highlighted by Standerfer (2003), authentic learning experiences can be created through actively engaging the aspiring teacher on a personal level in a relevant activity that offers: a significant degree of social interaction, a level of real or perceived risk, and multiple avenues for reflection through oral or written discourse. These types of authentic learning experiences can provide the needed space to reveal and address misconceptions in relation to the teaching and learning process. Moreover, authentic learning supports a personalized, experiential approach for PTs to evaluate and improve the accuracy of both their explicit and tacit beliefs. The Role of Outdoor Adventure Education (OAE) Outdoor adventure education (OAE) is emerging as a field of research that may provide a valuable approach to engaging PTs in authentic learning situations (Carlson & McKenna, 2000; Kanters, Brisol, & Attarian, 2002; Timken & McNamee, 2012; Fagerstam, 2014). OAE is defined as, a variety of teaching and learning activities and experiences usually involving a close interaction with an outdoor natural setting and containing elements of real or perceived danger or risk in which the outcome, although uncertain, can be influenced by the actions of the participants and circumstances (Ewert & Sibthorp, 2014, p. 5). Typically, the goal of this type of experience is the development of intrapersonal and interpersonal skills in recreational, educational, developmental, and therapeutic contexts (Priest & Gass, 2005). Personal Improvement Previous research suggests that outdoor utilization, the use of the natural environment, and adventure programs can serve to promote self-regulation (Sibthorp et al., 2015), personal wellness, stress reduction (Marselle, Irvine, & Warber, 2014), increased resilience (Ewert & Yoshino, 2011; Beightol, Jevertson, Carter, Gray, & Gass, 2012), and reduced racial prejudice (Wright & Tolan, 2009). Research also suggests that OAE programs can support significant increases in self-efficacy with increases persisting a year after the OAE program ends (Probst & Koesler, 1998). Academic Improvement Previous research found the use of the outdoors as a teaching/learning space resulted in improved performance on standardized tests, fewer classroom disruptions, increased student engagement and excitement for learning (Lieberman & Hoody, 1998), and increased academic achievement motivation (Athman & Monroe, 2004). These findings are also supported by neurological research, which found that neurologically, the multisensory experience of the outdoors supported the development of robust long-term episodic memories (Jordet, 2010). Teaching Improvement Research on pre-service teacher engagement in adventure has found an increased appreciation of supportive environments for students (Carlson & McKenna, 2000) and a reduction of stress (Kanters, Bristol, & Attarian, 2002). Timken and McNamee (2012) found that outdoor adventure experiences increase positive beliefs pertaining to preservice physical education teachers and their future relating to students. Research has also examined teachers' perceptions of the value of including the outdoors in their K-12 teaching and found increased student motivation, communication, and participation (Fagerstam, 2014). Udall and Rugen (1997) argue that, when teachers have lived an educational experience and reflected on their own growth as learners, they are better able to grasp the educational value of the experience and to reap its rewards in their own classrooms (p. 404). However, scant research has investigated the role of outdoor adventure education and its impact on teacher beliefs of what constitutes effective instruction. Theoretical Framework The preparation of PTs is a complex process and a variety of factors contribute to their readiness to enter their first teaching position. Every PT preparation program must facilitate PTs' development of the knowledge, skills, and beliefs necessary to enter the profession as a highly effective educator. One approach to understanding the complexity of this work is through the lens of social cognitive theory. As Bandura (1989) stated, Human behavior has often been explained in term of one-sided determinism. In such modes of unidirectional causation, behavior is depicted as being shaped and controlled either by environmental influences or by internal dispositions. Social cognitive theory favors a model of causation involving triadic reciprocal determinism. In this model reciprocal causation, behavior, cognition and other personal factors, and environmental influences all operate as interacting determinants that influence each other bidirectionally (p. 2). This framework demonstrates how teachers' beliefs can be shaped by both their personal actions their and environmental experience. Thus, the process of preparing pre-service teachers to enter their first teaching position requires teacher educators to pay attention to the triadic reciprocal determinism, i.e., the bidirectional interaction of the environmental, behavioral, and personal components (Figure 1). Figure 1. Reciprocal Causation: Relationship to Teacher Preparedness. Behavior Factors Environmental Factors Personal Factors In this light, OAE offers a unique opportunity to investigate the role of experience to inform the beliefs and actions needed to be fully prepared to teach. While the current study is grounded theoretically by this triadic structure, the emphasis of the study is to investigate the intersection of OAE and teacher education from a holistic perspective and examine the relationship of OAE to personal and behavioral factors. This investigation is aligned with Bandura's (1989) theory reciprocal causation. As stated by Bandura (1989), "Reciprocal causation does not mean that the different sources of influence are equal of strength. Some may be stronger than others" (p. 2). As a result, the current study focuses specifically on the relationship of the environmental factor to the other factors in the triadic structure. However, in order to fully investigate this environmental factor, both the behavioral and personal factors need to be included in the study. Consequently, aspects of each leg of the reciprocal causation model will be examined. The first relationship in the model is the connection between environmental and personal factors. This relationship is depicted as: Human expectations, beliefs, emotional bents and cognitive competencies are developed and modified by social influences that convey information and activate emotional reactions through modeling, instruction and social persuasion (Bandura, 1989, p. 3). Thus, an individual's environment can be influenced by a variety of personal factors such as age, race, size, sex, physical attractiveness, or social status (Bandura, 1989) and these factors can act in a reciprocal manner to influence the individual's beliefs. For example, the social experiences within OAE may serve to support and strengthen the personal belief structures of the PT. The second relationship in the model is the connection between environmental and behavioral factors. This relationship is described as, In the transactions of everyday life, behavior alters environmental conditions and is, in turn, altered by the very conditions it creates. The environment is not a fixed entity that inevitably impinges upon individuals. When mobility is constrained, some aspects of the physical and social environment may encroach on individuals whether they like it or not. But most aspects of the environment do not operate as an influence until they are activated by appropriate behavior (Bandura, 1989, p. 4). Action is required to influence environmental factors. Bandura (1989) stresses that people are the products and the producers of their environment, and that this process operates bidirectionally. In this study, the context of OAE may serve to support and strengthen the personal actions and behaviors of the PT. The third relationship in the model is the connection between the personal and behavioral factors. This relationship is defined as, "the interaction between thought, affect and action. Expectations, beliefs, self-perceptions, goals, and intentions give shape and direction to behavior. What people think, believe, and feel, affects how they behave" (p. 3). However, as Bandura (1989) highlights, these two factors function bidirectionally in the causation model. Thus, in this study, a teacher with an adventurous personality may be more willing to push their pedagogical approaches by trying new methods. Additionally, the rewards associated with this action may reinforce the personality of the adventurous individual and teacher. Conceptual Framework The overarching goal of teacher education programs is to produce well-prepared teachers. The current study seeks to examine the relationship between three factors that may be related to PTs' preparedness to teach: teacher efficacy (Behavioral), grit (Personal), and outdoor adventure engagement (Environmental) (Figure 2). Figure 2. Reciprocal Causation: Possible Predictors of Teacher Preparedness. Behavior Factors: Teacher Efficacy Environment Factors: Outdoor Adventure Engagement Personal Factors: Grit In this study, teacher efficacy is defined as a teacher's belief in his or her ability to bring about desired outcomes in student learning (Tschannen-Moran & Hoy, 2001). Grit as defined by Duckworth, Peterson, Matthews, and Kelly (2007), is "perseverance and passion for long-term goals" (p. 1087). Both of these constructs are considered as positive attributes of teachers. OAE is defined as an active learning process utilizing adventurous activities and, usually, natural environments. Typically, the focus of this type of education is the development of intrapersonal and interpersonal skills and has some semblance of risk, whether real or perceived (Priest & Gass, 2005). The role of beliefs, such as efficacy, and personality traits, such as grit, are linked within this framework. The inclusion of OAE, as an environmental factor, completes the reciprocal causation model in investigating the preparation of pre-service teachers. Each individual PT brings forth a lifetime of experience in both the adventure and education realms. This experience is fostered through social processes such as mentorships from other adventurers and educators. The social nature of the adventure process lends itself well to the promotion of efficacy to teach. Self-efficacy, a social cognition, is unique for each individual. Motivation for engagement in outdoor adventure is equally unique for each individual. Adventure education offers an individualized context for the promotion and development of efficacy. As posited by Sibthorp (2003) "adventure experiences [are] ideal for self-efficacy development" (p. 88). Social cognitive theory is a unique lens to view grit. While grit has been traditionally studied as a personality theory, it can also contribute to our understanding of the social elements of the learning process. This is particularly the case with the selfregulation that is required for persistence and stamina needed to meet long-term goals. Self-efficacy involves the four psychological processes of cognition, motivation, affect, and selection. These processes aid the PT in his or her efforts to meet teaching goals. Furthermore, effective teaching requires thought, motivation, emotional control, and selection of healthy goals. Grit similarly requires the regulation of these processes. Previous research has examined the relationship bewteen grit and self-control (Duckworth & Gross, 2014). These two domains differ; however, there are components that highlight the relevance of a personality trait, like grit, within social cognitive theory. As postulated by Duckworth and Gross (2014), grit entails having a dominant superordinate goal (e.g., producing useful new insights into the psychological determinants of success) and tenaciously working toward it in the face of obstacles and setbacks, often for years or decades (p. 321). Further, as emphasized by Duckworth and Gross (2014), Very generally, we assume that commitment to a superordinate goal is a function of that goal's feasibility and desirability, and thus that the diverse psychological antecedents to such valuations (e.g., growth mindset, optimism, attributional style, locus of control, counterfactual style, core self-evaluation, intrinsic motivation, interest, approaches to happiness) are logical targets for intervention and inquiry (p. 323). Social cognitive theory, and examining the relationship to self-efficacy offers a new lens of investigation of grit. Likewise, the current research aids social cognitive theory by examining the relationship of outdoor adventure engagement and preparedness to teach within a reciprocal causation model. The study uses the theoretical underpinnings of reciprocal causation, but as Bandura (1989) emphasizes, not all legs of the model are equal. Consequently, this exploratory study is particularly interested in the role of OAE (environmental factor) within the triadic structure. The Need for the Study Problem Previous research has showcased that teacher efficacy is the most important inschool influence on student outcomes (Rivkin, Hanushek, & Kain, 2005; Robertson-Kraft & Duckworth, 2014; Rockoff, 2004; Sanders & Rivers, 1996). Highly efficacious teachers are seen to be more effective with teaching to diverse students (Burton & Pace, 2009; Peebles & Mendaglio, 2014), employ higher quality classroom management strategies (Woolfork, Rosoff, & Hoy, 1990), enjoy higher job satisfaction (Caprara, Barbaranelli, Borgogni, & Steca, 2003), commitment (Coladarci, 1992), and report a lower perception of job-related stress (Skaalvik & Skaalvik, 2007). Furthermore, highly efficacious teachers improve student outcomes such as motivation and achievement (Gibson & Dembo, 1984; Ashton & Webb, 1986; Goddard, Hoy, & Hoy, 2000; Tschannen-Moran & Hoy, 2007). Previous research has also examined strategies to strengthen efficacy with PTs (Pendergast, Garvis, & Keogh, 2011; Zach, Harari, & Harari, 2012). Likewise, teaching efficacy has been investigated in the outdoor education realm (Schumann & Sibthorp, 2014) with efforts to strengthen its belief with these educators as well (Schumann, 2013). The problem is that scant research has investigated the relationship between teaching efficacy in the context of OAE and various forms of efficacy in the context of the K-12 classroom. Previous research demonstrated grit promotes retention in a career (Duckworth et al., 2007; Robertson-Kraft & Duckworth, 2014), teaching effectiveness (Duckworth et al., 2009; Roberston-Kraft & Duckworth, 2014), and promotes individuals to work harder to reach goals (Robertson-Kraft & Duckworth, 2014). Anecdotal evidence exists of the possible relationship of grit and outdoor adventure (Antin & Gregory, 2015; Micucci, 2015). However, to date, no empirical studies analyze this relationship. Additionally, as grit is still a newer construct, more research into possible relationships with other predictive variables, such as teacher efficacy, is needed (Duckworth & Gross, 2014). Purpose The purpose of the current study is to explore the relationship of OAE and PTs' perceptions of preparedness to teach mediated by teacher efficacy beliefs and the personality trait of grit. The current study uses the theoretical framework of reciprocal causation model, but is specifically interested in the effects of the environmental factor of OAE within the triadic structure (Figure 3). Figure 3. Reciprocal Causation Structural Equation Model. The study seeks to add to the literature in informing the intersectionality of teacher education programs and OAE. Notably, the study examines the role of belief structures in relation to long-term, hierarchical goal as emphasized by grit. Research Questions This study of undergraduate teacher education majors at Montana State University was guided by the following research questions and hypotheses: 1. Is there a relationship between outdoor adventure engagement and student perception of preparedness to teach? H0: There is a relationship between outdoor adventure engagement and student perception of preparedness to teach. H1: There is not a relationship between outdoor adventure engagement and student perception of preparedness to teach. 2. Is there a relationship between outdoor adventure engagement and teacher efficacy? H0: There is a relationship between outdoor adventure engagement and teacher efficacy. H1: There is not a relationship between outdoor adventure engagement and teacher efficacy. 3. Is there a relationship between outdoor adventure engagement and grit? H0: There is a relationship between outdoor adventure engagement and grit. H1: There is not a relationship between outdoor adventure engagement and grit. 4. Is there a relationship between teacher efficacy and grit? H0: There is a relationship between teacher efficacy and grit. H1: There is not a relationship between teacher efficacy and grit. H0: Teacher efficacy mediates the effects of grit on student perceptions of preparedness to teach. 5. Does teacher efficacy mediate the effect of grit on student perceptions of preparedness to teach? H1: Teacher efficacy does not mediate the effects of grit on student perceptions of preparedness to teach. Overview of the Study Methodology Structural equation modeling (SEM) was used to investigate the relationship of the reciprocal causation model and its impact on student preparedness to teach. More specifically, the study investigated the relationship of OAE and preparedness to teach, mediated through teacher efficacy and grit. The sample for the current study consisted of 209 undergraduate students enrolled in education classes at Montana State University. Data for this study were collected using four instruments. Two of the instruments are well-established educational instruments. The 12-item Teacher Sense of Efficacy Scale (TSES) (Tschannen-Moran & Hoy, 2001) was selected due to its focus on instruction. The Short Grit Scale (Grit-S) (Duckworth & Quinn, 2009) was selected for the study, as the eight-item version is psychometrically stronger than the original 12-item original grit scale. The third instrument consisted of survey questions regarding preparedness to teach derived from the InTASC standards (CCSSO, 2013). The final instrument was created by the researcher to assess levels of outdoor adventure engagement. Significance of the Study The nature of this study is unique in its focus on the intersection of outdoor adventure education and the preparation of PTs. Additionally, the study is unique in its use of reciprocal causation to guide the investigation. As emphasized by Bandura (1989), the way people think, believe, and feel affects their actions. Likewise, their interaction with the environment and with experiences impact action and beliefs. The current study is unique in analyzing the environmental factor through outdoor adventure engagement. The use of quantitative methodology is also significant, as more rigorous quantitative research has been called for in the realm of OAE literature (Scrutton & Beames, 2015). To date there no studies investigate the relationship of OAE and grit. There is anecdotal evidence of this link (Micucci, 2015), but empirical study is needed. Personality traits, as seen with grit, offer an intriguing investigation. As postulated by Duckworth and Quinn (2009), The implicit assumption is that the tendency to pursue long-term goals with passion and perseverance is relatively domain general, but of course, it is possible that an individual shows tremendous grit in her or his professional life but none at all in her or his personal relationships. Similarly, it may be that an individual see oneself as gritty with respect to a serious hobby but not with respect to one's career (p. 173). This study offers an opportunity to address the possible domain general link of hobby, such as outdoor adventure engagement, and preparedness for ones' future career. Previous research has investigated the role of efficacy with outdoor adventure literature (Lamorey, 2013; Odello, Hill, & Gomez, 2008; Paxton, 1998; Paxton & McAvoy, 2000; Probst & Koesler, 1998; Sibthorp, 2003;). Additionally, previous research has investigated teaching outdoor education self-efficacy (Schumann & Sibthorp, 2014). However, the current study is significant in its investigation of OAE and teacher efficacy. The results of this study will add to the body of knowledge regarding OAE, teacher education, and the intersectionality of these two realms. Additionally, this study will add to the body of knowledge regarding practices for preparing high-quality teacher candidates. Limitations and Delimitations One limitation of this study may be seen in any inconvenience for the participants to complete the survey. Care was taken to ensure that an appropriate number of questions will be asked, and incentives will be obtained to better promote participation and completion of the survey. The current study in interested in outdoor adventure engagement. Bozeman, the location of Montana State University, and the surrounding area is known for being an outdoor adventure destination. However, not all students will be interested in the outdoors or adventure, and consequently may be less willing to participate in a study pertaining to outdoor adventure engagement. Additionally, the study relies on self-reported perceptions of the participants. A delimitation of the study includes the selection of the participants being only from Montana State University. Likewise, the study is interested in outdoor adventure engagement. The study recognizes that there are many different uses of outdoor space, but adventure is the context of investigation. The current study investigated the relationship between OAE and student perception of preparedness to teach. This investigation was mediated through teacher efficacy and grit. The study is grounded in the theory of reciprocal causation, but it is specifically interested in the effects of the environmental factor, defined as OAE, and its relationship to preparedness to teach. This specific analysis allows for a deeper investigation of the role of environmental factors, such as OAE, and its relationship to teacher beliefs. Additionally, correlations were obtained analyzing the relationship of teacher efficacy and grit as possible predictors of student perceptions of preparedness to teach. The results of the study are intended to contribute to both the fields of teacher education and adventure education, however, care must be taken in generalizing to populations outside the population of the current study. Terms Used 1. Grit: is defined as passion and persistence for long-term goals (Duckworth et al., 2007). 2. Outdoor Adventure Education (OAE) is defined as, "a variety of teaching and an outdoor natural setting and containing elements of real or perceived danger learning activities and experiences usually involving a close interaction with or risk in which the outcome, although uncertain, can be influenced by the actions of the participants and circumstances" (Ewert & Sibthorp, 2014, p. 5). Typically, the focus of this type of education is the development of intrapersonal and interpersonal skills and is used for recreational, educational, developmental, and therapeutic purposes (Priest & Gass, 2005). 3. Self-efficacy: a person's belief in his or her ability to succeed in specific situation (Rosen, Glennie, Dalton, Lennon, & Bozick, 2010). 4. Teacher-efficacy: a teacher's belief in his or her ability to bring about desired outcomes in student learning (Tschannen-Moran & Hoy, 2001). CHAPTER 2 LITERATURE REVIEW Introduction Student preparedness to teach is an area that all teacher preparation programs seek to promote. The current study takes a unique approach of analyzing student perceptions of preparedness to teach through the lens of reciprocal causation. More specifically, the study investigates the relationship of outdoor adventure engagement (environmental factors), teacher efficacy (behavioral factors), and grit (personal factors) in relation to preparedness to teach. The current study is exploratory in nature, and is specifically focused on the role of outdoor adventure engagement within the triadic structure. Chapter two presents a review of the literature regarding these three characteristics in relation to teacher preparation. Additionally, the study seeks to inform on current trends in outdoor adventure education (OAE) that are supportive of pre-service teacher preparedness to teach. Environmental Characteristics As stated by Bandura (1989) "The laws of psychology tell us how to structure environmental influences and to enlist cognitive activities to achieve given purposes" (p. 11). Outdoor adventure is a possible mechanism for this influence. The history of outdoor adventure education (OAE) demonstrates this influence. Intersection of OAE and Teacher Education OAE and teacher education share many similarities. Notably, both require specific skills related to the lens of instruction. The exploration of what constitutes masterful teaching (Lowman, 1994) demonstrates the need of interpersonal skills (Chism, 1994; Rendon, 1994; Winser, 2004) and speaking ability (Soles & Powers, 2003; Priest & Gass, 2005; Anderson & Absolon, 2011) as paramount for success. An ability to understand and relate to students, regardless of the context of instruction, is required for an environment conducive for active learning (Bain, 2004). This ability is equally important to effectively teach to diverse student groups where an understanding of how to relate to students (DeBard, 2004; Owen, 2012) is needed. These abilities are relevant in both the outdoor adventure and K-12 classrooms, highlighting the interrelated elements of OAE and teacher education. Teacher preparation programs promote interpersonal skills and communication ability. The emphasis of these skills is rightfully stressed. OAE also focuses on this these skills. However, intrapersonal skills, which is a tenet central to OAE (Priest & Gass, 2005), is critical in preparing effective and reflective educators. OAE, which has a rich history of this process, is a supportive environment in which to provide intrapersonal developmental experiences. An area that is not within the scope of the current study, but central to OAE, is seen in supporting leadership growth. It is from this area that a greater analysis of the role of adventure as an individualized learning mechanism is highlighted. As stated by Graham (1997), "every good leader develops a personal leadership style dependent on personality" (p. 18). The development of a personal style, as a teacher, regardless of the classroom context, requires intrapersonal development much like the development of leadership. The mission of teacher education programs is to prepare pre-service teachers to meet the needs of their future students. This requires the future teacher to develop the ability to reflect and respond (Schon, 1983; 1987) to each of their student's learning needs. OAE provides a framework in which the same need for differentiation is necessary for success as an outdoor educator. The call to teach and relate to a diverse student population (DeBard, 2004) highlights the need for differentiation. This holds true in both the indoor and outdoor classroom. The intersectionality of teacher education and OAE, as seen with outdoor adventure engagement, highlights the role environmental factors. This relationship is further highlighted by the historical groundings of OAE, and the current movement of literature supporting adventure sports coaching (Berry, Lomax, & Hodgson, 2015). Historical Perspectives The discussion of the historical perspectives of OAE requires an investigation of adventure leadership. The current study is not investigating the role of leadership with OAE or teacher preparation, but leadership is a central tenet of the founding and current practice of OAE. Consequently, the analysis of the historical perspectives of OAE requires reference to leadership. The roots of OAE are found more centrally in the United Kingdom. The advent of World War II saw a need for the promotion of leadership skills. Kurt Hahn, considered the founder of the current adventure movement (Priest & Gass, 2005), addressed this need through the use of the outdoors and adventure education. The implication of the war created a need for "fitness for war and character training" (Cook, 1999, p. 157). This was addressed in the U.K. with promotion of The 1944 Education Act (Cook, 1999). The Act included an emphasis on the utilization of the outdoors in promoting the development of the character of the youth (Cook, 1999). The creation of Outward Bound in 1941 (Priest & Gass, 2005) is often recognized as the origination of the adventure education movement. Outward Bound was established to address many of the concerns that developed during the war time era. The United States, similar to the United Kingdom, has an extensive history focused in OAE. The first organized summer camp, Camp Gunner, was founded in 1861, in Washington, Connecticut (Ewert and Garvey, 2007). Similar to the call for the development in the U.K., the founding of outdoor opportunities in the United States were based around principles of wartime; "when the Civil War began, the boys were eager to be soldiers, to march, and especially to sleep out in tents" (Ewert and Garvey, 2007, p. 21). Similar to the trajectory in the U.K., the development of OAE opportunities in the United States was seen from individuals focused in education. Josh Miner, who taught at Hahn's Gordonstoun School in Scotland during the 1950s before moving to Philips Academy in Massachusetts, was a major catalyst in developing the founding of Outward Bound in the United States (Ewert and Garvey, 2007). The evolution of the emphasis of leadership within OAE was seen with the founding of the National Outdoor Leadership School (NOLS). Paul Petzoldt, a chief instructor with Outward Bound, founded NOLS in 1965 to address the need for more leadership training opportunities for guides (Priest & Gass, 2005). The creation of NOLS was an evolution in the adventure leadership field as instructors were now a greater emphasis in the adventure leadership training process. A further evolution in the OAE field, and one that also stemmed out of the founding of Outward Bound was the creation of Project Adventure. As OAE moved back toward the origins of Hahn's work in education, Project Adventure, along with the founding of the Wilderness Education Association, and the Association for Experiential Education, all aided in the promotion of outdoor adventure in education. While Outward Bound, and the offshoots created from its implementation aided in the addition of outdoor and adventure opportunities in higher education, there were additional movements that were a catalyst for this change. Outdoor educators became a needed entity as more organized outdoor experiences were becoming available in the United States. Of note, L.B. Sharp received the first ever Ph.D. in camping education from Columbia in 1929 (Kine, 2008). Furthermore, OAE opportunities became more common in higher education during the 1970s with the inclusion of organized outdoor and adventure programs (Raiola & Sugerman, 1999). Universities have identified OAE as a mechanism for addressing the development of leadership (Canberg, 2003). Likewise, universities seek leadership as a more integral component of their curriculum (Osteen & Coburn, 2012), which adds to the need for more investigation of the intersection of teacher education and OAE. Leadership is a valuable inclusion to any program, but outcomes such as: improved performance on standardized tests, reduction in classroom disruption, increased student engagement and excitement for learning (Lieberman & Hoody, 1998), and an increased motivation for academic achievement motivation (Athman & Monroe, 2004) add to the importance of analyzing this intersection. The utilization of OAE is a source to address the university wide call for leadership, and can aid as a mechanism for preparing future teachers for the achievement-based society of education. OAE has returned to the historical grounding of Kurt Hahn's focus of academic institutions promoting developmental opportunities for students within school environments (Priest & Gass, 2005). This is evident with the increase in opportunities available to pursue OAE in higher education (Kime, 2008). However, there are less explicit opportunities for the inclusion of OAE within teacher preparation programs. Hahn's original aspirations focus on intrapersonal and interpersonal skills (Kime, 2008) with school aged youth. These are similar tenets stressed within teacher education programs. Education programs continue to emerge to address the intersection education of K-12 education and OAE. Currently, institutions such as the High Mountain Institute, in Leadville Colorado, and the Alzar School, of Cascade Idaho, are merging outdoor space, adventure, and academics to provide supportive environments for student growth. Institutions such as the High Mountain Institute and the Alzar School, demonstrate a platform to find meaningful ways to use outdoor space in teaching. Teacher preparation programs have the opportunity to capitalize on the growing OAE movement within higher education (Kime, 2008), and adopt some of the principles originally promoted by Hahn, as a means for addressing the preparation of future generations of educators. Additionally, as more institutions implement curriculum, such as seen with High Mountain and the Alzar School, teacher preparation programs will need to adapt to provide the skillset needed to teach in the outdoor environment. This includes greater emphasis on experiential learning opportunities. Experiential Education The concept of promoting experience in education has long been a valued aspect in encouraging positive learning outcomes with students. As stated by Dewey (1938), "Basing education upon personal experience may mean more multiplied and more intimate contacts between the mature and the immature than ever existed in the traditional school, and consequently more, rather than less, guidance by others" (p. 21). However, it is also important to note that Dewey (1938) also stressed, the belief that all genuine education comes about through experience does not mean that all experiences are genuinely or equally educative. Experience and education cannot be directly equated to each other (p. 25). Further examination of how best to link experience and education in a constructive manner is needed. The investigation of the intersectionality of teacher education and OAE adds to this link. The steps taken in preparing effective teachers requires careful analysis. Deep learning is aided when the material taught is relevant to the students' lives. Previous research indicates that students expect learning to be relevant to real world situations (Svinicki & McKeachie, 2014). This is highlighted by the notion that deep learning is grounded in the need for competence, relatedness, and autonomy (Deci, Vallerand, Pelletier, & Ryan, 1991). These needs relate to effective teaching. Sibthorp, Paisely, Gookin, and Furman (2008) highlight, teachers who support student autonomy in a traditional educational environment are more effective at fostering both academic developmental outcomes including perceived competence, self-esteem, creativity, and conceptual understanding (p. 137). Deep learning is aided by student autonomy. Teacher preparation focuses on the overarching goal of preparing teachers for real life situations. The inclusion of outdoor teaching methods, where student autonomy is supported, offers a unique paradigm for future teachers. This includes adding outdoor components to their pedagogical quiver. As a means for developing the skills necessary for future effectiveness as a teacher, a focus on experiences from outside of the classroom can potentially be implemented. These experiences can serve as an outlet for continual pedagogical and cognitive development that will aid the aspiring teacher as they enter their teaching careers. Current Outdoor Context The intersectionality of OAE and teacher education is more relevant today as evident by the current context of outdoor use. Currently, there is a growing concern related to the lack of outdoor access for the current generation of children. Consequently, an epidemic termed "nature-deficit disorder" (Louv, 2008) is an area that needs to be addressed to ensure the developmental opportunities presented by nature are allocated to future generations. Access to nature has shown to have positive cognitive benefits such as affective processes (Berman, Jonides, & Kaplan, 2008; Bratman, Daily, Levy, & Gross, 2015), a reduction of stress (Marselle, Irvine, & Warber, 2014) and increased creative thinking (Oppezzo & Schwartz, 2014). The intersectionality of OAE within teacher education provides well-being and nurture fostered by nature. The use of the outdoors provides teachers and students with beneficial experiences. As indicated in the promotion of placed-based education within nature by Mannion, Fenwick, and Lynch (2013), "place and pedagogy are ontologically linked dimensions of a process within which teachers and learners work and are themselves reworked" (p. 794). Adolescence access to play in nature is critical in supporting creativity, problem solving, and emotional and intellectual capacity (Kellert, 2005). The lack of play has resulted in psychopathology in children and adolescents with such issues as: anxiety, depression, helplessness, and narcissism (Gray, 2011). Within traditional subject instruction, learning outcomes are supported through the use of outdoor space. As posited by Jordet (2010), neurologically, the multisensory experience of the outdoors supports the development of robust long-term episodic memories. Likewise, teachers' perceptions of the education value of encompassing the outdoors in their more traditional instruction included increased student motivation, communication and participation (Fagerstam, 2014). Behavioral Characteristics Belief Structures As emphasized by Kuzborska (2011), "Teachers' beliefs influence their goals, procedures, materials, classroom interaction patterns, their roles, their students, and the schools they work in" (p. 102). An effective teacher creates a positive and safe environment that allows for deep learning to take place (Oakes, Lane, Jenkins, & Booker, 2013), while also being reflective in nature to adapt to the needs of diverse learners (DeBard, 2007). Effective teachers set higher goals and are more likely to persist in attaining these goals (Swanson, 2013). Belief structures that support these outcomes are seen with such beliefs as efficacy. Temiz and Topcu (2013) stress, it is important to provide preservice teachers necessary knowledge and practice concerning their work to increase their teacher efficacy to become a successful teacher in the future when they participate in teacher education programs (p. 1438). Self-Efficacy Bandura (1997) defines self-efficacy as an individual's "beliefs in one's capabilities to organize and execute the courses of action required to produce given attainments" (p. 3). Bandura's (1997) self-efficacy model demonstrates that self-efficacy can be developed in four ways: mastery experiences, vicarious experiences, social persuasion, and physiological and emotional status. Of note, mastery experiences are the strongest predictor of promoting self-efficacy (Sheard & Golby, 2006) and teacher efficacy (Tschannen-Moran & Hoy, 2007). Self-efficacy impacts selection processes as highlighted by the connection of work-stress and teaching. Teaching is one to the most stressful occupations (Johnson et al., 2005), and self-efficacy can aid in this reduction in stress (Klassen & Durksen, 2014). Probst and Koesler (1998) found significant effects of perceived self-efficacy after a university outdoor leadership course. They found that these effects persisted a year following the course (Probst & Koesler, 1998). Further, Bandura (1997) emphasizes in Tschannen-Moran and Hoy (1998), self-efficacy beliefs can become more generalized , which is 'a function of the degree of similarity of qualitative features of activities and the skills they require [as compared to activities and skills for which one already possesses self-efficacy]' (p. 144). Teacher Self-Efficacy As defined from Bandura's (1977) theory, "teachers' self-efficacy beliefs would be related to the effort teachers invest in teaching, the goals they set, their persistence when things do not go smoothly and their resilience in the face of setbacks" (TschannenMoran & Hoy, 2007, p. 944; Tschannen-Moran, Woolfork Hoy, & Hoy, 1998). Teacherefficacy is linked to positive teacher behaviors and student outcomes (Ashton & Webb, 1986; Gibson & Dembo, Tschannen-Moran, Hoy, & Hoy, 1998). Mosely, Reinke, and Bookout (2002) support this notion as, highly efficacious teachers have been found to be more likely to use inquiry- and student-centered teaching strategies, whereas teachers with a low sense of efficacy are more likely to use teacher-directed strategies, such as lecture and reading from text (p. 10). Previous research demonstrates that there is a decline in efficacy upon entering the first year of teaching where a "reality shock" takes places (Tschannen-Moran & Hoy, 1998, p. 232). However, previous research demonstrates that efficacy beliefs can be influenced during the early years of a teacher's career, including as pre-service teachers (TschannenMoran & Hoy, 1998). The evolution of teacher efficacy is well linked to the work of Bandura's (1977) social cognitive theory, self-efficacy theory, and outcome efficacy theory (TschannenMoran, Hoy, & Hoy, 1998). Gibson & Dembo (1984), who developed an extensive teacher efficacy measurement based on the principle of Bandura's relation to the original RAND items, posit: If we apply Bandura's theory to the construct of teacher efficacy, outcome expectancy would essentially reflect the degree to which teachers believed that environment could be controlled, that is, the extent to which students can be taught given such factors as family background, IQ, and school conditions. Self-efficacy beliefs would be teachers' evaluation of their abilities to bring about positive student change (Gibson & Dembo, 1984, p. 570). The preparation of pre-service teachers benefits from a specific emphasis from the realm of social cognitive theory, and specifically from an investigation of efficacy. A goal of both education and OAE programs is seen in supporting self-efficacy (Ewert & Sibthorp, 2014; Stremba & Bisson, 2009; Bandura, 1997; Bandura 2011). Self-efficacy, as postulated by Bandura (1977), is the ability to accomplish behaviors or tasks and produce the desired outcomes selected. Roots in Social Cognitive Theory An element that highlights self-efficacy, and its roots in social cognitive theory, is seen in the active nature of functioning (Bandura, 1997). As posited by Bandura (2001) "people are self-organizing, proactive, self-reflecting, and self-regulating, not just reactive organisms shaped and shepherded by environmental events or inner forces" (p. 2). Teachers need to develop metacognitive skills, and this development is emphasized in the outdoor adventure context. As postulated by Schumann (2013), metacognition has a particular relevance in outdoor leadership contexts because leaders are required to not only perform physical tasks (e.g., climbing or paddling) but also cognitive tasks or metaskills such as problem solving, decision making, or teaching (p. 27). Importance of Self-regulation The proactive nature of social cognitive theory, and self-efficacy, are reliant on the development of self-regulation. Self-regulation and self-efficacy work in conjunction in moving an individual towards desired outcomes. For example, self-efficacy and selfregulation work together when goals, such as academic attainment, are desired. How Self-efficacy Affects the Four Psychological Processes Cognition Self-efficacy and cognition affect each other bidirectionally (Bandura, 1997). Self-efficacy affects cognition in the proactive nature required to inform behavior and as a mechanism of impacting one's environment. This cognition is informed by the individual's self-efficacy to obtain selected goals or desires. The cognition of individuals can either aid or hinder their efforts towards desired outcomes. Motivation Self-efficacy affects motivation in a variety of perspectives. An area that is well established from the outdoor adventure education (OAE) realm is seen with goal properties of self-motivation. For example, Bandura (1997) highlights the nature of goal challenges and how interest promotes self-efficacy: "to mountain climbers it is not crawling on slippery rocks in foul weather that is intrinsically satisfying. It is derived from personal triumphs over lofty peaks that sustain deep engrossment in the activity" (p. 133). The motivation and value of the task will greatly impact regulation utilized to persist. If mountain climbers that Bandura described enjoy the process of slippery rocks in foul weather for its own satisfaction, they may be more motivated by the entire process of climbing the mountain. Affect Self-efficacy beliefs affect emotional experiences through control of thought, action, and affect (Bandura, 1997). The development of self-efficacy impacts the belief of the cognitive ability to regulate these emotional states. For example, Klassen & Durksen (2014) examined the relationship of self-efficacy and the reduction of workstress with pre-service teachers enrolled in practicum experiences. They found that the development of self-efficacy aids the regulation of this psychological affect. Selection Self-efficacy affects selection processes as highlighted by the connection of workstress and teaching. As showcased by Johnson et al., (2005), teaching is one to the most stressful occupations. Teachers are at risk of higher stress and lower levels of selfefficacy (Klassen & Durksen, 2014). As efficacy beliefs can contribute to occupational choice (Bandura, 1997), this indicates the selection process of leaving the teaching profession (Bowman, 2004). The Promotion of Efficacy Bandura's (1997) self-efficacy model showcases that self-efficacy can be developed in four ways: mastery experiences, vicarious experiences, social persuasion, and physiological and emotional status. Of note, mastery experiences are the strongest predictor of promoting self-efficacy (Sheard & Golby, 2006) and teacher efficacy (Tschannen-Moran & Hoy, 2007). Mastery Experiences Mastery experiences are invaluable in promoting efficacious behavior. With future teachers' exhibiting a limited teaching resume, the inclusion of OAE could provide mastery experiences from actual accomplishments with students (Tschannen-Moran, 2007; Bandura, 1997). With the need for efficacious teacher leaders, OAE offers the opportunity for mastery development in situational leadership. As emphasized by Bandura (1977): Occasional failures that are later overcome by determined effort can strengthen self-motivated persistence if one finds through experience that even the most difficult obstacles can be mastered by sustained effort...Participants acquire a generalizable skill for dealing with stressful situations, a skill that they use to overcome a variety of dysfunctional fears and inhibition in their everyday lives. Having a serviceable coping skill at one's disposal undoubtedly contributes to one's sense of personal efficacy (p. 195-196). Mastery experiences are invaluable in supporting efficacious behavior. Moreover, with future teachers' exhibiting a limited teaching resume, tapping into alternative teaching experiences, such as instructing in the backcountry, could allow for mastery experiences from actual accomplishments with students (Tschannen-Moran, 2007; Bandura, 1997). Additionally, with the idea of efficacy being generalized (Ewert & Sibthorp, 2014) perhaps the mastery processes developed in the adventurous pursuit could allow for a greater efficacy in the realm of teaching. A need to develop a deep understanding of the subject matter that is being taught (Bain, 2004) could also be seen in the development in greater pedagogical knowledge. By developing diverse teaching strategies, in a multitude of settings, opportunities arise for a deeper mastery of the subject matter of teaching. OAE, where the individual has the opportunity to take on teaching opportunities, allows for a unique challenge for the aspiring educator. This includes testing and refining pedagogical strategies through a stimulating experience. Outdoor adventure sports require unique skills, such as motor skill development, and are grounded in real or perceived risk. This adds a unique dimension to the teaching process that can be later brought to the K-12 classroom. Vicarious Experiences Vicarious experiences can be seen in the realm of modeling, both the utilization of coping and mastery modeling. Given an opportunity to see peers struggle with tasks and work through their challenges, whether in the outdoors or within the P-20 classroom, individuals are able to develop their own personal efficacy. Furthermore, modeling is a critical aspect for promoting learning transfer (Furman & Sibthorp, 2013). Vicarious experiences can be seen in the realm of modeling, both the utilization of coping and mastery modeling. The outdoor instructor, much like the K-12 teacher, teaches to a diverse groups of students. The use of coping and mastery strategies benefit both of these classroom dynamics. By gaining experience in overcoming challenging objectives or teaching moments, the instructor is more likely to be able to relate with students who are struggling in the future (Timken & McNamee, 2012). Further, modeling is considered to be a critical aspect for promoting learning transfer (Furman & Sibthorp, 2013). Social Persuasion Social persuasion may aid future teachers as "people are persuaded to believe in themselves are more perseverant in the face of difficulties" (Bandura, 2011, p. 13). For a pre-service teacher an OAE program is an ideal context for promoting positive social persuasion experiences, and offers an opportunity to gain insight into ways to promote and encourage other students to accomplish their tasks and goals. Of note, OAE programs can be an important tool for supporting inclusion as a needed part of teacher training (Peebles & Mendaglio, 2014). Social persuasion may aid the future teacher as "people are persuaded to believe in themselves are more perseverant in the face of difficulties" (Bandura, 2011, p. 13). For a pre-service teacher an OAE program is an ideal context for supporting positive social persuasion experiences, and an opportunity to gain insight into how better to support and encourage other students in accomplishing tasks and goals. OAE could be an ideal realm for this instruction as programs have been criticized for relying too heavily on theoretical rather than practical skill development (Peebles & Mendaglio, 2014). In instructing in the outdoors, the future teacher has the opportunity to address a wide array of experience and ability levels that could translate well to future classroom endeavors where they may arrive with a greater sense of teacher efficacy. Physiological and Emotional Status Physiological and emotional status is well established and supported through the use of OAE programs, where emotional anxiety or physiological challenges are likely to be experienced (Ewert & Sibthorp, 2014). Moreover, OAE programs can be valuable in targeting millennial students, and the need to encompass difficult situations within curriculum (Stewart, 2009; Lipmann, Bulanda, & Wagenaar, 2009; Myers, 2003; Svinicki & McKeachie, 2014). Adventure allows for a natural process of tapping into the need of development from challenge (Sheard & Golby, 2006). Emotional anxiety or physiological challenges are likely to be experienced on adventures (Ewert & Sibthorp, 2014). There is much anecdotal evidence, as well as research, that supports the idea that adventurous experiences aid character development and serve as a therapeutic opportunity (Sheard & Golby, 2006). As emphasized in Ewert and Sibthorp's (2014) text focused on OAE: Occasional failures that are later overcome by determined effort can strengthen self-motivated persistence if one finds through experience that even the most difficult obstacles can be mastered by sustained effort...Participants acquire a generalizable skill for dealing with stressful situations, a skill that they use to overcome a variety of dysfunctional fears and inhibition in their everyday lives. Having a serviceable coping skill at one's disposal undoubtedly contributes to one's sense of personal efficacy (Bandura, 1977, p. 195-196). By utilizing OAE opportunities in teacher preparation programs, the challenges that are naturally presented in the adventurous pursuits, may lend to the support of efficacy from the outdoor realm into the classroom. Supporting efficacy in a future teacher population is invaluable in aiding the promotion of future success. As posited from Bandura's (1977) theory, "teachers' self-efficacy beliefs would be related to the effort teachers invest in teaching, the goals they set, their persistence when things do not go smoothly and their resilience in the face of setbacks" (Tschannen-Moran & Hoy, 2007, p. 944; Tschannen-Moran, Woolfork Hoy, & Hoy, 1998). The Intersection of OAE and Self-Efficacy A large focus of adventure education research is centered on psychological development. The specific lens of self-efficacy is highlighted in many studies that demonstrate a positive relationship between adventure engagement and efficacy (Lamorey, 2013; Odello, Hill, & Gomez, 2008; Paxton, 1998; Paxton & McAvoy, 2000; Probst & Koesler, 1998; Sibthorp, 2003). Previous research demonstrates challenge courses, a method of OAE, increase college students' leadership-efficacy (Odello et al., 2008) after just four hours of engagement. Probst and Koesler (1998) found significant effects of perceived self-efficacy after a university outdoor leadership course. Furthermore, they found that these effects persisted a year following the course (Probst & Koesler, 1998). Previous research (Paxton, 1998) indicates that students report an increase in self-efficacy after a 21-day adventure program. Additionally, Lamorey (2013) highlights that non-traditional students report increased efficacy from outdoor adventure engagement. A concern emphasized by Tschannen-Moran and Hoy (2007) is that novice teachers have fewer mastery experiences with teaching. Providing opportunities for mastery experiences teaching is paramount. Adventure education, particularly the guiding element of OAE, can aid in this process. Teaching, in both the K-12 and outdoor classrooms, requires pedagogical content knowledge, classroom management, instruction and assessment, and interpersonal skills. The novice teacher could gain necessary experience within OAE to better support their K-12 instruction. Personal Characteristics Personality Traits Previous research suggests that certain personality traits support more effective teachers, and that "institutes of higher education must be aware of what it takes to foster a 'quality teacher'" (Rushton, Morgan, & Richard, 2007, p. 440). As suggested by Clark and Guest (1995), more risk-taking catalysts, visionaries, and troubleshooters are needed as teachers. Previous research has supported the concept that personality and motivation may be linked with regards to academic behavior (Komarrju, Karau, Schmeck, & Avdic, 2011). This is evident with consciousness being a predictor of exam performance (Chamorro-Premuzic & Furnham, 2003) and GPA (Conard, 2006). Robertson-Kraft and Duckworth 2014) highlight that limited research investigates the personality characteristics of pre-service teachers. They state, Personality traits are an attractive target of study because they demonstrate both stability and change over the life course…In young adulthood, when most teachers are most likely to enter the profession, estimates of ranorder stability are even more modest, and it is also during this developmental epoch when mean-level changes in personality are most dramatic" (Robertson-Kraft & Duckworth, 2014, p. 4). A challenge for pre-service teachers, and those entering their first teaching positions, is experience. This is evident where literature suggests that becoming an expert can require over 10,000 hours of training (Hambrick et al., 2014). The promotion of staying power within the field of education is a daunting challenge, and one that has become an issue as late. This is highlighted by a third of teachers leaving the profession within the first three years of their career and half leaving before their fifth year (Bowman, 2004). To respond to the growing issue of teacher effectiveness, as well as issues of retention, a growing body of literature has begun to investigate the role of personality traits. Previous research has focused on the Big Five personality traits consisting of: conscientiousness, neuroticism, extraversion, openness, and agreeableness (Komarraju et al., 2011). More recently, constructs such as grit have become vogue in educational research as a predictor for retention (Duckworth et al., 2007) and effectiveness (Duckworth et al., 2009). Personality factors have been investigated as predictors of academic performance in college (Bauer & Liang, 2003; Conard, 2006; Duckworth & Seligman, 2005; Noftle & Robbins, 2007). For example, Conard (2006) found that conscientiousness, a Big Five personality trait, had a direct effect on college GPA. Noftle and Robins (2007) replicated this showcasing conscientiousness as a predictor of college GPA. Their results were significant even when controlling for gender, SAT scores, and high school GPA. To determine a more predictive model, Duckworth et al., (2007) developed the grit scale, which is related to conscientiousness but with a greater emphasis on stamina. Grit Grit, as defined by Duckworth, Peterson, Matthews, and Kelly (2007), is "perseverance and passion for long-term goals" (p. 1087). Grit goes beyond the Big Five personality traits as "the gritty individual approaches achievement as a marathon; his or her advantage is stamina" (Duckworth et al., 2007, p. 1088). As further emphasized by Duckworth, Quinn, and Seligman (2009), "gritty individuals tend to work harder than equally able peers, and they remain committed to their chosen pursuits longer (p. 541). Grit has been considered by some (Duckworth et al., 2007) as important as a predictor as IQ to high achievement. Likewise, previous research supports that grittier individuals make fewer career changes (Duckworth et al., 2007; Robertson-Kraft & Duckworth, 2014), exhibit greater teaching effectiveness (Duckworth et al., 2009; Robertson-Kraft & Duckworth, 2014), and grittier individuals work harder to reach goals (Robertson-Kraft & Duckworth, 2014). Previous research has demonstrated grit as a predictor of academic achievement. For example, Duckworth et al., (2007) found, in a study with undergraduate Ivy League psychology students, those with higher grit had higher GPAs in college. More importantly, many of these gritty, high achieving students entered college with lower SAT scores. The correlation of grit and academic achievement has been demonstrated across different cultures. Strayhorn (2014) found that this similar phenomenon took place with Black males attending a predominantly white institution (PWI). His results demonstrate grittier students exhibitd higher GPAs in college, higher GPAs in high school, and higher ACT scores in comparison to less gritty Black males. Previous research indicates that grit has a positive impact on outcomes such as GPA (Duckworth et al., 2007). However, it is important to note that grit can be a detrimental personality trait in certain situations. Lucas, Gratch, Cheng, and Marsella (2015) demonstrate this. They found that, in a controlled laboratory experiment, grittier individuals were able to complete fewer problems in an anagram task (not moving past more difficult questions as seen in scenarios like the SAT), persisted even when losing a game, and persisted when engagement was costly (monetarily) (Lucas et al., 2015). This took place even when participants were provided feedback that they were failing on the task, and they were risking the opportunity to maximize their monetary gains (Lucas et al., 2015). As a result, care is needed in supporting healthy manifestations of grit. Grit and Teacher Education There is no denying that grit has become a buzzword in teaching and teacher education of late. Care is needed in applying grit to teaching and learning as too much emphasis can be placed on the notion that "all it takes is hard work" (Ferlazzo, 2015, para. 8). There are problematic issues with grit in education. These concerns are highlighted in Ferlazzo (2015) by Ron Berger. Of note, Berger stresses the issue of not looking at racial and socio-economic issues, grit being equated with obedience, grit promoting single-mindedness (which could impact creativity), and grit research using self-report data. These are valid concerns that need to be addressed. However, grit, to become an effective teacher, is an area that has great value. Effective teachers need to develop a diverse range of pedagogical approaches to best instruct and provide deep learning opportunities for all learners. As further emphasized by Berger, in Ferlazzo (2015), Grit matters. The key for us is to consider what conditions actually build grit in students, and also how school culture can join grit to other habits of character that we value, e.g., respect, integrity, curiosity, gratitude, compassion (para. 37). Grit alone is not a magic bullet that can solve all education problems, and care is needed in ensuring that future teachers do not put up blinders in their educational experiences (as both students and aspiring teachers). However, there is a need to empower future teachers with personality traits such as grit, as this has been shown to have positive effects on what is most important, the needs of their students (Duckworth et al., 2009). Grit and Outdoor Adventure Education Efforts have been made to support empowerment opportunities that support grit. OAE has been seen as a supportive environment for empowering participants. Currently, no significant studies have been conducted investigating the relationship of grit and outdoor and adventure utilization. However, previous studies investigate areas such as self-regulation in relation to goals (Sibthorp et al., 2015). There is anecdotal support for a possible relationship of grit and OAE. As stressed by Verena Roberts, Chief Innovation Officer of CANeLEARN, "One of the best ways to learn about grit is to focus on outdoor education and go into the wild. Grit is about not freaking out, taking a deep breath and moving on" (Antin & Gregory, 2015). Grit has been a key component to the foundation of OAE. For example, Outward Bound highlights grit as tenet promoted by founder Kurt Hahn, "Hahn taught the young sailors to have the same perseverance, resilience, and stamina…he taught them grit" (Micucci, 2015, para. 4). Outward Bound stresses that "The grit they build helps them 'day in, day out' on their course, and accompanies our students home to help them stick with their futures for many years to come" (Micucci, 2015, para. 5). This notion is further emphasized by the United World College (UWC), which was founded by Hahn. As emphasized by UWC, their wilderness program helps their students develop grit as Everyone is pushed to their limits at one time or another in the wilderness, where the development of grit is inherent…in the long run, I don't care if students can pitch a tent, use a compass, but I do care if they can deal with adversity, uncertainty, and interpersonal conflict. The ultimate goal of this program is to teach them life skills (Micucci, 2015, p. 7). There are concerns that should be expressed about grit and outdoor adventure. Of note, there is typically risk, real or perceived, in the context of OAE (Priest & Gass, 2005). However, as demonstrated by Schumann (2013) metacognitive strategies are effective in addressing misguided belief structures. This strategy is possible with elements such as grit. This is emphasized by Lucas et al., (2015), where they highlight the need for metacognitive strategies that remind individuals "there is value in knowing when to quit" (p. 22). The risk management process of OAE supports this development as a critical area in staying safe. This concept can be extrapolated to other areas of education, such as teacher preparation. The Intersection of Teacher Education and OAE The role of OAE programs in teacher education is highlighted by Udall and Rugen (1997), who argue that, "when teachers have lived an educational experience and reflected on their own growth as learners, they are better able to grasp the educational value of the experience and to reap its rewards in their own classrooms" (p. 404). The experiential nature of OAE lends itself well to this growth. Research of pre-service teacher engagement in adventure demonstrates an increased appreciation of supportive environments for students (Carlson & McKenna, 2000) and a reduction of stress (Kanters et al., 2002). Timken & McNamee (2012) highlight the role of outdoor adventure experiences in promoting belief changes pertaining to pre-service physical education teachers and their future relating to students. Research has also focused on teachers' perception of the value of encompassing the outdoors within their K-12 teaching. These perceptions include increased student motivation, communication, and participation (Fagerstam, 2014). These perceptions are also supported by neurological research. As posited by Jordet (2010), neurologically, the multisensory experience of the outdoors supports the development of robust long-term episodic memories. Preparing Pre-Service Teachers As emphasized by Joseph and Heading (2010) pre-service teachers need to develop skills in the realms of pedagogical knowledge, content knowledge, classroom management, and the ability to engage in reflection. However, many teachers are overwhelmed by their initial entrance into the teaching world (Bowman, 2004). As indicated by Conkling and Henry (1999) learning to teach is a process that continues throughout a teacher's career and that no matter what we do in our teacher education programs and no matter how well we do it, at best we can only prepare teachers to begin teaching (p. 22). The intersection of the OAE and teacher education realms can contribute to a deep and diverse preparation for the entrance into the first years of teaching. The use of experiences, such as found in outdoor adventure, can serve as an educative and ongoing learning source. This is particularly the case if the future teacher continues to engage in adventurous pursuits. The utilization of outdoor adventure, particularly if merged within the curriculum of teacher education, allows for a more seamless development of nonacademic teaching skills for the young teacher. This process is aided in a simple merger of more experiences and more knowledge that the future teacher can tap into as the transition to their first teaching positions. As emphasized by Dewey (1938) of the value of experience: Experiences, in order to be educative, must lead out into an expanding world of subject matter…This condition is satisfied only as the educator views teaching and learning as a continuous process of reconstruction of experience. This condition in turn can be satisfied only as the educator has a long look ahead, and view every present experience as a moving force in influencing what future experiences will be (p. 87). Outdoor adventure experiences offer the opportunity for growth of both teachers and students (Carlson & McKenna, 2000; Lamorey, 2012), which can aid the new, transitioning teacher. While the majority of research that investigates the educational value of OAE focuses on student outcomes, some studies include the value of the experience for the teacher. As evident in Kornelson's (1998) investigation of a schoolbased adventure education/therapy program, teachers found that they were able to relate what they learned from the adventure realm to their classroom realms. Carlson and McKenna (2000), found that student teachers who participated in a weekend adventure education course experienced increased awareness of the importance of peer support, an increased appreciation of supportive environments, enhanced coping mechanisms, and a better understanding of their own students' experiences in the school they were teaching at. The transition from pre-service teacher to full-time teacher is a large and daunting leap. As highlighted by Seifert (2004): "Future teachers are worried about more than outward 'professional identity,' about how they look in the classroom. They worry as well about whether they feel committed to teaching as a calling" (p. 2). These concerns are troubling, but can potentially be addressed with the inclusion of OAE. As indicated by Ference (2007) adventure can greatly aid a new teacher in making connections that will allow for success. As she stated, an adventure bike trip served as a catalyst for her teaching career as it, "provided me with a chance to experience teaching in a way that connected with my teaching philosophy" (2007, p. 3). Experience and education has long been valued, and the experiential nature of OAE is supportive to the growth of the pre-service teacher. As emphasized by Powell (1992), and derived from Dewey's teachings: A teacher education curriculum that acknowledges and accounts for preservice teachers' personal practical experience and knowledge throughout the teacher education program may ultimately help preservice teachers trust their own intuition for preparing and presenting lessons and for using principles of teaching acquired during teacher preparation (p. 237). The social element of outdoor adventure engagement highlights the support system that can aid the young teacher. As stressed by Bandura (2011), "social resources are especially important during formative years when preferences and personal standards are in a state of flux, and there are many conflicting source of influence with which to contend" (p. 8). The social support structure, if presented in a professional development context, serves as a positive influence during the early years as a teacher. As further posited by Bandura (2011), "in efforts to develop their cognitive competencies, people draw on their own experiences and turn to others who are well informed on the matters of concern" (p. 13). Role of Professional Reflection Schon's (1983) The Reflective Practitioner stresses the value of knowing-inaction and eventually reflecting and practicing-in-action. Practitioners must develop an intuitive understanding of their field, and eventually be able to reflect about what they are doing while doing it. This occurs within what Schon defines as the action present (Schon 1983, 1987). Occasionally, this reflection occurs while engaged in an activity that can stretch minutes or hours (Schon, 1983), or in a period where the practitioner can still make a difference to the situation at hand (Schon, 1987). The action-present, as represented by the intuitive knowing, could be before a problem arises. As reflecting-inaction relates to teaching, reflecting-in-action is the ability to adjust teaching methods to the needs of a diverse student base during the actual instruction in order to promote the best learning outcomes. Reflecting-in-action also can be defined as simply reflecting and adjusting strategies based on the context or current environment. Critical reflection is important in the field of education as this process promotes a more effective, responsive teacher (Brookfield, 1995). Donald Schon's (1983) The Reflective Practitioner stresses the aspect of surprise, which is a common theme in education. The ever-changing environment of the outdoors, and the real or perceived risk encompassed in OAE (Priest & Gass, 2005), allows for the promotion of this intuitive knowing (Densten & Gray, 2001). The guiding and teaching realms are inundated with the surprise element that is stressed by Schon's (1983) The Reflective Practitioner. The "intuitive knowing implicit in the action" (Schon, 1983, p. 56) is an area that practitioners in both outdoor adventure and teacher education must develop in the quest to developing as practitioners. This is seen where the aspiring education practitioner needs to develop the ability to respond within an "action present" (Schon, 1983, p. 62) to ensure that critical learning moments are met. Or as evident from the realm of adventure, where risk is involved, the practitioner must respond within an "action present" to ensure the safety of their students. Schon (1987) stresses that this action present is in response to the context of the situation, which needs to be accomplished so that the practitioner can make a difference to the situation at hand. The K-12 classroom typically does not have the real or perceived risk that is seen within the outdoor adventure classroom. However, both fields require the ability to recognize when teachable moments are presented, how best to adapt teaching methods to meet the needs of students, and how to create an environment of learning. Schon discusses the importance of the social element of learning, as seen with Bandura and Social Cognitive Theory. The teacher/instructor/coach, in either the indoor or outdoor classroom, is not the only agent for promoting learning. As Schon (1987) stresses, within the learning dynamic, "most [classroom environments] involve groups of students who are often as important to one another as the coach [or teacher]" (p. 38). This is seen as the group allows for an immersion into the world of learning. Consequently, the reflective teacher, regardless of the location of the classroom, must ensure a healthy classroom dynamic where collaboration amongst students is promoted. Schon (1983; 1987) indicates the artistry that accompanies the reflective practitioner. Artistry as a practitioner, as with the development of reflective practice, is an ongoing process. The development of character highlights this notion. Character development is an arduous process. Stonehouse's (2011) philosophical investigation of character development within wilderness expeditions highlights this notion. Summarizing Aristotle, Stonehouse (2011) states, Aristotle further complicates any hope in character's development through brief stints of OAE programing, by asserting that virtue, a disposition, and the building block of character, is gradually and arduously inculcated over long periods of time (p.109). The aspiring teacher faces a long arduous the path to become an expert. This journey, much like with the development of character, does not occur in brief stints. Consequently, the aspiring teacher is benefited through the encompassing of skills from a variety of sources. The intersectionality of teacher education and OAE showcases many similar elements. For example, in both fields pedagogical content knowledge is necessary to effectively communicate to students. Pedagogical Content Knowledge Since the 1980's a growing research emphasis has been seen in the development of a teacher's content knowledge and pedagogical content knowledge (Ball, Thames, & Phelps, 2008; Woolfolk Hoy, Davis, & Pape, 2006; Kleickmann et al., 2013). The inclusion of OAE opportunities for pre-service teachers allows for the opportunity for a deeper more holistic pedagogical development. However, support further development as a teacher in an adventurous setting or in the classroom, value must be placed on developing mastery for individuals in their discipline(s) of choice. As posited by Shulman (1986), content knowledge mastery is necessary as "[t]he teacher need not only understand that something is so, the teacher must further understand why it is so" (p. 9). The development of content knowledge of their future subject matter, whether this is in the classroom or the backcountry, constitutes much needed development. With the proper development of content knowledge, individuals will have more to draw upon in their teaching processes. However, equally important is developing the pedagogical content knowledge, the subject matter for teaching (Shulman, 1986), for delivering the selected curricula to ensure student comprehension (Cochran, King, & DeRuiter, 1991). As posited by Cochran et al., (1991), "pedagogical content knowledge is that form of knowledge that makes teachers teachers rather than subject area experts" (p.5). Furthermore, pedagogical content knowledge is invaluable as it provides the tools for the subject matter that the teacher is trying present more accessible the their students (Shulman, 1986). Schon (1983) promotes the need for reflecting-in-action as constituting effectiveness for practitioners; this same concept is needed in the development of pedagogical content knowledge where the teacher must be able to "see a specific set of concepts from a variety of viewpoints and at a variety of levels, depending on the needs and abilities of the students" (Cochran et al., 1991, p. 6). Additionally, as stressed by Schon (1992) practitioners reflect within their language of practice. To promote learning, an active reflective process is required and is aided by the notion that language aids in the development of consciousness (Schon, 1983; Waks, 2001). This notion is further emphasized within social cognitive theory. As postulated by Bandura (2011), "language thus becomes not only a means of communication but also shapes the form of thought" (p.14). The development of language is necessary in providing the consciousness needed within the development of pedagogical knowledge. This development is needed as a method for effective instruction. The focus of promoting teacher learning of pedagogical content knowledge, offers more opportunities to develop the necessary skills needed to become a skillful instructor and is paramount to the success of a teacher preparation program. With a focus on how the brain learns, creating opportunities for students to teach and learn in sensory stimulating environments, such as the outdoors, where the whole individual can be engaged, is likely to promote long lasting learning (Zull, 2006). This long lasting learning can be found with the promotion of strong pedagogical knowledge; more, the adventure realm offers future teachers opportunities to test new pedagogical strategies and refine their existing techniques before entering the classroom. Effective teachers must development sound content knowledge as well as pedagogical knowledge. This knowledge base is critical, and it has been shown to affect student-learning outcomes and understanding of subject matter (Baumert et al., 2010; Kleickmann et al., 2013). Pedagogical content knowledge has been shown to have a higher predictive power than content knowledge on student learning (Kleickmann et al., 2013). As stressed by Friedrichesen et al., (2009) teachers develop their subject knowledge, as well as pedagogical knowledge, from three main sources: through the teacher's own K-12 learning experiences, through teacher education and professional development programs, and through the individual's teaching experiences. OAE supports a similar trio of learning sources: the individual's own experiences, professional development opportunities in their adventurous disciplines, and their experiences teaching and/or guiding in the adventure realm. These experiences can aid in reinforcing and the teaching knowledge acquired from the more traditional teacher preparation sources. As stressed by Magnusson, Krajcik, and Borko (1999), teachers with differentiated and integrated knowledge will have a greater ability than those who knowledge is limited and fragmented, to plan and enact lessons that help students develop deep and integrated understandings (p. 95). The intersection of OAE and teacher education highlights the importance of differentiated and integrated knowledge that can aid in future teaching endeavors. Adventure Coaching Currently, an increase in participation in adventure sports has created a greater emphasis on instruction in the outdoors (Collins & Collins, 2012). The adventure-sports coach has to operate as both a teacher and a guide (Collins & Collins, 2012), and requires sound pedagogical knowledge. Adventure sports coaching literature highlights the value of pedagogical knowledge. As emphasized by Berry (2015), good coaches stress the importance of the role as an educator, and "coach people not adventure sports" (p. 28). Likewise, adventure sports pedagogy highlights the importance of reflective practice (Collins & Collins, 2012; Tovey, 2007) that is necessary in instructing in an environment grounded in real or perceived risk (Priest & Gass, 2005). The shift towards a greater emphasis of adventure-sports coaching highlights the need for greater teacher training. Within the confines of OAE there has been concern on the level of teaching training. As emphasized by Puk (1999), "it is not as easy to find people to teach outdoor experiential programs with the same level of qualifications [than English of physical education]" (p. 179). The intersectionality of teacher education and OAE is a reciprocal process where adventure education and teacher education can equally benefit from experiential growth as instructors in a diversity of settings. Chapter Summary The intersection of adventure education and teacher education highlights similar areas of need from an instructor perspective. Masterful teaching, as described by Lowman (1994), emphasizes the value of interpersonal skills and speaking ability as being paramount to excellent instructors; "to become an excellent instructor, one must be outstanding in one of these sets of skills and at least competent in the other" (p. 503). However, the development of interpersonal skills and communication ability requires the promotion of the compulsory intrapersonal skills to be successful. Intrapersonal development is fostered through critical thinking and critical examination of oneself as an adventurer and educator. Likewise, intrapersonal development is an area that is highlighted in OAE literature (Priest & Gass, 2005). Consequently, further investigation of the relationship of outdoor adventure engagement and teacher preparation is valuable. The current study is grounded within the framework of social cognitive theory. More specifically, the current student is grounded within the framework of a reciprocal causation model (Bandura, 1989) where an emphasis of the environmental factor of the triadic structure is highlighted. There are many areas that aid the aspiring teacher. Personality traits, such as grit, and belief structure, such as teacher efficacy, are areas that have shown to have positive outcomes with teaching and student learning. The overarching goal of teacher education programs is to ensure that pre-service teachers are prepared to begin their teaching careers. The use of a reciprocal causation model showcases a triangulation of factors that can aid the future teacher as they enter their teacher careers. The current study adds to the literature as little research has examined the intersectionality of teacher education and OAE, and the current study adds to the literature of grit. Grit is a newer construct with anecdotal evidence suggesting at a relationship with outdoor adventure education (Antin & Gregory, 2015; Micucci, 2015). However, no research to date has examined this relationship. CHAPTER 3 METHODOLOGY Introduction Educational research has shown that teacher effectiveness is the most important in-school influence on student outcomes (Rivkin et al., 2005; Robertson-Kraft & Duckworth, 2014; Rockoff, 2004; Sanders & Rivers, 1996) and that teacher efficacy (Burton & Pace, 2009; Peebles & Mendaglio, 2014) and grit (Duckworth et al., 2009; Roberston-Kraft & Duckworth, 2014) are characteristics of highly effective teachers. Additionally, previous research suggests that outdoor utilization and adventure programs can be used to support self-regulated learning (Sibthorp et al., 2015), wellness, reduction of stress (Marselle, Irvine, & Warber, 2014), resilience (Ewert & Yoshino, 2011; Beightol, Jevertson, Carter, Gray, & Gass, 2012), reduction of racial prejudice (Wright & Tolan, 2009), and increased self-efficacy (Probst & Koesler, 1998). Duckworth and Gross (2014) have called for more investigation of the relationship between grit and other constructs supporting goal attainment. Currently, no other research has investigated the relationship of teacher efficacy and grit, which are both predictors of teacher effectiveness. Grit has become a vogue word in education as late. This is evident in Outdoor Adventure Education (OAE) literature where anecdotal evidence exists of the possible relationship of grit and outdoor adventure (LaGrande, 2015; Micucci, 2015). Much like the lack of research supporting the relationship of grit and teacher efficacy, to date there has been no research investigating the relationship of OAE and grit. Purpose The purpose of the current study is to explore the relationship between engagement in OAE and PTs' perceptions of preparedness to teach mediated by teacher efficacy beliefs and the personality trait of grit. The current study uses the theoretical framework of the reciprocal causation model, but is specifically interested in the effects of the environmental factor of OAE within the triadic structure. The study seeks to add to the literature in informing the intersectionality of teacher education programs and OAE. Furthermore, with the call for more investigation of grit, and its relationship to other constructs pertaining to goals (Duckworth & Gross, 2014), this study seeks to answer the current call for more research. Notably, the study examines the role of teacher efficacy beliefs in relation to long-term, hierarchical goal as emphasized by grit. This study investigated these relationships with undergraduate education majors at Montana State University. Scrutton and Beames (2015) highlight the need for more rigorous, quantitative research in OAE citing the problems with the usage of inappropriate self-report questionnaires, low statistical power, over-reliance on inferential statistics, a lack of control or comparison group, a lack of longitudinal data, and a lack of investigation of independent variables (p. 11-12). The current study seeks to address this call as well as the call for more analysis of effective opportunities to support the promotion of PT preparedness to teach. While the current study does not address all of the issues raised by Scrutton and Beames, the use of structural equation modeling, existing instruments with strong psychometrics, a stratified sample of participants (that allows for a break down of categories of outdoor adventure experience), and clear independent variables provide a rigorous, and theoretically grounded, investigation of OAE. The study is guided by the following research questions and hypotheses: 1. Is there a relationship between outdoor adventure engagement and student perception of preparedness to teach? H0: There is a relationship between outdoor adventure engagement and student perception of preparedness to teach. H1: There is not a relationship between outdoor adventure engagement and student perception of preparedness to teach. 2. Is there a relationship between outdoor adventure engagement and teacher efficacy? H0: There is a relationship between outdoor adventure engagement and teacher efficacy. H1: There is not a relationship between outdoor adventure engagement and teacher efficacy. 3. Is there a relationship between outdoor adventure engagement and grit? H0: There is a relationship between outdoor adventure engagement and grit. H1: There is not a relationship between outdoor adventure engagement and grit. 4. Is there a relationship between teacher efficacy and grit? H0: There is a relationship between teacher efficacy and grit. H1: There is not a relationship between teacher efficacy and grit. H0: Teacher efficacy mediates the effects of grit on student perceptions of preparedness to teach. 5. Does teacher efficacy mediate the effect of grit on student perceptions of preparedness to teach? H1: Teacher efficacy does not mediate the effects of grit on student perceptions of preparedness to teach. Outdoor Adventure Engagement (OAE) was assessed through demographic questions (Appendix A), preparedness to teach was assessed through a University of Northern Colorado instrument based on the InTASC Standards. Teacher efficacy was assessed through he Teacher Sense of Efficacy Scale (Appendix C) (Tschannen-Moran & Hoy, 2001), and grit was assessed through the Short Grit Scale (Grit-S) (Appendix D) (Duckworth & Quinn, 2009). The InTASC Standards instrument, provided by faculty and doctoral students at University of Northern Colorado, will not be included in the appendices as per an agreement with the UNC group. Design The current study uses Partial Squares Least Regression structural equation modeling (PLS-SEM) to investigate the relationships between OAE and PT perception of preparedness to teach. This structure was analyzed through the mediators of teacher efficacy and grit. The current study works from theory and is testing the relationship of outdoor adventure within this paradigm. Likewise, the current study uses bivariate correlations to investigate the magnitude and significance of the relationships of teacher efficacy and grit in the examination of PT perceptions of preparedness to teach. The study recognizes that care must be taken in assigning causation to any results. Pearl (2012) highlights the historical concern of stating causation with the use of structural equation modeling. A huge logical gap exist between 'establishing causation,' which requires careful manipulative experiments, and 'interpreting parameters as causal effects,' which may be based on firm scientific knowledge or on previously conducted experiments, perhaps by other researchers. One can legitimately be in possession of a parameter that stands for a causal effect and still be unable, using statistical means alone, to determine the magnitude of that parameter given nonexperimental data (p. 1). This is particularly the case in PLS-SEM, and is in keeping with research questions of the current study where relationships are under investigation. PLS-SEM allows for a hypothesis-testing approach where appropriate methods are taken to investigate the plausibility of relationships. In this case, the study is investigating the plausibility of a relationship between OAE and PT perceptions of preparedness to teach. As stated by Hair, Hult, Ringle, and Sarstedt (2017), PLS-SEM applies ordinary least squares (OLS) regression with the objective of minimizing error terms…PLS-SEM estimates coefficients (i.e., path model relationships) that maximize the 𝑅𝑅 2 values of the (target) endogenous constructs. This feature achieves the prediction objective of PLS-SEM (p. 17). Care should be taken with all methodological approaches. However, PLS-SEM allows for both exploratory and confirmatory approaches, of the model fit, where mediating variables and goodness-of-fit are analyzed to aid in the analysis of relationships. Visual inspection of the data is available as PLS-SEM provides graphical representations for analysis. This visual representation is seen through the path modeling with latent variables. As indicated by Hair et al., (2017) Relationships between constructs as well as between their assigned indicators are shown as arrows. In PLS-SEM, the arrows are always single headed, thus representing directional relationships. Single-headed arrows are considered predictive relationships and, with strong theoretical support can be interpreted as causal relationships (p. 11). These relationships are explored as latent constructs where indicator variables investigate the model. In this study, this is seen where latent variables such as engagement in outdoor adventure, instructing outdoor adventure, and expeditions explain the latent construct of OAE. PLS-SEM allows for flexibility in analyzing the direct and indirect effects, and it allows for an analysis of error that is not available in other formats. Furthermore, PLSSEM allows for model error and coefficients to be measured across several groupings. PLS-SEM allows for a more holistic investigation of relationships, which is needed in a study such as this one. The current study recognizes that there is a multitude of ways to analyze data. PLS-SEM is no exception. As stated by Hair et al., (2017), There are two types of SEM: covariance-based SEM (CB-SEM) and partial least squares SEM (PLS-SEM; also called PLS path modeling). CB-SEM is primarily used to confirm (or reject) theories (i.e., a set of systematic relationships between multiple variables that can be tested empirically). It does this by determining how well a proposed theoretical model can estimate the covariance matrix for a sample data set. In contrast, PLS-EM is primarily used to develop theories in exploratory research (p. 4). While the current study operates from theory, it remains exploratory in nature. Accordingly, the best course of action for determining the use of CB-SEM or PLS-SEM was to allow the data to speak for itself. Much like adventure consists of unknowns, so too does research. Thus, the researcher completed exploration of both models (using Lisrel for CB-SEM and Smart-PLS for PLS-SEM). After review it was determined that the best fit for the data was through the use of PLS-SEM due to significantly non-normal data. The current study recognizes that there is a contention over the use of PLS-SEM, and whether or not PLS-SEM is actually considered to be a structural equation model (Ronkko and Evermann 2013). However, as stressed by Byrne (1998), The term structural equation modeling conveys two important aspects of the procedure: (a) that the causal processes under study are represented by a series of structural (i.e., regression) equations, and (b) that these structural relations can be modeled pictorially to enable a clearer conceptualization of the theory under study (p. 3). In this light, the researcher believed that PLS-SEM satisfied both these criteria (Hensler et al., 2014). SmartPLS version 3.2.3 was used to analyze the relationship of OAE and PT perceptions of preparedness to teach. SmartPLS was used to analyze the measurement model metrics of reliability, convergent validity, and discriminant validity. Additionally, the current study used PLS for evaluation of the measurement model (reflective measurement model), and the evaluation of the structural model (Hair et al., 2017). PLSSEM is a suitable approach for addressing the research questions of the current study. Likewise, while the study is grounded in the theoretical framework of reciprocal causation, and is specifically interested in the environmental factor of the triadic structure. As a result, an exploration of this particular element was needed, and PLSSEM allows for this investigation to take place. Table 1 demonstrates the paths that were analyzed. Table 1. Paths Analyzed. Sample Size The overarching interest of the study was to investigate the relationship of OAE and PT perception of preparedness to teach. This relationship is mediated through teacher efficacy and grit. PLS-SEM was used to investigate this relationship. The use of PLS-SEM instead of CB-SEM is preferred when sample sizes are smaller. For example, a sample size of 200 is considered to be an adequately close fit to the data in CB-SEM (MacCallum, Browne, & Sugawara, 1996). Some overestimate the ability to use small samples in PLS-SEM (Hair et al., 2017), so care is needed in addressing appropriate statistical power. According to Cohen (1992), the current model (with three independent variables) needs 145 participants to detect minimum 𝑅𝑅 2 values of 0.10 at a significance level of 1%. 103 participants are needed at the 5% significance level. The current study obtained 209 participants, which allowed for the data to determine which SEM method was appropriate. Sampling Procedure For this study, a stratified sampling procedure was used at Montana State University. The current study was interested in the relation of OAE and PT perceptions of preparedness to teach. The stratified sample consisted of students who were enrolled in a variety of education courses during the Spring 2016 semester. Education courses were strategically chosen (Gay, Mills, & Airasian, 2012) to ensure an even distribution of participants were freshman, sophomores, juniors and seniors, as well as an even distribution of elementary and secondary education majors. Data were collected with both face-to-face paper copies and online through Qualtrics. According to Weigold, Weigold, and Russell (2013), response rates for paperand-pencil and Internet data collection methods tends to be equivalent. As a result both methods were used, and the type of administration was determined based on the availability to visit the class. The use of oversampling aided in ensuring that the needed sample size was met. The sample selected consisted of a possible 400 students. 234 (58.5%) students participated in the survey, and 209 (52.25%) of the participants completed the survey with enough date to be included in the analysis. The study took students between 15-25 minutes to complete, and included an opportunity to provide an email address to be entered into a drawing for prizes. The prizes were generously provided by Exodus Reps, and had a value of roughly $167.75. The prizes were used to promote participation and demonstrate appreciation for participation. Variables A PLS-SEM was utilized to examine the relationship of OAE and PT perceptions of preparedness to teach. This analysis had an independent variable of outdoor engagement, mediating variables of teacher efficacy and grit, and a dependent variable of preparedness to teach. Teacher efficacy and grit also served as independent variables as direct effects were measured with these variables. Teacher efficacy also served as a mediating variable to grit. The analysis required three factors of OAE (a question pertaining to outdoor adventure expeditions, instructing outdoor adventure activities, and the level of engagement within the past two years of outdoor adventure activities). The TSES scale historically has three factor loadings (Tschannen-Moran & Hoy, 2001). However, factor analysis in the current study required the use of two distinct factors. Likewise, the grit scale typically has two factors, and these were maintained in the current analyses. The dependent variable of preparedness to teach was aligned with the 10 InTASC Standards, and resulted in six distinct factors in the current study. The scale was originally designed for graduates of a teacher education program, so the current participants were unique to the scale. Demographic information (year in school, gender, and background-rural, suburban, or urban) was also collected. Instruments Four instruments were used in the current study to collect data to regarding degree of engagement in OAE, teacher efficacy, grit and preparedness to teach. Demographic questions included: gender, year in school, major, age, and a question pertaining to the place where participants grew up. The four locations include urban (over 100,000), suburban, town (over 25,000), and rural. The location demographics were obtained from the National Center for Education Statistics' New Urban-Centric Locale Codes (NCES, n.d.). This question is pertinent to the study in addressing the issue of access to outdoor space (Appendix A). The assessment of outdoor adventure engagement consisted of three questions: longest outdoor adventure trip (expedition), outdoor adventure activities that the participants have worked as a formal or informal instructor, and the level of engagement in outdoor adventure activities they have participated in the last two years. Participation was measured as: "Never, Hardly Ever, Occasionally, and Frequently" (Hakel, 1968). The Teacher Sense of Efficacy Scale (TSES) (Tschannen-Moran & Hoy, 2001) has both a 24 and 12 item instrument. This instrument consists of a 1-9 likert scale where 1 corresponds to "nothing", 3 corresponds to "very little", 5 corresponds to "some influence", 7 corresponds to "quite a bit", and 9 corresponds to "a great deal". The scale also incorporates options in between the descriptions as seen with 2, 4, 6, and 8. Each of these has been found to have moderate to strong psychometrics with three factors: student engagement, instruction practice, and classroom management. A factor analysis of the 12-item scale, which is more pedagogically focused, accounted for 65-68% of the variance. Furthermore, the alpha levels found consisted of. .90 (overall), .81 (engagement), .86 (instruction), and .86 (management) (Tschannen-Moran & Hoy, 2001). The survey instrument has been found to be viable for pre-service teachers (Duffin, French, & Patrick, 2012), novice and experienced teachers (Tschannen-Moran & Hoy, 2007), and with international teachers (Nie, Lau, & Liau, 2010). The Short Grit Scale (Grit-S) (Duckworth & Quinn, 2009) is an eight-item likert scale that has been validated over a series of studies. These studies included samples of United States Military Academy, West Point, cadets, finalists of the 2005 Scripps National Spelling Bee, and undergraduate Ivy League students (Duckworth & Quinn, 2009). These groups were used in the process of transitioning to the 8-item Grit-S, which is shorter and psychometrically stronger than the original 12-item original grit scale. The Grit-S alpha levels consisted of .73 to .83 across four samples, and .73 to .79 for Consistency of Interest and .60 to .78 Perseverance of Effort (Duckworth & Quinn, 2009). Additionally, the two factors showed adequate internal consistency as they were strongly intercorrelated (r = .59, p = .001) (Duckworth & Quinn, 2009). The Grit-S instrument consists of a 1-5 likert scale with questions ranging from "very much like me", "mostly like me", "somewhat like me", "not much like me" to "not like me at all". Four of the questions are reversed scored (asking questions that does showcase grit), and adding all points and dividing by eight calculates the cumulative "gritty" score. An average score of 5 constitutes extremely gritty whereas a score of 1 constitutes not at all gritty (Duckworth & Quinn, 2009). Questions 2, 4, 7, and 8 were transformed in SPSS to a reversed score. This is according to the protocols called for by Duckworth and Quinn (2009). Questions pertaining to preparedness to teach were obtained from an instrument derived from the InTASC Standards (Sherman et al., 2015). (Table 2). Table 2. InTASC Standards (CCSSO, 2011). Faculty and doctoral students at University of Northern Colorado (UNC) created the instrument, and gave permission to use the instrument in the current study (Sherman et al., 2015). Because the instrument is fairly new, the questionnaire will not be provided in the appendices. However, the reliabilities are presented below in Table 3. Table 3. Preparedness to Teach InTASC Standards Psychometrics (Sherman et al., 2015). After a substantial review process, the members of UNC formulated the instrument consisting of 48 questions. The scale uses a 1-5 likert scale ranging from "strongly disagree", "disagree", "neither agree nor disagree", "agree", to "strongly agree" (Sherman et al., 2015). The stem to the instrument was altered to better address the needs of the current study. The current study asked participants, "We are interested in your views about your current level of preparedness to become a K-12 teacher. Please answer the following questions:", and it used the stem "I am prepared to…". Like the UNC version, the stem was displayed on every page of the preparedness instrument (Sherman, 2015). The original instrument was designed to assess graduates of UNC's teacher education program. Therefore, the use of this instrument with undergraduate participants is unique. Data Collection The demographic questions pertaining to outdoor adventure engagement were piloted before the administering of the survey. These questions were originally piloted with undergraduate students at Montana State University who were enrolled in an outdoor adventure education course. There were 27 students enrolled in this course. The original questions were based off of Outdoor Leader Experience Use History (OLEUH) (Galloway, 2003). However, after receiving feedback from the students, the OLEUH scale did not resonate with these students indicating the challenge of measuring outdoor use. As a result questions were designed to analyze outdoor use from a expeditionary (longest trip in days), instructional, and engagement perspective. The demographic, outdoor adventure engagement questions were conducted after receiving approval from Institutional Review Board (IRB). Data collection began once IRB approval was obtained. Data collection took place over two weeks in March and April of 2016. The nature of this survey was designed for minimal risk of the participating students. The questions created for the study were non-offensive and non-controversial in nature. The teacher efficacy and grit questionnaires are also non-offensive and non-controversial in nature based on the IRB application. Additionally, industry leaders and experts have utilized these two instruments (Duckworth et al., 2007; Duckworth & Gross, 2014; Duffin et al., 2012; Tschannen-Moran & Hoy, 2001; 2007). The survey was conducted in person with paper copies and online using Qualtrics. 116 of the surveys were completed face-to-face and 93 of the surveys were completed online. All surveys were entered into Qualtrics for secure storage. The paper copy surveys were manually entered into the program, and the paper forms were immediately placed in a secure location for shredding. Montana State University provides access to Qualtrics to all students, and their security measures were an added consideration. Additionally, the data from the surveys will be deleted within one year of being collected. If students had questions or concerns regarding the survey and research they will have the right to contact me at any time during and after the data collection process. A drawing was completed after data collection was finished to determine who would receive the prizes provided by Exodus Reps. Participants who completed the paper version of the survey were provided with a note card that was stapled onto the back. The participants were told to provide their email addresses on the card, the card was removed, and the cards were placed into a container separate from their surveys. The email addresses from cards were entered into an excel sheet. The cards with the email addresses were placed in shredding along with the paper surveys. The students who completed the online, Qualtrics form of the survey were informed to provide their email addresses on a separate, last page. The email addresses in the online database were transferred to the excel document. Once the data collection process was completed, a raffling process took place where the winners were notified and prizes were delivered. An online random number generator was used to obtain the winning email addresses. Data Analysis The first step of the data analysis process was to review the outdoor adventure engagement question to determine if any irregularities or outliers existed (Gravetter & Wallnau, 2009). This was to ensure that the questions being asked were appropriately targeting the correct constructs. This examination was conducted over multiple periods with expert panels. Data were collected via Qualtrics for students who the researcher was not able to visit in class, and with paper copies to be administered to students in their class. All paper surveys were later entered into Qualtrics by the researcher. The data were initially reviewed in SPSS for skewness and normality. An initial exploratory factor analysis was completed in SPSS to ensure that the data were interpreted based on the responses of the participants. The exploratory analysis was necessary as little prior knowledge existed on how the variables related (Hair et al., 2017). Consequently, unique factor loadings in comparison to previous research emerged. Because of the unique population, and the lens of outdoor adventure engagement, this was not unexpected. The selection of PLS-SEM aided in addressing this issue. As indicated by Hair et al., (2017), PLS-SEM's statistical properties provide very robust model estimations with data that have normal as well as extremely non-normal (i.e., skewness and/or kurtosis) distributional properties…It must be remembered, however, that influential outliers and collinearity do influence the OLS regressions in PLS-SEM, and researchers should evaluate the data and results for these items (p. 27). The data were analyzed for influential outliers and collinearity issues to ensure the analysis of this data was appropriate. Methodology Summary The purpose of this study was to investigate the relationship of outdoor adventure engagement and student perception of preparedness to teach. This relationship was mediated through teacher efficacy and grit. This study was also interested in investigating the relationship of teacher efficacy and grit and how they relate to student perception of preparedness to teach. The current study addresses both the call of Scrutton and Beames (2015) call for more rigorous quantitative research in outdoor adventure literature, and it supports the call or Duckworth and Gross (2014) for more investigation of grit in relation to other constructs. CHAPTER 4 RESULTS Introduction The purpose of this study was to examine the possible relationship between outdoor adventure engagement and pre-service teacher perceptions of preparedness to teach. Given that there are many components that lead to the preparation of an effective teacher. The current study used the reciprocal causation model (Bandura, 1989) as its foundation. The reciprocal causation model recognizes the importance of the interaction of behavioral, personal, and environmental factors in human growth and development. The current study postulates that outdoor adventure engagement (environmental factor), teacher efficacy (behavioral factor), and grit (personal factor) relate to a student's perception of preparedness to teach. There is scant quantitative research conducted on the intersection of teacher education and OAE. Likewise, while grit has been discussed anecdotally in relation to OAE (Garwin, 2014; LaGrande, 2015), no previous studies have analyzed this relationship. There are many factors that support PTs as they enter their first teaching position. Teacher efficacy (Mosely et al., 2002; Tschannen-Moran & Hoy, 1998; 2001; 2007) and grit (Duckworth et al., 2009; Robertson-Kraft & Duckworth, 2014) are found to have positive outcomes for effective teaching and student learning. However, as stressed by Duckworth and Gross (2014), investigation of the relation of grit to other goal oriented constructs is needed. Currently, no other research has investigated the relationship between grit and teacher efficacy. This chapter presents demographic information and results from the analysis of data collected to answer the research questions and hypotheses: 1. Is there a relationship between outdoor adventure engagement and student perception of preparedness to teach? H0: There is a relationship between outdoor adventure engagement and student perception of preparedness to teach. H1: There is not a relationship between outdoor adventure engagement and student perception of preparedness to teach. 2. Is there a relationship between outdoor adventure engagement and teacher efficacy? H0: There is a relationship between outdoor adventure engagement and teacher efficacy. H1: There is not a relationship between outdoor adventure engagement and teacher efficacy. 3. Is there a relationship between outdoor adventure engagement and grit? H0: There is a relationship between outdoor adventure engagement and grit. H1: There is not a relationship between outdoor adventure engagement and grit. 4. Is there a relationship between teacher efficacy and grit? H0: There is a relationship between teacher efficacy and grit. H1: There is not a relationship between teacher efficacy and grit. H0: Teacher efficacy mediates the effects of grit on student perceptions of preparedness to teach. 5. Does teacher efficacy mediate the effect of grit on student perceptions of preparedness to teach? H1: Teacher efficacy does not mediate the effects of grit on student perceptions of preparedness to teach. Preliminary Analysis Prior to conducting exploratory and confirmatory factor analysis the data was analyzed to with tests of normality and skewness. These tests were analyzed for the three questionnaires (TSES, Grit-S, the questions based off of the InTASC Standards), as well as the questions based on outdoor adventure engagement. Outdoor demographic questions consisted of: a question pertaining to the longest expedition the individual had completed (in days), if they had formally (paid or volunteer) instructed in outdoor adventure activities, and how engaged they were in adventure activities in the past two years (Never, Hardly Ever, Occasionally, and Frequently). Instructing adventure activities was entered as categorical (yes or no). 48.3% (n=101) of the participants indicated that they had instructed outdoor adventure activities, while 50.7% (n=106) indicated that they had not instructed adventure activities. After initial review of the data, engagement was analyzed as the highest level of engagement (regardless of activity) within the past two years. The participants indicated 64.1% (n=134) were frequently, 28.2% (n=59) were occasionally, 7.2% (n=15) were hardly ever, and 0.5% (n=1) were never engaged in outdoor adventure activities. Participants indicated a wide range of multi-day adventures (listed as "expeditions") in analysis. This ranged from 1 to 91 days. Frequencies and percentages of outdoor adventure are presented in Table 4. Table 4. Adventure distributions. Normality and skewness tests were also performed on the outdoor adventure questions. As emphasized by Fabrigar, Wenger, MacCallum, and Strahan (1999), variables are not adversely affected when skewness is less than 2.00 and kurtosis is not greater than 7.00 (Table 5). Table 5. Means, Standard Deviations, Skewness, and Kurtosis of OAE. The variable Exp (expeditions) was significantly skewed and all of the variables were significantly non-normal (Table 6). Table 6. Tests of Normality for OAE. Normality and skewness tests were performed on the TSES, Grit-S, and preparedness factors. All of the factors had adequate skewness and kurtosis (Table 7). Table 7. Means, Standard Deviations, Skewness, and Kurtosis of TE, Grit, & Prep. However, as evident in Table 8, tests of normality found that all variables were significantly non-normal. Table 8. Tests of Normality for TE, Grit, and Prep. Two hundred thirty four (234) students completed the entire set of instruments. Twenty-five (25) students were removed from the analysis as they chose to not answer a large portion of the questions, leaving two hundred nine (209) (89.32%) participants for analysis. Demographic information was collected on participant gender, year in school, major, age, and location where participants were raised. A summary of demographic findings is displayed in Table 9. Table 9. Descriptive Statistics for Demographic Data. The gender breakdown for the 209 participants consisted of 64 males (30.6%) and 145 females (69.4%). 208 of the 209 (99.52%) participants answered the year in school question. A stratified sample participants enrolled in education classes was used to elicit an even range of progress through the degree process. This even distribution is evident, though a higher percentage of participation is seen throughout each sequential year in school. This breakdown of year is school is evident with: 20.1% (n=42) freshman, 47% (n=47) sophomores, 27.8% (n=58) juniors, and 29.2% (n=61) seniors. Participants were asked to provide the major they are currently enrolled in. After review of their response, major in school was broken down to: 50.24% (n=105) elementary education, 23.92% (n=50) secondary education, 4.31% (n=9) "other" education (music, agriculture, and technology), 2.4% (n=5) health and human development (HHD), and 19.13% (n=40) non-education majors. 204 of the 209 (97.61%) participants responded to the question pertaining to location participants grew up in. The location labels were derived from the National Center for Education Statistics (NCES) locale codes. The locations and percentages consisted of 15.2% (n=31) urban (over 100,000), 19.1% (n=39) suburban, 30.9% (n=63) town (over 25,000), and 34.8% (n=71) rural. Additionally, the age of the participants ranged from 18 to 42. Exploratory Factor Analysis All three instruments have previously gone through both exploratory factor analysis and confirmatory factor analysis. For the current study, an initial factor analysis was completed to determine if the data was loading as expected based on previous research. This analysis was also necessary to determine the best course of action with regards to analyzing the data during the SEM process. In analyzing the current data, it is also important to recognize that this is a unique data set. The instrument based on the InTASC standards is quite new, and no comparison of teacher efficacy and grit has been completed. Most important to consider is the lens in which the data was prompted by the participants, which is central to the current study. The study is focused on the intersection of outdoor adventure education and teacher education. The responses of participants were impacted by their experience in outdoor adventure activities. The instrument provided by UNC has previously gone through exploratory and confirmatory factor analysis. The original loadings, in relation to the InTASC Standards is seen as follows: Table 10. Original Factor Loadings Based on InTASC Standards. Factor analysis of the 48 questions related to preparedness to teach resulted in six (6) factors. Of note, 14 questions were cross-loaded. The following cross-loaded questions were removed from analysis: P.1, P.5, P.7, P. 10, P.15, P.16, P.18, P.23, P.27, P.29, P.32, P.35, P.36, and P.39. The six factors are presented below in Table 11. An analysis of the traits demonstrated an overarching theme of theoretically guided practice. * Factor 1: The need for reflective practice that is guided, flexible, yet informed through practice. * Factor 2: The value of responsible practice that is informed by the need to incorporate families, the environment, culture, and technology. * Factor 3: Reflective practice that is grounded in psychologically based practice. * Factor 4: The need for professional development to inform and ensure high quality practice. * Factor 5: The importance of the social process of learning. * Factor 6: The use of differentiation in a manner that is supported through experiential learning. It is important to note this instrument was designed for teacher education graduates. The current study analyzes participants who are undergraduates ranging from freshman to seniors. Accordingly, it is not unexpected that the factor loadings were low, and that 6 rather than 10 factors emerged. Table 11. Factor Loadings of Preparedness to Teach. The TSES-12 consists of three distinct factors: Efficacy for Instructional Strategies, Efficacy for Classroom Management, and Efficacy for Student Engagement (Tschannen-Moran & Hoy, 2001). However, for the current model, two distinct factors emerged. Additionally, item seven, "How much can you do to calm a student who is disruptive or noisy", cross-loaded between the two factors. Consequently, it was dropped from analysis. The two factors are presented below. Table 12. Factor Loadings of Teacher Efficacy. The Short Grit Scale consists of two distinct factors: Consistency of Interest and Perseverance of Effort (Duckworth & Quinn, 2009). The current study loaded as expected based on previous research with the two distinct factors. However, question seven, "I finish whatever I begin", cross-loaded across the two factors. Consequently, it was removed from analysis. Table 13. Factor Loadings for Grit. Factor 1 (Consistency of Effort) Structural Equation Model After, exploratory factor analysis, the best course for moving forward was to investigate the relationship of outdoor adventure engagement, teacher efficacy, grit, and preparedness to teach in a multitude of ways. An examination of the data, using both Lisrel and SmartPLS, with the collected data (n = 209) was completed. As emphasized in chapter 3 the current study is both exploratory and grounded in theory. Henseler and Sarstedt (2013) add to the conversation regarding the choice of CBSEM or PLS-SEM PLS path modeling's popularity among scientists and practitioners is due to four genuine advantages: First, PLS path modeling 'involves no assumptions about the population or scale of measurement'. PLS path modeling can thus be used when distributions are highly skewed…Second, even when having a small sample, PLS path modeling can be used to estimate relationships between latent variable with several indicators…Third, modern easy-to-use PLS path modeling software with graphical user-interfaces, like SmartPLS…Fourth, PLS path modeling is preferred over covariance based structural equation modeling (CBSEM) when improper or non-convergent results are likely…as for instance in more complex models, for which the number of variables is high in relationship to the number of observations, and the number of indicators per latent variable is low (p. 566). As emphasized by Hair et al., (2017), "The goal of PLS-SEM is maximizing the explained variance (i.e., the 𝑅𝑅 2 value) of endogenous latent variables in the PLS path model" (p. 105). This requires the measurement model metrics of reliability, convergent validity, and discriminant validity. Additionally, the current study requires an evaluation of the measurement model (reflective measurement model), and an evaluation of the structural model (Hair et al., 2017). A description of labels for the latent traits and their indicators in SmartPLS is found in Table 14. Table 14. Description of Labels. Measurement Model Analysis The outer loadings of the indicators are shown in Table 15. Indicator reliability of 0.70 is the preferred. However, as the research is exploratory in nature, 0.4 or higher is acceptable (Hulland, 1999). Factor loadings that are less than the accepted 0.4 are marked with an asterisk (). This item loaded below the acceptable lever, but because of the nature of the study (a focus on outdoor adventure engagement), it remained in analysis. Table 15. Outer Loadings. The reliability and validity statistics are presented in Table 16. As emphasized by Bagozzi and Yi (1988), internal consistency reliability should be 0.7 or higher. However, as the research is exploratory in nature, 0.6 or higher is acceptable (Bagozzi & Yi, 1988). As evident, the composite reliability and Cronbach's alpha for OAE were both below the requisite cut-off. Additionally, the Cronbach's alpha for Grit was below 0.6. Reliabilities that are less than the accepted 0.6 are marked with an asterisk (). Convergent validity is determined through the average variance extracted (AVE). As suggested by Bagozzi and Yi, 1988, the AVE should be 0.5 or higher. As seen in the current model, OAE fell below this number, and it was denoted with an asterisk. Table 16. Reliability and Validity. Discriminant validity is the extent to which a construct is empirically distinct from other constructs (Hair et al., 2017). According to Hair et al., (2017), there are two methods for determining discriminate validity, cross loadings and the Fornell-Larkner criterion. They emphasize, "an indicator's outer loading on the associated construct should be greater than any of its cross-loadings (i.e., its correlation) on other constructs" (p. 115). Table 17 displays the cross-loadings. The loading showcase that discriminate validity is maintained. Table 17. Cross Loadings. According to Hair et al., (2017), the Fornell-Larker criterion compares the square root of the AVE values. The value should be greater than its highest correlation with any other construct. Table 18. Displays the Fornell-Larker criterion. The cross-loadings and Fornell-Larker criterion demonstrate that discriminant validity was achieved. Table 18. Fornell-Larker Criterion. As evident in both the cross-loadings and the Fornell-Larker criteria, indicator loadings of the constructs differ to a large extent. This supports the discriminant validity of the data (Hair et al., 2017). Structural Model Analysis PLS-SEM has been criticized in the past for the lack of a global goodness-of-fit measure (Hensler & Sarstedt, 2013). However, Hensler et al., (2014) introduced the standardized root mean residual (SRMR) for PLS-SEM, which has previously been used in CB-SEM. The SRMR is defined as, "the root mean square discrepancy between the observed correlations and the model-implied correlations" (Hair et al., 2017, p. 193). According to Hu and Bentler, (1999), when applying a SRMR to a CB-SEM, a value of less than 0.08 is considered a good fit. Hair et al., (2017) indicate that 0.08 is most likely too low for PLS-SEM. They state, The reason is that the discrepancy between the observed correlations and the model-implied correlations plays different roles in CB-SEM and PLSSEM. Whereas the CB-SEM algorithm aims at minimizing the discrepancy, in PLS-SEM, the discrepancy results from the model estimation, whose aim is to maximize the explained variance of the endogenous construct(s). That is minimizing the discrepancy is the target criterion of CB-SEM, whereas this is not the case in PLS-SEM (Hair et al., 2017, p. 193). The standardized root mean residual (SRMR = 0.033) of the current study indicates a good fit of the model. Figure 4 displays the path analysis for the current model. This includes path coefficients and p-values. The current demonstrates acceptable discrepancy between the variables. The bootstrap statistical output, containing the correlation coefficients, p-values, and t-statistics associated with each relationship are displayed in Table 19. The relationships of TE on Prep, Grit on Prep, and Grit on TE were significant at the 5% significance level. Of note, none of the relationships with OAE yielded significance. 94 Table 19. Bootstrap Statistical Output. Note. * p<0.05. The 𝑅𝑅 2 and adjusted 𝑅𝑅 2 showcase the models predictive power (Hair et al., 2017). The current model fails to explain the variance of the model with the Grit construct. This is the case with both the 𝑅𝑅 2 and adjusted 𝑅𝑅 2 models. TE exhibited a low 𝑅𝑅 2 and adjusted 𝑅𝑅 2 , explaining at most 10.5% of the variance. Prep also exhibited a low 𝑅𝑅 2 and adjusted 𝑅𝑅 2 , explaining at most 14.3% of the variance. The total 𝑅𝑅 2 and adjusted 𝑅𝑅 2 explained 24.8% and 22.4% of the variance of the model. Cohen (1988) suggests effect sizes for 𝑅𝑅 2 values be interpreted according to the following criteria: .02 = small, .13 = moderate and .25 = large effects. The 𝑅𝑅 2 values reported in Table 20 demonstrate the effect sizes. According to the criteria of Cohen (1988), Grit has no effect, TE has a small effect, and Prep has a large effect. Table 20. Correlations, R^2,and Adjusted R^2 Results. Construct 2 𝑅𝑅 𝑅𝑅 2 Journal editors and reviewers have increasingly encouraged the f2 effect size to be presented in findings by (Hair et al., 2017). Hair et al., (2017) state that assessing f 2 effect as: small (0.02), medium (0.15), and large (0.35). Table 21 displays the effects of the relationships. Table 21. Effect Size. The current model shows no effect for OAE on Grit, OAE on Prep, and Grit on Prep. The model exhibits small effect for Grit on TE, OAE on TE, and TE on Prep. In addition, TE was found to partially mediate the direct effect of Grit on Prep. The direct effect of Grit on Prep was significantly (p<.01) reduced from .126 to .085 when mediated by TE. Summary Overall, the model showed significantly non-normal factors throughout. This non-normality is most likely due to the questions being closely related. The model itself showed good fit, as evident from the SRMR. The model did exhibit indicator reliability issues with the engagement in outdoor adventure activities variable. Likewise, the reliabilities for OAE, as well as Grit were less than required. As a result, care is needed in interpreting the data. The data does not reveal significant relationships with outdoor adventure engagement, which is the central component of investigation. However, significant relationships of teacher efficacy and grit in relation to preparedness to teach were found. The relationship of teacher efficacy with Preparedness had the strongest relationship evidenced by a path coefficient of .329 and 𝑅𝑅 2 of .105. Additionally, the results show Grit was significantly related, at the 5% significance level, to teacher efficacy and preparedness to teach, as evident from significant path coefficients (.126). This is noteworthy as it supports Duckworth and Gross's (2014) recommendations to further examination of the relationship between grit and other goal related constructs. Additionally, the study reveals the perspective of preparedness to teach of undergraduate students enrolled in teacher education courses. The questions pertaining to preparedness to teach were originally based on the InTASC Standards, which consist of 10 distinct standards. However, the instrument used was designed for students who have successfully completed a teacher education program and who were working as teachers. Thus, it is not unexpected that undergraduates (ranging from freshman to seniors) have a different perspective of what it means to be prepared to teach. As a result, the current participants viewed preparedness to teach as 6 distinct factors. CHAPTER 5 DISCUSSION Introduction This study was designed to examine the relationship between engagement in outdoor adventure education and students' perceptions of preparedness to teach as mediated by teacher efficacy beliefs and the personality trait of grit. Specifically, the study used the reciprocal causation model to investigate the relationship between outdoor adventure engagement (environmental factors), teacher efficacy (behavioral factors), and grit (personal factors) in relation to preparedness to teach. The current study was designed to add to the literature pertaining to the constructs of outdoor adventure engagement, teacher efficacy, and grit and address the intersectionality of teacher education and outdoor adventure education. This chapter presents a summary and interpretation of the results of the investigation. It provides an overview of the study design and analysis of the data. Finally, this chapter describes the study's contributions to literature, its implications for professional practice and possible avenues for further study. Design of the Study The current study analyzed the relationship of outdoor adventure engagement and student perception of preparedness to teach. This relationship was mediated through teacher efficacy and grit. The current study is grounded theoretically through the use of a reciprocal causation model. However, the current study is specifically interested in the environmental factor (outdoor adventure engagement) of the triadic structure. The study of undergraduate students enrolled in teacher education courses was guided by the following research questions and hypotheses: 1. Is there a relationship between outdoor adventure engagement and student perception of preparedness to teach? H1: There is a relationship between outdoor adventure engagement and student perception of preparedness to teach. H0: There is not a relationship between outdoor adventure engagement and student perception of preparedness to teach. 2. Is there a relationship between outdoor adventure engagement and teacher efficacy? H1: There is a relationship between outdoor adventure engagement and teacher efficacy. H0: There is not a relationship between outdoor adventure engagement and teacher efficacy. 3. Is there a relationship between outdoor adventure engagement and grit? H1: There is a relationship between outdoor adventure engagement and grit. H0: There is not a relationship between outdoor adventure engagement and grit. 4. Is there a relationship between teacher efficacy and grit? H1: There is a relationship between teacher efficacy and grit. H0: There is not a relationship between teacher efficacy and grit. H0: Teacher efficacy mediates the effects of grit on student perceptions of preparedness to teach. 5. Does teacher efficacy mediate the effect of grit on student perceptions of preparedness to teach? H1: Teacher efficacy does not mediate the effects of grit on student perceptions of preparedness to teach. Summary and Interpretation of the Findings Overview The results of the current study demonstrate the unique nature of outdoor adventure engagement in relation to pre-service teachers. The current study did not find significant relationships between outdoor adventure engagement and perceptions of preparedness to teach. This may be the result of a homogenous population that reported a higher than expected level of experience with outdoor adventure activities. Results from the path analysis did find significant direct effects of teacher efficacy and grit on preparedness to teach. However, the direct effect of grit on preparedness was significantly mediated by teacher efficacy. Relationship Between OAE and Perceptions of Preparedness to Teach The current study did not support the hypothesis that there is relationship between outdoor adventure engagement and student perceptions of preparedness to teach. This finding may be influenced by the demographics of Montana State University. The location of the study is a place well-known for its outdoor adventure environment. For example, 48.3% (n=101) of the participants reported previous experience instructing outdoor adventure activities. Additionally, 64.1% (n=134) reported being frequently engaged in outdoor adventure activities within the past two years. While outdoor recreation is a major element of the culture of the Bozeman Montana, where Montana State University is located, this degree of engagement was still surprising in light of the fact that Montana State University does not have a formal outdoor adventure education program. Another area that is intriguing, and requires further investigation, is the role of gender in OAE. Outdoor adventure has historically been a male dominated field (Warren, Roberts, Breunig, & Alvarez, 2014). This is particularly the case with instructing or guiding outdoor adventure activities (Wittmer, 2001). The current study exhibited a gender breakdown of 64 males (30.6%) and 145 females (69.4%). This gender distribution is not unexpected in teacher education programs. However, the engagement over the past two years was highly skewed towards frequently engaged in adventure activities. Likewise, roughly half of the participants reported having experience instructing outdoor adventure activities. The current demographic of participants is unique in being highly skewed towards outdoor adventure engagement, thus reducing the variability needed to establish a significant relationship between outdoor adventure engagement and student perceptions of preparedness to teach. As a result, the lens that the participants bring to their preparation is unique. This lens may be particularly unique as evident from issues of gender equity in outdoor adventure (Wittmer, 2001; Warren, 2014). Subsequently, the experience of women in outdoor adventure may impact perceptions towards teacher efficacy, grit, and preparedness to teach and future research would do well to explore this important issue. The current study used a preparedness to teach survey instrument aligned to the 10 InTASC Standards. The findings from this study revealed pre-service teachers' perceptions of preparedness to teach with this instrument. Thus, the factor loadings of the instrument, based on the 10 InTASC Standards, demonstrated the unique view of the participants, and provides insight into the influence of outdoor adventure engagement as well as the view of pre-service teachers. Six distinct factors emerged during exploratory factor analysis. However, these factors, or traits of preparedness, were highly correlated. The factors that were highly related were factors 1, 2, 4, and 5. The four factors all share a similar element of relating to reflective practice (Schon, 1983; 1987). Factor 1, highlights the need for reflective practice that is guided, flexible, yet informed through practice. Factor 2, emphasizes the value of responsible practice that is informed by the need to incorporate families, the environment, culture, and technology. Factor 4, stresses the need for professional development to inform and ensure high quality practice. Factor 5, showcases the importance of the social process of learning. Together, these four factors provide a basis for informed and well-reflected practice. This concept is further emphasized by the two remaining unique factors. Factor 3, highlights reflective practice that is grounded in psychologically based practice. Factor 6, showcases the use of differentiation in a manner that is supported through experiential learning. Although, the current study did not find a significant relationship between outdoor adventure engagement and preparedness to teach, it did provide, through the factor structure, evidence of the unique perspective of preparedness to teach of undergraduate pre-service teachers who are involved in outdoor adventure. As emphasized by Schon (1987), Practitioners of a profession differ from one another, of course, in the subspecialties, the particular experiences and perspectives they bring to their work, and their styles of operation. But they also share a common body of explicit, more or less systematically organized professional knowledge and what Geoffrey Vickers has called an 'appreciative system' – the set of values, preferences, and norms in terms of which they make sense of practice situations, formulate goals and directions for action, and determine what constitutes acceptable professional conduct (p. 33). Relationship Between OAE and Teacher Efficacy The current study did not support the hypothesis that there is relationship between outdoor adventure engagement and the mediating variable of teacher efficacy. However, as seen with research question 1, the factor loadings were informative. The TSES, which is originally a three-factor instrument, loaded on two distinct factors in the current study. The unique element of the loadings is seen with factor 2. This factor, with strong loadings throughout, highlights the notion of motivation towards learning. Perhaps, because of the experiential nature of OAE, and the overarching outdoor adventure engagement of the participants, increased motivation could be considered to be a byproduct of engaging education. As emphasized by Ellison (2013), a learning model that relies on intrinsic motivation, one that allows learners to understand and appreciate the purpose of assignments and activities, and positions learning as personally meaningful is necessary (p.182). The majority of the students surveyed (only one listed his/her outdoor adventure engagement over the past two years as never) has incorporated the use of the outdoor and adventure as a part of their lives. Factor 2 may represent a belief structure that experiential based education practices support student motivation and engagement. Consequently, a focus on factor one, and efficacy for assessment, teaching strategies, and management may be viewed as the area of development that students are most keen to address. Relationship between OAE and Grit The current study failed to support the hypothesis of a relationship between outdoor adventure engagement and grit. The Grit-S scale loaded as expected with the two established factors (consistency of effort and perseverance of effort). Question seven, "I finish whatever I begin", cross-loaded across the two factors. Consequently, it was removed from analysis. The questions regarding outdoor adventure engagement did not demonstrate significance in any relationship. This could be the result of instrument design or it could be due to a large amount of outdoor adventure experience. As emphasized by Duckworth and Gross (2014), previous research has identified "harmonious passion (i.e., autonomous internalization of a passionate activity into one's identity) as a predictor of deliberate practice and, in turn, performance" (p. 320). The factor loadings provide evidence that more investigation into the relationship between the constructs of grit and outdoor adventure is needed. This need is particularly evident with the current theme of promoting grit in outdoor adventure education (Antin & Gregory, 2015; Micucci, 2015). Relationship Between Teacher Efficacy and Grit The current study supports the hypothesis that there is a positive and significant relationship between grit and teacher efficacy. This relationship is seen in relationship to students' perception of preparedness to teach. Previous research has clearly demonstrated the relationship between teacher efficacy and improved student outcomes (Ashton & Webb, 1986; Gibson & Dembo; Mosely et al., 2002; Tschannen-Moran, Hoy, & Hoy, 1998). The current study grit extends our understanding by demonstrating that grit is related to teacher efficacy and perceptions of preparedness to teacher. Research on grit is still in its infancy (Duckworth & Gross, 2014). An investigation of grit and other constructs related to goal attainment is needed. For example, Lower-order goals are more numerous, context specific, short-term, and substitutable, whereas higher-order-goals are typically fewer in number, more abstract, more enduring, and more important to the individual (p. 321). Teacher efficacy, a teacher's belief in his or her ability to bring about desired outcomes in student learning (Tschannen-Moran & Hoy, 2001), is necessary when working toward goals. This is particularly the case when discussing lower-order goals. Sanders and Horn (1998) stress that high quality teachers are the most important factor in student academic success. Overcoming obstacles to achieve higher order goals, or in ensuring that lower order goal, that are central to the success of students, is necessary. Grit could play an important role in this outcome. As stated by Duckworth and Gross (2014), grit entails having a dominant superordinate goal (e.g., producing useful new insights into the psychological determinants of success) and tenaciously working toward it in the obstacles and setbacks, often for years or decades (p. 321). Implications for Theory Contributions to Social Cognitive Theory The results of the model address and extend social cognitive theory. The study examined preparedness to teach through outdoor adventure engagement. There were no significant relationships with outdoor adventure engagement, but the mediating variables of teacher efficacy and grit were significantly related to grit. The current study suggests that based on the unique factor loadings for teacher efficacy and preparedness to teach, that pre-service teachers in this study have a unique view of teacher efficacy and preparedness to teach.. This outcome indicates it is important to consider context when examining outdoor adventure through the lens of social cognitive theory. The study is conceptually grounded by the construct of reciprocal causation. However, the study is exploratory in nature, and the emphasis of the study is seen in addressing the environmental factor of outdoor adventure. The outdoor adventure engagement was not able to support the conceptual model. Nonetheless, the contributions to social cognitive theory are seen with the comparison of teacher efficacy (as a behavioral factor) and grit (as a personal factor) and their relationship to preparedness to teach. The measure of outdoor adventure engagement proved difficult to define. As a result, it is unclear if the OAE could add to the conceptual model in explaining the environmental factor of the theoretical model. However, the current study, as evident with the significant relationships, does contribute the theoretical model of reciprocal causation in relation to student perceptions of preparedness to teach. The current study specifically analyzed the role of outdoor adventure engagement (the environmental factor of a reciprocal causation model) and its relationship to preparedness to teach (Bandura, 1989). The results of the study do not explicitly support the model. However, there are elements of the results that do provide some evidence of this model. For example, grit (a personal factor) and teacher efficacy (a behavioral factor) were significantly related to student perceptions of preparedness to teach. The data did not reveal significant relationships between outdoor adventure engagement and grit, teacher efficacy, or preparedness to teach. However, as evident by a high degree of engagement (seen over the past two years and as instructors) the environmental influence of the reciprocal model may have influence on student perceptions of preparedness to teach that was undetectable due to lack of variability in the data. Perhaps the location of the study (where the outdoors and adventure are major draws), the questions asked, sample size, or a variety of other factors limited the ability to investigate the environmental factor of the theoretical model. Previous research supports environmental factors promoting positive outcomes related to academic achievement (Athman & Monroe, 2004). However, the current study found defining outdoor adventure engagement to be challenging. Future research would benefit from ascertaining constructs that support this analysis. Contributions to Teacher Efficacy Theory Previous research has linked teacher efficacy to positive teacher behaviors and improved student outcomes (Tschannen-Moran & Hoy, 2007, p. 944; Tschannen-Moran, Woolfork Hoy, & Hoy, 1998). Additionally, previous research has demonstrated that teacher efficacy is influenced during the early years, including pre-service, of a teaching career (Tschannen-Moran & Hoy, 1998; Duffin et al., 2012). While it is possible that OAE could support the development of teacher efficacy in aspiring teachers, the analyses in the current study did not reveal a significant relationship between OAE and teacher efficacy. This is seen with the significant relationship of teacher efficacy and preparedness to teach. Probst and Koesler (1998), for example, found that OAE programs can have a significant impact on self-efficacy and this impact includes increases in self-efficacy persisting a year after an OAE program ends (Probst & Koesler, 1998). The participants reported high levels of engagement in outdoor adventure activities, and this engagement may be influencing their efficacy as suggested by Probst & Koesler (1998). Previous research has investigated teaching efficacy in an outdoor context with non pre-service teachers (Schumann, 2013). The current study contributes to teacher efficacy theory by examining teaching efficacy with pre-service teachers through the lens of OAE. Although the current study did not find a significant relationship between teacher efficacy and OAE, teacher efficacy was found to have a positive and significant relationship with student perception of preparedness to teach. The current research contributes to theory as this relationship is situated within the lens of outdoor adventure. A critical issue for both OAE and teacher education is the accuracy of these efficacy beliefs. Self-efficacy beliefs are "based on a self-perception of competence rather than actual level of competence" (Tschannen-Moran & Hoy, 2007, p. 946). Schumann (2013) found that accuracy in self-efficacy beliefs is critical within the scope of outdoor education. The element of accuracy is particularly critical in realm of OAE because participants must continually evaluate their abilities in light of real or perceived risk (Priest & Gass, 2005). An overestimation of ones' abilities to teach in the outdoor classroom can have drastic consequences. Consequently, strategies are needed to address this overestimation. Schumann (2013) stressed that Outdoor and adventure-based education is one such context to avoid the inflation of self-efficacy beliefs due to the physical and educational consequences associated with failure (e.g., psychological harm, injury, or death) (p. 2-3). Teacher education programs face similar issues with accuracy of efficacy beliefs. Though physical consequences are not an issue that is nearly as common as in OAE, the educational consequences of over estimation of teacher efficacy could be an area of concern for the K-12 teacher. Schumann (2013) discussed the danger of inaccurate efficacy beliefs as a teacher. He stresses, Overinflated efficacy beliefs may cause the leader [or teacher] to attempt facilitating a discussion beyond her ability, possibly resulting in psychological damage to her participants. Conversely, she may underestimate her competence in the future task, avoid processing the event, and fail to provide a valuable learning opportunity. In sum, the accuracy of self-efficacy beliefs is an important consideration amidst the myriad of tasks an effective outdoor leader [or K-12 teacher] must perform (Schumann, 2013, p. 14). These metacognitive monitoring methods described by Schumann are valuable to include in both OAE and teacher education programs because they are successful in addressing inaccurate efficacy beliefs. This research provided by Schumann (2013) is encouraging and informative to teacher education programs as misguided intentions can have seriously detrimental consequences to future generations of students. The current demographic of participants exhibited high levels of outdoor adventure engagement. Likewise, nearly half of the participants reported experience instructing outdoor adventure activities. Therefore, this group may benefit from the metacognitive strategies suggested by Schumann (2013) to ensure that their efficacy beliefs are accurate. Contributions to Theory of Grit The current study found a positive and significant relationship between grit and student perceptions of preparedness to teach. Additionally, the study found the effects of grit on preparedness to teach was mediated by teacher efficacy. This finding is in agreement with previous research examining grit in relation to positive teaching outcomes (Duckworth et al., 2009; Robertson-Kraft & Duckworth, 2014). The current study contributes to the research on grit in demonstrating a significant relationship between grit and pre-service teachers' positive teaching outcomes (perception of preparedness to teach). Additionally, the study addresses the call for more research on grit and its relationship to other constructs that support goal attainment (Duckworth & Gross, 2014). The current study found a significant relationship between grit and teacher efficacy, with a significant indirect effect of grit on preparedness to teach mediated through teacher efficacy. This finding demonstrates the role of grit and teacher efficacy in attaining the goal of preparedness to teach. Long-term goals, such as preparedness to teach, require strategies to ensure that these goals are met. In light of the fact that grit is defined as passion and persistence for long-term goals (Duckworth, 2007), a possible implication of the findings is that grittier individuals exhibit efficacy as means of overcoming obstacles to reach their desired goals. This study did not identify a relationship between OAE and grit despite previous literature, which indicated a positive relationship between these two constructs (Antin & Gregory, 2015; Micucci, 2015). Prior research suggests that grittier individuals make fewer career changes (Duckworth et al., 2007; Robertson-Kraft & Duckworth, 2014), exhibit greater teaching effectiveness (Duckworth et al., 2009; Roberston-Kraft & Duckworth, 2014), and grittier individuals work harder to reach goals (Kraft & Duckworth, 2014). Unfortunately, grit has become, to some, a magic pill for success. Consequently, previous research has investigated empowerment programs for supporting the growth of grit (Gamel, 2014). The current study, however, did not address empowerment strategies, but instead examined a direct relationship between grit and actual perceptions of competencies necessary to be prepared to teach. For this study, although grit was related to teacher preparedness, a significant proportion of grit's influence on teacher preparedness was mediated by teacher efficacy. A possible explanation for this influence is the nature of grit and teacher efficacy in relation to goals. Grit's emphasis is towards long-term goals and perhaps, efficacy is a construct that aids the individual in meeting these goals. Grit is typically labeled as either a personality factor or a non-cognitive skill. However, the relationship of grit and teacher efficacy suggests that belief structures play a role for the construct of grit and teacher efficacy. This is evident as a significant proportion of grit's influence on student perceptions of preparedness to teach was mediated through a belief structure (teacher efficacy). More investigation is needed to address the relationship between belief structures and grit. Schumann (2013) stressed the importance of accuracy of beliefs in teaching outdoor education. This is necessary as physical and psychological harm can come from an overestimation in these beliefs. The current study demonstrated the relationship between grit and teacher efficacy, and both of these constructs benefit from metacognitive strategies to ensure that a teacher's efficacy or grit is not toxic to him/herself or his/her students. As a result, an emphasis on the development of metacognition along with the development of healthy grit is critical. Healthy grit is an important quality. Healthy grit can aid the mountain climber who realizes that the conditions and context of the situation at hand require turning around. Healthy grit can aid the K-12 teacher in realizing the context of the situation at hand requires altering a lesson plan. The grit scale discusses components such as being a hard worker, diligent, and finishing what one starts. This is not always a good thing for all conditions. Being stubbornly attached to one's goals can be detrimental, as seen with the heuristic traps. Rather, a greater focus on mastery and reflective practice (Schon, 1983; 1987) in informing goal attainment is more applicable to both outdoor adventure and education. Lucas et al., (2015) present the potential danger of toxic grit. Passion and persistence for long-term goals is simply not always a good thing. Lucas et al., (2015) showcased this with a laboratory experiment, highlighting the care required when attempting to promote the development of grit. As emphasized by Rushton et al., (2007), "It is imperative that individuals be aware and conscious of their personality type so that they may make the necessary changes to adapt and persevere" (p. 440). Outdoor adventure provides an example and a framework for addressing toxic grit. Likewise, through metacognitive monitoring strategies, as seen as an effective course in dealing with inaccurate efficacy beliefs, can guide in showcasing healthy grit. Avalanches are an area of concern with backcountry ski travel, and showcases when toxic grit can cause serious harm. Both industry professionals and researchers have attempted to address the cause of many of these incidents. A major cause in these incidents is what is deemed as the human factor (Atkins, 2000). McCammon (2004) expands upon the human factors that can lead to decision-making strategies that can go against all evidence supporting a go or no go in backcountry skiing. These heuristic traps are familiarity, consistency, acceptance, the expert halo, social facilitation, and scarcity (McCammon, 2004). To provide a base for those who are unfamiliar with avalanches and skiing, decision-making traps, such as familiarity, can occur when an individual has experience skiing a certain area. The trap may cause them to misread the situation at hand. They may say to themselves, "I have skied this before and it did not avalanche." Their drive or goal to ski a certain line may overtake proper decision-making strategies. Decision-making in both OAE and K-12 classrooms tends to be unique and context specific. One mechanism for avoiding misguided decision-making would be to inform preservice teachers how to avoid heuristic traps through mechanisms such as metacognition and self-assessment (McCammon, 2004). Adventure-sports coaching stress the importance of self-assessment. This includes analyzing one-self, in their adventure disciplines, physiologically, psychologically, technically, and tactically (PPTT) (Berry et al., 2015). This model allows for the individual to address deficiencies with action plans. This includes an analysis of improper decision making strategies, such as found with those exhibiting toxic grit. Contribution to Understanding of Outdoor Adventure Engagement Results from this study do not explicitly align with previous research supporting outdoor adventure and efficacy (Lamorey, 2013; Odello, Hill, & Gomez, 2008; Paxton, 1998; Paxton & McAvoy, 2000; Probst & Koesler, 1998; Sibthorp, 2003). Likewise, the current study does not explicitly align with the speculative relationship of OAE and grit (Antin & Gregory, 2015, Micucci, 2015). The findings in the current study may be influenced by a non-normal distribution of data, which may be due to a homogeneous sample with a higher than expected level of outdoor adventure engagement and experience instructing outdoor adventure activities. The unique factor loadings, and the significant relationships of teacher efficacy and grit on preparedness to teach, support a need for more analysis of outdoor adventure. Previous research has highlighted the value of the outdoors particularly in the context of strengthening teaching. Previous research has found that teacher's perceptions of outdoor use in teaching supports increased student motivation, communication, and participation (Fagerstam, 2014). Additionally, research on the benefits of outdoor use has been supported neurologically as outdoor use supports the development of robust long-term episodic memories (Jordet, 2010). The use of outdoor space as a teaching/learning space improves performance on standardized tests, reduces classroom disruptions, increases student engagement and excitement for learning (Lieberman & Hoody, 1998), and increases academic achievement motivation (Athman & Monroe, 2004). The current study, particularly when considering the factor structure that emerged from the teacher efficacy and grit scales for this group of pre-service teachers extends the current body of literature pertaining to the role of the outdoors and adventure in relation to teaching. Teaching is inundated with the surprise element as discussed by Schon (1983) in The Reflective Practitioner. An invaluable development of the practitioner is in "the intuitive knowing implicit in the action" (Schon, 1983, p. 56). This development, particularly being able to respond within the "action present" (Schon, 1983, p. 62), is a necessary attribute of a teacher and leader. The teacher must understand when flexibility is needed as a leader (Colton & Sparks-Langer, 1993; Priest & Gass, 2005; Vaughn, 2014), but the teacher and leader must also know when to stay the course and allow for learning moments to take place. Teaching in both the classroom and outdoor realms has showcased the value of discovery learning. While deep experience and commitment is needed, effective teaching in both the K-12 and outdoor classroom is supported by developing the vision of reflection-in-action (Schon, 1983), flexibility (Colton & Sparks-Langer, 1993; Priest & Gass, 2005; Vaughn, 2014), interpersonal skills (Bain, 2004; Bowman, 2014; Lowman, 1996), and autonomy (Bandura, 1997; Svinicki, 2010). The utilization of adventure education in teacher preparation allows for the merger of individuals' personal interests within the professional development process (Dewey, 1944; Isaak, 2014). Implications for Practice The current study addresses the intersection of OAE and teacher education. The results were not significant in regards to the effects of OAE on teacher preparedness to teach. However, several key elements from the study emerged. Of note, 64% of the participants indicated that they were frequently involved in outdoor adventure activities during the past two years. The overwhelming engagement in outdoor adventure was not expected. Consequently, a homogeneous sample of outdoor adventure participants provided unexpected insights through which to view teacher efficacy, grit, and preparedness. The current study recognizes that influences on learning occur through personal, behavioral, and environmental factors (Bandura, 1989). Likewise, previous research supports the positive relationships of grit and teacher effectiveness (Robertson-Kraft & Duckworth, 2014). Consequently, this exploratory study focused on the role of outdoor adventure engagement (environmental factor) within the triadic structure. Although, the variable in this study did not exhibit significant relationships with outdoor adventure engagement, teacher efficacy and grit had positive and significant direct effects on student perception of preparedness. However, teacher efficacy was found to significantly reduce the direct effect of grit student perceptions of preparedness. The PLS-SEM data analyses did not support the relationship between outdoor adventure engagement and preparedness to teach for this sample of preservice teachers. There are many factors that could have contributed to this, such as a difficulty in defining outdoor adventure engagement. However, the demographic information is illuminating. Only one individual out of 209 selected "Never" as engagement in outdoor adventure activities during the past two years. Additionally, 98 (46.89%) of the participants indicated that they have experience instructing adventure activities. The participation in outdoor adventure was skewed toward being frequently engaged. Given that student learning is grounded in the need for competence, relatedness, and autonomy (Deci, Vallerand, Pelletier, & Ryan, 1991), it would be wise to remember that authentic learning refers to learning that is rooted in real-world contexts and therefore personally relevant to students…Creating a school or classroom culture that inspires students to succeed requires an awareness of the cultural values and beliefs individual students bring to the learning environment (Ellison, 2013, p. 182). Learning is an active and ongoing process that requires deep cognitive engagement and is promoted through social interactions (Bandura, 1977). The participants in this study exhibited a strong connection to outdoor use and adventure engagement. Consequently, implications for practice, to support this use and engagement, could be to support critical reflection. Critical reflection on these experiences is necessary to promote the development of knowledge, and this knowledge is understood through language. As posited by Schon (1983), "one must use words to describe a kind of knowing, and a change of knowing, which are probably not originally represented in words at all" (p. 59). Nearly half of the participants reported experience instructing outdoor adventure activities. Potentially, these individuals will continue this outdoor adventure instructing throughout their careers. This practice could be informative if a focus on areas such a pedagogical knowledge and reflection are explored in both the K-12 and outdoor classroom. OAE offers the opportunity to develop the pedagogical skills that will aid in classroom instruction. Additionally, OAE offers future teachers perpetual growth if continuation in adventurous pursuits persists throughout their lives. The utilization of adventure education is a unique, alternative approach to the continuation of developing teaching sills, and provides a continual outlet that can aid the teacher in stress reduction, resilience, and efficacy (Gu & Day, 2007). The benefits derived from OAE are also seen within the realm of physical education. Physical Education and Fitness A study by Sutherland, Stuhr, and Ayvazo (2014) found that, "Embarrassing, boring, irreverent, and lacking personal meaning are among some of the terms that middle and high school students have used to describe physical education" (p. 2). Timken and McNamee (2012) found that OAE could be an important component for physical education students. This value includes the promotion of lifetime activity. As emphasized by a participant in their study, I think it is also important to introduce students to activities that they can do the rest of their lives. They do not need nine others to go mountain biking…It helps the kids that do not like team sports [know] that there are more options and gives them a chance to be physically active and like what they are doing (Timken & McNamee, 2012, p. 31). Bailey et al., (2009) showed the social benefits related to OAE and physical education, which relates to the social elements of social cognitive theory. Likewise, they found affective and cognitive benefits, which relate to improved academic outcomes (Bailey, et al., 2009). Adventure sports have seen a recent growth in popularity (Berry et al., 2015). This includes adventure-based sports, such as skiing and snowboarding, gaining credibility as Olympic events. Greater access to adventure is also seen with the current trend of indoor climbing gyms. While this is not an outdoor pursuit, many of the current top climbers started their climbing careers in gyms (Duane, 2015). In fact, climbing gyms are being developed in areas that were not considered to be traditional locations of climbing (Malone, 2015). One reason for this, as stated by Malone (2015), "Climbing has turned into the new squash or tennis for a certain young professional set, projecting an air of health-conscious cool less frenetic than Crossfit and grittier than SoulCycle" (para. 2). Engagement in adventure sports may be one path leading to the development of self-efficacy in addition to formal physical education classes. Physical fitness has long been recognized as an important element of education (Bailey et al., 2009). There have been various reasons for the need for physical education. The concept of this dates back to Plato who stressed, "The moral value of exercises and sports far outweighed the physical value" (Plato, 1920, p. 6). Teacher educators need to understand that physical education and physical fitness are important areas to explore with preservice teachers. With the current lack of access to outdoor space and play (Mainella, Agate, & Clark, 2011), there are concerns that a lack of physical fitness is likely to persist throughout life. In a recent study, Loprinzi, Branscum, Hanks, and Smit (2016) analyzed the habits of 4745 adults aged 20 to 85 years. They investigated healthy lifestyle characteristics consisting of being sufficiently active, eating a healthy diet, being a nonsmoker, and having a recommended body fat percentage. They found that a mere 2.7% of the participants met the requirements for all four characteristics (Loprinzi et al., 2016). Ellen Smit (Cha, 2016), stressed, "This is pretty low, to have so few people maintaining what we would consider a healthy lifestyle…This is sort of mind boggling. There's clearly a lot of room for improvement" (para. 5). Teachers may naturally be viewed as a role model (Lumpkin, 2008) and the intersection of OAE and teacher preparation programs can present students with an example of a healthier lifestyle (Pryor, Carpenter, & Townsend, 2005). The Kaiser Family Foundation found that a lack of outdoor exposure has become a common trend where children between the ages of eight and 18 year old spend an average of seven hours and thirty-eight minutes each day with electronic devices (Mainella, Agate, & Clark, 2011). Research has found that outdoor utilization promotes physical fitness, mental health, and cognitive development in adolescents (Mainella et al., 2011) and that the utilization of the outdoors during adolescence promotes future environmental stewardship (Wells, & Lekies, 2006; Chawla, 2009), which is an area that is equally important to pass to future generations. Teachers may naturally be viewed as role models, and showcasing a healthy and environmentally conscious lifestyle could have valuable implications to future generations. Preparing and Retaining Teachers The preparation of highly effective teachers is a complex, ongoing undertaking. Teachers need to continue to grow throughout their careers and once preservice teachers graduate from a program, they have an entire career to evolve to best continue to meet the needs of their students. Teachers need support to continually develop the ability to reflect-in-action (Schon, 1983) and the flexibility needed to respond effectively to students' needs (Colton & Sparks-Langer, 1993; Priest & Gass, 2005; Vaughn, 2014). Reflective and responsive practitioners (Schon, 1983) may benefit from OAE as it naturally provides the element of surprise. Deci et al., (1991) stress that competence, relatedness, and autonomy are necessary for deep learning. Autonomy can be readily produced in the outdoor environment as many exhibit the motivation to pursue these opportunities. As Svinicki (2010) emphasizes "those feelings of autonomy then lead to higher levels of motivation for the task, even if the task is not itself motivating" (p. 77). For those motivated to pursue and develop as adventurers, their intrinsic motivation is well served. This motivation can serve as a catalyst for development in the classroom as well as for professional development opportunities through outdoor adventure. This could be seen with finding ways to provide lessons within the outdoors, or developing pedagogical skills in a diversity of teaching contexts. The knowledge of more pedagogical strategies, derived from a diversity of environments, can aid the aspiring teacher as they seek to address the needs of a diversity of learners. Conkling and Henry (1999) stated that, "learning to teach is a process that continues throughout a teacher's career and that no matter what we do in our teacher education programs and no matter how well we do it, at best we can only prepare teachers to begin teaching" (p. 22). Previous research supports the notion that OAE can aid in positive teaching outcomes (Carlson & McKenna, 2000; Lamorey, 2012, Timken & Mcnamee, 2012). The current study was not able to extend this research. However, implications of a relationship of outdoor adventure and positive teaching outcomes are possible. OAE offers the opportunity to utilize an individual's intrinsic motivation for the outdoors and adventure as a possible source for this continual development. As Bain (2004) emphasizes, "the best teachers assume that learning has little meaning unless it produces a sustained and substantial influence on the way people think, act, and feel" (p. 17). The utilization of OAE offers the opportunity for a merger of skill development in both the outdoors and the classroom (Harris, Lowery-Moore, & Farrow, 2008). OAE addresses the learning that Bain (2004) stresses as developing mastery and autonomy within each individual's adventurous pursuits of choice (Kurfiss, 1988), can support success in the classroom environment. To strive to improve the outcomes of teacher preparation programs, with the goal of serving future students, the use of OAE has the ability to serve in a proactive manner by focusing on the knowledge and interests already currently present in the individual. Preparation programs could employ OAE to foster the growth of pre-service teachers through offering the opportunity for continual development through the pursuit of adventure. The reflective process is one key aspect that is shared between the pursuit of adventurous disciplines and the development of effective teachers. Critical reflection is important in the field of education as this process promotes a more effective, responsive teacher (Brookfield, 1995). Additionally, in the outdoor environment much emphasis has been placed on the importance of autonomy in adventure disciplines. As Svinicki (2010) emphasizes "those feelings of autonomy then lead to higher levels of motivation for the task, even if the task is not itself motivating" (p. 77). The motivation developed from outdoor and adventure can aid the classroom setting. Although this research failed to establish an empirical link between outdoor adventure engagement and teacher preparedness, previous research has demonstrated that environmentally based education can serve to promote academic motivation (Athman & Monroe, 2009). Recommendations for Further Research More investigation of the intersection between OAE and the preparation of new teachers is needed. The current study was limited by participants who had reported a high degree of engagement in outdoor adventure activities, creating a homogeneous participation group with little variability in outdoor adventure experience. It would have preferable to investigate pre-service teachers with a range of outdoor adventure experiences to examine the relationship between this experience and teacher preparedness. Moreover, the outdoor engagement construct proved difficult to define. Consequently, more investigation is needed to better ascertain the indicators that define a range of engagement in outdoor adventure. Finally, there are social elements of outdoor adventure that would be well-served by further research. For example, the current study had a gender breakdown of 64 males (30.6%) and 145 females (69.4%), yet the participants reported a heavy skew towards being engaged in outdoor adventure activities. This includes roughly half of the participants reporting having experience instructing outdoor adventure activities. Previous research has demonstrated gender equity issues in outdoor adventure (Wittmer, 2001; Warren, 2014). Therefore, more investigation is needed of gender and the intersection of OAE and teacher education. Likewise, there are social aspects of outdoor adventure such as location that requires further analysis. For example, the current study asked participants to indicate the geographic location were they were raised. Further analysis of these locations could provide more insight as access and the types of adventure may impact efficacy, grit, and perceptions of preparedness. The current study was guided by social cognitive theory. As a result, aspects such as mastery experiences require more investigation. The current study asked participants about engagement in various outdoor adventure activities. These activities may provide more insight into outdoor adventure and belief structures. For example the skillset required, and risk involved, for climbing, ice climbing, backcountry skiing, and whitewater boating differs from cross country skiing, hiking, and flat water boating. Accordingly, future research should investigate the varying types of outdoor adventure in relation to belief structures. Grit and efficacy are both key elements to education, regardless of the classroom context. Efficacy has a rich history of research in both teacher education and OAE. Previous research has demonstrated that metacognitive strategies are effective in addressing overestimation of teaching efficacy (Schumann, 2013). However grit, and more specifically healthy grit, is an area that needs more investigation. The relationship of grit to teacher efficacy supports the use of metacognitive monitoring strategies (Schumann, 2013) to ensure the accuracy and healthy manifestation of grit. Consequently, investigation of factors that represent healthy grit, and the value of strategies, such as the use of heuristic traps (McCammon, 2004), is needed. Conclusion The transition from pre-service teacher to in-service teacher can be a large and daunting leap. As highlighted by Seifert (2004): "Future teachers are worried about more than outward 'professional identity,' about how they look in the classroom. They worry as well about whether they feel committed to teaching as a calling" (p. 2). These concerns are serious, but could potentially be addressed with the inclusion of adventure education. This inclusion could aid future teachers in their development and the skills gained could support the transition to their teaching careers. As stressed by Ference (2007) engagement in adventure activities that positively impact efficacy can greatly aid a new teacher in making connections that will allow for success. As she stated, an adventure bike trip served as a catalyst for her teaching career as it, "provided me with a chance to experience teaching in a way that connected with my teaching philosophy" (2007, p. 3). The intersection of OAE programs and the teacher preparation realm offers future teachers the option to merge their personal and professional lives. As emphasized by Obenchain and Ives (2006), Teachers are not likely to implement new approaches that they have learned about in teacher education programs unless their training in new approaches is continuous, large scale, offers incentives, and can be done without significantly greater time commitment (p. 73). Bandura (1997) stated that, "When people lead active lives by engagement in interesting pastimes, they gain not only biological benefits but psychological well-being" (p.408). It is possible that the inclusion of OAE in preservice teacher education would give them the opportunity to specialize in their adventure disciplines as well as develop the efficacy and reflective practice needed to excel in their chosen profession. The more student-centered approach of specialization will support not only the preservice teachers involved, but also increase the overall effectiveness of the teacher preparation program. The work of teaching is a sophisticated and complex task. They need to understand when flexibility is needed as a leader (Colton & Sparks-Langer, 1993; Priest & Gass, 2005; Vaughn, 2014) and when to stay the course and allow for learning moments to take place. They need to constantly reflect on their instruction and weigh their efforts in light of the needs of their students (Mezirow, 1997). Today's society needs these highly qualified teachers who can be efficacious and insightful in the face of unbelievable odds. OAE programs offer a possible way forward. As evident in Kornelson's (1998) investigation of a school-based adventure education/therapy program, teachers found that they were able to transfer and relate what they learned from the adventure realm into their classrooms. The inclusion of OAE programs can support the growth of effective teachers while offering continual professional developmental opportunities as retention in the adventure realm persists. REFERENCES CITED Ajzen, I. (1985). From intentions to actions: A theory of planned behavior. In J. Kuhl & J. Beckmann (Eds.), Action control: From Cognition to behavior (pp. 11-39). Berlin: Springer Verlag. Anderson, D., & Absolon, M., (2001). NOLS expedition planning. Mechanicsburgh, PA: Stackpole Books. Antin, M. L., & Gregory, P. (2015, Spring). True grit! Princeton-Blairstown Outlook, 1. Atkins, D. (2000). Human factors in avalanche accidents. Colorado Avalanche Information Center: Boulder, Colorado Ashton, P. T., & Webb, R. B. (1986). Making a difference: Teachers sense of efficacy and student achievement. New York: Longman. Athman, J. A., & Monroe, C. M., (2004). The effects of environmental-based education on students' achievement motivation. Journal of Interpretation Research, 9(1), 9- 25. Bagozzi, R. P., & Yi, Y. (1988). On the evaluation of structural equation models. Journal of the Academy of Marketing and Science, 16(1), 74-94. Bain, K. (2004). What the Best College Teachers Do. Cambridge, Mass: Harvard University Press. Bailey, R., Armour, K., Kirk, D., Jess, M., Pickup, Sandford, R., & BERA Physical Education Sport Pedagogy Special Interest Group. (2009). The educational benefits claimed for physical education and school sport: An academic review. Research Papers in Education, 24(1), 1-27. Ball, D. L., Thames, M. H., & Phelps, G. (2008). Content knowledge for teaching: What makes it special? Journal of Teacher Education, 59, 389-407. Bandura, A. (1977). Self-efficacy: Toward a unifying theory of behavioral change. Psychological Review, 84(2), 191-215. Bandura, A. (1989). Social cognitive theory. In R. Vasta (Ed.), Annals of child development. Vol. 6. Six theories of child development (pp. 1-60). Greenwich, CT: JAI Press. Bandura, A. (1997). Self-efficacy: The exercise of control. New York: W.H. Freeman. Bandura, A., (2011). On the functional properties of perceived self-efficacy revisited. Journal of Management, 38, 9-44. Bauer K. W., & Liang, Q. (2003). The effect of personality and precollege characteristics on first-year activities and academic performance. Journal of College Student Development, 44(3), 277–290. Beightol, J., Jevertson, J., Carter, S., Gray, S., & Gass, M. (2012). Adventure education and resilience enhancement. Journal of Experiential Education, 35(2), 307-325. Baumert, J., Kunter, M., Blum, W., Brunner, M., Voss, T., Jordan, A., &…Tsai, Y.-M. (2010). Teachers' mathematical knowledge, cognitive activation in the classroom, and student progress. American Educational Research Journal, 47, 133-180. Berman, M. G., Jonides, J., & Kaplan, S. (2008). The cognitive benefits of interacting with nature. Psychology Science, 19(12), 1207-1212. Berry, M., Lomax, J., & Hodgson, C. (2015). Adventure sports coaching. New York: Routledge. Berry, M. (2015). Understanding the role of pedagogy in adventure sports coaching. In M. Berry, J. Lomax, & C. Hodgson (Eds.), Adventure sports coaching (pp. 24- 40). New York: Routledge. Bowdridge, M. (2010). Outdoor Adventure Education in Schools: Curriculum or Pedagogy? Considerations for Teacher Preparation and Program Implementation, ProQuest Dissertations and Theses. Bowman, F. R. (2004). Teachers as leaders. Clearing House, 77(5), 187-189. Bratman, G. N., Daily, G. C., Levy, B. J., & Gross, J. J. (2015). The benefits of nature experience: Improved affect and cognition. Landscape and Urban Planning, 138, 41-50. Brookfield, D. S. (1995). What it means to be a critically reflective teacher. In D. S. Brookfield, Becoming a Critically Reflective Teacher (pp. 527-540). San Francisco, CA: Jossey-Bass Publishers, Inc. Burton, D., & Pace, D. (2009). Preparing pre-service teachers to teach mathematics in inclusive classrooms: A three-year case study. School Science and Mathematics, 109, 108–115. Byrne, B. M. (1998). Structural equation modeling with LISREL, PRELIS, and SIMPLIS: Basic concepts, applications, and programming. New York, NY: Psychology Press. Cakir, O., & Alici, D. (2009). Seeing self as others see you: Cariability in self-efficacy ratings in student teaching. Teachers and Teaching: Theory and Practice, 15(5), 541-561. Canberg, A. S. (2003). The influence of perceived innovation attributes on the adoption of outdoor adventure leadership degree programs by American colleges and universities, (Unpublished doctoral dissertation). Clemson University, GA. Caprara, G. V., Barbaranelli, C., Steca, P., & Malone, P. S. (2006). Teachers' self- efficacy beliefs as determinants of job satisfaction and students' academic achievement: A study at the school level. Journal of School Psychology, 44, 473- 490. Carlson, T. B., & McKenna, P. (2000). A reflective adventure for student teachers. Journal of Experiential Education, 23(1), 17-25. Cha, A. E. (2016, March 22). Seriously, America? Study finds mere 2.7 percent of U.S. adults meet criteria for 'healthy lifestyle'. The Washington Post, Retrieved from https://www.washingtonpost.com/news/to-your-health/wp/2016/03/22/seriously- america-study-finds-mere-2-7-percent-of-u-s-adults-meet-criteria-for-healthy- lifestyle/ Chamorro-Premuzic, T., & Furnham, A. (2003). Personality traits and academic examination performance. European Journal of Personality, 17, 237-250. Chawla, L., (2009). Growing up green: becoming an agent of care for the natural world. The Journal of Developmental Processes 4(1), 6-23. Chism, N. (1994). Taking student diversity into account. In McKeachie, J. W (Ed.), Teaching Tips: Strategies, Research, and Theory for College and University Teachers (9 th ed.). (pp. 185-191). Belmont, CA: Wadsworth. Clark, D. J., & Guest, K. (1995). Voila. Executive Educator, 17(1), 18-24 Cochran, F. K., King, A. R., & DeRuiter, A. J. (1991). Pedagogical content knowledge: A tentative model for teacher preparation. Chicago, Ill.: American Educational Research Association. Cohen (1988). Statistical power analysis for the behavioral sciences (2 nd ed). Hillsdale, NJ: Erlbaum Cohen (1992). A power primer. Psychological Bulletin, 112, 155-159. Collins, L., & Collins, D. (2012). Conceptualizing the adventure-sports coach. Journal of Adventure Education & Outdoor Learning, 12(1), 81-93. Coladarci, T. (1992). Teachers' sense of efficacy and commitment to teaching. The Journal of Experiential Education, 60(2), 323-337. Colton, A., & Sparks-Langer, G. (1993). A conceptual-framework to guide the development of teacher reflection and decision-making. Journal Of Teacher Education, 44(1), 45-54. Conard, M. A. (2006). Aptitude is not enough: How personality and behavior predict academic performance. Journal of Research in Personality, 40, 339-346. Conkling, S. W. & Henry, W. (1999). Professional development partnerships: A new model for music teacher preparation. Arts Education Policy Review, 100(4), 19- 23. Cook, L., (2010). The 1944 education act and outdoor education: from policy to practice. History of Education: Journal of the History of Education Society. 28(2), 157- 172. Council of Chief State School Officers. (2013, April). Interstate teacher assessment and support consortium InTASC model core teaching standards and learning progressions for teachers 1.0: A resource for ongoing teacher development. Washington, DC: Author. Danielson, C. (2013). The framework for teaching: Evaluation instrument. Alexandria, VA: ASCD. Debard, R. (2004). Millennials coming to college. In DeBard, R., & Coomes, D. M. (Eds.),Millennials Coming to College (pp. 33-45). New Directions for Student Services, (106). Deci E.L., & Ryan R.M. (1985). Intrinsic motivation and self determination in human behavior. New York: Plenum. Deci, E. L., Vallerand, R. J. Pelletier, L. G., & Ryan, R. M. (1991). Motivation and education: The self-determination perspective. Educational Psychologist, 26(3 & 4), 325-346. Densten, I. L., & Gray, J. H. (2001). Leadership development and reflection: What is the connection? International Journal of Educational Management,15(3), 119-124. Dewey, J. (1938). Experience and Education. New York, NY: Touchstone. Dewey, J. (1944). Democracy and Education: An Introduction to the Philosophy of Education. New York, NY: Free Press. Duane, D. (2015, July 25). The rise of climbing. The New York Times, Retrieved from http://www.nytimes.com/2015/07/26/opinion/sunday/the-rise-ofclimbing.html?_r=1 Duckworth, A. L. & Seligman, M. E. P. (2005). Self-discipline outdoes IQ in predicting academic performance of adolescents. Journal of Educational Psychology, 16(12), 939-944. Duckworth A. L., Peterson, C. Matthews, M. D., & Kelly, D. R. (2007). Grit: Perseverance and passion for long-term goals. Journal of Personality and Social Psychology, 92(6), 1087-1101. Duckworth, A. L., & Quinn, P. D. (2009). Development and validation of the Short Grit Scale (Grit-S). Journal of Personality Assessment, 91, 166–174. Duckworth, A. L., & Quinn, P. D., & Seligman, M. E. P. (2009). Positive predictors of teacher effectiveness. The Journal of Positive Psychology, 4(6), 540-547. Duckworth, A., & Gross, J. J. (2014). Self-control and grit: Related but separable determinants of success. Current Directions in Psychological Science, 23(5), 319- 325. Duffin, L. C., French, B. F., & Patrick, H. (2012). The teachers' sense of efficacy scale: Confirming the factor structure with beginning pre-service teachers. Teaching and Teacher Education, 28, 827-834. Ellison, K. (2013). Fostering outdoor learning experiences with urban youth through placed- based expeditionary learning. Journal of Outdoor Recreation, Education, and Leadership, 5(3), 179-191. Ewert, A., & Yoshino, A. (2011). The influence of short-term adventure-based experiences on levels of resilience. Journal of Adventure Education and Outdoor Learning, 11(1), 35-50. Ewert, W. A., & Sibthorp, J., (2014). Outdoor adventure education: foundations, theory, and research. Champaign, IL: Human Kinetics. Fabrigar, L. R., Wenger, D. T., MacCallum, R. C., & Strahan, E. J. (1999). Evaluating the use of exploratory factor analysis in psychological research. Psychological Methods, 4(3), 272-299. Fagerstam, E. (2014). High school teachers' experience of the educational potential of outdoor teaching and learning. Journal of Adventure Education & Outdoor Living, 14(1), 56-81. Ference, J. (2007). Impact of an Adventure Education Experience on Collective Teacher Knowledge and Teacher Identity, ProQuest Dissertations and Theses. Ferlazzo, L. (2015). Response: 'It's time to change the conversation about grit'. Education Week Teacher, Retrieved from http://blogs.edweek.org/teachers/classroom_qa_with_larry_ferlazzo/2015/10/resp onse_isgrit_an_asset_or_an_excuse.html Flavell, J. H. (1979). Metacognition and cognitive monitoring: A new era of cognitive- development inquiry. American Psychologist, 34, 906-911 Fornell, C., & Larker, D. F. (1981). Evaluating structural equation models with unobservable variables and measurement error. Journal of Marketing research, 18(1), 39-50. Friedrichsen, P. J., Abell, S. K., Pareja, E. M., Brown, P. L., Lankford, D. M., & Volkmann, M. J. (2009). Does teaching experience matter? Examining biology teachers' prior knowledge for teaching in an alternative certification program. Journal of Research in Science Teaching, 46, 357-383. Furman, N. & Sibthorp, J. (2013). Leveraging experiential learning techniques for transfer. New Directions for Adult and Continuing Education, (137), 17-26. Galloway, S. P. (2003). The effect of experience on decision-making in outdoor leaders from the perspective of social judgment theory. Unpublished doctoral dissertation, Indiana University, Bloomington. Gamel, M. (2014). Impact of character development and empowerment program on grit and resilience in early and middle adolescents. Dissertation, Theses, and Capstone Projects, Paper 646. Gay, L. R., & Mills, G. E., & Airasian, P. (2012). Educational Research: Competencies for analysis and applications (10 th ed.). Upper Saddle River, NJ: Pearson Education, Inc. Gibson, S. & Dembo, M. H. (1984). Teacher efficacy: A construct validation. Journal of Educational Psychology, 76(4), 569-582. Gliner, J. A., & Morgan, G. A. (2000). Research methods in applied settings: An integrated approach to design and analysis. Mahwah, NJ: Lawrence Erlbaum Associates, Inc. Goddard, R. D., Hoy, W. K., & Hoy, A. W. (2000). Collective teacher efficacy: Its meaning, measure, and impact on student achievement. American Educational Research Journal, 37(2), 479–507. . Graham, J. (1997). Outdoor Leadership: Technique, Common Sense and Self-Confidence Seattle, WA: Mountaineers Press. Gray, T. & Madson, L. (2007). Ten ways to engage your students. College Teaching 55(2), 83-87. , Gray, P. (2011). The decline of play and the rise of psychopathology in children and adolescents. American Journal of Play, 3(4), 443-463. Gravetter, F. J., & Wallnau, L. B. (2009). Statistics for the behavioral sciences (8 th ed.). Belmont, CA: Wadsworth. Gu, Q., & Day, C. (2007). Teachers resilience: A necessary condition for effectiveness. Teaching and Teacher Education, 23, 1302-1316. Hair, J. F. Jr., Hult, G. T. M., Ringle, C. M., & Sarstedt, M. (2017). A primer on partial least squares structural equation modeling (PLS-SEM). (2 nd edition). Los Angeles, CA: Sage Publications, Inc. Hakel, M. D. (1968). How often is often. American Psychologist, 23, 533-534. Hambrick, D. Z., Oswald, F. L., Altmann, E. M., Meinz, E. J., Gobet, F., & Campitelli (2014). Deliberate practice: Is that all it takes to become an expert? Intelligence, 45, 34-45. Harris, S., Lowery-Moore, H., & Farrow, V. (2008). Extending transfer of learning theory to transformative learning theory: A model for promoting teacher leadership. Theory Into Practice, 47(4), 318-326. Hensler, J., & Sarstedt, M. (2013). Goodness-of-fit indices for partial least squares path modeling. Comput Stat, 28, 565-580. Henseler, J., Dijkstra, T. K., Sarstedt, M., Ringle, C. M., Diamantopoulos, A., Straub, D. W., Ketchen, D. J., Hair, J. F., Hult, G. T. M., & Calantone, R. J. (2014). Common beliefs and reality about partial least squares: Comments on Ronkko & Everman. Organizational Research Methods 17(2): 182-209. Hu L. T., & Bentler P. M. (1999). Cutoff criteria for fit indexes in covariance structure analysis: Conventional criteria versus new alternatives. Struct Equ Model, 6(1), 1–55. Hulland, J. (1999). Use of partial least squares (PLS) in strategic management research: A review of four recent studies. Strategic Management Journal, 20(2), 195-204. Isaak, J. (2014). Beyond meaningless leisure: John Dewey's influence on eastern Oregon University's outdoor program. Journal of Outdoor Recreation, Education and Leadership, 6(1), 88-94. Johnson, S., Cooper, C., Cartwright, S., Donald, I., Taylor, P., & Miller, C. (2005). The experience of work-related stress across occupations. Journal of Managerial Psychology, 20, 178-187. Jordet, A. (2010). Klasserommet utenfor. Tilpasset opplaering i et utvidet laeringsrom [The classroom outdoors. Education in an extended classroom]. Latvia: Cappelen Damm AS. Joseph, D., & Heading, M. (2010). Putting theory into practice: Moving fro student identity to teacher identity. Australian Journal of Teacher Education, 35(3), 75- 87. Kagan, D. M. (1992). Professional growth among preservice and beginning teachers. Review of Educational Research, 62, 129-169. Kanters, M. A., Bristol, D. G., & Attarian, A. (2002). The effects of outdoor experiential training on perceptions of college stress. Journal of Experiential Education, 25, 257-267. Kellert, S. (2005). Building for life: Designing and understanding the human-nature connection. Washington, DC: Island Press. Kime, D. B. (2008). Outdoor adventure education instructor training in postsecondary education settings: Educational connoisseurship and criticism case studies in Canada, New Zealand, and the United States (Unpublished doctoral dissertation). University of Denver, CO. Klassen, R. M., & Tracy, L. D. (2014). Weekly self-efficacy and work stress during the teaching practicum: A mixed methods study. Learning and Instruction, 22, 158- 169. Kleickmann, T., Richter, D., Kunter, M., Elsner, J., Besser, M., Krauss, S., & Baumert, J. (2013). Teachers' content knowledge and pedagogical content knowledge: The role of structural differences in teacher education. Journal of Teacher Education, 64, 90-106. Kolb, A. D. (1994). Learning styles and disciplinary differences. In Chickering, W. A. (Ed.), The Modern American College: Responding to the Realities of Diverse Students and a Changing Society (pp. 222-255). San Francisco, CA: Jossey-Bass Publishers, Inc. Komarraju, M., Karau, S. J., Schmeck, R. R., Avdic, A. (2011). The big five personality traits, learning styles, and academic achievement. Personality and Individual Differences, 51, 472-477. Kornelson, A. (1998). A qualitative study of the process and outcomes of a school-based adventure education/therapy program. University of New Brunswick, Fredericton. Kraus, A. (2012). Engaging theories and models to inform practice. New Directions for Teaching and Learning, 138, 13-27. Kurfiss, J. (1988). Intellectual, psychosocial, and moral development in college: Four major theories. In J.P. Balas & J.R. Judy (Eds.), A Handbook on Values Development in Lutheran Church-Related College (pp. 139-162). Thiel College. Kuzborska, I. (2011). Links between teachers' beliefs and practices and research on reading. Reading in a Foreign Language, 23(1), 102-128. Lamorey, S. (2012). Adventure experiences and early childhood teacher education students. Journal of Early Childhood Teacher Education, 34, 320-334. Larabee, D. (2002). On the nature of teaching and teacher education: Difficult practices that look easy. Journal of Teacher Education, 51, 3, 228- 233. Lieberman, G. A., & Hoody, L. L. (1998). Closing the achievement gap: Using the environment as an integrating context for learning, Poway, CA: Science Wizards. Lippmann, S., Bulanda, E. R., & Wagenaar, C. T. (2009). Student entitlement: issues and strategies for confronting entitlement in the classroom and beyond. College Teaching, 57(4), 197-204. Loprinzi, P. D., Branscum, A., Hanks, J., & Smit, E. (2016). Healthy lifestyle characteristics and their joint association with cardiovascular disease biomarkers in US adults. Mayo Clinic Proceedings, 91(4), 432-442. Lortie, D. (1975). Schoolteacher: A sociological study. Chicago: University of Chicago Press. Louv R. (2008). Last child in the woods: Saving our children from nature-deficit disorder. Chapel Hill: Algonquin Books. Lowman, J. (1994). What constitutes masterful teaching. In K. A. Feldman & M. B. Paulsen (Eds), Teaching and learning in the college classroom (pp. 503-526). Boston, MA: ASHE Reader Series, Pearson. Lucas, G. M., Gratch, J., Cheng, L., & Marsella, S. (2015). When the going gets tough: Grit predicts costly perseverance. Journal of Research in Personality, 59, 15-22. Lumkin, A. (2008). Teachers as role models teaching character and moral values. Journal of Physical Education, Recreation & Dance, 79(2), 45-50. MacCallum, R. C., Browne, M. W., & Sugawara, H. M. (1996). Power analysis and determination of sample size for covariance structure modeling. Psychological Methods, 1, 130-149. Magnusson, S, Krakjkick, J., & Borko, H. (1999) Secondary teachers 'knowledge and beliefs about subject matter and their impact on instruction In: G. Newsome, J. and Lederman, N.G. (Eds.) Examining Pedagogical Content Knowledge, Dordrecht: Kluwer Academic Publishers, 95-132. Malone, C. (2015, March 30). Selling rock climbing in the social-media era. The New Yorker, Retrieved from http://www.newyorker.com/news/sporting-scene/selling- rock-climbing-in-the-social-media-era?mbid=social_facebook Mannion, G., Fenwick, A., & Lynch, J. (2013). Place-responsive pedagogy: Learning from teachers' experiences of excursions in nature. Environmental Education Research, 19(6), 792-809. Marselle, M. R., Irvine, K. N., & Warber, S. L. (2014). Examining group walks in nature and multiple aspects of well-being: A large scale study. Ecopsychology, 6, 134- 147. McCammon, I. (2004). Heuristic traps in recreational avalanche accidents: Evidence and implications. Avalanche News, 68, 1-10. Mezirow, J. (1997). Transformative learning: Theory to practice. New Directions for Adult and Continuing Education, (pp. 5-12). (74). San Francisco, CA: Josey-Bass Publishers, Inc. Micucci, D. (2015). Got grit: Redefining what it means to succeed. Kaleidoscope UWC USA, 48, 1-28. Moseley, C., Reinke, K., & Bookout, V. (2002). The effect of teaching outdoor environmental education on preservice teachers' attitudes toward self-efficacy and outcome expectancy. The Journal of Environmental Education, 34(1), 9-15. Mulholland, J., & Wallace, J. (2001). Teacher induction and elementary science teaching: Enhancing self-efficacy. Teaching and Teacher Education, 17, 243-261. Myers, S. A. (2003). Strategies to prevent and reduce conflict in the college classroom. College Teaching, 51, 94-98. National Center for Educational Statistics (n.d.). Common core of data (CCD). Retrieved from https://nces.ed.gov/ccd/rural_locales.asp#defs Nespor, J. (1987). The role of beliefs in the practice of teaching. Journal of Curriculum Studies, 19, 317-328. Nie, Y., Lau, S., & Liau, A. K. (2010). The teacher efficacy scale: A reliability and validity study. The Asia-Pacific Education Researcher, 21(2), 414-421. Nilson, L. (1998). Teaching at Its Best: A Research Based Resource for College Instructors. Jaffrey, NH: Anker Publishing Company, Inc. Noftle, E. E., & Robins, R. W. (2007). Personality predictors of academic outcomes: Big five correlates of GPA and SAT scores. Journal of Personality and Social Psychology, 93(1), 116-130. Oakes, W. P., Lane, K. L., Jenkins, A., & Booker, B. B. (2013). Three-tiered models of prevention: Teacher efficacy and burnout. Education and Treatment of Children, 36(4), 95-126. Obenchain, K., & Ives, B. (2006). Experiential education in the classroom and academic outcomes: For those who want it all. Journal of Experiential Education, 29(1), 61-77. Odello, t., Hill, E., & Gomez, E. (2008). The effectiveness of a four-hour challenge course on leadership efficacy and work efficacy. Journal of Unconventional Parks, Tourism & Recreation Research, 1(1), 18-22. Opezzo, M., & Schwartz, D. L. (2014). Give your ideas some legs: The positive effect of walking on creative thinking. Journal of Experimental Psychology, 40(4), 11421152. Osteen, L., & Coburn, M. B. (2012). Considering context: Developing students' leadership capacity. New Directions for Student Services, (140), 5-15. Owen, E. J. (2012). Using student development theories as conceptual frameworks in leadership education. New Directions for Student Services. (pp. 17-35). (140), San Francisco, CA: Wiley Periodicals, Inc. Pajares, F. (1992). Teachers' beliefs and educational research: Cleaning up a messy construct. Review of Educational Research, 62(3), 307-332. Paxton, T., & McAvoy, L. (2000). Social psychological benefits of a wilderness adventure program. In A. E. Watson, G. H. Aplet, and J. C. Hendee (Eds.). Personal, societal, and ecological values of wilderness: Volume 3: Sixth World Wilderness Congress proceedings on research, management, and allocation (USDA Forest Proceedings RMRS-P-15. pp. 202-206). Ogden: Rocky Mountain Research Station. Pearl, J. (2012). The causal foundation of structural equation modeling. California University Los Angeles Department of Computer Science, 370, 1-36. Pendergast, D., Garvis, S., & Keogh, J. (2011). Pre-service student-teacher self-efficacy beliefs: An insight into the making of teachers. Australian Journal of Teacher Education, 36(12), 46-58. Peebles, J. L., & Mendaglio, S. (2014). The impact of direct experience on preservice teachers' self-efficacy for teaching in inclusive classrooms. International Journal of Inclusive Education, 18(12), 132-1336. Pintrich, P. R., & De Groot, E. V. (1990). Motivational and self-regulated learning components of classroom academic performance. Journal of Educational Psychology, 82(1), 33-40 Plato. (1920). Protagoras. In A. Chubberley (Ed.), Readings in the history of education (pp. 4-6). New York: Houghton-Mifflin. Powell, R. R. (1992). The influence of prior experience on pedagogical constructs of traditional and nontraditional pre-service teachers. Teaching and Teacher Education, 8, 225-238. Priest, S., & Gass, M. A., (Eds.). (2005). Effective leadership in adventure programming. (2 nd ed.). Champaign, IL: Human Kinetics. Probst, D. B., & Koesler, R. A. (1998). Bandura goes outdoors: Role of self-efficacy in the outdoor leadership development process. Leisure Sciences, 20, 319-344. Pryor, A., Carpenter, C., & Townsend, M. (2005). Outdoor education and bush adventure therapy: A social-ecological approach to health and wellbeing. Australian journal of outdoor education, 9(1), 3-13. Puk, T. (1999). Is the process of experiential learning (outside the classroom) practical in higher education settings? – yes. In S. Wurdinger & T. Potter (eds.) Controversial Issues in Adventure Education, Dubuque, Iowa: Kendall/Hung. Railoa, E., & Sugerman, D. (1999). Outdoor leadership curricula. In J. Miles & S. Priest (Eds.), Adventure programming (pp. 241-245). State College, PA: Venture. Rendon, L. I. (1994). Validating culturally diverse students: Toward a new model of learning and student development. Innovative Higher Education, 19(1), 33-51. Rivkin, S. G., Hanushek, E. A., & Kain, J. F. (2005). Teachers, schools, and academic achievement. Econometrica, 73(2), 417-458. Robertson-Kraft, C., & Duckworth, A. (2014). True grit: Trait level perseverance and passion for long-term goals predicts effectiveness and retention among novice teachers. Teachers College Record, 116, 1–27. Rockoff, J. E. (2004). The impact of individual teachers on student achievement: Evidence from panel data. American Economic Review, 94(2), 243-252. Ronkko, M., & Evermann, J. (2013). A critical examination of common beliefs about partial least squares path modeling. Organizational Research Methods, 16(3), 425-448. Rosch, M. D. & Anthony, D. M. (2012). Leadership pedagogy: Putting theory to practice. New Directions for Student Services. (pp. 37-51). (140), San Francisco, CA: Wiley Periodicals, Inc. Rosen, J. A., Glennie, E. J., Dalton, B. W., Lennon, J. M. & Bozick, R. N., (2010). Noncognitive skills in the classroom: new perspectives on educational research. RTI Press publication No. BK-0004-1009. Research Triangle Park, NC: RTI International. Retrieved 2/13/13 from http://rti.rog/rtipress. Rushton, S., Morgan, J., & Richard, M. (2007). Teacher's Myers-Briggs personality profiles: Identifying effective teacher personality traits. Teaching and Teacher Education, 23, 432-441. Sanders, W., & Horn, S. (1998). Research findings for the Tennessee value-added assessment system (TVAAS) database: Implications for educational evaluation and research. Journal of personnel Evaluation in Education, 12(3), 247-256. Sanders, W. L., & Rivers, J. C. (1996). Cumulative and residual effects of teachers on future student academic achievement. Research progress report, University of Tennessee Value-Added Research and Assessment Center. Schon, D. A., (1983). The reflective practitioner: how professionals think in action. New York: Basic Books. Schon, D. A., (1987). Educating the reflective practitioner: Toward a new design for teaching and learning in the professions. San Francisco: Josey-Bass Publishers. Schon, D. (1992). 'The theory of inquiry: Dewey's legacy to education'. Curriculum Inquiry, 22(2), 119-139. Schumann, S. (2013). The accuracy of self-efficacy beliefs in outdoor education, ProQuest Dissertations and Theses. Schumann, S., & Sibthorp, J. (2013). The development and scaling of the teaching outdoor education self-efficacy scale. Journal of Outdoor Recreation, Education and Leadership, 12, 80-98. Sigel, I. E. (1985). A conceptual analysis of beliefs. In I. E. Sigel (Ed.) Parental belief systems: The psychological consequences for children (pp. 345-371). Hillside, NJ: Erlbaum. Scrutton, R., & Beames, S. (2015). Measuring the unmeasurable: Upholding rigor in quantitative studies of personal and social development in outdoor adventure education. Journal of Experiential Education, 38(1), 8-25. Seifert, K. (2004). Learning to feel like a teacher. Canadian Journal of Educational Administration and Policy, (32), 1-25. Seligman, M. E. P. (1991). Learned optimism. New York: Knopf. Sheard, M., & Golby, J. (2006). The efficacy of an outdoor adventure education curriculum on selected aspects of positive psychological development. Journal of Experiential Education, 29(2), 187-209. Sherman, V. JH., Floren, M., & Sileo, N. M., Hess, C., & Sheehan, E. (2015). Accreditation by design: Creating a survey to measure completer perceptions. Presented at 38 th Annual TED Conference, Phoenix Arizona, 2015. Shulman, L. S. (1986). Those who understand: Knowledge growth in teaching. Educational Researcher, 15(2), 4-14. Sibthorp, J. (2003). An empirical look at Walsh and Gollis' adventure education process model: Relationships between antecedent factors, perceptions of characteristics of an adventure education experience, and changes in self-efficacy. Journal of Leisure Research, 35(1), 80-106. Sibthorp, J., Collins, R., Rathunde, K., Paisely, K., Schumann, S., Pohja, M., Gookin, J., & Baynes, S. (2015). Fostering experiential self-regulation through outdoor adventure education. Journal of Experiential Education, 38(1), 26-40). Skaalvik, E. M., & Skaalvik, S. (2007). Dimensions of teacher self-efficacy and relations with strain factors, perceived collective teacher efficacy, and teacher burnout. Journal of Educational Psychology, 99(3), 611-625. Soles, C., & Powers, P., (2003). Climbing: expedition planning. Seattle, WA: The Mountaineers Books. Standerfer, S. (2003). The experiential learning profiler: Instrument development and implementation. Paper presented at the Annual Meeting of the American Educational Research Association, Chicago, IL. Stewart, K. (2009). Lessons from teaching Millenials. College Teaching, 57(2), 111-117. Stonehouse, P. (2011). The rough ground of character: A philosophical investigation into character development on a wilderness expedition through a virtue ethical lens. Journal of Outdoor Recreation, Education and Leadership, 3(2), 108-111. Strayhorn, T. L. (2014). What role does grit paly in academic success of black male collegians at predominately white institutions? Journal of African American Studies, 18(1), 1-10. Stremba, B., & Bisson, A. C. (Eds.). (2009). Teaching adventure education theory: best practices. Champaign, IL: Human Kinetics. Strutchens, M. E. (2000). Confronting beliefs and stereotypes that impede the mathematical empowerment of African American students. In M. E. Strutchens, M. Johnson, W. Tate (Eds.). Changing the faces of mathematics: Perspectives Americans (pp. 7-14). Reston, VA: National Council of Teachers in Mathematics. Svinicki, D. M. (2010). Student learning: From teacher-directed to self-regulation. New Directions for Teaching and Learning, (pp. 73-83). (123), San Francisco, CA: Wiley Periodicals, Inc. Svinicki, M., & McKeachie, (2014). McKeachie's teaching tips: Strategies, research, and theory for college and university teachers (14thedition). Boston, MA: Houghton Mifflin Company. Sutherland, S., Stuhr, P. T., & Ayvazo, S. (2014). Learning to teach: Pedagogical content knowledge in adventure based learning. Physical Education and Sport Psychology, 21(3), 233-248. Swanson, P. B. (2013). From teacher training through the first year on the job: Changes in foreign language teacher efficacy. Electronic Journal of Foreign Language Teaching, 10(1), 5-16. Temiz, T., & Topcu, M. S. (2013). Preservice teachers' teacher efficacy beliefs and constructivist-based teaching practice. European Journal of Psychology of Education, 28, 1435-1452. The White House. (2012). Weekly address: Congress should back plan to hire teachers. Retrieved from https://www.whitehouse.gov/the-press-office/2012/08/18/weekly- address-congress-should-back-plan-hire-teachers Tiezzi, L. J. & Cross, B. E. (1997). Utilizing research on prospective teacher's beliefs to inform urban field experiences. The Urban Review, 29, 113-125. Timken, G., & Mcnamee, J. (2012). New perspectives for teaching physical education: Preservice teachers' reflections on outdoor and adventure education. Journal Of Teaching In Physical Education, 31(1), 21-38. Tovey, H. (2007). Playing outdoors, spaces and places, risk and challenge. Maidenhead: Open University Press. Tschannen-Moran, M., Hoy, A. W., & Hoy, W. K. (1998). Teacher efficacy: Its meaning and measure. Review of Educational Research, 68(2), 202-248. Tschannen-Moran, M., & Hoy, A. W. (2001). Teacher efficacy: Capturing an elusive construct. Teaching and Teacher Education, 17, 783-805. Tschannen-Moran, M., & Hoy, A. W. (2007). The differential antecedents of selfefficacy beliefs of novice and experienced teachers. Teaching and Teacher Education, 23, 944-956. Udall, D., & Rugan, L. (1997). From the inside out. Phi Delta Kappa, 78(5), 404-410. Vaughn, M. (2015). Adaptive teaching: Reflective practice of two elementary teachers' visions and adaptations during literacy instruction. Reflective Practice, 16(1), 43- 60. Waks, L. J. (2001). Donald Schon's philosophy of design and design education. International Journal of Technology and Design Education, 11, 37-51. Warren, K., Roberts, N. S., Breunig, M., & Alvarez, M. A. G. (2014). Social justice in outdoor experiential education: A state of knowledge review. Journal of Experiential Education, 37(1), 89-103. Weigold, A., Weigold, I. K., & Russell, E. J. (2013). Examination of the equivalence of self-report survey-based paper-and-pencil and Internet data collection methods. Psychological Methods, 18(1), 53-70. Weiner, B. (1974). Achievement motivation and attribution theory. Morristown, NJ: General Learning Press. Wells, M. N., & Lekies, S. K., (2006). "Nature and the life course: pathways from childhood natural experiences to adult environmentalism. Children, Youth and Environments. 16(1), 1-24. Wentworth, N., Pinnegar, S. (1996). Stories of learning and schooling: Capturing pre- service teachers' beliefs about teaching and learning. Professional Educator. 19(1), 1-11. Winser, S. (Ed.). (2004). Royal geographical society expedition handbook. London, England: Profile Books. Wittmer, C. R. (2011). Leadership and gender-role congruency: A guide for wilderness and outdoor practitioners. The Journal of Experiential Education, 24(3), 173-178. Wong, K. K-K. (2013). Partial least squares structural equation modeling (PLS-SEM) techniques using SmartPLS. Marketing Bulletin, 24(1), 1-32. Woolfolk A. E., Rosoff, B., & Hoy, W. K. (1990). Teachers' sense of efficacy and their beliefs about managing students. Teaching and Teacher Education, 6, 137-148. Woolfolk A. E., Davis, H., & Pape, S. J. (2006). Teacher knowledge and beliefs. In P. A. Alexander & P. H. Winne (Eds.), Handbook of educational psychology (2 nd ed., pp. 715-737). Mahwah, NJ: Lawrence Erlbaulm. Wright, A. N., & Tolan, J. (2009). Prejudice reduction through shared adventure: A qualitative outcome assessment of a multicultural education class. Journal of Experiential Education, 32(2), 137-154. Zach, S., Harari, I., & Harari, N. (2011). Changes in teaching efficacy of pre-service teachers in physical education. Physical Education and Sport Psychology, 17(5), 447-462. Zull, E. J. (2006). Key aspects of how the brain learns. New Directions for Teaching and Learning, (pp. 3-9). (110), San Francisco, CA: Wiley Periodicals, Inc. APPENDICES APPENDIX A DEMOGRAPHIC QUESTIONS Gender: Male:__ Female:__ Year in School (circle one): Freshman Sophomore Junior Senior Major: ______ Age: ______ Which term BEST describes the place you grew up? Urban (over 100,000):__ Suburban:__ Town (over 25,000):__ Rural:__ What is the length of your longest outdoor adventure trip? (in days): ____ Please indicate the outdoor adventure activities that you have worked as a FORMAL instructor (paid or a volunteer) (check all that apply): Climbing:___ Ice Climbing:__ Cross Country Skiing:__ Backcountry Skiing:__ Mountain Biking:__ Horseback Riding:__ Hiking/Backpacking:__ Mountaineering:__ Flat Water Boating:__ White Water Boating:__ Other (please list):__________________________ APPENDIX B TEACHER SELF EFFICACY SCALE (TSES-12) APPENDIX C THE SHORT GRIT SCALE (GRIT-S)
Volume 29, Number 12 Hawthorn Chapter Officers: President Denny Donnell 1105 Pheasant Run, Columbia 573-442-8407 email@example.com Vice President Nadia Navarrete Tindall 2116 Grant, Columbia 573-234-2088 firstname.lastname@example.org Secretary Boyd Terry 5880 New Haven Rd, Columbia 573-442-6554 email@example.com Treasurer John George 573-777-0394 firstname.lastname@example.org Membership Paula Peters 2216 Grace Ellen Dr Columbia, MO 65202 email@example.com Chapter Representative Ann Wakeman 5798 Windy Meadows Lane Fulton, MO 65251 573-642-6927 firstname.lastname@example.org Web Master Doug Miller email@example.com Web site: http://columbianativeplants.org The Hawthorn Chapter of the Missouri Native Plant Society Newsletter is published monthly. Send submissions by the 26 th of every month to: Communications Editor Becky Erickson 573-657-2314 firstname.lastname@example.org PO BOX 496 Ashland, MO 65010 Missouri Native Plant Society Hawthorn Chapter Newsletter December 2014 Future Activities Watch email for email 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 or Paula 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. Carpool meeting place, commuter parking lot at AC and US63. Occasionally a mosey will be posted on the calendar. Let your ideas for a mosey location be noticed. We will let the rest of the local membership know about the visit to your favorite destination. Dues are Due. Please Send to Paula before the Holidays. 18 December Thursday: Lunch with native plant enthusiasts.11:30 am. RagTag-10 Hitt St [just south of Broadway] This is our only activity in December. Please join us as a break from shopping or as an uplifting chat among friends during the short days of winter. Always a lively informal discussion regarding management of natives and eradication of aliens. All are invited. 12 January 6 pm Members Meeting Unitarian Universalist Church, 2615 Shepard Blvd, Columbia. Program is planning for next year's activities. Please come to give us your ideas for your favorite wild area for a mosey to discover wild native plants. All new people and guests are welcome. In case of a blizzard, a reschedule date is Monday 19 January. 15 January Thursday: Lunch with native plant enthusiasts.11:30 am. RagTag-10 Hitt St [just south of Broadway] Please join us as a break from shopping or as an uplifting chat among friends during the short days of winter. Always a lively informal discussion regarding management of natives and eradication of aliens. All are invited. Ideas for Meeting Programs? Send them to Nadia Please send any ideas for future meeting presentations to Nadia at email@example.com . Suggestions for presentation subjects from the meeting included: insect pollinators, mushrooms, and more environmental connections. Please send in what YOU want to learn about. Some topics presented in the past were, controlled fires, how to install a perennial garden, propagating natives, bring in specimens for identification, photography, mosses, tree id, , , the choice is yours Newsletters: Change in Delivery Submitted by Becky Erickson Hawthorn and Petal Pusher Editor MONPS is sending Petal Pusher to 160 by email delivery. I see from the membership roster that at least double that number has an email address but has not requested electronic delivery. We would still appreciate responses for both chapter and Petal Pusher delivery by email from the folks getting only the paper copy. As we transition into E-delivery of PP, I must have your permission to stop receiving the printed, mailed, paper copy from us and from St Louis. Send requests to: firstname.lastname@example.org Thanks to Boyd Terry, Lea Langdon, and Paula Peters for their submissions. Thanks to Doug Miller for keeping the website up to date. Please send new photos to Doug. We would like to get announcements, impressions, species accounts, photos, poems, links to scientific articles or other creative nature writing from you, too. Announcements Wreath Workshop Sunday, Nov. 16 We had a great day at Nancy's house. She had a cheery fire in the basement fireplace and several tables set up. We had plenty of room in a warm place to bring in many large sacks of plant materials to make some beautiful wreaths and not be worried about a mess on the floor. Ann Wakeman provided fresh cedar. Lunch was totally satisfying. Several diverse dishes were offered: green salad, roast chicken, squash and apple casserole, fava beans, hummus and corn chips, lemon cake, pumpkin pie, apple pie, and cookies. Lea, Paula, Vanessa, Nancy, Laura, Ann, and Becky benefitted from the activity and took home good memories and a festive holiday decoration for the door. Outdoor Classroom Activities Submitted by Lea Langdon This fall the Rock Bridge Elementary Adventure Club students have enjoyed taking part in stewardship activities in their Outdoor Classroom. They spent one afternoon removing Sericea lespedeza from their prairie area, making a small dent in what has become a problem area. Volunteers have been out there three other times working on the Sericea, once with a 4 th grade class. A couple students were having so much fun they asked if they could do this during lunch recess, but unfortunately their recess is so short it was not possible. There are still more very seedy plants and one of the new Mo Master Naturalist volunteers has plans to get out there again this fall to take them out. I hope there is energy earlier next year to take out plants by the roots, before they seed, &/or to hit them with some herbicide. Adventure Club also has worked two afternoons on reclaiming their native butterfly garden. It had been taken over by grass, weeds and tree seedlings, and this fall they worked on seedling removal and putting down cardboard & mulch over the weeds & grasses. After working hard, they enjoyed eating the persimmons that were growing there. The difference looks amazing! Many thanks to the volunteers who worked with the students to make these stewardship activities possible. Next spring we plan to get some students involved in planting more native pollinator plants to add to what has been rescued from the brush. If you would like to get involved in this project, we are working a couple hours about every other week. This is a good opportunity to see a few Missouri native plants and take home some seedlings. On the other hand, an additional opportunity to learn how to suppress alien invasive species. If you have questions, please contact Lea at email@example.com or 854-7647. Nov. Chapter Meeting Minutes Submitted by Boyd E. Terry, Sec'y The meeting was convened November 10, 2014 at 6:00pm at the Unitarian Universalist church in Columbia with 12 present including two new attendees, Sandy Burd and Lauren Svoma. The program was an exercise in plant identification led by Anne Wakeman, Lea Langdon and Becky Erickson with group participation. Grasses, Asclepias, Silphium, Liatris, Lespedeza were emphasized plus other "what is it?" from the group. Sharing of this information engaged everyone and contributed to understanding of undesirable species. Herbicide recommendations directed to autumn olive, bush honeysuckle and serecia were to avoid Tordon [at all costs to the environment] and favor Pathway and Pasture Guard on dicots as safer and stronger than Roundup [generic glyphosate]. Use glyphosate during strong growing season to eliminate all vegetation for habitat reconstruction. [ask a posted member for specific dilution on specific types of vegetation]. BUSINESS: September minutes were reviewed. Treasurer's report, debit of $300 for meeting site expense paid to UU Church, Credit $562 from membership dues and plant sales, with current account value $11,163. Bill Mees representing Columbia Audubon Society reviewed status of prairie restoration at Bonnyview property. Herbicide application twice completed and ongoing seed harvest continues anticipating planting one year from now. 120 hours at a grant credit of $22.70 per hour [that is $2724 credit toward the cost of spraying or seed.] Seeds are stored with Becky Erickson for the next year until planting date TBT.[ Much more seed will be collected next year. We will need YOUR help.] Becky Erickson noted challenges with email transmission of the newsletter and Petal Pusher and would appreciate comments from receivers. Calendar items: Nov 16 Sunday 11;30 to 4:00 at Nancy Brakhage's home for holiday wreath workshop. Please bring side dish; entre' and dinnerware provided. Nov 20, Thursday lunch at Rag Tag. December 7, holiday party [ed note: cancelled]; look for email for details. January 12 6:00 pm next Hawthorn meeting – we will be having officer elections and planning for 2015 activities. We want your ideas, so please attend. Lunch at RagTag Thurs 18 Dec. Meet for lunch 11:30 at RagTag, 10 Hitt St [Just south of Broadway]. Lunches have been well attended with lively discussions about plant and landscape management, alien control, and plans for the next activity. Hope to see you there. Election at the January Meeting The Chapter Bylaws have not been published for a few years, although they are posted on our web site. Since we have an election coming up at the January meeting, a couple of us thought it a good idea to post the bylaws so they would be available to follow. appreciate some new people to fill these posts. You might feel busy at the moment, but you will have time later to attend one of these positions. Contact an officer to volunteer. We elected a President and Treasurer in Jan of 2013. Nadia volunteered to fill out the one year left for the VP. So we need to elect a VP, Secretary, and Chapter Rep. All of the people in these jobs are eligible for another term. They could all be re-elected, but since this is a democratic group meaning everyone participates, we would greatly Note in the bylaws you may participate in any meeting by proxy: send an email to an officer explaining your idea and voting preference, but we would appreciate your presence. We are also very much in need of someone to keep books, t-shirts, and pamphlets for the booth; keep an inventory and re-stock them. This is a major piece of our purpose statement about public education. Paula has done it faithfully for years and wishes to pass the duties on. Bylaws of the Hawthorn Chapter Missouri Native Plant Society (revised May 2008) ARTICLE I. Name and Purpose Section 1. The name of the chapter shall be known as the Hawthorn Chapter of the Missouri Native Plant Society. Section 2. The purpose of the Hawthorn Chapter of the Missouri Native Plant Society is to promote the enjoyment, preservation, conservation, restoration, and study of flora native to Missouri, public education of the value of the native flora and its habitat, and publication of related information. ARTICLE II. Membership Section 1. Membership in this Chapter shall be open to all persons interested in the purposes of the Chapter and the State Society upon application to the Chapter Treasurer or the State Treasurer, accompanied by remittance for dues as hereinafter provided. Membership classifications shall be set forth by the State Society with Chapter dues added to these levels. Section 2. Each member shall be entitled to one (1) vote. Section 3. A member who cannot attend a meeting may vote by an absentee ballot or by giving a proxy for the desired vote to one of the officers of the Chapter. ARTICLE III. Meetings An annual meeting of this Chapter shall be held at the date and place to be decided by the officers at the end of the Chapter's fiscal year. Regular meetings of the membership shall be as determined by the officers. All members shall be notified in writing of the meetings. Any motion or decision placed before the membership at duly held meetings shall be passed by a simple majority of the members present at the meeting plus any absentee or proxy votes which had been submitted to the officers. ARTICLE IV. Dues Dues shall be fixed and revised as needed by the Chapter Officers. ARTICLE V. Officers Section 1. The officers shall be a President, Vice-President, Secretary, Treasurer, and Chapter Representative who shall be elected to two (2) year terms with the President and Secretary elected in odd numbered years and Vice-President, Treasurer and Chapter Representative elected in even numbered years. No individual shall serve more than two consecutive terms in the same office. Officers shall serve without compensation. Section 2. The President shall preside at meetings of the membership and of the officers and shall perform the recognized functions of the office. Section 3. The Vice-President shall preside at meetings in the absence of the President, shall be a member of at least one committee, and shall perform the recognized functions of the office. He or she shall become President if the office of President becomes vacant before expiration of the President's term. Section 4. The Secretary shall keep the minutes of all meetings of the officers and the membership. Section 5. The Treasurer shall keep and maintain accurate accounts of the transactions of the Chapter, including accounts of its assets, liabilities, receipts, and disbursements. The Treasurer shall deposit all money in the name and to the credit of the Chapter with depositories as may be designated by the officers or the membership. He or she shall disburse the funds of the Chapter as may be ordered by the officers, shall render to the President or membership, whenever requested, an account of all transactions and of the financial condition of the Chapter, and shall have such other powers and perform such other duties as may be prescribed by the membership or the Chapter bylaws. The Treasurer shall maintain a roster of all active members. Section 6. The Chapter Representative represents the Chapter at board meetings of the State Society. The Chapter Representative reports activities of the Chapter to the board and is a voting member of the board. The Chapter Representative may be represented by an alternative at board meetings by presenting to the board a written statement from a Chapter Officer to that effect. Alternatives have all rights and privileges as the elected Chapter Representative at that board meeting. Section 7. Each officer shall, upon the expiration of his or her term, or the termination of his or her duties for any other reason, deliver to his or her successor the records of that office. Section 8. A vacancy, other than one caused by expiration of a term, in the office of Vice-President, Secretary, Treasurer, or Chapter Representative may be filled by an election held for this purpose at a meeting of the membership. A new officer thus elected shall complete the term of office of the person he or she replaces. Section 9. The President and Vice-President shall appoint three members, in odd-numbered years, to serve on the Speaker Committee to plan and arrange programs for regular meetings. Committee members shall serve at least two years, and will among themselves elect a chair for this committee. Section 10. The President and Vice-President shall appoint three members, in odd-numbered years, to serve on the Field Trip Committee to plan and arrange field trips and workshops. Committee members shall serve at least two years, and will among themselves elect a chair for this committee. ARTICLE VI. Elections Section 1. Notice of the annual election shall be made in writing. Section 2. The President shall appoint a Nominating Committee to consist of a Chairperson and two other members. They shall report to the President the names of the nominees selected by the committee. The names of the Nominating Committee, a list of the offices to be filled, and the names of the nominees are to be printed in the Chapter's Newsletter or reported to the membership by mail. Section 3. The terms of all newly elected officers shall begin at the conclusion of the annual meeting. ARTICLE VII. Fiscal Year The fiscal year of the Chapter shall be the calendar year. ARTICLE VIII. Amendments These bylaws may be amended by an affirmative vote by a majority of the membership present and voting at any annual, regular, or special meeting. Proposed changes to the bylaws will be published in the newsletter prior to a vote by the membership. ARTICLE IX. Publication The Chapter shall publish and distribute a newsletter, The Hawthorn Chapter Newsletter, regularly. ARTICLE X. Policies The Chapter and its members while carrying out activities in support of State Society purposes shall be guided by these policies: 1) The Chapter will function as a not-for-profit, non-political, educational organization. 2) The Chapter will encourage activity by all botanists, professional and amateur. 3) The Chapter supports ethical practices recommended for native plants when collecting or transplanting. 4) Members are encouraged to develop information on native plants and publish or forward that information for publication. Photos from wreath workshop Paula choses her materials And shows off her finished wreath! January 12 6:00 pm - next Hawthorn meeting – we will be planning for 2015 activities. We want your ideas, so please attend. Photos from Lea's Outdoor Classroom 2015 MDC Nature Calendars Made possible by Paula Peters I have ordered the calendars that were ordered from me. (firstname.lastname@example.org). The order was placed on Nov 14. Calendars will be available at the Dec. lunch, the regular January meeting, or can be picked up at my home (2216 S. Grace Ellen Dr., Columbia) or a place in town of your choosing. The price for the calendars is $6.00. LINK UP!! Excellent first stop for regional resources and links to other natural history blogs. Nadia's Yard: a blog by Randy Tindall http://nadiasyard.com/ Bush honeysuckle removal – contact Eric Bohle email@example.com Natural Events at Chert Hollow Farm: An archive of monthly natural events posts going back to 2011 is indexed here: http://cherthollowfarm.com/landscape/ Wren Song http://www.ecosystemgardening.com/wren-song/131-thanksgiving Insect conservation: Xerces Societywww.xerces.org Plant identification: USDA plant database http://plants.usda.gov Grow Native resources: www.grownative.com Kids learn about wooly worms and persimmons in the outdoor classrooms that Lea teaches. > > > < < < Students and volunteers remove many bags of serecia at Rock Bridge Elementary. 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. Dues are Due NOW! 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.
Agenda for the Annual Meeting: 1. Opening Prayer: d. Gracious God, be present with those who take counsel for this parish family. Inspire us to seek first your honor and glory. Guide us to perceive what is right, and grand us courage to pursue and accomplish it; through Jesus Christ our Lord. 2. A Prayer for the Departed of the Congregation since our last Annual Meeting: O God of grace and glory, we remember before you this day our sisters and brothers who have died in the last year: Pattie Prehn (11/10/16) Virginia Sammon (12/12/16) Mary Jane Vullings (3/24/17) Donald Prehn (8/28/17) Catherine Meurette (9/25/17) We thank you for giving them to us, their family and friends, to know and to love as a companion on our earthly pilgrimage. In your boundless compassion, console those who mourn. Give us faith to see in death the gate of eternal life, so that in quiet confidence we may continue our course on earth, until, by your call, we are reunited with those who have gone before; through Jesus Christ our Lord. Amen. 3. Elections & Recognition of those Vestry Members Rotating Off This Year: * Senior Warden: Lisa Alexander * Junior Warden: Erik Evenson both wardens have served 3 consecutive 1-year terms and are ineligible to run for another term * Vestry elected in 2014 and rotating off: Laura Martens, Marsha Meurette, Chandra Witter (not eligible for re-election) Needed to be elected: * Junior Warden to a one-year term: Steve Miller * Senior Warden to a one-year term: Vickie Richmond-Hawkins * Three vestry members to three-year terms: * o Nominated: Tom Gallant, Brad Bollmann, Julie Bliss One vestry member to a two-year term: o Nominated: Tyler McCormack * Three delegates to Annual Convention to 2018 o Nominated: Lisa Alexander, Ron Alexander, Dixie Wilhite 4. Awarding of St John's Cross for 2017 Those members who have received the St. John's Cross in the Past: 5. Reports a. Rectors Report b. Senior Warden 2017 was a year that St John's continued to write our stories. Our story took on depth and grew. We knew that we were a church that was part of a greater community and this year we explored in greater depth what that meant. We are a church of mission, and we devoted a great deal of effort to define what that meant. The mission team was formed, and they are leading the parish into a reflection of being in mission with the community and what that may mean for the parish. The work has just begun, and the journey may take us to places we have only imagined. We continue to embrace the projects of mission that have become a part of who St, John's has become. We provide a monthly luncheon for our neighbors, we support social justice and advocacy groups in the community, we collaborate with downtown churches to provide interfaith opportunities within the community. We have joined our voices with others in the community with the Unity project to identify ways to make Wausau a more welcoming community. We are a vital part of the Diocese of Fond du Lac. As part of the relationship, St John's has hosted Diocesan events such as the pre-convention meeting and a workshop on Congregational Vitality put on by the CCV. Additionally, the vestry met with representatives from the CCV and shared our plan for maintaining the vitality of the church. Members of the church attended the spring conference in Waupaca put on by the CCV on becoming a church of Mercy and Delight. There are members of our parish that represent St. John's on Diocesan committees. St John's is also actively involved in the Cursillo movement within the Diocese. We have a presence in downtown area. We open the church during special events like the arts weekend in the fall and first Thursday's in the summer. The courtyard is a gem in the downtown area and is available as a place for lunch at the tables, a quick rest on the brick wall, or even a backdrop for local photographers looking for the perfect place to capture that senior portrait. We cherish the chapel and have struggled with how that fits into the mission of St John's. We opened the chapel 24 hours a day for many years and welcomed the community to use the it as a place for private reflection and prayer. It has become increasingly difficult to trust that the chapel can be open 24 hours and maintain the solemnity of the space and safety of those who are seeking a place of peace and solitude. As a result, we are maintaining daytime hours in the chapel and locking it at night. ~Lisa Alexander c. Junior Warden Good Morning and God Bless! The lord is wonderful and alive in the people buildings and grounds of St John's. As your Junior Warden my report to you offers a snap shot of what we have been doing to tend to the buildings and grounds of our beloved parish. First let's focus on the organ restoration. As you all know our organ has been in need of repair and updating. We have contracted with Rob Hoppe to restore, and rebuild the organ. This process is slowly moving forward. We did various updates to the courtyard this year to repair tiles near the columbarium lighting at the doorways. Our Building and grounds are a gorgeous representation of the love of Jesus Christ and updating the outside of the buildings reflects this love to the community at large. We have also received bids and have successfully employed a new company for snow removal for this winter. This should reduce costs and improve the quality of the work. We have had an infestation issue of mice. We have have signed a contract to remove and ensure they will not return. We have also proceeded with a bat removal contract. We continue to make improvements and repairs to our building and grounds to honor all of you the community and Jesus Christ our lord and savior. Thank you all for taking the time to review this report. It has been a great honor being your Junior Warden. As my term comes to an end I want to send my heartfelt thanks to all of you for your support. Gods Peace, Erik Evenson d. Minister of Mission Friends of St. John's At the beginning of the calendar year, this congregation began an experiment. We have stepped out in faith to dig more deeply and intentionally into our call to mission. In many ways, this first year has been about assessing where we are as a congregation and learning about the changing nature of the world in order to simply take a few baby steps along the way. So far, those baby steps have led to the building of the little prayer house and library for our courtyard, to an increase in food given to the pantries in town (including a fresh food drive), to furthering our connection to our outreach lunch community through the simple act of asking for their prayers, and to acts of neighborliness to the physical neighbors near us in the downtown. We hope to build on all of these activities in the year ahead. Behind the scenes, the Mission Team has been reading about and discussing the changing nature of society as well as reflecting on the Wausau area in particular. As we've gotten to know one another, we've been reflecting on our own spiritual journeys and praying that we would be led to see more clearly our mission in this community. In the new year, we would like to widen the circle of that conversation and invite you into learning opportunities along with us. It will soon be time for us to turn baby steps into toddler-like "play." The analogy is more than appropriate because the process will be one of discovery, of trying things out and learning as we continue to grow. And the point is not so much to reach any particular destination, but to become more fully the people God made us to be in this particular time and place. Thank you for giving us the time and space to begin this process. We look forward to further exploration and engagement in the new church year! -The Mission Team e. Financial Report \| Administration \| \| 5,039.95 (94.2 % of annual budget) \| \| 4004.13 (74.2) \| \| \|---\|---\|---\|---\|---\|---\| \| Facility Operations \| \| 19,674.49 (67.6 % of annual budget) \| \| 23,384.63 (79%) \| \| \| Personnel: Salary and Benefits \| \| 113,379.35 (84.1% of annual budget) \| \| 106,787.02 (79.6) \| \| \| Programs \| \| 21,230.88 (82.9% of annual budget) \| \| 17,685.97 (71.2%) \| \| \| TOTAL EXPENSES \| \| 160,931.18 (82.6% of annual budget) \| \| 151,850.76 (78.3) \| \| \| \| INCOME VS EXPENSES \| \| -5,110.96 \| \| -10,051.11 \| f. Pledges as of October 18 o Returning: $82,102 o Returning #: 23 (40 last year) o Pledges Lost #: 3 o Lost Pledges: $11,500 o New Pledges: $10, 200 o New Pledges #: 4 o Total Pledges to Date: $92,302 g. Financial Reports: Organ Restoration o Amount Pledged: $15,900 o Amount Received: $22,670 o Total Amount Expended to Date: $60,968 o Expected Completion Date: December 23, 2017 h. Altar Guild Something special is coming to you soon! For the Advent season, Father David uses vestments of a special blue—but the set has not been complete. It upsets the guild members because the altar isn't as proper as it should be (maybe you never noticed?). Now you will see a lectern hanging, a veil, and a burse blending with the proper dress for the Advent season! Our guild members are signing on for the months of 2018. We could use several more volunteers to complete the calendar. Talk to me about it. ~Ruth Schuette i. Communications/Website o Weekly communications via email (Mail Chimp): Wednesday eVoice that includes a midweek message and the ministry volunteers for the upcoming Sunday. Friday eVoice with a Mission Moment update. Saturday eVoice which consists of the Sunday bulletin. o Printed Sunday bulletin: includes weekly calendar, ministry volunteers for upcoming Sunday, announcements, etc. We currently have three shut-ins that receive the bulletin via U.S. Mail. o Website: Updated at least once a week. o Special Announcement emails (Mail Chimp) o Facebook: Updated as needed. Midweek messages posted on Facebook along with special activities or announcements, photos of events, etc. j. Building and Grounds – see Jr Warden's Report k. Building Usage We have several different groups using our building on a regular basis. These groups include The Boy Scouts, SMART Recovery and Addiction Groups, and three new community choirs. We have also had parish members request the use of Memorial Hall for family get-togethers/parties or musical recitals. l. Courtyard and Gardens A successful season of gardening in our courtyard. Annuals were planted in spring. An area of grass was removed and replaced with perennials. The planters above the columbarium were moved and a flowering bush added between them. Additional stepping stones created by some families were also added. Perennials were added along the side of the chapel. Many faithful volunteers took turns watering, weeding and mowing. The courtyard is used daily by many who continually give compliments about how welcoming it is. The addition of bottled water has added to this as well. Greens will replace flowers for the winter season. Donations toward courtyard plantings are always appreciated. Thank you! ~Claire Aziz m. Deanery n. ECW Report St. John's Episcopal Church Women (ECW) includes all the women of our church and Episcopal churches everywhere. The purpose of ECW is to provide fellowship, work, study, prayer and service throughout the year. Highlights of our April 26, 2017 Spring Dinner and Meeting: * St. Martha's Guild was reviewed. The women agreed and voted to dissolve St. Martha's Guild and monies will be absorbed into the ECW checking account. * 222 boxes of cookies were sold generating $3,710.00 * The U.T.O. drive started on Easter and ended on Pentecost. * Father David shared his thoughts about ECW. He had suggestions for our continued focus and the important role we play as a St. John's ministry. * Our guest speaker was Pastor Sue Kruger. She shared her experiences as a chaplain at Good Samaritan Hospital in Merrill, as a clinical pastoral educator, and the Circles of Light discernment process. On June 12 th and 14 th women were invited to four focus sessions to share their ideas for women's ministry in the areas of community, spirituality & prayer, receptions, and kitchen/Memorial Hall. All four meetings were well attended. Some ideas were implemented this summer such as: * Deep cleaning of the kitchen * "Prayer, Spiritual Growth, and Coffee" * Planning a Quiet Day with Father David on a Saturday or evening Highlights of our October 18, 2017 Fall Dinner and Meeting: * Cookie baking will begin in November - the schedule and more information will be in the weekly bulletins. * There will be a U.T.O. drive this fall. * Alter Guild is running smoothly. Volunteers are always welcome to join. * Father David talked about the role of ECW. Many women's groups are dissolving around the country and yet our ECW at St. John's is going strong. We should continue to work together with the church, vestry, children, the mission team and at the same time, maintain our group focus and vision. Results of our four focus groups from June were discussed and ranked according to importance for our upcoming year. The ministries of caring continue throughout the year. They are: * Members of ECW have been busy knitting prayer squares which are blessed by the priest. A prayer square is a tangible reminder of God's unconditional love and peace that can be carried in your pocket, purse, or on a keychain. * Receptions (funerals, Bishop's visitation, church functions, etc.) continue. Thanks to members of ECW for coordinating and organizing volunteers to plan, set-up, prepare food, and clean up. * Prayer shawls are available for people needing soft comfort in times of need. Shawls are knitted with quiet prayer and blessed before given to those in need. We pray for the shawl to bring warmth and surround the person with love and healing. * Quiet Day – Monday of Holy Week Respectfully submitted, Shelley Miller ECW President o. NAOMI (North Central Area Congregations Organized to Make an Impact) p. Outreach Luncheon q. Adult Study r. Church School s. Reports from Parish Members ("In the past year, where have you seen or experienced mission at St. John's?") Ron Alexander: I want to start with my Wednesday mornings at St. John's: 9:00 Cursillo Grouping and 10:00 Book Study. Very spiritual routines for me! Our Cursilllo group has added a couple new members and we continue to grow in trust and support. The book study has introduced me to a variety of topics pertinent to my faith journey and the rich discussions, offering various viewpoints, fosters reflection and learning. In particular, a memory from the Jonathan Sachs book that we read sticks out: "act from abundance rather than scarcity" …this helps me to connect with my spiritual gifts on a regular basis! I continue to be active in NAOMI, now as the treasurer. We sure appreciate the office space provided by St. John's and the frequent use of space for meetings! We continue to advocate for criminal justice reform, public transit expansion, poverty awareness with provision of regular poverty simulation activities; and have emphasized local racial equity through involvement with the Unity Project, People for the Power of Love, Towards One Wausau, and being co-sponsor off the Unity Concert on the 400 Block this past August. We are the recent recipients of a $15,000 grant from the Mary Alphonse Bradley Fund to help build power in the Latino Community around the Ladysmith area. It has also been very exciting to be a member of St. John's Mission Team…we have had lively discussions, with "out of the box" ideas, trying to find where God is in our community. With Lisa, I have been able to bring communion to several members unable to get to church regularly…very fulfilling! So God is good!! Chandra Witter: "Lessons from St. John's Outreach Luncheon" I often come away with an insight or two into human nature with every Outreach Luncheon. Small things, generally, but one instance stands out humbling me, yet today. On one particular Saturday morning while I was in the kitchen a guest asked me if he could help me set up, as he had come early. I gave him the several items that regularly get set out on the long banquet table nearest the kitchen. This is the table where we set out plates, cups, napkins and hors d'oeuvres for our guests to help themselves to before the meal is served. There really is no right way to set these items out. People throughout human history have figured out how to serve themselves no matter how the table is set, yet, after this person set these simple items out on the table I, for whatever reason, decided to rearrange them as they have always been arranged; small plates and napkins on the right, hors d' oeuvres in the center and drinks with glassware on the left. This was a completely unconscious decision on my part. I was only managing an event, a knee jerk reaction, something I do on a daily basis in my job. However, after another guest saw this, he quickly pointed out my error. Not the person who set out the items, but another guest saw this transaction between myself, and a guest we invited to our table. He said, "You know, when you correct things that someone has voluntarily helped you with, you demean them and hurt them and they might never come back. These people have enough to deal with without you pointing out how they have done something wrong." Strong, strong words to someone who genuinely cares for the people I serve once a month, but important words, nonetheless. I tell my employees that there is never just one way to do things and that all opinions will be valued, but now I ask myself, do I really value all humans equally? Do I really love my neighbor as myself? I have thought of this event so many times over the last couple of years. This guest has not returned to our luncheon. I know nothing of him but will remember him forever. Mission work is never done and for this, I am grateful. Mission keeps us on our toes and makes us better humans in ways we could not have planned. Marilyn Klutterman: I volunteer for most of the outreach luncheons. At the lunch there is a guest that comes most months. He is the type of person that can be difficult to be around. I will refer to him as Henry. The mission team has placed a basket, paper and pencils for prayers that our guests would like us to pray for. Several guests use this opportunity. As the lunch was winding down one Saturday, Henry came to me and wanted me to read his prayer. It was about a friend's wife who had stage four cancer. I told him I would keep them in my prayers as well. The next month, again after lunch and clean-up had begun, Henry came to me with his prayer. This time he told me about his friend's inability to cry for his wife. He didn't want to seem weak when she needed him to be strong. Henry then shared with ne his response to his friend. He said, "When you hold someone and cry with them, your tears are holy water, they are baptizing and sharing the love of god." I just stood there with tears in my eyes. How beautiful. Henry touched me to my very core. This from the man I had such a hard time being around 2 months ago. Now every month I ask Henry about his friend. We have a nice talk and he writes another prayer. I experienced mission with Henry. I listened while he taught. Henry is one of the gifts we are given when we reach out and listen. Sue & Don Weinkauf: We think the "Mission" of taking care of "Downtown" people has been a good thing. The "Outreach" meal has been wonderful. We also like the plan of having Joe Thompson being in charge of Mission is a good thing WE have some wonderful younger families right now. Pamela Glennon: The Outreach Luncheons – Feeding people's bodies and souls. We provide for physical needs as well as show God's love through shared conversation, caring, and prayer. Anonymous: Anytime in the past 1-2 years when there has been conflict, tragedy, joy, pain – St. John's is the place I know I want to share these events with. The atmosphere of joy, acceptance, inclusiveness is palpable and I cannot go very long without it. Anonymous: Watching the little ones grow and interacting with them. Part of our mission is to family, and opportunity is being made on a monthly basis in a special time for them and us "olders" to mingle. ~Anonymous Brenda Herman: This is all fine but what about what St. John's is really about. A church home to nurture – the faith of the members and others and above all the message of the gospel should be a part of the Mission. The church should offer an open feeling to one and all. We should not forget the spiritual needs of our congregations in an effort to do good in the community. Prayers. Beth: "The mission of St. John's is to restore all people to God and each other in Christ." I am not a member of St. John's but a by-chance visitor. When I attended church at St. John's on 9.10/17, an insert in the bulletin asked how St. John's is fulfilling their mission. Here is what I have noticed as an outsider peering in: I first happened upon St. John's last summer during a courtyard music performance during a downtown "First Thursday" evening. I was delighted to see and hear people gathering in the courtyard to enjoy music together. It was clear to my friend and me that we (and any others) were welcome to join in and enjoy the gathering. We did, and I thank you. I was again drawn in to the courtyard this summer when I happened to park near the courtyard on my way to La Prima Deli. On the stone wall of the courtyard, I noticed a bin of bottled water. On the ground, was a bowl of water for passing dogs. Water for those who may need it. Something so very simple, but so very profound. Water…something we all need to survive…something we all likely take for granted. A life-giving source being freely offered for whomever is in need. Two Sunday afternoons, I came to the courtyard oasis with my dog, who had been confined to a puppy mill the first six years of her life. She enjoys the freedom of the fresh air and soft grass, and the comforting embrace of the stone walls of the courtyard wall. I noticed (to my great delight) a tiny library on a pole. Its gray white-washed finish, shake roof, river stones, rusted hinges and door closure perfectly blended with the stone exterior of the church. The library's books and opportunity to make prayer requests were further invitations for non-intrusive connection. The wind chime in the archway provided an addition to welcome. A sign invited the public to join their Tuesday noon brat fry. While not necessarily an essential, lifegiving source, grilled sausages do have their appeal. Like frankincense and myrrh, the scent of bratwurst is a welcome comfort that no Wisconsinite can easily resist. I returned to the courtyard for two bratwurst Tuesdays, once with a friend and once alone. My friend and I asked Father if we could peek inside the church. We loved the wooden beams, the wooden floor and the stained-glass windows. It felt like a welcoming place. I read on St. John's Facebook page about the chapel, open to the public for quiet reflection and prayer any time of the day (and previously all night). I was very touched that a church would freely open its doors and welcome anyone and everyone into this sacred space. Throughout my life, I have worked with people living in the margins…on the fringes of life. I know that those in greatest need…those who may be suffering the greatest of hurts, are often hesitant or resistant (for a variety of reasons) to attend church in a formal manner. To know that there is a downtown church that opens its doors, welcomes unconditionally, offers comfort and refuge without judgment, with heartfelt love and compassion, with no need to be pushy nor preachy…that is a true gift from God. Love thy neighbor. That is living out the mission of Christ. Your courtyard and chapel alone speak volumes. The non-intrusive, inclusive nature of the courtyard and open chapel invite those who may otherwise not seek refuge to inch closer. Perhaps some may inch close enough to be restored and resting under His wing. Thank you for this ministry that you freely provide. Kristen Thompson: The last year has been a good one for the kids of St. John's. A main aspect of our mission for education is to make our church a place where kids want to be. I think the smiling faces we see show that we have succeeded! Whether playing games at Growing Together Potlucks or sharing "highs and lows" during Church School, the kids are blossoming through their time at St. John's. We have provided them opportunities for fellowship, learning Bible stories, playing games, and even some community service projects. The majority of these have been done through the lens of our larger church family, as we hope to teach the children that faith is a lifelong journey. This is why it is so wonderful when people of all ages join us on our adventures! If you haven't had a chance to join us yet, we encourage you to give it a try. The kids will be glad to have you! Theresa Ambord: For me, it's what I perceive as little things but others view as bigger things! For example, the complimentary bottles of water, the dog dish, the brat fry, the little free library. All of these things involve our courtyard and the welcoming feeling we want to give to those in our community. I don't think of it as a big deal to offer the water, for both humans and dogs, but the feedback we get from others is so positive! I once had a "visitor" of our courtyard ask me if the water was really "free" and when I told her yes, she responded by saying we are the only place downtown who offers this and how nice it is. I love the brat frys in August. It's fun to sit in the office and watch the people who all come together for this fun event. This includes of course, the volunteers who run the brat fry, moms (and dads!) with small children, business men and women and also those in our community who are there because they are in need of a meal. We welcome everyone. This last year we decided on a free will offering instead of charging as we have done in past years because we did not want to discourage someone from coming because they couldn't afford it. Finally, the little free library! I have added books to the library and it's a good feeling when I look and see they are no longer in there because I know someone else is enjoying them. Anonymous: S – Simple T – Timely J – Joyful O – Opportunities H – Honoring N – Neighbors S – in Service Ramert & Ruth Carlson" Thanks be to God for David & Marilyn for all their love to our parish. Welcoming people from downtown walking & inviting them to the chapel and courtyard. The bottles of water on the courtyard stone fence offers living water now & through Christ forever. We feel the peace in church makes parishioners and guests feel welcome. St. John's is a wonderful downtown church. Keep up the good work. Anonymous: While hosting the outreach luncheons is surely a visible sign of fulfilling our mission at St. John's, I believe keeping the chapel open despite several setbacks is a daily sign of the mission. Having our house of prayer and respite accessible as much as possible reveals to the community what we are about. Ginny Fowle: My Story about what St. John's has been for me personally this year begins when I was honored unsuspectingly,the St. John's Cross. The moment and the day I was called up to receive this gift,was emotional. I felt there were so many who would be so deserving of such a gift. I was not sure what I had done to deserve the honor. I was very happy,and decided that for me,it was a gift to wear and show proudly,and worn as a reminder that I could be doing more. Giving of myself,my time,and talents for the greater cause. I give thanks to St. John's for being such an important part of my life and my family's life. Submitted with appreciation and love, Steve & Shelley Miller: In the past year, there have been numerous examples of mission at St. John's. For us, what stands out would include things that take place in the courtyard, the chapel, and the way we take care of families at funerals. Having experienced the last brat cookout of the year, it was apparent that we "reached" a cross-section of our downtown and community friends. It was eye-opening to see St. John's members cooking and providing a free lunch to anyone who came to eat. More important than the food was the outreach to multiple generations of residents. As we packed up the canopy and put everything away for the season, it was satisfying to know that, as a parish family, "the church" reached other families in our community. Additionally, the courtyard provides water, a place for people to sit, eat, read, pray and enjoy the beauty of our grounds. The small library has had a positive impact as well. The chapel is used by members of the church and by the community. It provides a place for rest, reflection, prayer, and shelter. While we may have struggled with some events that have taken place in the chapel, our resolve to keep it open has been strong and we believe that light will overtake the darkness. For anyone attending a funeral at St. John's, it is known that Father David and our parishioners provide bereaved families support with the funeral. None of this would be possible without the help of volunteers who do their part to bring a reception together. This is a blessing to families in a time of sorrow. As a parish family, it seems that we are making progress in answering the call to reach out to our neighbors. We believe that St. John's demonstrates what a human community looks like in Wausau. We are living the vision of mission. Lisa Alexander: My years on the vestry are coming to an end, and with that I have had to seek new opportunities to remain involved with the church. A new ministry was quietly started and has touched people across the country in a prayerful way. My passion and mission has become the humble prayer square. The tiny knit square is a powerful reminder to those who carry one that God is with them and is always there to help them with their struggles and celebrate their blessings. Members of the parish have sent the squares to friends and family, prayer squares are in the prayer box in the courtyard, and I sent one to each of the veterans on the Honor Flight in September. I find knitting the prayer squares to be contemplative as I pray for the possible recipient and ask God to bless the work and reach out to the one who receives the blessing. I can knit these in the middle of celebrations at church or in the middle of the night when sleep is hard to come. Knitting centers me and brings me as much joy and peace as the square brings to those who receive the prayer square. To date I have knit over 300 squares, I may have to find other places to leave the squares! But I encourage you all to take a square to a friend or for yourself to remind you of the power of God's love. Joe Thompson: As I've reflected on where I have seen St. John's living into its mission, several stories of actively doing mission come to mind, but the one moment that keeps sticking out for me has to do with our mission to simply be present in the downtown and the real challenges that come with that presence. As many know, we have faced some issues in keeping the chapel open. Due to safety concerns, we have even begun to lock those doors overnight. Still, issues arise. A couple of months ago, someone defecated on the floor of the chapel behind the altar. This was a problem. It was disgusting and needed to be cleaned up, but it was also a slap in the face. It was a direct affront to our mission of presence. I know that it angered Father David, and rightfully so—not only was he involved in the clean-up, but he is deeply passionate about the mission of that place. Yet, the very next Sunday, the readings included the story of Peter asking Jesus how many times we ought to forgive one another. As you know, Jesus' response is basically to never limit forgiveness and its power to restore. Father David brought the point home beautifully that day. And although he didn't talk directly about what had happened in the chapel earlier in the week, he did talk about what it means to truly practice forgiveness. For me, sitting in the pew that morning, that sermon and that worship service came to symbolize how our mission is lived out. It's not always about doing (although it will be about that too), but is often about being truly present. This means it will involve risk and vulnerability and the practice of forgiveness. And as a community, we fulfill that mission whenever we can live into that vision of being God's people for the world. Claire Aziz: Our Outreach luncheons are one of the things that fulfill our mission at St. John's.It has been going on for many years and the folks attending have become a "family". One gal reads a poem she has written. Some help with clean up. They are open to using the recently added prayer basket and are appreciative of our monthly give aways. It also brings parishioners together to work, for fellowship, establish new friendships as well as sharing their talents through donations. Marsha Meurette: As you might imagine, the foremost defining moment of this year in my life was the passing of my mom. The loss of anyone you're close too is always difficult, but I think a parent even more so. There is no escaping the heartache and grieving, but comfort can be found in many places. And for me and my family, there just wasn't a better place to feel that comfort, and to see it spring into action, than St. John's. Her service was a true celebration of life thanks to everyone from Fr. David, to ECW, to the helpers behind the scenes, to those who could attend, those that sent cards and all who kept us in their thoughts and prayers. But it's also because of all the members over the years past and present that give of themselves in different but equally important ways to keep this a welcoming place to be for all to help grow their faith. And because that occurs not from a top down sort of hierarchy, but more like that giving emanates from various points on a star structure, which collectively make that star shine. I feel so fortunate that this place at which my mother felt so at home, prepared her well for that inevitable transition. She regarded it not with fear, but with very calm anticipation, as it should be. So I give thanks to all for your part in maintaining St. John's as a welcoming and comforting home for all, in any stage of their journeys. My faith and pride in the foundation of St. John's was really solidified and I look forward to maintaining that, as well as new ways we can keep that solid, and keep the star shining brightly. 5. Presentation of Parish Statistics ``` Average Sunday Attendance (through October 15): 2017 – 70.9 2016 – 71.6 Non-Sunday Attendance for Services (through October 15): 2017 – 74 2016 – 90 ``` New members over the past year: * Sue and David Greene * John Palmer * Rhonda Woolridge * Jim and Joan Hannes (returning) Baptisms in the past year: * Oliver Benjamin Feidt Weddings in the past year: * Bob Berres and Amy Kimmes 6. Other Business * UTO * Annual Convention Report * Voices * It's Moving Time * Cookie Dates November 18th – baking December 2nd – baking & decorating December 3rd – decorating December 4th - packing December 5th – pickup cookies * Christmas 2017 Both the Fourth Sunday of Advent and Christmas Eve are on Sunday this year. Therefore, our schedule will be as follows: Sunday, December 17: Church Decoration following the 10 am Eucharist. Saturday, December 23: Advent 4 Eucharist at 5 pm Sunday, December 24: Advent 4 Eucharist at 9 am Sunday, December 24: Christmas Eve Family Eucharist at 4 pm Sunday, December 24: Christmas Eve Choral Eucharist at 10:30 pm 7. Blessing and Adjourn A Prayer for Mission O God, you have made of one blood all the peoples of the earth, and sent your blessed Son to preach peace to those who are far off and to those who are near: Grant that people everywhere may seek after you and find you; bring the nations into your fold; pour out your Spirit upon all flesh; and hasten the coming of your kingdom; through Jesus Christ our Lord
United States District Court Western District of Missouri PRINCIPLES AND RECOMMENDATIONS FOR MANAGING DISCOVERY OF ELECTRONICALLY STORED INFORMATION IN CRIMINAL CASES 1 These principles and recommendations are intended to promote the efficient and cost-effective post-indictment production of electronically stored information (ESI) in discovery 2 between the Government and defendants charged in federal criminal cases. Their goal is to reduce unnecessary conflict and litigation over ESI by encouraging the parties to communicate about e-discovery issues by creating a predictable framework for e-discovery and establishing methods for resolving e-discovery disputes without the need of court intervention. 3 Principle 1 (Technology Competence) Attorneys should have an adequate understanding of e-discovery and the associated technology. The Court expects attorneys to have sufficient technical knowledge and experience (or to involve individuals with sufficient technical knowledge and experience) to be able to understand, communicate about, plan for, and review e-discovery. Because discoverable information is increasingly found and produced electronically, the Court strongly encourages attorneys to be familiar with and to have access to the technology set forth in Appendix A. In the process of planning, producing, and resolving e-discovery disputes, the parties should consult with individuals that possess sufficient technical knowledge and experience regarding ESI. Principle 2 (Meet and Confer) As soon as possible after arraignment, the parties must meet and confer to determine whether there are issues in the case associated with the production of ESI. During the meet and confer, 1 These principles and recommendations are based on and drawn from Criminal e-Discovery, A Pocket Guide for Judges, published in 2015 by the Federal Judicial Center. A copy of this publication may be accessed online at: http://www.fjc.gov/public/pdf.nsf/lookup/Criminal-e-Discovery.pdf/$file/Criminal-e-Discovery.pdf. 2 These principles and recommendations apply only to disclosure of ESI under Federal Rules of Criminal Procedure 16 and 26.2, Brady, Giglio, and the Jencks Act, and they do not apply to, nor do they create any rights, privileges, or benefits during the gathering of ESI as part of a criminal or civil investigation. The legal principles, standards, and practices applicable to the discovery phase of criminal cases serve different purposes than those applicable during the investigative phase of a criminal or civil matter. These principles and recommendations also do not alter the parties' discovery obligations or protections under the United States Constitution, the Federal Rules of Criminal Procedure, the Jencks Act, or other federal statutes, case law, or local rules. They may not serve as the basis for allegations of misconduct or claims for relief and they do not create any rights or privileges for any party. 3 Recommendations for Electronically Stored Information (ESI) Discovery Production in Federal Criminal Cases, (ESI Protocol), Joint Working Group on Technology in the Criminal Justice System (JETWG), February 2012, page 4. A copy of the ESI Protocol may be accessed online at: https://www.fd.org/docs/litigationsupport/final-esi-protocol.pdf the court encourages the parties to use the Discovery of ESI Production Checklist (attached as Appendix B). The parties should address issues such as the nature, volume, and mechanics of producing ESI in the case. In order for the parties to notify the Court of ESI production issues or problems that they reasonably anticipate will significantly affect the handling and scheduling of the case, the meet and confer must occur prior to the time the Court is asked to rule on a motion to continue the case off the initial trial docket setting. The parties should address other issues they can reasonably anticipate, such as protective orders, "claw-back" agreements between the Government and criminal defendant(s), or any other issues associated with the preservation or collection of ESI. Where the e-discovery is particularly complex, voluminous, or produced on a rolling basis, the parties must maintain an on-going dialogue regarding the schedule for producing discovery. Principle 3 (Production Format) The format selected for producing discovery should maintain the ESI's integrity, allow for reasonable usability, reasonably limit costs and, if possible, conform to industry standards for the format. Because the volume of e-discovery frequently requires the use of software tools for discovery review, ESI must be produced in a manner that permits electronic search, retrieval, sorting, and management. If the producing party has not created a table of contents prior to commencing e-discovery production, it should consider creating one describing the general categories of information available as e-discovery. A table of contents is intended to be a general, high-level guide to the categories of ESI. Because a table of contents may not be detailed, complete, or free from errors, the parties still have the responsibility to review the ediscovery produced. With ESI, particular content usually can be located using available electronic search tools. There are many ways to construct a general table of contents. For example, a table of contents could be nothing more than a folder structure where like items are placed into folders for that type of item. Principle 4 (Transmitting Discovery) The method and media for transmitting e-discovery should promote efficiency, security, and reduced costs. The party producing discovery should provide a general description of what was transmitted and maintain a record of what was transmitted. Principle 5 (Production Costs) The party producing e-discovery is not required to take on substantial additional processing or format conversion costs and burdens beyond what the party has already done or would do for its own case preparation or discovery production. Principle 6 (Multi-Defendant Cases) In cases with multiple defendants and/or where the ESI production is particularly complex, voluminous, or produced on a rolling basis, the defendants should authorize one defense counsel to act as the discovery coordinator for all the defendants or seek appointment of a Coordinating Discovery Attorney. Principle 7 (Dispute Resolution) The parties must make good-faith efforts to discuss and resolve disputes over e-discovery. Before filing any e-discovery motion or any motion alleging e-discovery misconduct, abuse, or neglect, counsel for the moving party must have, in good faith, conferred or attempted to confer by telephone or in person with opposing counsel concerning the matter. Writing a demand letter is generally not sufficient. When necessary, a party must involve in the discussion those with the requisite technical knowledge and/or seek supervisory approval or authorization. Principle 8 (Court Notification) If the e-discovery issue remains unresolved, the moving party may file a discovery motion. The motion must include a statement from counsel for the moving party indicating compliance with the meet-and-confer requirement, explaining why the parties were unable to resolve the dispute, and detailing why court intervention is necessary. Principle 9 (Dissemination and Disclosure) All parties must limit dissemination of ESI to members of their litigation team who need and are approved for access and must take reasonable and appropriate measures to secure ESI against unauthorized access or disclosure. 4 4 The Court adopts these principles and recommendations in recognition of the fact that we live in a time where more and more information is being created and stored electronically. Because the February 2012 ESI Protocol was produced by a working group with representatives from both the criminal defense bar and federal prosecutors, the 2015 Federal Judicial Center's publication, Criminal e-Discovery, A Pocket Guide for Judges, refers to the ESI Protocol as the "practitioner's guide to criminal e-discovery." While the above principles and recommendations adopted by this Court are liberally adapted from the ESI Protocol, the court recognizes and acknowledges that the ESI Protocol contains much more detailed strategies, commentary, and recommendations for ESI discovery production in criminal cases. The Court strongly encourages practitioners to rely on the ESI Protocol as a definitive resource for understanding and analyzing ESI issues in federal criminal cases. As stated in the ESI Protocol, it sets forth "a collaborative approach to ESI discovery involving mutual and interdependent responsibilities. The goal is to benefit all parties by making ESI discovery more efficient, secure, and less costly." As the electronic information age continues to grow and evolve, the Court will continue to adapt with the development of future principles and recommendations designed to serve this goal. APPENDIX A TECHNOLOGY - PC or Mac computer, including a DVD/CD writer 1 - Printer - Scanner with ability to convert paper documents to PDF/A format - Speakers - Secure internet connection (high speed preferred) - A web browser such as Windows Internet Explorer 2 - Multi-media player such as Windows Media Player - Word processing program (Microsoft Word highly preferred) - Presentation, database, and spreadsheet software – similar to what is available in the Microsoft Office Suite - A PDF program with writing and reading capability, plus the ability to create searchable PDF documents - An individual e-mail address for the attorney that is private - Anti-virus software, and attorneys should configure their operating system to automatically run security updates - The hardware and software to utilize external hard drives and thumb drives 3 1 Regardless of whether counsel uses Apple or Windows based computers, their computer hardware should still support the minimum requirements for currently supported releases of the Windows operating system and Microsoft Office applications, since some litigation support programs will not work with or on Apple operating systems. Alternatively, counsel who primarily rely on or use Apple based computers should have access to a computer that uses a Windows operating system. 3 Attorneys should anticipate the need to upgrade their computer and peripheral equipment a minimum of every five years. Upgrade decisions should be based on what hardware and software will provide the best functionality and compatibility with future versions of CM/ECF. 2 For future upgrades of the CM/ECF system, the Administrative Office of the U.S. Courts urges courts to support the Internet Explorer and Firefox browsers. Firefox updates their browser platform frequently. As a result, CM/ECF functionality will be better supported using the Internet Explorer browser. APPENDIX B DISCOVERY OF ESI PRODUCTION CHECKLIST 1 Is this a case where the volume or nature of ESI significantly increases the case’s complexity? Does this case involve classified information? Does this case involve trade secrets, or national security or homeland security information? Do the parties have appropriate technical advisors to assist? Have the parties met and conferred about e-discovery issues? Have the parties addressed the format of ESI being produced? Categories may include: - Investigative reports and materials - Witness statements - Tangible objects - Third party ESI digital devices (computers, phones, etc.) - Photos, video and audio recordings - Third party records - Title III wiretap information - Court records - Tests and examinations - Experts - Immunity and plea agreements - Discovery materials with special production considerations - Related matters - Discovery materials available for inspection but not produced digitally/electronically - Other information Have the parties addressed e-discovery issues involving: - Table of contents? - Production of paper records as either paper or ESI? - Proprietary or legacy data? - Attorney-client, work product, or other privilege issues? - Confidential, personal, grand jury, classified, tax return, trade secret, or similar information? - Whether email transmission is inappropriate for any categories of ESI? - Incarcerated defendant's access to discovery materials? - E-discovery volume for receiving party's planning purposes? - Parties' software or hardware limitations? - Production of ESI from third party digital devices? - Forensic images of ESI digital devices? 1 This checklist is reproduced from the February 2012 ESI Protocol. - Metadata in third party ESI? - Redactions? - Reasonable schedule for producing party? - Reasonable schedule for receiving party to give notice of issues? - Appropriate security measures during transmission of ESI, e.g., encryption? - Adequate security measures to protect sensitive ESI against unauthorized access or disclosure? - Need for protective orders, claw back agreements, or similar orders or agreements? - Collaboration on sharing costs or tasks? - Need for receiving party's access to original ESI? - Preserving a record of discovery produced? Have the parties memorialized their agreements and disagreements? Do the parties have a system for resolving disputes informally? Is there a need for a designated discovery coordinator for multiple defendants? Do the parties have a plan for managing/returning ESI at the conclusion of the case?
The Malaysian Code on Corporate Governance 2012 ("the Code") sets out the principles and best practices on structures and processes used to direct and manage the business and affairs of the Company towards enhancing corporate accountability, with the objective of realising long-term shareholder value, whilst taking into account the interests of other stakeholders. The Board of Directors ("the Board") of CCM Duopharma Biotech Berhad ("CCMD" or "the Company") remains committed in its efforts to implement the principles and best practices set out in the Code. The adoption of good corporate governance is a fundamental part of the Board's responsibility to protect and enhance shareholders' value and to build sustainable business growth for the Company. The following statement sets out how the Company has applied the principles and recommendations as contained in the Code during the financial year. PRINCIPLE 1 ESTABLISH CLEAR ROLES AND RESPONSIBILITIES Recommendation 1.1 Clear Functions between the Board and Management The Board retains full and effective control of the Company. This includes being responsible for the determination of the Company's overall strategic directions as well as the development and control of the Company. To ensure effective discharge of its function and responsibilities, the Board has delegated specific responsibilities to Board Committees, namely the Nomination and Remuneration Committee ("NRC") and the Audit and Risk Management Committee ("ARMC"). The Board has established clear functions which are reserved for the Board and those delegated to Board Committees and Management. Key matters, such as approval of annual and quarterly results, acquisitions and disposals, as well as material agreements, major capital expenditure, short term and long term plans and strategies and succession planning for Senior Management are reserved for the Board. Meanwhile, all Board Committees have their terms of reference approved by the Board. These Committees have the authority to examine particular issues and submit reports of their deliberations and major findings to the Board. The Chairmen of the Board Committees also present and report to the Board the key issues deliberated by the respective Board Committees at Board meetings. The terms of reference, composition and activities of the Board Committees are set out in their respective sections in this Annual Report. The Board maintains a close and transparent relationship with Management. A clear limit of authority for Management to manage the business of the Company has been established. Many of the responsibilities of the Board are delegated to Management through the Chief Executive Officer. The Chief Executive Officer is accountable to the Board for the achievement of the Company's corporate objectives which include performance targets and long term business goals. At each Board meeting, the Board receives from or through the Chief Executive Officer the operational and other reports, proposals and assurances as the Board considers necessary to confirm that the Management's authorities are being observed. Recommendation 1.2 Clear Roles and Responsibilities The Board assumes, among others, the following responsibilities: (i) Review and Adopt the Strategic Plan of the Company The Board plays an active role in the development of the Company's strategy. The Board is presented with the short and long term strategy of the Company annually, together with its proposed business plans for the ensuing year. The Board conducts a quarterly review of the performance targets and long term goals of the business to ensure that the needs of the Company are consistently met and are furnished with information relating to the running of the Company's operations through quarterly reports prepared by the Management. This will allow the Board to better understand the operations and make decisions in steering the Company towards a profitable business. The Board also reviews and approves the annual budget for the ensuing year and sets the Key Performance Indicators ("KPIs") which supports the Company's strategy and business plan. (ii) Oversee the Conduct of the Company's Business The Board oversees the performance of Management to determine whether the business is being properly managed. In this regard, the Chief Executive Officer is critical to the performance of the Company and provides the leadership and strategic vision of the Company. He is responsible for the day-to-day running of the business and operations of the Company including organisational effectiveness, implementation of Board policies and strategies and clarifies matters relating to the Company's business to the Board. His in-depth and intimate knowledge of the Company's affairs contributes significantly towards the direction taken by the Company to achieve its goals and objectives. The Chief Executive Officer is supported by the Management Committee and other committees established under the Company. These committees have their own specific terms of reference to ensure that the objectives and aspirations of the Company are met. To ensure independence, the Group Risk Department provides the Board with a separate status report of enterprise risk on a quarterly basis. The Group Internal Auditor also provides the ARMC with audit reports as and when audit assignments are completed. (iii) Identifying Principal Risks and Ensuring the Implementation of Appropriate Internal Controls and Mitigating Measures In managing risks, the Board has adopted the CCM Group Enterprise Risk Management ("ERM") Framework which is in compliance with the universally accepted standard, ISO 31000 for Risk Management. The Board has also adopted the CCM Group's Risk Management Policy to ensure an effective risk management programme and control system is in place and thereby facilitating the Company in meeting all its business objectives. (iv) Succession Planning The Board has entrusted the Nomination and Remuneration Committee with the responsibility to review and recommend to the Board, candidates for top management positions. The candidates go through a rigorous assessment prior to being recruited to ensure that they have the sufficient experience and are the right fit for the Company. The Company has in place a talent management programme at the holding company level to ensure that the Company has talents to meet its future needs besides having a pipeline of successors for mission critical positions. (v) Oversee the Development and Implementation of a Shareholder Communication Policy The Board values the dialogue with shareholders and appreciates the keen interest shown by shareholders on the Company's performance. A Shareholder and Investor Communication Policy setting out the guidelines for communication with the shareholders of the Company is in place. The said policy can be accessed on the Company's website. (vi) Review the Adequacy and Integrity of the Management Information and Internal Control Systems The Board is fully aware of the responsibilities to maintain a sound internal control system. The Board's responsibilities for the Company's system of internal controls cover not only financial aspects of the business but also operational, regulatory compliance as well as risk management matters. Details pertaining to the Company's internal control system and the review of its effectiveness are set out in the Statement on Risk Management and Internal Control in the Annual Report on pages 54 to 55. Recommendation 1.3 Formalise Ethical Standards through a Code of Conduct and Ensure its Compliance The Company has in place a Directors' Code of Best Practice and a Code of Conduct for employees to govern the standard of ethics and good conduct expected of Directors and employees. The Directors' Code of Best Practice includes among others, matters relating to their duties and conduct as Directors, conflict of interests and conduct in meetings. On an annual basis, the Directors are also required to submit a Directors' Confirmation Form to the Company confirming their remuneration and benefits, interest in shares and debentures and any related party transactions with the Company. The Company has adopted the CCM Group's Code of Conduct ("Code of Conduct") which commits the Company to ethical values and standards of conduct expected of the Company. It is based upon CCM Group's vision, mission and core values and embodies the principles contained in various policies adopted by the CCM Group. The Code of Conduct provides guidance on the application of the Group's core values by the employees and other parties affected in conducting the Company's business and activities. The Code of Conduct covers among others, all aspects affecting the business operations such as confidentiality of information, dealings in securities, conflict of interest, gifts, gratuities, bribes and sexual harassment. As part of best practices in good corporate governance, the Company has adopted the CCM Group's Whistleblowing Policy ("Whistleblowing Policy") to encourage employees to report any major concerns over any wrongdoing within the Company relating to unlawful conduct, financial malpractice or dangers to the public or the environment. The Whistleblowing Policy makes it clear that any such concern can be raised without fear of victimisation, recrimination, discrimination or disadvantage to the employee reporting the concern. It provides a formal channel to encourage and enable employees to report serious concerns so that such concerns can be properly addressed. To further enhance its good corporate governance practices and strengthen the ethical standards within the CCM Group, an Integrity Unit (the "Integrity Unit") was established at the CCM Group level in September 2013 to manage integrity issues within the organisation. The Integrity Unit is responsible for, amongst other things, the following: * Governance – to ensure the conduct of best practices in governance; * Strengthen integrity – to ensure that integrity is inculcated into the Group's culture and is institutionalised in the actions of all employees; * Detection and verification of wrongdoings – to detect and confirm the information/complaints on criminal misconducts as well as violations of the Group's Code of Conduct and business ethics and to ensure that follow up actions are duly taken. The Integrity Unit is also responsible for reporting criminal misconducts to the relevant enforcement agencies; * Complaint management – to receive and take the necessary actions on all information/complaints received on criminal misconducts as well as violations of the Group's Code of Conduct and business ethics; * Compliance – to ensure compliance with laws and regulations; and * Disciplinary actions – to carry out the secretariat function to the Disciplinary/Integrity Board. The function of the Integrity Unit is under the purview of the Audit and Compliance Committee of CCM Berhad. The Integrity Unit is still in its early stage of establishment and has set up a hotline at firstname.lastname@example.org for any parties to whistleblow on any concerns that they become aware of. Recommendation 1.4 Strategies Promoting Sustainability The Board understands the importance of sustainability in operating its businesses and is committed towards achieving sustainability that shall benefit stakeholders, the environment, our people and the community. To achieve this, the Board has adopted the CCM Group's Corporate Sustainability Policy ("Corporate Sustainability Policy") which focuses on stakeholder and marketplace expectations, the environment, workplace sustainability and community needs. As part of the CCM Group, the Company participated in the Group-wide activities on sustainability to achieve the four focus areas identified which included the E3R Programme (Eliminate, Reuse, Reduce, Recycle) and SET3 Programme. E3R focuses on the Group's effort to reduce natural resource dependence by 10% while the SET3 Programme encourage staff to take a few minutes to observe safety hazards within his/her boundaries. The Company also participated in the Group-wide Road Safety Programme which focuses on promoting, training and disseminating information on good practices to be observed on the road to targeted audience (drivers, motorcyclists, etc.), as well as the New Year New You programme, tailored for staff wishing to adopt and maintain a healthy lifestyle. A detailed report on sustainability and safety is presented in this Annual Report on pages 12 to 13. Recommendation 1.5 Access to Information and Advice The Chairman is primarily responsible for ensuring that sufficient information is provided to the Board members ("Directors") to assist them in their deliberation. He ensures that all relevant issues and quality information to facilitate decision making and effective running of the Company's business are included in the board meeting agenda. In doing so, the Chairman will liaise with the Chief Executive Officer and the Company Secretary on the agenda for board meetings. Board meetings are scheduled a year ahead in order to enable full attendance. A minimum of four (4) Board meetings are held during the year. Additional meetings are held as and when required. There is a formal agenda for all scheduled meetings and Board papers are prepared and submitted in advance to ensure adequate information is available to assist Board's deliberation. The Board papers include, among others, the following: * Minutes of Meetings; * Reports from the respective Board Committees; * Business plan and direction; * Current operating and business issues; * Annual budget review, forecasts and projections; * Quarterly and annual financial reports; * Potential acquisitions and disposal of assets of substantial value; * Major investment and financial decisions; and * Key policies, procedures and authority limits. During the financial year, six (6) Board Meetings were held. Details of the Directors' meeting attendance during the financial year are as follows:- All Directors have the same right of access to all information within the Company and the duty to make further enquiries which they may require in discharging their duties including seeking independent professional advice, if necessary, at the Company's expense. Minutes of proceedings and resolutions passed at each Board and Board Committees meetings are kept in the statutory register at the registered office of the Company and are accessible by all Directors. The Company also provides a platform for dialogue between the Board and Management either at Board meetings or during the business unit visits. This will assist the Board in arriving at business and strategic decisions relating to the Company. The Directors also have access to the Company Secretary who is available to provide them with the appropriate advice and services and also to ensure that the relevant procedures are followed. The Directors are regularly updated on the latest developments in the legislations as well as statutory and regulatory requirements relating to the duties and responsibilities of Directors. When necessary, the Directors also visit locations of business units which would assist the Board to make effective decisions relating to the Company. Recommendation 1.6 Qualified and Competent Company Secretary The appointment or removal of Company Secretary or Secretaries to the Board shall be the prerogative of the Board as a whole. The Board is assisted by a qualified and competent Company Secretary to ensure that Board procedures are followed and the applicable rules and regulations for the conduct of the affairs of the Board are complied with. The Company Secretary also plays an important role as a gatekeeper of corporate governance. All Directors have unrestricted access to the advice and services of the Company Secretary for the purposes of the conduct of the Board's affairs and the business. Recommendation 1.7 Board Charter The Board Charter sets out the authority, responsibilities, membership and operation of the Board of the Company, in adopting principles of good corporate governance and practice that is in accordance with applicable laws. The document clearly states the roles and responsibilities of the Board and Board Committees and the processes and procedures for convening their meetings. It also serves as a reference for all Board members as well as a primary induction literature for newly appointed board members in providing insights into the fiduciary and leadership functions of the Board. The Board endeavours to comply at all times with the principles and practices set out in its Charter. Any updates to the principles and practices set out in the Charter will be made available on the Company's website. PRINCIPLE 2 STRENGTHEN COMPOSITION The Company's Articles of Association stipulates that the minimum and maximum number of Directors on the Board shall not be less than three (3) and more than nine (9). An alternate director shall not be counted in the determination of the minimum or maximum number of Directors on the Board. The Directors, with their different backgrounds and specialisations, collectively bring with them a wide range of experience and expertise to enable the Board to lead and control the Company effectively. A brief description on the background of the Directors is presented in the Board of Directors' Profile section of this Annual Report on pages 20 to 25. As at 31 December 2013, the Board consists of five (5) members comprising three (3) Non-Independent NonExecutive Directors and two (2) Independent Non-Executive Directors. The composition of the Board was maintained so that not less than one-third (1/3) were independent directors at all times, in line with the Main Market Listing Requirements. This balance enables the Board to provide clear and effective leadership to the Company and to bring informed and independent judgment to many aspects of the Company's strategies so as to ensure that the highest standards of conduct and integrity are maintained. In accordance with the best practices in corporate governance, the Board appoints a Senior Independent NonExecutive Director to whom concerns of shareholders and stakeholders relating to the Company may be conveyed. At present, Haji Ghazali bin Awang is the Senior Independent Non-Executive Director. He is also the Chairman of the ARMC and NRC. In ensuring that the composition of the Board is strengthened, the Board has entrusted the Nomination and Remuneration Committee to implement policies and procedures with respect to selection and nomination of candidates for the Board and Board Committees, review of Board's succession plans and training programmes for the Board. Recommendation 2.1 Nomination and Remuneration Committee The Company has in place a Nomination and Remuneration Committee ("NRC") with specific terms of reference. The NRC comprises three (3) members who are Non-Executive Directors with the majority being independent directors. The Chair of the NRC is held by the Senior Independent Non-Executive Director, Haji Ghazali bin Awang. Details pertaining to the NRC and its terms of reference are set out in the Annual Report on pages 51 to 53. Recommendation 2.2 Develop, Maintain and Review Criteria to be Used in Recruitment Process and Annual Assessment of Directors (i) Recruitment/Appointment of Directors One of the responsibilities of the NRC as set out in its terms of reference is to recommend to the Board candidates to fill all directorships on the Board and Board Committees of the Company, be it a new appointment or re-election/reappointment. In executing this role, the NRC is guided by the Board Nomination and Selection Process. The Board Nomination and Selection Process outlines the skill sets, knowledge/experience, mindset and the intrinsic values required of the concerned director vis-a-vis the needs of the Company. The process also provides the relevant point of reference in identifying the most suitable candidates to sit on the Board. The NRC is responsible for reviewing, on an annual basis, the appropriate skills, experience and characteristics required of Directors. The Chairman of the Board is required to actively participate in the selection of Directors. The proposed appointment of a new member to the Board as well as the proposed re-appointment and reelection of Directors seeking re-election at the Annual General Meeting ("AGM") are recommended by the NRC to the Board for their approval. Article 93 of the Company's Articles of Association provide that at least one third (1/3) of the Board are subject to retirement by rotation at each AGM provided always that each Director shall retire at least once in every three years. The Directors to retire in each year are the Directors who have been longest in office since their appointment or re-appointment. This provides an opportunity for shareholders to renew their mandate. The Director retiring under this Article at the forthcoming AGM is Amirul Feisal bin Wan Zahir and, having been eligible, has offered himself for re-election. In addition, Article 99 of the Company's Articles of Association also provides that any Director who is appointed to fill a casual vacancy or as an additional Director shall hold office only until the next AGM and shall then be eligible for re-election but shall not be taken into account in determining the number of Director who retire by rotation at the meeting. The Director retiring under this Article is Dato' Mohamad Kamarudin bin Hassan. A Director who is over seventy (70) years of age shall retire at every AGM and may offer himself for reappointment to hold office until the Company's next AGM in accordance with Sections 129(2) and 129(6) of the Companies Act, 1965. Tan Sri Dato' Dr. Abu Bakar bin Suleiman and Tan Sri Dato' Dr. Jegathesan a/l N.M. Vasagam @ Manikavasagam have reached seventy years old and have offered themselves for reappointment to hold office until the next AGM. To assist shareholders in their decision, sufficient information such as personal profile, meeting attendance and the shareholdings in the Company of each Director standing for election are furnished in a separate statement accompanying the Notice of AGM. The Company has in place a Succession Planning Programme which inter alia includes guidelines on appointing, training, fixing of compensation and replacement of Directors and Senior Management of the Company. (ii) Induction Programme As part of the familiarisation process of newly appointed Directors, they are required to undergo an Induction Programme specially designed to familiarise the directors with the businesses within the Company. This familiarisation process includes briefing sessions on the range of products and services, business structure and visits to the respective operating facilities. The visits will include briefings from the Company's management team to provide an in-depth knowledge of the latest progress of the Company and appreciation of the key drivers behind the Company's core businesses. (iii) Board Evaluation Assessment ("BEA") The Company has in place a Board Evaluation Assessment ("BEA") which is conducted on an annual basis. The Board Evaluation criteria are based on the Green Book – Enhancing Board Effectiveness as well as guidelines and best practices issued by Bursa Malaysia and other relevant authorities which are based on the following main components:- * Structuring a high performing board; * Ensuring effective day-to-day Board operations and interactions; and * Fulfilling fundamental Board roles and responsibilities at best practice levels. The NRC is given the task to review annually the activities and effectiveness of the Board, Board Committees and the individual Directors. The results of such evaluation will be discussed with the respective Board Committee and/or the Chairman and subsequently will be tabled to the Board. The Chairman's own position is discussed with the NRC. Actionable improvement programmes will be developed to improve the performance of the Board as a whole. (iv) Gender Diversity The Board recognises the value of having gender diversity on the Board. As an initial step, the Board will endeavour to ensure that gender diversity is taken into account in nominating and selecting new directors of the Company and will actively seek to identify suitable female candidates to be invited to sit on the Board. (v) Remuneration Policy The remuneration of Directors is determined at levels which enable the Company to attract and retain Directors with the relevant experience and expertise to manage the Company successfully. The component parts of remuneration are structured so as to link rewards to corporate and individual performance, in the case of the Chief Executive Officer. In the case of Non-Executive Directors, the Board has established a formal and transparent remuneration policy to attract and retain Directors, motivate Directors to achieve company's objectives and align interests of Directors with long term interests of shareholders. The level of remuneration for Non-Executive Directors is based on their responsibilities in the Board and Board Committees. (a) Directors' Remuneration The Non-Executive Directors are entitled to directors' fees. In addition, the Non-Executive Directors are also entitled to Board Committee fees on which they sit on. The proposed directors' and Board Committee fees will be tabled at the Annual General Meeting for shareholders' approval. The Chief Executive Officer is not entitled to receive any directors' fees, Board Committee fees or meeting allowance. The Chief Executive Officer's remuneration comprises a fixed component which includes a monthly salary and benefits-in-kind and a variable component in the form of performance bonus. The Board's remuneration is reviewed from time to time and is benchmarked against industry practice. Details of Directors' remuneration paid by the Company for the financial year ended 31 December 2013 are as follows:- Note: * Fees include Board Committee fees The number of Directors whose remuneration falls within the following bands is as follows: (b) Indemnification and Directors & Officers Insurance In addition to the directors remuneration above, the Directors are provided with a Directors & Officers Liability Insurance coverage in respect of any liabilities (including fines, penalties, liquidated, punitive or exemplary damages) arising in the course of discharging directors' duties provided always that such liabilities arose from acts committed in good faith and not as a result of dishonesty, fraud, insider trading, malicious conduct, and/or intentional breach of contract. PRINCIPLE 3 REINFORCE INDEPENDENCE The Independent Non-Executive Directors provide unbiased and independent views in ensuring that the strategies proposed by Management are fully deliberated and examined in the interest of the Company, minority shareholders, employees and the business communities in which the Company conducts its business. Recommendation 3.1 Annual Assessment of Independent Directors For the current year, the Board consists of six (6) Non-Executive Directors, three (3) of whom are independent. In ensuring that independent judgments are not compromised, the Board has adopted a policy on assessment of independence on its independent directors which is conducted on an annual basis or as and when a disclosure is made by any Director in respect of any new interest or relationship. The policy makes reference to Chapter 1 and Practice Note 13 of Bursa Malaysia's Main Market Listing Requirements. Based on the assessment conducted recently, the Board is generally satisfied with the level of independence demonstrated by the independent directors and their ability to act in the best interest of the Company. Recommendation 3.2 and 3.3 Tenure of Independent Director One of the recommendations under the Code is to limit the tenure of Independent Directors to not more than nine (9) years, cumulatively. The recommendation is based on the view that the independence of an Independent Director may be affected if his tenure exceeds a cumulative term of nine (9) years either in a consecutive service of nine (9) years or cumulative service of nine (9) years interval. The Board may, upon the completion of the nine (9) years, re-designate the Independent Directors as a Non-Independent director if it is so determined that the expertise and experience of the Independent Director is still relevant to the Company or the Group (Recommendation 3.2). Currently, the tenure of all Independent Directors on the Board has not exceeded nine (9) years (Recommendation 3.3). Recommendation 3.4 and 3.5 Position of Chairman and Chief Executive Officer and Board Balance There is a division of responsibility between the Chairman and the Chief Executive Officer to ensure a balance of power and authority. The roles of the Chairman and the Chief Executive Officer are separate and are clearly defined. As part of good corporate governance, the Chairman is responsible for ensuring Board effectiveness and conduct. He ensures that all relevant issues and quality information to facilitate decision making and effective running of the Group's business are included in the meeting agenda. In doing so, the Chairman will liaise with the Chief Executive Officer and the Company Secretary on the agenda for Board meetings. The Chairman encourages healthy debates on issues raised at meetings and gives opportunity to Directors who wish to speak on the motions, either for or against them. Every Board resolution is then put to a vote which would reflect the collective decision of the Board and not the views of an individual or an interested group. The Chairman also chairs the meeting of shareholders of the Company. At the general meetings of the Company, the Chairman will ensure that the shareholders are given the opportunity to enquire on the Company's affairs. The Chief Executive Officer focuses on the business and the day-to-day management of the Company. He is the conduit between the Board and Management in ensuring the success of the Company's governance and management functions. The Chief Executive Officer implements the policies, strategies and decisions adopted by the Board (Recommendation 3.4). The Board is chaired by a Non-Independent Non-Executive Chairman. Whilst the Company supports the recommendations made under the Code, the Company maintains that the Chairmanship of the Board shall continue to be held by a Non-Executive Non-Independent Director for the time being. The Board is of the view that the Chairman will remain objective in expressing his views and will allow all Board members the opportunity to participate and express their views in deliberations and decision making in the Board without fear or favour. In addition, any decision arrived at by the Board is based on consensus. The Board will endeavour to maintain more than one third (1/3) Independent Directors in the Board composition to ensure the balance of power and authority on the Board (Recommendation 3.5). PRINCIPLE 4 FOSTER COMMITMENT Recommendation 4.1 Time Commitment The Board has established a formal and transparent policy on the Appointment of Directors. In recommending or nominating a candidate to fill the position of Director in the Company, the Board will consider the candidate's ability to devote sufficient time to effectively discharge the duties as a Director of the Company. This includes attendance of at least 50% of all Board and Board Committee meetings, or as determined from time to time by the Board. Appointed Directors are also expected to devote their time to other matters involving the Company's affairs. In addition to the policy above, the time commitment required of the Directors are also incorporated as one of the terms in their appointment letter to the Board. Any Director, while holding office, is at liberty to accept other board appointments (outside the Company) so long as the appointment is not in conflict with the business of the Company or does not detrimentally affect the Director's performance as a Board member. All such appointments must first be discussed with the Chairman or the Board before being accepted. In line with the Main Market Listing Requirements ("MMLR") of Bursa Malaysia Securities Berhad, Directors are also required to comply with the requirements to hold not more than five (5) directorships in public listed companies. This allows them to devote their time and discharge their duties effectively with the companies in which they are directors. Board meetings are scheduled a year ahead in order to enable full attendance. Recommendation 4.2 Continuing Education Programme The Board acknowledges the importance of continuous education and training to enable effective discharge of its responsibilities. All Directors have attended the Mandatory Accreditation Programme ("MAP") as prescribed by the Main Market Listing Requirement and the costs are borne by the Company. The Continuing Education Programme ("CEP") focuses on business specific issues relating to the Company and the latest development within the related industries and is conducted in-house at least two times per year. The CEP is extended to all Directors and Senior Management of the Company. The Directors can also on their own initiative, request to attend ad-hoc trainings, seminars or conferences conducted by third parties to enhance their knowledge or skills in specific areas. The costs of attending such training/forums are borne by the Company. Some of the trainings attended by Directors cover the areas of law, corporate governance, finance, healthcare and risk management. During the year, the directors of the Company have attended in-house seminars on "Halal – Management's Responsibilities and Informed Choice" and "Biosimilar, Never Ending Frontier in Bio-Business" which were organised by the CCM Group. The seminars were facilitated by industry experts as part of the CEP. The "Halal - Management's Responsibilities and Informed Choice" seminar was organised to enable the Group's top personnel to be kept abreast with the current development in the Halal industry, in particular Halal Pharmaceuticals, which has been identified to be the driving force for CCM's Halal Strategy. The training also covered aspects on Management's Responsibilities, which is one of the requirements of Halal certification, and has touched on the concept of Informed Choice which is one of the key elements in getting the buy-in for Halal Pharmaceuticals. In respect of the training on "Biosimilar, Never Ending Frontier in Bio-Business" which was held on 30 August 2013, the Board was appraised on the biopharmaceuticals industry in particular the biosimilar business, and its prospects going forward. PRINCIPLE 5 UPHOLD INTEGRITY IN FINANCIAL REPORTING Recommendation 5.1 Compliance with Applicable Reporting Standards The Board is aware of its responsibilities to shareholders and the requirement to present a balanced and comprehensive assessment of the Company's financial position and prospects. In this regard, the Board has delegated to the Audit and Risk Management Committee ("ARMC") to ensure that the preparation of financial statements comply with Companies Act, 1965 and approved Malaysia Financial Reporting Standards and that the accounts give a true and fair view of the state of affairs of the Company at the end of the financial year. The ARMC meets on a quarterly basis to review the integrity and reliability of the financial statements in the presence of the Chief Financial Controller and the Group Internal Auditor prior to recommending them for Board's approval. The ARMC, with the assistance and assurance of the Group Internal Auditor also reviews the internal control within the organisation in ensuring the effective and efficient utilisation of the Company's assets. Recommendation 5.2 Suitability and Independence of External Auditors The ARMC will review the performance of the External Auditor on an annual basis after completion of the year-end audit on the suitability and independence of the External Auditors. In evaluating the suitability and effectiveness of external audit, the ARMC will review the overall comprehensive external audit plan, the timeliness and quality of deliverables and the competency/adequacy of the resources to achieve the scope outlined in the audit plan. The Board has also approved a policy on External Auditors' Independence whereby the ARMC is given the task to review and assess the independence of the External Auditor annually at the time the External Auditor presents its annual audit plan. It is expected that the External Auditor will rigorously comply with its own internal policies on independence and all relevant professional guidance on independence. The ARMC will further ensure that the policies governing the provision of non-audit fees are observed. The ARMC held two meetings with the External Auditors without the presence of the Management during the financial year under review. PRINCIPLE 6 RECOGNISE AND MANAGE RISKS The Directors are fully aware of the responsibilities to maintain a sound system of internal controls to safeguard shareholders' investment and the Company's assets. The Directors' responsibilities for the Company's system of internal controls cover not only financial aspects of the business but also operational and compliance control as well as risk management matters. Recommendation 6.1 Establish Sound Framework to Manage Risks The Board, through the ARMC, determines the Company's level of risk tolerance and actively identifies, assesses and monitors key business risks to safeguard shareholders' investment and the Company's assets. The Company's risk management function is performed by the Group Risk Department who reports the results of the risk management activities to ARMC. The Department facilitates the risk management processes within the Company. The Company's current ERM Framework which is currently automated has been aligned with the methodologies of ISO 31000 guidelines on managing risks which include quantification of risks, review of CCM Risk Universe and adopting a KPI linked risk reporting. A Risk Management Policy has been established by the Company to ensure an effective risk management programme and control systems and thereby facilitating the Company in meeting all its business objectives. Recommendation 6.2 Internal Audit Function The Company has established an internal audit function which is performed in-house by the Group Internal Audit Department that reports to the ARMC. The internal audit function is independent of the activities performed with impartiality, proficiency and due professional care. The internal audit function is well resourced and critically reviews all aspects of the Company's activities and internal controls. Comprehensive audits of the practices, procedures, expenditure and internal controls of all business and support units and subsidiaries are undertaken on a regular basis. The Group Internal Auditor has direct access to the Board through the Chairman of ARMC. The function of the Group Internal Audit Department on the systems of internal control is to assist the ARMC and the Board of Directors as follows:- * Perform regular review on compliance of operational procedures using risk-based audit approach; * Conduct investigations on specific areas or issues as directed by ARMC and Management. Details of the Company's internal control system and framework are set out in the Audit and Risk Management Committee Report and Statement on Risk Management and Internal Control of this Annual Report on pages 46 to 50 and 54 to 55, respectively. PRINCIPLE 7 ENSURE TIMELY AND HIGH QUALITY DISCLOSURE Recommendation 7.1 Corporate Disclosure Policy The Company has long observed the continuing disclosure obligation imposed upon a listed issuer by Bursa Malaysia. The Company has put in place a Corporate Disclosure Policy and Procedures for the following purposes: (a) provide shareholders, investors, analysts, media representatives and other stakeholders with comprehensive, accurate and quality information issued by the Company on a timely and even basis; (b) raise awareness and provide guidance to the Board, management, officers and employees on the Company's disclosure requirements and practices; (c) ensure that the Company meets its disclosure obligations in accordance with the securities laws and regulations governing corporate disclosure and confidentiality in relation to securities listed on Bursa Malaysia; (d) ensure that the Company observes best practices in relation to disclosure as illustrated in the Corporate Disclosure Guide by Bursa Malaysia; and (e) promote investor confidence in the integrity of the Company. The policy is applicable to the conduct of directors, officers, managers and employees of the Company and to all method that the Company uses to communicate with the investing public in the dissemination of material information especially price sensitive information. Recommendation 7.2 Leverage on Information Technology for Effective Dissemination The Company uses its website to disseminate information and enhance its investor relations. The Company's website, www.duopharma.com.my, contains information about the Company, its products and businesses, announcements which have been made available to the public as well as other areas of interest to the public. The website contains a section on Investor Relations which provides the investing public with all material information documents which have been released, among others, as follows: (i) Annual Reports; (ii) Quarterly Financial Results; (iii) Bursa Malaysia Announcements; (iv) Corporate proposals; (v) News releases; (vi) Investor Relations presentations; (vii) Speeches; and (viii) Financial highlights for the past five years. All timely disclosure and material information documents are posted on the website as soon as possible after release by the news wire service. PRINCIPLE 8 STRENGTHEN RELATIONSHIP BETWEEN COMPANY AND SHAREHOLDERS Recommendation 8.1 Encourage Shareholder Participation at General Meetings Notices of general meetings and the accompanying explanatory materials are provided within the prescribed time or earlier than the minimum notice period prior to the meetings on the Bursa Malaysia website, in the two (2) mainstream newspapers and by post to shareholders. This allows shareholders to make the necessary arrangements to attend and participate either in person, by corporate representative, by proxy or by attorney. To encourage participation at general meetings, the Company has in 2012, removed the limit on the number of proxies to be appointed by an exempt authorised nominee which holds ordinary shares in the Company for multiple beneficial owners in one securities account. The Company has also included a new provision in its Articles of Association in respect of the qualification and the right of a proxy to speak at general meetings. Under the new provision, any person could be appointed by the shareholders as a proxy. The proxy shall have the same rights as the shareholder to speak at the meeting. Recommendation 8.2 Encourage Poll Voting Shareholders also have the right to demand poll vote for substantive resolutions and the detailed results showing the number of votes cast for and against each resolution will be announced through Bursa Malaysia. At the last AGM, the Company has highlighted the right of the shareholders to demand for poll voting. However, the shareholders have opted for voting to be done by show of hands and resolutions put forth for shareholders' approval at the last AGM were voted on by show of hands. Recommendation 8.3 Effective Communication and Proactive Engagement The Company encourages shareholders to ask questions and provide constructive feedback on the performance of the Company. In addition to the normal agenda for the AGM, the Board also presents the progress and performance of the business as contained in the Annual Report. The Board believes that Management speaks for the Company. In this instance, the Company has adopted a Communication Policy to provide sufficient information to shareholders to allow them to effectively evaluate the performance of the Company. The Company has adopted the following communication channels with shareholders: (i) Annual General Meeting The Annual General Meeting ("AGM") provides a forum for dialogue with shareholders and aims to ensure that the AGM provides an important opportunity for effective communication with and constructive feedback from the Company's shareholders. Members of the Board, the Company's Senior Management, as well as the Company's auditors will be present to answer questions about the Company's affairs. In addition to the normal agenda for the AGM, the Board presents the progress and performance of the business as contained in the Annual Report and provides opportunities for shareholders to raise questions pertaining to the business activities of the Company. Shareholders who are unable to attend are allowed to appoint proxies to attend and vote on their behalf. Where necessary, the Chairman or the Chief Executive Officer will undertake to provide written answers to any significant questions that cannot be readily answered at the meeting. The turnout of shareholders at the Company's AGM has always been large. A total of 92 shareholders and 247 proxies attended the AGM in 2013. (ii) Extraordinary General Meetings Extraordinary General Meetings ("EGM") will be held as and when required. The Directors will consider requisitions by shareholders to convene EGM for any other urgent matters requiring immediate attention of the Company. Notices of EGM and the accompanying explanatory materials are provided within the prescribed time or earlier than the minimum notice period prior to the meetings on the Bursa Malaysia website, in mainstream newspapers and by post to shareholders. Shareholders also have the right to demand poll vote for substantive resolutions and the detailed results showing the number of votes cast for and against each resolution will be announced through Bursa Malaysia. (iii) Annual Report The Directors believe that an important channel to reach shareholders and investors is through the Annual Report. Besides including comprehensive financial performance and information on business activities, the Company strives to improve the contents of the Annual Report in line with the developments in corporate governance practices. The Company's Annual Report can be obtained by accessing the Company's website at www.duopharma.com.my (iv) Company's Website The Company maintains a website at www.duopharma.com.my which can be accessed by shareholders to keep abreast of the Company's development. The Board ensures the timely release of financial results on quarterly basis to provide shareholders with an overview of the Company's performance and operations in addition to the various announcements or press releases made during the year which can also be obtained from Bursa Malaysia's website. The shareholders can also leave their queries/feedbacks on the Company's website. (v) Announcement of Quarterly Results for the Financial Year Ended 31 December 2013 The Directors view the timely announcement of the quarterly financial results as vital to the dissemination of information to the shareholders' and investors' community. The Company has consistently announced its quarterly results before Bursa Malaysia's deadlines as indicated below: Statement of Compliance with the Best Practices of the Code The Company has in all material respects complied with the principles and recommendations of the Malaysian Code on Corporate Governance 2012 (the "Code") throughout the financial year ended 31 December 2013 save for Recommendation 2.3 on Gender Diversity target (Principle 2) and Recommendation 3.5 on non-independent Chairman (Principle 3) which are explained earlier. This statement is made in accordance with a resolution of the Board of Directors dated 12 March 2014. ADDITIONAL COMPLIANCE INFORMATION 1. Non-Audit Fees During the financial year ended 31 December 2013, the non-audit fees paid to the external auditors or a firm or a company affiliated to the Auditor's firm amounted to approximately RM15,380.00. 2. Material Contracts There were no contracts entered into by the Company involving Directors or major shareholders' interest, either subsisting at the end of the financial year ended 31 December 2013 or entered into since the end of the previous financial year. 3. Revaluation Policy The Company adopted a policy to revalue its landed properties every five years and at shorter intervals whenever the fair value of the re-valued assets is expected to differ materially from their carrying amount. 4. Share Buy-back There was no share buy-back effected during the financial period ended 31 December 2013. 5. Employees' Share Option Scheme ("ESOS") The Company has not approved any ESOS during the financial period ended 31 December 2013. 6. Options, Warrants or Convertible Securities There were no options, warrants or convertible securities issued by the Company during the financial period ended 31 December 2013. 7. American Depository Receipt ("ADR") or Global Depository Receipt ("GDR") Programme During the financial period ended 31 December 2013, the Company did not sponsor any ADR or GDR programme. 8. Imposition of Sanctions/Penalties There were no sanctions and/or penalties imposed on the Company and its subsidiary, directors or management by the relevant authorities. 9. Profit Guarantees There were no profit guarantees during the financial period ended 31 December 2013 by the Company. 10. Contract Relating to Loans There were no contracts relating to loans by the Company involving Directors' and major shareholders' interests. 11. Recurrent Related Party Transaction of a Revenue or Trading Nature During the Annual General Meeting held on 13 June 2013, the Company obtained a shareholders' mandate to allow the Company to enter into recurrent related party transactions of a revenue or trading nature which are necessary for its day-to-day operations and are in the ordinary course of business with related parties. The said general mandate took effect from 13 June 2013 until the conclusion of the forthcoming Annual General Meeting of the Company. The disclosure of the recurrent related party transactions conducted during the financial period ended 31 December 2013 is set out on pages 114 to 116 of the Annual Report. The Company intends to seek a renewal of the said general mandate and a proposed extension of the scope of the shareholders mandate to apply to recurrent related party transactions of a revenue or trading nature at the forthcoming Annual General Meeting of the Company. The details of the new mandate to be sought are furnished in the Circular to Shareholders dated 25 April 2014. Statement on Corporate Governance
Table of Contents I. Executive Summary ............................................................................................ 1 I. E XECUTIVE S UMMARY The five agencies comprising the Texas Health and Human Services System (the Department of Aging and Disability Services, the Department of Assistive and Rehabilitative Services, the Department of Family and Protective Services, the Department of State Health Services, and the Health and Human Services Commission) have individually submitted their requests for legislative appropriations (LARs) for the two year budget period FY 2014-2015. Each agency's request provides strategy level detail, sources of funding, anticipated performance, and base and exceptional item requests. To build on these requests, the Consolidated Budget for FY 20142015: - Summarizes the requests for legislative appropriations for all five Texas health and human services agencies; - Highlights critical funding needs across the agencies and categorizes the requests to assist decision makers and the public in their analysis of the service and operational needs to maintain and improve the delivery of health and human services in our state; - Provides supporting information on elements contributing to funding needs; - Identifies major federal funding issues; - Describes provider rate methodologies and changes for legislative consideration; - Includes additional information not included in agencies' Legislative Appropriations Requests (LARs) such as the impact of the Affordable Care Act (ACA) and discussion concerning the new 1115 Transformation Waiver; and - Fulfills several statutory reporting requirements. Summary of the HHS System LARs The HHS System agencies have requested a total of $77.6 billion from all fund sources for the two year period of fiscal years 2014-2015, an increase of $9.6 billion (14.2 percent) over the 2012-2013 biennium (Chapter II). The general revenue (GR) portion of the FY 2014-2015 request totals $31.9 billion, an increase of $4.1 billion (14.9 percent). The GR request includes $628.4 million due to a decrease in the federal matching rate for certain entitlement programs. The change in federal matching rates was announced after each agency had submitted their legislative appropriations request, and therefore, is not captured in those requests. Figures also assume a $4.7 billion general revenue supplemental appropriation in fiscal year 2013. Categorization of Critical Funding Needs In addition to the "base" level of funding, prepared according to required budget guidance, the Consolidated Budget highlights agency requests above the base budget (Chapter II) and categorizes this nearly $6.4 billion all funds ($2.6 billion general revenue) of exceptional items into two primary groups: - Maintain Current Services; and - Service Improvements The Service Improvements group is broken into subcategories to provide greater detail of needs. Supporting Information on Factors Contributing to Funding Needs Chapter III provides information on the key drivers of the increased need for resources such as forecasts for caseload and trends in the cost of services. Future Medicaid Funding Challenges and Opportunities Chapter IV provides information on the Healthcare Transformation and Quality Improvement waiver that allows Texas to support the development and maintenance of a coordinated care delivery system through the creation of Regional Healthcare Partnerships, transition to qualitybased payment system across managed care and hospitals, and improved coordination in the current indigent care system. Chapter IV also shows the impact of the Affordable Care Act on services in HHS agencies. Cost Containment Initiatives Chapter V reviews recent cost containment efforts undertaken by HHS agencies. These initiatives had a targeted savings of $3 billion in FY 2012-2013. The chapter also identifies opportunities for savings in FY 2014-2015. Major Federal Funding Issues Federal funding and policy issues are contained in several chapters including Chapter VII, which highlights areas with potential fiscal impact, such as the sequestration of federal dollars as a result of the Budget Control Act, pending reauthorizations, and funding enhancement initiatives. Provider Rates Chapter VIII addresses the cost of various rate changes, including the cost of attendant compensation increases, which are not included in agency LAR submissions. Other Supplemental Information Provided (Appendix) Finally, the document provides information on increasing capacity in select programs, rate schedules, and presentation of state's Long-Term Care Plan. Statutory Requirements Fulfilled Submission of the Consolidated Budget fulfills several statutory requirements including: - The Biennial Consolidated Budget Recommendation for the HHS System, Section 531.026, Government Code; - The Annual Federal Funds Report (Chapter VII); and - The Long-term Care Plan for Individuals with Intellectual Disabilities and Related Conditions (Appendix E). II. C ONSOLIDATED B UDGET O VERVIEW Health and Human Services System Overview The Texas Health and Human Services (HHS) System is dedicated to developing client-focused program and policy initiatives that are solution-oriented and fiscally responsible. The HHS system promotes client-choice, appropriate funding, and streamlined service delivery. Reflecting a unified philosophy and approach to delivering health and human services, the HHS system agencies operate with similar organizational structures. Organizational structures reflect an emphasis on efficiency, service delivery, accountability, and providing visible and accessible agency resources for stakeholders. The following figure depicts the HHS system organizational structure in FY 2013 and identifies services provided by the HHS agencies. Interagency Initiatives Family Violence Services Long-Term Care Regulatory Commissioner Community Based Services and Supports HHS Ombudsman FTEs: 12,367 Medical Transportation Alcohol and Drug Abuse Regulatory Health Programs Mental Health Services Rehabilitation Services Blind & Visually Impaired Services HHS Program Policy HHS Rate Analysis Medicaid/Vendor Drug/CHIP TANF Eligibility Determination Disaster Assistance State Hospitals The Texas Health and Human Services System Commission Operations Health and Human Services Commission (HHSC) Executive Commissioner System Oversight Administrative Support for HHS Agencies Adult Protective Services Institutional Services Department of State Health Services (DSHS) Disability Services (DADS) Department of Aging and Commissioner Public Health Preparedness FTEs: 3,210 Disability Determination Early Childhood Intervention Prevention & Early Intervention FTEs: 17,499 FTEs: 12,349 FTEs: 11,130 Department of Family and Protective Services (DFPS) Commissioner Child Protective Services Services Services Figure II.1 Community MH Services Child Care Regulation Department of Assistive and Rehabilitative Services (DARS) Commissioner Governor Office of Inspector General Aging & Disability Services Council State Health Services Council Family & Protective Services Council Assistive & Rehabilitative Services Council Health & Human Services Council Note: The Full Time Equivalent (FTE's) positions are the budgeted level for FY 2013. HHS System FY 2014-2015 Legislative Appropriations Request The FY 2014-2015 Legislative Appropriations Request (LAR) base request combined with the exceptional items for all HHS agencies totals $77.6 billion, an increase of $9.6 billion all funds from the 2012-2013 biennium (14.2 percent increase). Figure II.2 presents the allocation of requested funds among HHS agencies. As reflected in the following chart, the GR-related base and exceptional item request for 20142015 biennium totals $31.9 billion, representing a $4.1 billion increase (14.9 percent) from the 2012-2013 biennium. Total requested federal funds for the base and exceptional items for the HHS System for the biennium is $44.3 billion, representing a $5.4 billion increase (13.8 percent) over 2012-2013 biennium federal funds. Figure II.3 presents the comparison of funding sources for the HHS System. As the chart below indicates, Medicaid related funding accounts for $61.6 billion, or 79.4 percent, of the total HHS funding requested in the 2014-2015 biennium. Using state and federal funding, Texas' Medicaid program provides acute care and long term services and support to millions of low income Texans each year (see Chapter III for Medicaid caseload forecasts). Figure II.4 presents the comparison of Medicaid to the HHS System. Legislative Appropriation Request Guidance and Base Funding Base Request Policy The general revenue (GR) and GR-related base request must not exceed the sum of the amounts expended in fiscal year 2012 and budgeted in fiscal year 2013. Exceptions to the base limitation include amounts necessary to maintain funding for caseloads in Medicaid entitlement programs, the Children's Health Insurance Program, foster care program, the adoption subsidies program, and the permanency care assistance program. Funding requests for other purposes which exceed the base spending level may not be included in the base request but may be submitted as exceptional items. Agencies must also submit a supplemental schedule detailing how they would reduce the base request by 10 percent in general revenue funding (Appendix B). A summary of each agency's base request is provided below. The Health and Human Services Commission (HHSC) base request for FY 2014-2015 totals $48,796.3 million in all funds ($19,131.8 million GR-related). This request represents an increase of $3,355.1 million in all funds and an increase of $936.7 million GR or a 7.4 percent and 5.1 percent increase respectively. The Department of Aging and Disability Services (DADS) FY 2014-2015 base request totals $12,583.5 million in all funds ($5,098.2 million GR-related). This level of funding is a decrease of $186.9 million in all funds from the 2012-2013 biennium. The GR difference between the two biennia is a decrease of $131.9 million or 2.5 percent. The Department of Assistive and Rehabilitative Services (DARS) FY 2014-2015 base request totals $1,237.0 million ($243.2 million GR-related). The FY 2014-2015 base request is a decrease of $15.4 million in all funds over FY 2012-2013 biennial amount and an increase of $2.2 million (0.9 percent) in GR. The Department of Family and Protective Services (DFPS) FY 2014- 2015 base request totals $2,799.5 million in all funds ($1,334.6 million GR-related). This level of funding is an increase of $80.4 million all funds from FY 2012-2013 and a $50.4 million or 3.9 percent increase of GRrelated funds. The Department of State Health Services (DSHS) FY 2014-2015 base request totals $5,756.4 million in all funds ($2,796.0 million GR-related). This level of funding is a decrease of $40.0 million all funds from the FY 2012-2013 biennium and a $1.8 million or 0.1 percent decrease in GR-related funds. The figures above represent totals submitted by agencies in their LARs and do not contain the impact from the reduced federal match discussed in Chapter III. Summary Tables of Agency Requests Figure II.5 illustrates a comparison, by agency, of the FY 2014-2015 requests to the FY 20122013 budgets, and summarizes the FY 2014-2015 base, exceptional item, and FTE requests. Figure II.5 \| Comparison of HHS Agency Base Request FY 2012-2013 and FY 2014-2015 (in millions) \| \| \| \| \| \|---\|---\|---\|---\|---\| \| Agency \| FY 12 Expended - FY 13 Budgeted \| FY 14-15 Base Request \| Biennial Change \| Percent Change \| \| \| GR/GRD All Funds \| GR/GRD All Funds \| GR/GRD All Funds \| GR/GRD All Funds \| \| DADS \| $5,230.2 $12,770.4 \| $5,098.2 $12,583.5 \| -$131.9 -$186.9 \| -2.5% -1.5% \| \| DARS \| 241.0 1,252.4 \| $243.2 $1,237.0 \| $2.2 -$15.4 \| 0.9% -1.2% \| \| DFPS \| 1,284.2 2,719.1 \| $1,334.6 $2,799.5 \| $50.4 $80.4 \| 3.9% 3.0% \| \| DSHS \| 2,797.9 5,796.4 \| $2,796.0 $5,756.4 \| -$1.8 -$40.0 \| -0.1% -0.7% \| \| HHSC \| 18,195.1 45,441.1 \| $19,131.8 $48,796.3 \| $936.7 $3,355.1 \| 5.1% 7.4% \| \| FMAP* \| - - \| $587.0 $0.0 \| $587.0 - \| - - \| \| Total, HHS \| $27,748.4 $67,979.4 \| $29,190.9 $71,172.7 \| $1,442.6 $3,193.3 \| 5.2% 4.7% \| \| HHS Agency Base and Exceptional Items Request (Total Request) FY 2014-2015 (in millions) \| \| \| \| \|---\|---\|---\|---\| \| Agency \| Base Request \| Exceptional Item Request \| Total Request \| \| \| GR/GRD All Funds \| GR/GRD All Funds \| GR/GRD All Funds \| \| DADS \| $5,098.2 $12,583.5 \| $465.2 $1,472.9 \| $5,563.5 $14,056.4 \| \| DARS \| $243.2 $1,237.0 \| $45.5 $84.4 \| $288.7 $1,321.4 \| \| DFPS \| $1,334.6 $2,799.5 \| $149.8 $164.2 \| $1,484.4 $2,963.7 \| \| DSHS \| $2,796.0 $5,756.4 \| $270.4 $352.3 \| $3,066.4 $6,108.7 \| \| HHSC \| $19,131.8 $48,796.3 \| $1,711.0 $4,365.3 \| $20,842.9 $53,161.5 \| \| FMAP* \| $587.0 $0.0 \| $41.4 $0.0 \| $628.4 $0.0 \| \| Total, HHS \| $29,190.9 $71,172.7 \| $2,683.3 $6,439.2 \| $31,874.2 $77,611.9 \| \| HHS Agency Biennial Funding Comparison (Base & Exceptional Items) FY 2012-2013 and FY 2014-2015 ($ in Millions) \| \| \| \| \| \|---\|---\|---\|---\|---\| \| Agency \| FY 12 Expended - FY 13 Budgeted \| FY 14-15 Requested \| Biennial Change \| Percent Change \| \| \| GR/GRD All Funds \| GR/GRD All Funds \| GR/GRD All Funds \| GR/GRD All Funds \| \| DADS \| $5,230.2 $12,770.4 \| $5,563.5 $14,056.4 \| $333.3 $1,286.0 \| 6.4% 10.1% \| \| DARS \| $241.0 $1,252.4 \| $288.7 $1,321.4 \| $47.6 $69.0 \| 19.8% 5.5% \| \| DFPS \| $1,284.2 $2,719.1 \| $1,484.4 $2,963.7 \| $200.2 $244.7 \| 15.6% 9.0% \| \| DSHS \| $2,797.9 $5,796.4 \| $3,066.4 $6,108.7 \| $268.6 $312.3 \| 9.6% 5.4% \| \| HHSC \| $18,195.1 $45,441.1 \| $20,842.9 $53,161.5 \| $2,647.8 $7,720.4 \| 14.6% 17.0% \| \| FMAP* \| - - \| $628.4 $0.0 \| $628.4 $0.0 \| - - \| \| Total, HHS \| $27,748.4 $67,979.4 \| $31,874.2 $77,611.9 \| $4,125.8 $9,632.5 \| 14.9% 14.2% \| \| Agency \| FTE \| FTE - Base \| FTE - Exceptional Items \| Total FTE Request \| \|---\|---\|---\|---\|---\| \| \| FY 2012 FY 2013 \| FY 2014 FY 2015 \| FY 2014 FY 2015 \| FY 2014 FY 2015 \| \| DADS \| 16,936 17,499 \| 17,499 17,499 \| 122 182 \| 17,621 17,681 \| \| DARS \| 3,108 3,210 \| 3,210 3,210 \| 0 0 \| 3,210 3,210 \| \| DFPS \| 10,721 11,130 \| 10,894 10,861 \| 716 762 \| 11,609 11,623 \| \| DSHS \| 12,346 12,349 \| 12,349 12,349 \| 0 0 \| 12,349 12,349 \| \| HHSC \| 12,392 12,367 \| 12,367 12,367 \| 131 134 \| 12,497 12,501 \| \| Total, HHS \| 55,503 56,554 \| 56,318 56,285 \| 968 1,077 \| 57,286 57,362 \| * FMAP updated to reflect decrease in federal matching funds. Note: Totals may not add due to rounding. HHSC Exceptional Items include enterprise items such as recruitment and retention, state-operated facilities, and IT initiatives. Summary of HHS Agency Exceptional Item Request HHS agencies have requested 72 exceptional items totaling around $2.6 billion in general revenue, including 10 requests that are enterprise wide with components that affect multiple agencies. Figure II.6 divides the exceptional items into two groups and seven subcategories to better highlight the areas of funding needs. Maintain Current Services and Cost Trends The exceptional items in this category would continue the current level of services provided in the Medicaid program by funding increased costs in acute care and long-term care. For nonMedicaid programs, DARS and DFPS have requested funds to address increasing caseloads in Early Childhood Intervention, Relative Caregiver program, and Foster Care and Protective Day Care programs. DSHS requested funds to address patient safety and operations at state mental health hospitals, to prevent and control TB infections, and to purchase vaccines to prevent diseases among adults. HHSC requested funds to maintain services in CHIP, continue funding for data center services, and to support state-operated facilities. Service Improvements The exceptional items that would improve services provided by HHS agencies have been categorized into five areas. Increase Capacity to Serve More Clients in Existing Programs As the population of Texas grows, so will the need for health and human related services. These exceptional items would provide needed services to more individuals. The items include addressing interest and waiting lists at DADS and DSHS, expanding Autism services into new areas of the state, and restoring prevention and intervention services at DFPS. In addition, DADS would provide community attendant and habilitation services to individuals with intellectual and developmental disabilities at an enhanced federal matching rate Address Critical Staffing Needs These exceptional items would address the need of agencies to better serve the increased numbers of individuals requiring state services by recruiting and retaining direct care staff. To better monitor programs and investigate fraud and abuse, the items also would increase the number of contract ombudsmen at DADS, CPS supervisors at DFPS, and staff at the Office of Inspector General. Maintain Infrastructure at State Facilities The exceptional items in this category would primarily provide DADS and DSHS with funding to make critical repairs and renovations to state facilities. These repairs are needed to ensure the safety and well being of the facilities' residents. HHSC would improve security at regional offices by installing video surveillance and keyless access systems. Enhance Information Technology These items address critical information technology needs that will enable HHS programs to provide client services in the most efficient manner possible. These requests include: - Information Technology for Client Service Delivery – Improves the delivery of client services through enhanced information technology services, such as upgrading systems at DFPS to assist in casework management and continuing the creation of a system wide data warehouse to support the delivery of health care services at all HHS agencies through better informed policy analysis. - Information Security – Continues to improve the security of client and employee data to ensure compliance with regulations and protect sensitive information. - Information Technology for a Secure Mobile Workforce – Supports mobile workforces to allow secure access to applications and data regardless of worker location. - Information Technology for State Supported Living Centers and Hospitals – Upgrades the case records systems for clients in State Supported Living Centers and Hospitals and retire the old systems. - Information Technology to Improve Fraud Detection and Fee Collection – Increases fraud detection capabilities and improves license fee collections to eliminate waste. - Information Technology Infrastructure – Installs new electrical systems and improves hardware to ensure computer systems continue to operate. The final category identifies a range of other service improvement initiatives at HHS agencies and introduces potential cost containment opportunities for FY 2014-2015. Potential cost containment opportunities include expanding Medicaid managed care into rural areas, receiving enhanced federal funds for infrastructure improvements and efforts designed to improve access to community-based long-term care services and supports, and integrating benefits for those who are eligible for Medicare and Medicaid. Figure II.6 HHS Exceptional Item Request by Major Category FY 2014-2015 \| \| Agency \| All Funds \| \|---\|---\|---\| \| \| Maintain Current Services \| \| \| Medicaid Programs \| \| \| \| DADS Maintain Caseload $9,138,616 $22,721,572 \| \| \| \| DADS Cost Trends $114,583,659 $284,944,803 \| \| \| \| HHSC Maintain Medicaid Current Services $1,185,885,917 $3,067,721,335 \| \| \| \| HHSC Maintain Current Services and Support Caseload Growth $8,500,044 $17,399,214 \| \| \| \| Affordable Care Act Provision: Maintain PCP Rate Increase for HHSC $106,950,363 $266,162,047 Primary Care Services \| \| \| \| Medicaid Programs, subtotal - $1,425,058,599 $3,658,948,971 \| \| \| \| Non-Medicaid Programs \| \| \| \| DARS Fund ECI Forecasted Caseload $17,700,208 $24,631,006 \| \| \| \| DARS Maintain Service Levels for Eligible Children- ECI $11,881,878 $17,940,007 \| \| \| \| DFPS Maintain CPS Staff Due to Erosion of IV-E Eligibility $23,039,347 $26,402,498 \| \| \| \| DFPS Direct Delivery Staff to Maintain Caseloads $10,203,170 $11,165,571 \| \| \| \| DFPS Caseload Growth for Relative Caregiver Program $5,777,652 $5,777,652 \| \| \| \| DFPS Caseload Growth for Foster and Protective Day Care $2,859,663 $3,502,820 \| \| \| \| DSHS State Hospital Patient Safety and Operations $17,733,441 $17,733,441 \| \| \| \| DSHS TB Prevention and Control $5,671,868 $5,671,868 \| \| \| \| DSHS Adult Immunizations $26,522,000 $26,522,000 \| \| \| \| HHSC Maintain CHIP Current Services $37,458,360 $133,068,176 \| \| \| \| HHSC Maintain Children's Litigation $5,575,422 $5,575,422 \| \| \| \| HHSC Maintain Funding for Data Center Services (HHS Enterprise) $20,815,913 $27,906,213 \| \| \| \| HHSC Maintain Support of State-Operated Facilities (HHS Enterprise) $3,994,090 $6,328,940 \| \| \| \| HHSC Support Office of Acquired Brain Injury $972,401 $973,347 \| \| \| \| HHSC Replace and Maintain HHSC Vehicles $1,090,048 $1,090,048 \| \| \| \| Support Texas Office for the Prevention of Development HHSC $153,486 $153,486 Disabilities (TOPDD) \| \| \| \| Non-Medicaid Programs, subtotal - $191,448,947 $314,442,495 \| \| \| Note: Figures above do not reflect the revised FMAP in FY2014-2015. III. M AJOR F ACTORS C ONTRIBUTING TO F UNDING N EEDS Caseloads and Cost Growing caseloads and health care cost increases are driving appropriations requests in several key areas. The Medicaid acute and long term care, CHIP, foster care, adoption subsidy, and early childhood intervention programs are all projecting continued growth in the number of clients that will need services in the next biennium. In addition, funding to address rising health care costs, particularly in the Medicaid and CHIP programs, is also requested in agency exceptional items. Medicaid Medicaid acute care caseloads are projected to average almost 4.2 million recipients in FY 2015, with an average of 3.0 million in the children's risk groups (all non-disability-related children). In forecasting the Medicaid program for the LAR, the base forecast held costs at the FY 2013 level; however, caseload growth under current eligibility criteria is included in the base request. Cost growth is projected through the end of the 2014-2015 biennium and included in HHSC's first exceptional item request. There are caseload increases in FY 2014 and FY 2015 that add clients who are currently eligible but not enrolled, in anticipation of new streamlined renewal policies and the insurance requirement of the Affordable Care Act (ACA). Costs for ACArelated Primary Care Physician (PCP) rate increases beginning in January 2013 are included in the base request, as part of the baseline 2013 costs, with additional cost growth through December 2014 in the cost exceptional item. Costs for the ACA-related PCP increase beyond December 2014, as well as the expanded list of primary care procedures administered by other physicians, are included in a separate exceptional item. Both caseload and cost trends are determined by time-series analyses of historical data, with consideration of external factors such as policy impacts (for example, the ACA changes mentioned above). CHIP CHIP caseloads are projected to average over 614,000 in FY 2015. If the Perinate caseload of 39,000 is included then estimated caseload is over 650,000 in FY 2015. Caseload growth is requested in HHSC's base request and cost growth is included in the second exceptional item request. In this request, approximately 72.5 percent is cost growth related to medical premiums for traditional CHIP clients, and the remaining cost growth is accounted for in the Vendor Drug and the Perinatal programs. The following tables identify the Medicaid Acute Care and CHIP caseloads. Figure III.1 Medicaid Acute Care Caseload \| Caseload by Group \| Estimated FY 2012 \| Projected FY 2013 \| Projected FY 2014 \| \|---\|---\|---\|---\| \| Total Medicaid \| 3,659,009 \| 3,720,656 \| 3,947,805 \| \| Aged & Disability-Related \| 774,964 \| 800,922 \| 829,566 \| \| Aged & Medicare-Related Disability-Related (including Children) \| 364,436 410,529 \| 370,308 430,614 \| 378,523 451,043 \| \| Other Adults, Non-Aged/Disability-Related \| 245,771 \| 265,522 \| 274,824 \| \| Pregnant Women TANF Level Adult, including Non-Cash \| 126,843 118,927 \| 132,445 133,077 \| 135,356 139,469 \| \| Medicaid Children Ages 0-20, Non-Disabled \| 2,638,274 \| 2,654,212 \| 2,843,414 \| \| Newborns Age 1-5 Age 6-14 Age 15+ StarHealth Foster Care \| 261,863 935,948 1,088,822 320,431 31,210 \| 269,184 927,318 1,103,603 322,862 31,246 \| 282,979 947,228 1,224,402 357,103 31,701 \| Source: Legislative Appropriations Request Forecast, HHSC Financial Services Note: Numbers may not add due to rounding. Figure III.2 CHIP Caseload \| Caseload by Group \| Estimated FY 2012 \| Projected FY 2013 \| Projected FY 2014 \| Projected FY 2015 \| \|---\|---\|---\|---\|---\| \| Traditional CHIP Children* CHIP Perinatal Clients \| 569,702 37,024 \| 591,921 37,339 \| 603,243 37,840 \| 614,590 38,601 \| \| Group Total, With Perinates \| 606,726 \| 629,260 \| 641,082 \| 653,191 \| Source: Legislative Appropriations Request Forecast, HHSC Financial Services Traditional CHIP contains TRS, legal immigrant, and federally funded children since all 3 groups are now federally funded as of Sept. 2010 Long Term Support Services Residential long-term services and supports caseloads are projected to reach approximately 79,787 clientsby FY 2015, an increase of approximately 0.3 percent each year of the biennium. Promoting Independence caseload is projected to increase 4.9 percent for FY 2014 and 5.3 percent during FY 2015. Community Care caseload is projected to increase 1.3 percent over FY 2014 and 0.9 percent by the end of FY 2015. Caseload reduction in some community care groups reflect the shift of additional clients into managed care in March 2012. Additional caseload information for long-term care services and supports is provided in Figure III.3. Figure III.3 Long-Term Services and Supports Caseload \| \| Estimated FY 2012 \| Projected FY 2013 \| Projected FY 2014 \| Projected FY 2015 \| \|---\|---\|---\|---\|---\| \| Residential Long-Term Services and Supports: Nursing Facility (SNF) \| 56,773 \| 56,843 \| 56,916 \| 57,030 \| \| Hospice (Hosp) \| 6,816 \| 7,017 \| 7,218 \| 7,418 \| \| Skilled Nursing Facility (SNF) \| 6,132 \| 6,068 \| 6,012 \| 5,949 \| \| Intermediate Care Facilities for Persons with Intellectual Disability (IFC/ID) \| 5,599 \| 5,625 \| 5,624 \| 5,624 \| \| State Supported Living Center (SSLC) programs \| 3,881 \| 3,772 \| 3,767 \| 3,766 \| \| Total Residential - \| 79,202 \| 79,327 \| 79,536 \| 79,787 \| \| Promoting Independence: Promoting Independence (PI) \| 5,804 \| 5,500 \| 5,768 \| 6,077 \| \| The Community Care group: Primary Home Care (PHC) \| 30,126 \| 11,355 \| 11,371 \| 11,372 \| \| Community Attendant Services (CAS) \| 46,740 \| 48,417 \| 49,370 \| 50,326 \| \| Day Activity and Health Services Title XIX programs (DAHS) \| 9,806 \| 1,999 \| 2,033 \| 2,068 \| \| Community-based Alternatives (CBA) \| 14,403 \| 9,794 \| 9,816 \| 9,816 \| \| Home and Community Based Services (HCS) \| 19,876 \| 20,471 \| 20,795 \| 20,795 \| \| Community Living Assistance and Support Services (CLASS) \| 4,700 \| 4,655 \| 4,655 \| 4,655 \| \| Deaf-Blind Multiple Disability (DBMD) \| 149 \| 148 \| 148 \| 148 \| \| Medically Dependent Children (MDCP) \| 2,342 \| 2,404 \| 2,404 \| 2,404 \| \| Consolidated Waiver (CW) \| 37 \| 0 \| 0 \| 0 \| \| Texas Home Living (TXHML) \| 4,127 \| 5,738 \| 5,738 \| 5,738 \| \| Total Community Care - \| 132,304 \| 104,980 \| 106,330 \| 107,322 \| Source: Legislative Appropriations Request Forecast, HHSC Financial Services Other HHS Caseloads DFPS - After a projected 3 percent increase in foster care caseloads for FY 2013, caseloads are projected to stabilize and increase by 1 percent in FY 2014 and FY 2015. Adoption subsidy caseloads are projected to increase by about 7 percent in FY 2013 and 6 percent in FY 2014 and FY 2015. The purchased client services at DFPS are also increasing along with the caseload growth. DARS - Early childhood intervention caseload increases approximately 3 percent in FY 2013 and by 6 percent in each year of the FY 2014-2015 biennium. HHSC - Temporary Assistance for Needy Families (TANF) is projected to see a significant decrease of around 8 percent in FY 2013, continuing a similar trend that has developed in the second half of FY 2012. TANF caseload is expected to stabilize in FY 2014 with a much smaller projected decrease of around 2 percent, followed by an expected increase of around 1 percent in FY 2015. Figure III.4 Other Key HHS Caseloads \| Department of Family and Protective Services \| \| \| \| \|---\|---\|---\|---\| \| Foster Care Adoption Subsides \| 16,730 35,948 \| 17,194 38,564 \| 17,319 41,045 \| \| Department of Assistive and Rehabilitative Services \| \| \| \| \| Early Childhood Intervention \| 25,197 \| 25,977 \| 27,424 \| \| Health and Human Services Commission \| \| \| \| \| Temporary Assistance for Needy Families \| 107,599 \| 99,020 \| 97,508 \| Source: Legislative Appropriations Request Forecast, HHSC Financial Services FMAP Adjustment LARs submitted by health and human service agencies assumed the federal match (FMAP) for direct care services in Medicaid and Title IV-E would be higher. The FMAP for FY 2014 and 2015 is now expected to be more than 1 percent lower than estimated. (Figure III.5) Figure III.5 LAR Estimated and Revised Federal Matching Rates (FMAP) State Fiscal Years 2013-2015 Projected The result of this change in FMAP is the need for additional general revenue for HHS agencies estimated to be more than $587 million for base funding and another $41.4 million for exceptional items needed to maintain service levels. Federal funds will decrease by the same amounts. The FMAP for fiscal year 2015 will not be announced until the fall of 2013. Figure III.6 shows the impact of the change in FMAP by agency for base funding and exceptional items needed to maintain service levels. Figure III.6 Impact to HHS Agencies from Revised FMAP FY 2014-2015 IV. M EDICAID F UNDING I SSUES Fiscal Year 2013 Supplemental Needs HHSC and DADS will require as estimated $4.7 billion in supplemental funding in fiscal year 2013 (see Figure IV.1). The need is a result of partial funding for Medicaid and CHIP and increases in caseload and cost. HHSC and DADS estimate that the amount of funds appropriated for fiscal year 2013 will meet the agencies' needs until the end of March 2013, at which time the 83 rd Legislature will need to provide supplemental funds. Figure IV.1 Supplemental Need for Fiscal Year 2013 ($ in millions) \| \| DADS \| \| HHSC \| \| Total \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| GR \| All Funds \| GR \| All Funds \| GR \| All Funds \| \| Medicaid $1,021.9 $2,407.1 $3,600.0 $8,787.8 $4,621.9 $11,194.9 CHIP $0.0 $0.0 $83.7 $290.4 $83.7 $290.4 \| \| \| \| \| \| \| \| Total - $1,021.9 $2,407.1 $3,683.7 $9,078.2 $4,705.6 $11,485.3 \| \| \| \| \| \| \| Healthcare Transformation and Quality Improvement Waiver Texas did not fully expand managed care in the past due to federal policy that prohibits states from continuing upper payment limit (UPL) hospital supplemental payments for Medicaid beneficiaries who transition from fee-for-service to a capitated managed care delivery system. To meet legislative mandates to preserve funding, expand managed care, achieve savings, and improve quality of care, HHSC entered into negotiations with the Centers for Medicare and Medicaid Services (CMS) and on December 12, 2011, Texas received approval from CMS for an 1115 transformation waiver with the following goals: - Expand risk-based managed care statewide; - Support the development and maintenance of a coordinated care delivery system through the creation of Regional Healthcare Partnerships (RHPs) and RHP five-year care and quality improvement transformation plans; - Improve outcomes while containing cost growth; - Transition to quality-based payment system across managed care and hospitals; and - Provide a mechanism for investments in delivery system reform including improved coordination in the current indigent care system. The waiver allows the state to expand Medicaid managed care while preserving hospital funding, provides incentive payments for health care improvements, and directs more funding to hospitals and other providers that serve large numbers of Medicaid and uninsured patients. Hospital payments stay largely the same for the first year of the waiver, with hospital transition payments through September 30, 2012. This approach provides transition time and system stability during development and implementation of waiver payment systems. Starting October 1, 2012, waiver payments will be made only through two sub-pools: the Uncompensated Care (UC) and Delivery System Reform Incentive Payment (DSRIP) pools. - Uncompensated Care Pool Payments are designed to help offset the costs of uncompensated care provided by hospitals or other providers to Medicaid clients or individuals who have no sources of third party coverage. - DSRIP Pool Payments are incentive payments to hospitals and other providers that develop programs or strategies to improve access to health care, quality of care, costeffectiveness of care, and the health of the patients and families served. Figure IV.2 shows the total amounts that the state is authorized to allocate for the UC and DSRIP Pools in each demonstration year (DY). These amounts include both state and federal shares. Figure IV.2 Pool Allocations According to Demonstration Year (All Funds in Billions) \| \| Type of Pool \| DY 1 (2011-2012) \| DY 2 (2012- 2013) \| DY 3 (2013- 2014) \| DY 4 (2014-2015) \| DY 5 (2015-2016) \| \|---\|---\|---\|---\|---\|---\|---\| \| \| & Percent \| \| \| \| \| \| \| \| Allocation \| \| \| \| \| \| \| UC \| \| $ 3.7 \| $3.9 \| $3.5 \| $3.3 \| $3.1 \| \| DSRIP \| \| $0.5 \| $2.3 \| $2.7 \| $2.9 \| $3.1 \| \| Total/DY \| \| $4.2 \| $6.2 \| $6.2 \| $6.2 \| $6.2 \| \| % UC \| \| 88% \| 63% \| 57% \| 54% \| 50% \| \| % DSRIP \| \| 12% \| 37% \| 43% \| 46% \| 50% \| The waiver allowed the state to increase available funding to hospitals and other providers by including use of trends for historic UPL funds and availability of additional funds from managed care savings. In fiscal year 2011, UPL hospital payments were $2.8 billion compared to $4.2 billion available in the first year of the waiver. Under the transformation waiver, eligibility for UC or DSRIP payments will require participation in a regional healthcare partnership. Within a partnership, participants include governmental entities providing public funds known as intergovernmental transfers, Medicaid providers and other stakeholders. Participants will develop a regional plan identifying partners, community needs, proposed DSRIP projects, and funding distribution. Each partnership is required to have one anchoring entity, which acts as a primary point of contact for HHSC in the region and is responsible for seeking regional stakeholder engagement and coordinating development of a regional plan. RHPs are expected to submit their plans to HHSC by October 31, 2012. UC payments for DY1 of the waiver are scheduled to be disbursed in January 2013. To accommodate for cash flow issues in some hospitals, hospitals that received disproportionate share hospital (DSH) payments for 2012 and hospitals that received transition payments under the waiver are eligible for advanced UC payments in October and November 2012. DSRIP payments for DY1 are targeted for February 2013, based on regional healthcare partnership plans approved by HHSC and, subsequently, by CMS. Funding Needs for Waiver Operations While the transformation waiver provides substantial funding to hospitals and other providers, it also places a significant number of requirements on the state and providers that will be accessing this funding. The Special Terms and Conditions for the waiver include numerous reporting requirements that will be used by the state and federal agencies to establish the basis for payments from the two pools. The state will also need to guarantee that the information used for making waiver payments is accurate; otherwise federal funding could be recouped. In addition, the state will have to evaluate whether initiatives implemented with the funding from the waiver produce anticipated results over time. HHSC will assess funding needs in these areas, and if necessary, will request additional funding when the Legislature convenes in January 2013. Affordable Care Act Impact In March 2010, the Patient Protection and Affordable Care Act of 2010 and the Health Care and Education Affordability Reconciliation Act of 2010, collectively known as the Affordable Care Act (ACA), were signed into federal law. Key provisions of ACA include: - Requires all U.S. citizens and legal residents to obtain health coverage that meets federal standards (individual mandate) - Eliminates lifetime and annual benefit limits/restrictions - Allows dependent coverage up to age 26 - Prohibits pre-existing conditions exclusions - Eliminates out-of-pocket expenses for preventive services - Creates Health Benefit Exchanges to serve as marketplaces for individuals and small business employees to compare and purchase health coverage ACA Provisions Implemented to Date While the June 2012 ruling by the Supreme Court effectively made expansion of Medicaid optional, HHSC has implemented some Medicaid and CHIP provisions. These include: - Allowing children enrolled in Medicaid and CHIP to elect hospice care without waiving their rights to treatment for their terminal illness - Making freestanding birthing centers eligible for Medicaid reimbursement - Claiming federal matching funds for school and state employees' children enrolled in CHIP - Adding tobacco cessation counseling as a Medicaid benefit for pregnant women - Making drug rebate formulary changes - Adding several program integrity provisions - Implementing a pharmacy carve-in for Medicaid and CHIP managed care ACA Provisions in Planning Phase DSHS anticipates that certain key public and mental health activities will be impacted by the third-party insurance component of ACA beginning in fiscal year 2015. These activities include: infectious disease control, prevention, and treatment; health promotion and chronic disease prevention; laboratory services; primary care and nutrition services; behavioral health services; community capacity; and state-owned and privately-owned hospital services. From January 2013 through December 2014, the federal government will fund with 100 percent federal funding the difference between Medicaid rates as of July 2009 and Medicare reimbursement levels for certain Medicaid primary care providers. For the affected Medicaid rates that were reduced after July 2009, the state must pay the regular state matching share to restore the rate reduction. ACA Schedules in LARs As part of the LAR instructions, each agency reported the budgetary impacts of federal health care reform. HHSC and DSHS are the only agencies within Article II that reported an impact. The table below summarizes FY 2014-2015 estimates of agency costs, savings and federal funds resulting from the implementation of the ACA. Figure IV.3 Summary of Impacts Related to Health Care Reform FY2014-2015 \| \| \| Base Request \| \| Exceptional Item \| \| \|---\|---\|---\|---\|---\|---\| \| Agency \| Project \| GR/GRD \| All Funds \| GR/GRD \| All Funds \| \| DSHS \| Public Health, Health Services, Wellness - Funds for a variety of public health, wellness, and prevention activities \| $0 $41,022,804 \| \| $0 $0 \| \| \| DSHS \| Third Party Insurance Exchange – Savings associated with current DSHS clients being covered with insurance through the exchange \| ($13,934,797) ($8,843,976) \| \| $0 $0 \| \| \| HHSC \| Maternal, Infant and Early Childhood Home Visiting Program \| $0 $20,966,660 \| \| $0 $0 \| \| \| HHSC \| Tobacco Cessation Pregnant Women - Tobacco cessation for pregnant women in Medicaid \| $258,265 $642,131 \| \| $8,687 $21,603 \| \| \| HHSC \| SKIP into CHIP Federal Match - Children once covered by the SKIP program at ERS are eligible under CHIP* \| $9,583,270 $34,037,712 \| \| $569,750 $2,023,997 \| \| \| HHSC \| TRS CHIP Federal Match - Children of TRS ActiveCare members enrolled in CHIP are eligible for federal match \| ($37,043,639) $0 \| \| ($2,213,538) $0 \| \| \| HHSC \| Curative Children Electing Hospice \| $130,404 $463,173 \| \| $9,479 $33,677 \| \| \| HHSC \| Consulting Services \| $804,400 $2,000,000 \| \| $0 $0 \| \| \| HHSC \| PCP Rate Increase \| $7,246,371 $372,582,541 \| \| $0 $0 \| \| \| Total, HHS - \| \| ($32,955,726) $462,871,045 \| \| ($1,625,622) $2,079,277 \| \| Note: Additional cost is positive, while savings are negative. * While there is a cost to HHSC to cover the state match for the CHIP program, ERS will realize a savings. HHSC also will see a decrease in revenue as a result the federal government keeping a larger share of manufacturer rebates in the vendor drug program. HHSC estimates a loss of $2.2 million in general revenue in FY 2014-2015. V. C OST C ONTAINMENT I NITIATIVES Increasing health care costs and the demand for services, particularly in the Medicaid program, have necessitated an ongoing effort to develop new policies and initiatives to control spending growth. Over the past decade, cost containment projects identified by the Legislature and implemented by HHS agencies resulted in general revenue reductions of $4.3 billion (see Appendix G). These savings are primarily related to changes in policy and reimbursement that both provide immediate reductions in general revenue spending and curb future cost growth. Most recently, the 82nd Legislature directed HHS agencies to undertake unprecedented cost containment efforts with 60 initiatives targeting approximately $3 billion in general revenue savings. This chapter discusses the initiatives implemented in this biennium and outlines potential cost containment strategies for the coming years. HHSC is committed to keeping cost containment at the forefront of its efforts and working with the federal government to obtain maximum flexibility to achieve efficiencies. Cost Containment Efforts and Budget Reductions (Fiscal Years 2012-2013) In the General Appropriations Act (H.B. 1) the 82 nd Legislature identified over 60 initiatives, detailed primarily in six major riders and codified in Senate Bill 7, which improve service efficiency and outcomes while containing costs. These efforts include payment reform, statewide expansion of managed care, and provider rate reductions. Based on current implementation plans, $2.0 billion in general revenue ($4.3 billion all funds) of the $3.1 billion savings target is expected to be achieved. To date 80 percent of the initiatives in H.B. 1 have been implemented. Figure V.1 shows the estimated cost containment savings compared to the targets outlined by major riders in H.B. 1. Figure V.1 FY2012-2013 Cost Containment Initiatives- HB1 General Revenue ($ in millions) \| \| \| \| Estimated \| \| \|---\|---\|---\|---\|---\| \| \| Major Category and H.B. 1 Rider \| \| Savings \| HB1 Target \| \| Medicaid Funding Reductions- Rider 61 \| \| $355.0 \| \| \| \| Managed Care Expansion- Rider 51 \| \| $263.3 \| \| \| \| Provider Rates- Section 16 \| \| $486.6 \| \| \| \| Additional Cost Containment- Section 17 \| \| $576.0 \| \| \| \| Other Cost Containment Measures in HB1 \| \| $80.6 \| \| \| \| Subtotal Cost Containment \| \| $1,761.5 \| \| \| \| Premium Tax \| \| $200.0 \| \| \| \| Federal Flexibility-Rider 59 \| \| $0.0 \| \| \| $1,961.5 $3,135.6 Medicaid Funding Reductions-Rider 61 HHSC Rider 61 directed HHS agencies to implement 30 initiatives with a target savings of $450.0 million in general revenue. Current estimates indicate a savings of approximately $355.0 million in general revenue ($790.8 all funds), or 79 percent of the target. The initiatives in Rider 61 not only control cost, but improve the health care system by rewarding quality, improving health outcomes, establishing efficient rates, encouraging appropriate service utilization, and maximizing funding from federal and other payers. Examples include the following: - To prepare for quality-based adjustments, HHSC moved to an All Payer Refined-Diagnosis Related Group (APR-DRG) reimbursement system for most inpatient hospital services on September 1, 2012. In addition, to increase competition and incentivize quality outcomes, effective September 1, 2011 HHSC implemented a statewide standard dollar amount rate with appropriate add-on adjustments for hospitals paid based on the diagnosis-related group prospective payment system. - To improve health outcomes, on October 1, 2011 HHSC ended Medicaid payments for elective deliveries occurring prior to 39 weeks, in order to reduce birth complications and improve birth outcomes. Also, effective March 1, 2012, additional Medicaid children with disabilities gained access to comprehensive care management through the Texas Medicaid Wellness Program. - To establish efficient rates, HHSC moved to a fee schedule for imaging services rendered by outpatient hospital providers, reduced facility payments for non-emergency services delivered in an emergency department, reduced hospital outlier payments, and reduced durable medical equipment (DME) rates. - To encourage appropriate service utilization, HHSC increased utilization of over-the-counter medicines, implemented new quantity limitations for incontinence supplies and diabetic equipment and supplies, and reviews the amount, duration and scope of other Medicaid services to achieve additional savings. The Office of Inspector General performs utilization reviews of providers and is actively seeking remedies for orthodontia services that exceeded Medicaid policies. - To maximize other funding sources, HHSC received federal approval in April 2011 for a waiver that allows the state to receive increased federal financial participation for certain Medicaid medical transportation services and in March 2012 began a full-risk broker pilot. HHSC also increased client co-payment in CHIP effect March 1, 2012. Figure V.2 shows the estimated savings compared to the H.B. 1 target. Rider 61 Medicaid Cost Containment Initiatives General Revenue ($ in millions) \| Current Item Item Description Estimate Target \| \| \| \| \|---\|---\|---\|---\| \| 1 \| Implementing payment reform and quality based payments in fee for service and managed care, \| $0.9 \| $8.9 \| \| 2 \| Increasing neonatal intensive care management, \| $3.9 \| $13.7 \| \| 3 \| Transitioning outpatient Medicaid payments to a fee schedule, \| $62.1 \| $28.6 \| \| 4 \| Developing more appropriate emergency department hospital rates for nonemergency related visits, \| $25.6 \| $16.8 \| \| 5 \| Maximizing co-payments in all Medicaid and Non Medicaid programs, \| $2.9 \| $8.2 \| \| 6 \| Maximizing federal matching funds through a combination of a Medicaid waiver, full-risk transportation broker pilots, and/or inclusion of transportation services in managed care organizations, \| $15.6 \| $31.1 \| \| 7 \| Reducing costs for durable medical equipment and laboratory services through rate reductions, utilization management and consolidation, \| $12.1 \| $14.6 \| \| 8 \| Statewide monitoring of community care through telephony in Medicaid fee for service and managed care, \| $15.4 \| $37.9 \| \| 9 \| Expanding billing coordination to all non-Medicaid programs, \| $0.0 \| $0.0 \| \| 10 \| Increasing utilization of over-the-counter medicines, \| $2.2 \| $4.5 \| \| 11 \| Renegotiating more efficient contracts, \| $1.2 \| $1.2 \| \| 12 \| Equalizing the prescription drug benefit statewide, \| $0.0 \| $46.3 \| \| 13 \| Allowing group billing for up to three children at one time in a foster care or home setting who receive private duty nursing services, \| $0.6 \| $0.6 \| \| 14 \| Achieving more competitive drug ingredient pricing, \| $2.3 \| $28.3 \| \| 15 \| Increasing generic prescription drug utilization, \| $7.6 \| $7.4 \| \| 16 \| Improving birth outcomes by reducing birth trauma and elective inductions, \| $1.7 \| $1.7 \| \| 17 \| Increasing competition and incentivizing quality outcomes through a statewide Standard Dollar Amount and applying an administrative cap, \| $25.9 \| $30.9 \| \| 18 \| Establishing a capitated rate to cover wrap around services for individuals enrolled in a Medicare Advantage Plan, \| $0.0 \| $1.1 \| \| 19 \| Improving care coordination for Children with Disabilities in managed care, \| $11.7 \| $6.1 \| \| 20 \| Automatically enrolling clients into managed care plans, (premium tax revenue) \| $20.2 \| $21.5 \| \| 21 \| Restricting payment of out-of-State Services to the Medicaid rate and only our border regions, \| $0.2 \| $0.2 \| \| 22 \| Increasing utilization management for provider-administered drugs, \| $0.2 \| $0.2 \| \| 23 \| Implementing the Medicare billing prohibition, \| $8.4 \| $8.4 \| \| 24 \| Increasing the assessment time line for private duty nursing, \| $0.0 \| $1.9 \| \| 25 \| Maximizing federal match for services currently paid for with 100 percent general revenue, \| $0.7 \| $0.7 \| \| 26 \| Adjusting amount, scope and duration for services, \| $45.0 \| $45.0 \| \| 27 \| Increasing fraud, waste and abuse detection and claims, \| $50.0 \| $50.0 \| \| 28 \| Strengthening prior authorization when efficient, \| $0.0 \| ---- \| \| 29 \| Paying more appropriately for outliers, and \| $30.7 \| $15.0 \| \| 30 \| Additional initiatives identified by the Health and Human Services Commission. \| $7.8 \| ---- \| \| \| Amount not identified with specific initiatives \| \| $19.2 \| \| \| Subtotal Rider 61 Estimated Cost Containment \| $355.0 \| $450.0 \| Managed Care Expansion-Rider 51 The expansion of Medicaid managed care statewide encompasses six different initiatives and is one of the largest Medicaid rollouts of managed care in any state. The expansion resulted in three million clients per month in managed care as of July 2012 or 82 percent of the total Medicaid clients. These initiatives began on September 1, 2011 with the expansion of managed care to regions contiguous to existing managed care areas. The managed care expansion to rural areas of Texas and the capitation of dental services and pharmaceuticals, as well as the inclusion of inpatient services in STAR+PLUS (aged and disabled populations), occurred March 1, 2012. Implementing managed care statewide produces savings and enhances client services by: - Establishing a medical home for Medicaid clients through a primary care provider - Improving access to care including serving some clients previously on waiting list for longterm care support services - Emphasizing preventative care - Ensuring appropriate utilization of services - Improving health outcomes and quality of care - Allowing managed care plans to negotiate provider rates H.B. 1 assumes a statewide managed care expansion will save approximately $380 million in general revenue and increase state revenues by $238.0 million from the collection of insurance premium taxes. The savings are mostly from reduced medical expenses but also include administrative reductions in state staff of approximately 187 full-time equivalent positions in fiscal year 2012 and 357 in fiscal year 2013. Based on current estimates, the expansion of managed care in Texas will save $263.3 million in general revenue and $645.3 million in all funds, while increasing state revenue collections by $200 million for the biennium. The estimated savings are lower than the target primarily because of caseload and cost changes since the original estimates were made. After adjusting for caseload and the impact of other cost containment measures outside of the managed care expansion, the estimated savings is $367.4 million in general revenue. Figure V.3 shows the estimated managed care expansion savings compared to the H.B. 1 target. Figure V.3 Medicaid Managed Care Expansion Comparison of Biennial Savings- Current Estimate to H.B. 1 ($ in millions) \| Managed Care Initiative \| \| Current Estimate \| \| \| House Bill 1 \| \|---\|---\|---\|---\|---\|---\| \| \| \| (June 2012 \| \| \| (May 2010 \| \| \| \| Forecast) \| \| \| Forecast) \| \| \| GR \| \| AF \| GR \| \| \| Expand Medicaid Managed Care in South Texas \| ($106.1) \| \| ($257.7) \| ($249.3) \| \| \| Create a Dental Managed Care Model for Medicaid \| (132.9) \| \| (325.0) \| (53.0) \| \| \| Capitate Medicaid & CHIP Vendor Drug Programs \| (9.1) \| \| (23.5) \| (0.7) \| \| \| Include In-Patient Hospital Services in STAR+PLUS \| 1.1 \| \| 2.7 \| (19.4) \| \| \| Expand Medicaid Managed Care to Rural Service Areas \| (13.0) \| \| (31.8) \| (20.2) \| \| \| Capitate Medicaid in Urban & Contiguous Counties \| 6.1 \| \| 14.8 \| (15.4) \| \| \| Net Savings Administration \| (9.3) \| \| (24.9) \| (21.8) \| \| \| Subtotal Managed Care Savings \| ($263.3) \| \| ($645.3) \| ($379.9) \| \| Rider 51 general revenue savings is $385.6 million, which is $5.7 million higher than the HHSC savings estimates. For consistency of comparison to original estimates, HHSC estimates are used in Figure 1. Provider Rate Reductions- Section 16 Article II, Special Provisions Section 16 required rate reductions for most providers beginning in September 2011. These reductions were in addition to rate reductions that many providers received in fiscal year 2011. Programs impacted include home and community-based services, hospice services provided in a nursing facility, Intermediate Care Facility for Persons with an Intellectual Disability (ICF/IID), most hospital services, DME, laboratory services, and certain other ancillary services. The estimated biennial savings for the Section 16 rate changes are $486.6 million in general revenue ($1,183.0 million all funds). This represents 85 percent of the H.B. 1 target of $571.3 million in general revenue. Figure V.4 shows the rate reductions by provider type from fiscal year 2011 through fiscal year 2013. Figure V.4 Provider Rate Reductions FY 2011 through FY 2013 Additional Cost Containment- Section 17 Special Provisions Section 17 required HHSC, DADS, and DSHS to implement over a dozen cost containment items. Based on current implementation plans, biennial savings are estimated at $576 million in general revenue ($1,349.7 million all funds) compared to the H.B.1 target of $705 million in general revenue. Significant policy changes include the following: - Electronic visit verification (EVV) was implemented to ensure proper payment for home health providers. DADS began a pilot in March 2011 in West Texas and expanded to two additional areas (Northwest and East Texas) in February 2012. A statewide expansion is expected to be implemented by the end of the biennium. - Medicare Equalization began in January 2012, which changed provider payments for outpatient and professional services by limiting deductibles and coinsurance for dual eligible clients (clients who receive Medicaid and Medicare) to no more than what Medicaid would have paid for the same service. - Utilization reviews to improve nursing facilities' billing procedures were implemented by the Office of Inspector General (OIG), resulting in more accurate payments for services. - A conversion of 120 psychiatric rehabilitation beds from sub-acute to residential which reduced cost at three hospitals was implemented by DSHS in March of 2011. Figure V.5 shows the estimated savings to be realized in FY 2012-2013 from Section 17. Figure V.5 Section 17 Cost Containment Initiatives General Revenue ($ in millions) \| \| \| \| \| Target \| \|---\|---\|---\|---\|---\| \| \| Department of Aging and Disability Services \| \| \| \| \| Nursing Facility Cost Change (OIG) \| \| $0.0 \| $58.0 \| \| \| Wrap Around Services \| \| 20.7 \| 15.0 \| \| \| Equalizing Rates Across Waivers (HCS) \| \| 12.8 \| 12.5 \| \| \| Adjust Amount, Scope and Duration for All Community Services (caps) \| \| 2.1 \| 31.0 \| \| \| Administrative Reductions Related to Requisition \| \| 2.1 \| 1.8 \| \| \| \| Department of State Health Services \| \| \| \| \| Residential Units \| \| $6.0 \| $6.0 \| \| \| NorthSTAR Billing Change \| \| 6.0 \| 6.0 \| \| \| Medications at Discharge for 1 Week \| \| 1.9 \| 1.9 \| \| \| Management Changes \| \| 1.0 \| 1.0 \| \| \| \| Health and Human Services Commission \| \| \| \| \| Fee Reductions for Vendor Drug Dispensing Fee and Primary Care Management Fee \| \| $27.8 \| $34.7 \| \| \| Optional Benefit Reduction through changes in Amount, Scope and Duration of Services \| \| 0.0 \| 45.0 \| \| \| Medicare Equalization \| \| 448.7 \| 295.8 \| \| \| Reduce Managed Care Administrative portions of Premiums \| \| 43.7 \| 27.0 \| \| \| More Efficient Managed Care Premium Methodology \| \| 3.3 \| 169.3 \| \| \| Total Sec 17 Cost Containment \| \| $576.0 \| $705.0 \| \| Other Cost Containment Measures in H.B. 1 H.B. 1 included other cost containment measures in areas of durable medical equipment (DME) (HHSC Rider 80), HCBS foster care rates (DADS Rider 48), and a federal flexibility waiver. Current savings estimates for these initiatives are $80.7 million in general revenue. These initiatives include: - The DME program instituted rate reductions and quantity limits based on guidance from HHSC's Rider 80 which outlined targeted savings of $88.3 million in general revenue. The current estimate for Rider 80 is $84.9 million in general revenue ($55.8 millionSection 16, $12.1 million - Rider 61, and $17.0 million - Rider 80). - DADS' Rider 48 reduced a portion of the home and community-based services' rates for the foster care and companion care components of the rate. - Other savings items that are not rider specific in H.B. 1 of the 82 nd Legislature are; o Medicaid administrative savings, o Reduction in the state's contribution to the children's upper payment limit program, and o Vendor drug dispensing fee in CHIP (Medicaid dispensing fee reduced under Section 17). - HHSC Rider 59 also required HHSC to apply for a federal waiver allowing more flexibility in the Medicaid program. While H.B. 1 reduced Medicaid funding by $700 million, these savings are not expected to be achieved this biennium. Figure V.6 shows the estimated savings to be realized in FY 2012-2013 compared to the H.B. 1 target. Figure V.6 Other Cost Containment Measures- HB1 ($ in millions) \| \| \| \| Estimated \| \| \|---\|---\|---\|---\|---\| \| \| Major Category and H.B. 1 Rider \| \| Savings \| HB1 Target \| \| Durable Medical Equipment- Rider 80 (amount excludes Rider 61 and Section 16) \| \| $17.0 \| \| \| \| DADS HCS Foster Care- Rider 48 \| \| 4.1 \| \| \| \| Medicaid Administration \| \| 38.2 \| \| \| \| Children’s Upper Payment Limit \| \| 20.0 \| \| \| \| CHIP Vendor Drug Dispensing Fee \| \| 1.4 \| \| \| \| Subtotal Other Cost Containment Measures \| \| $80.7 \| \| \| \| Medicaid flexibility- Rider 59 \| \| 0.0 \| \| \| \| Total Other Cost Cont. Measures and Rider 59 \| \| $80.7 \| \| \| Note: Rider 80 target in H.B. 1 is located in three areas of Article II; Section 16, Rider 61(7), and Rider 80. Other Savings Measures Outside of Cost Containment Outside of the cost containment effort, HHS agencies' budgets were decreased in the General Appropriations Act by reducing and in some cases eliminating programs. While these items are not considered cost containment measures they did assist in lowering the general revenue needs for the state by approximately $207.9 million. One reduction included in Article IX, Section 18.09 requires a payroll contribution to the Employees Retirement System from agencies (estimated to be $20.0 million for HHS agencies). Other major reductions to general revenue by agency are: - DADS reductions total $25 million primarily in non-Medicaid community supports such as adult foster care and personal attendant services. - DSHS reductions total $133.4 million in areas of family planning, trauma funds, Children with Special Health Care Needs, regulatory functions, and primary care services. - DFPS reductions total $19.4 million primarily in prevention and early intervention programs. - DARS reductions total $0.2 million in vocational rehabilitation services for person who are visually impaired. - HHSC reductions total $9.5 million including healthy marriage program, family violence, faith based initiatives, guardianship, and community resource coordination. Fiscal Years 2014-2015 Through the expansion of cost containment initiatives from the current biennium and new efforts, further opportunity exists to slow cost growth in 2014-2015. The fiscal year 2012-2013 initiatives fundamentally changed how the Medicaid program operates and offers longer term efficiencies. For example, managed care expansion lowered Medicaid cost trends by approximately 5 percent during the 2012-13 biennium, including a 6 percent reduction in fiscal year 2013, the first year of full implementation. Current Medicaid cost trends continue to show at least a 6 percent reduction due to managed care and cost containment through fiscal year 2015. Additionally, many new cost containment items are being evaluated for fiscal years 2014-2015. For example, HHSC's LAR includes three items that could curb future cost growth in Medicaid: - Expanding STAR+PLUS into rural service areas; - Carving nursing facility services into managed care; and - Implementing a balance initiative payment program that increases the federal share and decreases the state share by 2 percent for certain community-based services. The cost containment efforts in fiscal years 2012-2013 and in previous biennia have slowed cost growth and improved quality. HHSC continues to monitor the impact of these changes on its providers and clients and will work with stakeholders to mitigate unintended consequences. HHSC also is analyzing potential future cost containment initiatives to identify best practices and evaluate applicability for Texas. Cost containment efforts are being coordinated with HHSC's quality efforts to build a health care infrastructure that rewards positive outcomes and efficiencies. Since most of HHSC's clients now are served through capitated managed care, new cost containment initiatives need to be structured to incentivize the managed care organizations to innovate and contain costs while improving quality. With data analysis tools, HHSC has greater ability to leverage data to identify cost containment opportunities and build upon practices that have proven most effective. VI. E NTERPRISE I NITIATIVES HHS agencies included a number of exceptional item requests that address critical needs across agencies. Some of these exceptional items are carried by the respective agencies in their LARs, while others are consolidated into an enterprise request that is carried in the HHSC LAR. The requested items (described below) include increasing capacity of the community-based services programs, addressing retention and recruitment of selected direct care staff at HHS agencies, enhancing information technology, and meeting the needs of state-operated facilities. Increase HHS Community Services (Waiting/Interest Lists) Increase HHS Community Services (Waiting/Interest Lists) The Health and Human Services Commission supports funding additional waiver slots in all community-based services programs in order to provide more timely service and give clients greater choice in the type of service they may access. DADS and DSHS have included exceptional item requests to continue efforts to increase capacity in community services. These exceptional items would serve 30,097 individuals by the end of FY 2015 and cost $340.2 million in general revenue (GR) for the biennium. Most programs would receive federal matching funds. (see Appendix A) In the past, the HHSC LAR has included an exceptional item requesting funding on behalf of other agencies to increase capacity in community service programs. This biennium, however, each agency has submitted its own request. - DADS – $259.4 million general revenue ($896.4 million all funds). DADS LAR requested reductions to waiting/interest list in Home and Community Care Waivers, NonMedicaid services, MR Community, and In-Home and Family Support. Programs included in Home and Community Care Waivers are Community Based Alternatives, Community Living Assistance and Support Services, Medically Dependent Children's Program, Deaf-Blind with Multiple Disabilities, Home and Community-Based Services, STAR+PLUS, and Texas Home Living. DADS request also included funding for the new Community First Choice (CFC) program. The CFC program, a provision of the Affordable Care Act (ACA), will provide HHSC and DADS with an ongoing 6 percent enhanced Federal Medical Assistance Percentage to provide community-based attendant services and supports. DADS and HHSC currently provide these services in the community programs and STAR+PLUS to those with physical disabilities. The CFC program will provide attendant care and habilitative services to the intellectual and developmental disability (IDD) population. - DSHS - $80.8 million general revenue ($80.8 million all funds). DSHS programs included in this exceptional item are Child and Adolescent Community Mental Health, Adult Community Mental Health, and Children with Special Health Care Needs. This exceptional item provides services for an additional 6,929 clients to be served. DSHS waiting list could be impacted by the ACA subject to Legislative decisions. Some individuals in DSHS community programs or on the waiting list for these programs will receive federal subsidies to obtain third party insurance through the insurance exchange. This potential impact was not considered in the development of DSHS's request. - In previous biennia, DARS maintained a waiting list for Comprehensive Rehabilitation Services (CRS) and Independent Living Services (ILS). As a result of increased dedicated general revenue in fiscal years 2012 and 2013, DARS no longer has a waiting list for CRS. DARS will also be able to reduce the ILS waiting list with increased federal funds. Therefore, no exceptional item is needed. Information Technology Systems Needs The Health and Human Services Commission Enterprise Information Technology (IT) functions provide leadership and direction related to automated systems to achieve an efficient and effective health and human services system for Texans. In order to continue to fulfill this purpose, eight exceptional items are included in the HHSC FY 2014-2015 Legislative Appropriations Request. These items cross multiple agencies and represent the most critical information technology needs to enable HHS programs to provide client services in the most efficient manner possible. Each item is described separately below. The funding request for these initiatives would support the HHS System by: - Allowing for the successful transformation and remediation of systems and funding for the statewide Data Center Services; - Enhancing consumables inventory for the items needed to provide care to individuals at the State Hospitals and State Supported Living Centers and retiring older systems as new systems are implemented; - Improving the security of applications and client data; - Upgrading the diagnostic coding used by providers to report their services for reimbursement to comply with federal requirements; - Providing a secure network and communications platform to support mobile and remote access for staff to applications needed to perform their jobs and other business process innovations for increased efficiencies; - Continuing the Enterprise Data Warehouse project to allow access to all data for Medicaid clients across systems for improved policy making; - Upgrading the electrical systems in the Winters Data Center to reduce system downtime; and - Upgrading the hardware platform of the agency's financial application to ensure continued operation and vendor support of the application. In addition to the eight exceptional items described below, HHS agencies included in their agency-specific LAR's those information technology projects that do not impact multiple agencies. HHSC Exceptional Item #5 - Maintain Funding for Data Center Services In January 2012, the Department of Information Resources (DIR) commenced contracts with CapGemini and Xerox to provide data center services for 27 Texas state agencies. The state's goals for the data center services (DCS) contract include management of in-place services, migration of services to the consolidated data centers, and improvements in services, security, and disaster recovery capability. The exceptional item represents two funding components: 1) Funding for DADS, DARS, DFPS, DSHS, and HHSC to fully cover estimated monthly DIR billings. 2) Funding requests necessary to transform and remediate existing applications at DADS, DSHS, and HHSC so that they can be supported by the DIR Data Center. This item also includes DCS related costs for new FTEs requested in HHSC's exceptional item requests. Figure VI.1 Maintain Funding for Data Center Services Requested Funding by Agency \| \| \| \| FY 2014-2015 \| \| \|---\|---\|---\|---\|---\| \| \| Project \| \| GR \| All Funds \| \| DIR Billings Increase \| \| $13,407,148 \| \| \| \| DADS \| \| \| \| \| \| DARS \| \| $1,804,123 \| \| \| \| DFPS \| \| $38,675 \| \| \| \| DSHS \| \| $7,270,801 \| \| \| \| HHSC \| \| $4,293,549 \| \| \| \| Transform and remediate existing applications \| \| $7,408,765 \| \| \| \| DADS \| \| $70,159 \| \| \| \| DSHS \| \| $5,700,000 \| \| \| \| HHSC \| \| $1,638,606 \| \| \| \| Total - $20,815,913 \| \| \| \| \| HHSC Exceptional Item #7 - Maintain Support of State-Operated Facilities This funding request supports two initiatives that would improve facility operations. The first is an upgrade to a critical supply inventory system used daily. This system is not current with technology advances or with software upgrades. The upgrade would contain facility services, inventory, supply/stock/requisition, replenishments, medical supplies, and foods, with warehouse work flow and business processes. Funding would also provide for retiring the Client Assignment and Registration System (CARE), which is a central tracking system for consumers receiving mental health and mental retardation services. DADS and DSHS are working on systems that will replace functionality currently in CARE. There are many stakeholders, including agencies within and outside of the Health and Human Services agencies, who depend on CARE. There has been no comprehensive analysis of all functions and interfaces so there is a risk that there will be functions or interfaces that are needed but are not in one of the new systems. This project will validate all functions and interfaces, ensure that all needed functions are available in some system and that there is no loss in data integrity when CARE is retired. Maintain IT Support at State-Operated Facilities \| \| \| \| FY 2014-2015 \| \| \|---\|---\|---\|---\|---\| \| \| Project \| \| GR \| All Funds \| \| Upgrade Inventory System \| \| $1,308,139 \| \| \| \| Upgrade CARE System \| \| $590,400 \| \| \| \| Total - $1,898,539 \| \| \| \| \| HHSC Exceptional Item #12 - Implement Information Security Improvements & Application Provisioning Enhancements HHS agencies face increasing and evolving threats from cyber-related attacks. Funding the exceptional item ($5.7 million GR and $8.6 million All Funds) would allow: - Additional information security controls at HHS agencies to protect systems from attacks; - Additional protections against unauthorized access including a higher level of authentication and improved efficiencies in granting and removing access to systems; and - Improved monitoring systems and processes to better protect agency information assets. Without these initiatives, systems will be at risk from attacks, potential disclosure of confidential data, and costs associated with clean-up activities. Additionally, failure to perform these functions will put HHS at risk of a major security incident, potentially causing the loss of personally identifiable information about its clients, and causing severe damage to its reputation. HHS agencies maintain confidential information on their clients. Numerous laws and policies govern the way that HHS is to protect this information during its use, transport, processing and storage, including Texas Administrative Code (202) Rule 202.21, Subchapter A; American Recovery and Reinvestment Act, dated February 17, 2009; CMS policy for information security dated December 31, 2008; and Texas Government Code, Subchapter A, Section 2059.056. Since the consolidation of HHS agencies in 2004, numerous information security events have impacted worker productivity, wasted labor hours, and exposed a currently insufficient information security posture. A series of attacks in 2005 is estimated to have cost over $2 million to remediate. Additional attacks in 2010 showed consistent threat from foreign sources. Although there are no pending penalties or funding losses, the risk of non-compliance includes the possible breach of client confidential data, indeterminate loss of federal funding, fines and penalties, and negative audit findings. HHSC Exceptional Item #17 - Continue International Classification of Diseases (ICD-10) New HIPAA ICD-10 Code set rule mandates an upgrade from ICD-9 to ICD-10 for diagnosis and procedure codes. These code sets allow for a more thorough detail identification of medical conditions and procedures. The code sets are used in 95 percent of health care related systems (including those at DADS, DARS, DSHS, and HHSC) and are required for medical claims processing, tracking, and reporting. Texas HHS is in the final stages of planning for this initiative, and has conducted an ICD-9/10 Impact Analysis and Implementation Approach. HHSC requests $0.8 million GR and $2.3 million All Funds for the FY 2014-2015 biennium. HHSC Exceptional Item #18 - Secure Mobile Infrastructure & Enterprise Communications HHS is currently planning business initiatives designed to increase efficiencies and promote improvement in service delivery in order to meet projected increases in caseloads without expanding the HHS workforce. These initiatives include expanding tele-work and video conferencing, enabling mobile workers where appropriate, consolidating offices and increasing use of client self service capabilities in our web based applications. To support these initiatives, the underlying network and communications infrastructure needs to be modernized and enhanced. Funding the exceptional item ($14.1 million GR and $25.4 million All Funds in fiscal year 2014) would provide a foundation for a secure, integrated HHS network, and enhanced telecom systems in various offices, eligibility call centers and other service delivery areas. HHSC Exceptional Item #19 - Continue Enterprise Data Warehouse Initiative HHSC requests $6.6 million GR and $35.6 million All Funds to allow continuation in establishing a data warehouse that will span Medicaid-related data across all HHS agencies. Integration of data across all HHS agencies would help improve the delivery of health care services to Texans, help evaluate program effectiveness, assure that services are delivered in a cost-effective manner, and help forecast future needs and priorities. By using this system for integrating related program data and conducting advanced data analysis, HHSC would enhance its ability to interpret patterns and gain insight into client outcomes. HHSC Exceptional Item #20 - Upgrade Winters Data Center Facilities HHSC requests $2.2 million GR and $4.0 million All Funds in fiscal year 2014 to upgrade key data center facility infrastructure components to improve reliability and availability of key computing resources. This upgrade would focus on the electrical infrastructure components, installing a power generator system and related electrical system enhancements. This reduces the risk of downtime and service outage for key systems located in the Winters data centers (including TIERS). This includes mission critical systems and services upon which many key business areas rely. If the data centers are not upgraded, systems will continue to be susceptible to power outages which could adversely affect clients for hours at a time. This project will benefit several HHS agencies and will help resolve internal audit findings that identified several physical security vulnerabilities for the Winters Complex data centers, including a lack of monitoring, alerting and logging capability, both locally and remotely, for electrical infrastructure and environmental systems. HHSC Exceptional Item #26 - Upgrade HHSAS Financials – Hardware Remediation HHSC requests $1.2 million GR and $1.6 million All Funds to allow remediation of the HHSAS Financials PeopleSoft application onto a refreshed technology platform within the consolidated data centers in San Angelo and Austin. The current platform is an aging technology (approximately six years or older) residing on the legacy side of the San Angelo data center, with production, test, and development on the same platforms causing competition for resources. With this upgrade, the production environment would be in San Angelo and the test/development would be in Austin, and therefore available for disaster recovery/business continuity purposes. The current platform does not meet the software requirements for the DCS contract. This initiative is part of the technology refresh requirement. New hardware and software will enable compliance with "n" or "n-1" software standards. It will provide users with improved performance, particularly with reporting. Other agencies impacted include DADS, DARS, DFPS, and DSHS. Retention and Recruitment of Critical Client Service Staff The foundation of the Health and Human Services System in Texas is the staff that provides direct care for vulnerable Texans. The competition for qualified health professionals and front line client services staff throughout the state has a direct impact on HHS agencies' ability to maintain a high level of quality services in several critical areas, such as state mental health hospitals and state supported living centers among others. Increased turnover, high vacancy rates, and the inability to fill positions with qualified applicants have the potential to diminish the quality of services and delay client access to services. Together these conditions heighten the risk to consumers by increasing the burden on existing staff, resulting in long hours, weekend shifts, and ultimately high staff dissatisfaction and burnout. In addition, the cost of turnover related to recruitment, training, and loss of productivity associated with frequently hiring new employees creates an additional strain on funding health and human services. Structure of Funding Requests The FY 2014-2015 appropriations request to provide salary increase for critical HHS agencies positions to improve retention and recruitment of these staff is included as Exceptional Item #27 in the HHSC Legislative Appropriations Request. This item combines requests to increase salaries for the Department of Aging and Disability Services' direct support professionals, and the Department of State Health Services' psychiatric nurse assistants. This request is based on increasing salaries of these two groups by 10 percent. In addition to this main request, individual agency LARs have included specific requests for targeted groups that are difficult to hire and retain, such as salary increases for qualified developmental disability professionals at DADS, as well as supervisors and caseworkers at the Department of Family and Protective Services. Lastly, HHS agencies are requesting rider authority to increase salaries of employees that provide interpreter services to their customers. This approach can result in better quality and timeliness of services, while reducing contracting costs. To implement another initiative aimed at retaining qualified staff, HHS agencies are requesting authority to provide employees with performance-based payments to increase productivity and reward high performing employees. No additional funds are requested for these two initiatives. Requested Funding for Fiscal Years 2014-2015 Retention and Recruitment of Targeted HHS Direct Care Professionals (HHSC Exceptional Item #27 - $28.5 million GR) DADS and DSHS experience high-turnover among client services staff. For FY14-15 LAR, these two agencies identified critical groups of professionals with high turnover within the last 12 months. These groups are psychiatric nurse assistants at DSHS, and direct support professionals at DADS. In Fiscal Year 2012, DADS' turnover for direct support professionals is 43.8 percent, and at DSHS turnover for psychiatric nurse assistants is 31.6 percent. The cost of turnover related to recruitment, training, and the loss of productivity associated with frequently hiring new employees creates an additional strain on ICF/IIDs and complying with Joint Commission on Accreditation of Healthcare Organizations standards. Figure VI.3 Turnover Rates for Select Direct Care Professions Fiscal Year 2012 \| Occupational Category/Agency \| \| Total \| \| Number of \| Annual Turnover \| \|---\|---\|---\|---\|---\|---\| \| \| \| Number of \| \| Filled \| \| \| \| \| Positions \| \| Positions \| \| \| Psychiatric Nurse Assistants/DSHS \| 3,081 \| \| 2,503 \| \| 31.6% \| \| Direct Support Professionals/DADS \| 7,274 \| \| 6,846 \| \| 43.8% \| The appropriations request would increase salaries of psychiatric nurse assistants and direct support professionals by 10 percent. As shown in Figure VI.4, this item totals $28.5 million in general revenue and $47.5 million in all funds. These recommendations were developed by a workgroup of key staff involved in the recruitment and retention of health professionals from the affected agencies. Figure VI.4 Requested FY 2014-2015 Funding for Direct Care Professional Staff Retention and Recruitment \| Agency \| Occupational Category \| Number of Positions \| Percent Salary Increase Requested \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| \| Biennial Total \| \| \| \| \| \| \| \| General \| All Funds \| \| \| \| \| \| \| Revenue \| \| \| DSHS \| Psychiatric Nurse Assistants \| 3,081 \| 10% \| $14,790,336 \| \| $14,790,336 \| \| DADS \| Direct Support Professionals \| 7,274 \| 10% \| $13,751,152 \| \| $32,721,362 \| Additional Agency Requests The Department of Aging and Disability Services and the Department of Family and Protective Services each include an exceptional item related to staff recruitment and retention for specific areas of those agencies that experience high turnover and difficulty in hiring qualified staff. DADS includes a $2.1 million general revenue and $5.2 million in all funds request for increasing salaries of Qualified Developmental Disability Professionals (QDDPs). The request also includes 12 new QDDP staff, one at each facility. DFPS is requesting $3.7 million in general revenue and $4.2 million in all funds to increase salaries of the Family and Protective Services supervisors, which is accompanied by the request that the State Auditor's Office reclassify these positions. DFPS is also requesting funds to provide promotions sooner for caseworkers through the certification program to help with retention. The corresponding LAR request is $4.3 million general revenue and $4.8 million all funds. Total requested amount for the 2014-15 biennium for DFPS' two initiatives is $7.9 million general revenue and $9 million all funds. Requested Legislative Authority for Fiscal Years 2014-2015 Language Interpreter Services HHS agencies are requesting through suggested changes to Sec. 32, Article II, Special Provisions for all Health and Human Services Agencies, 2012-13 General Appropriation Act to allow HHS to compensate employees for assuming the duty of providing interpreter services to its consumers. If implemented, the agencies will be able to increase salary of eligible employees by 6.8 percent. As the state of Texas population changes, HHS agencies expect an increased demand for interpreter and translation services. Using state employees to provide these services would reduce current contract costs. Expanding this rider to include all HHS agencies and increasing the amount to 6.8 percent of base salary will provide the flexibility needed to meet this service demand. No additional funds are requested for this initiative. Performance-Based Payments To increase agency productivity and efficiency and provide incentives to high performing employees for successful and timely completion of work, HHS agencies will pursue statutory authority to provide employees with performance incentive compensation payments. This initiative would award only those employees whose performance consistently meets or exceeds job performance standards, which will be based on objective, measurable performance metrics approved by the Executive Commissioner. Employees who receive a performance-based payment will not be eligible for a regular merit salary increase or one-time merit payment during the six-month period after receipt of the performance-based payment. Implementation of this initiative requires statutory authority. HHS agencies will not request additional funding to implement the initiative; performance-based payments will be implemented with existing funding. State-Operated Facilities HHSC, DADS and DSHS have identified four areas of need to ensure the health and safety of residents in state-operated facilities. These areas include: facility repairs, vehicles, furniture and equipment, and regional laundries. HHSC has included an enterprise exceptional item for regional laundry services. All other needs are addressed in each agency's LAR. Facility Repairs and Renovation DADS has 12 state supported living center campuses composed of 841 buildings. The buildings range in age from four to 108 years, with an average age of 46 years. State Supported Living Centers (SSLC) must have certification to be eligible for federal funding and facilities must comply with the articles of participation and licensing standards. DADS' request would provide critical infrastructure repairs and renovations to SSLCs, such as life and safety code, fire sprinklers, roofing, generators, and electrical and plumbing systems. DSHS has 12 state hospital campuses composed of 581 buildings. The buildings range in age from 1 to 155 years, with an average age of 53 years. State hospitals must maintain Joint Commission accreditation to receive federal funding. The state must provide a safe and therapeutic environment that is conducive to patient recovery. DSHS's request would provide funding to repair and renovate aging state hospitals and their infrastructure. These repairs would limit high cost emergency repairs in the future. Figure VI.5 below shows the amount of all funds requested. Both DADS and DSHS recommend general obligation bonds to fund facility needs. Figure VI.5 Summary of DADS and DSHS FY 2014-15 Repair and Renovation Needs and Requests (All Funds) Vehicles HHS agencies' request for vehicles is consistent with each agency's replacement priorities identified in the HHS Enterprise Vehicle Replacement Plan. The request includes passenger cars, SUVs, light duty trucks, medium trucks, and vans that are primarily used for supporting client services at state facilities. HHS agencies request 479 vehicles and $13.6 million in general revenue (Figure VI.6). HHS Enterprise Vehicle Needs (General Revenue) DARS vehicle needs are included in the agency's base request. If approved, DARS will purchase six vehicles using federal funds. DADS request for vehicles would receive federal funds covering 60 percent of the cost while DSHS' request is general revenue. Furniture and Equipment DADS has requested funds to replace furniture and equipment in the SSLCs. These include medical and adaptive equipment, food service, HVAC maintenance, and non-regional laundry. The total request for DADS is $7,400,000 in general revenue ($7,400,000 in all funds). Regional Laundry Prior to 2005, state hospitals and state supported living centers had 13 individual laundry facilities located throughout the state. Due to aging equipment, deteriorating buildings, and an opportunity to replace equipment as part of the Energy Savings Performance Initiative through the State Energy Conservation Office, 11 of the individual laundry facilities were consolidated into 5 regional laundries. Of the 5 regional laundries, 4 provide services across agencies serving both state hospitals and SSLCs. The exceptional item requests replacing laundry equipment with an average age of 18 years with the oldest piece being 45 years old. The request also includes vehicles and trailers that transport laundry to the facilities. The total request for FY 2014-2015 is $1,225,890 (GR) and $2,151,573 (All Funds). The exceptional item for regional laundry is part of a larger state-operated facility enterprise request in the HHSC LAR. Other components of the enterprise request include frozen food and storage, the retirement of the CARE and Columbus systems at DADS and DSHS and an inventory system upgrade. The total enterprise request, including regional laundry, is $3,994,090 (GR) and $6,328,940 (All funds). VII. F EDERAL F UNDS : C URRENT I SSUES For the FY 2014-2015 biennium, the legislative appropriations base request and exceptional items include $44.3 billion in federal funds or 57 percent of the total requested appropriations. Issues such as the Budget Control Act of 2011, the Affordable Care Act, rising caseloads for Medicaid and other entitlement programs, and a recovering economy can impact the state's ability to receive federal funds for services to clients. A detailed table of the top 30 federal funding sources used by the Texas health and human services agencies is attached as Appendix F. Federal Budget Outlook Budget Control Act The most prominent federal funding concern for legislators going into the 83 rd Legislative Session is the potential impact of the Budget Control Act of 2011, which calls for an across-theboard sequester of federal spending. Because the Joint Select Committee on Deficit Reduction (or "super committee") created by the Act failed to produce an agreement to reduce the deficit, sequestration is scheduled to begin on January 2, 2013, barring other Congressional action. The sequester reduces funding by almost $1 trillion over 10 years, split equally between defense and nondefense spending, cutting about $109 billion per year. The Act also establishes a cap on defense and non-defense discretionary programs such as public health, environmental protection, law enforcement, and transportation. While both discretionary and mandatory programs are subject to sequestration, many mandatory and a few discretionary programs have been specifically exempted from it. These include Medicaid (which accounts for almost half of federal aid to states) and a host of other programs benefiting low-income individuals, including Disability Determination Services. As a result, the majority of funding states receive via federal grants would not be subject to sequester; however smaller individual programs receiving federal grants may be significantly impacted. There are serious concerns about the federal deficit projections and the impact of sequestration under the Budget Control Act of 2011 to many traditional state discretionary and entitlement programs during fiscal years 2014-2015. Congressional actions between now and January 2013 when the sequestration provisions take effect could introduce alternative approaches and change this outlook. Sequestration The Congressional Budget Office estimates the across-the-board sequestration to roughly equate to an 8 percent reduction for all discretionary grants. This analysis results in a potential loss of $86 million in federal revenues for the Department of State Health Services and an additional $55 million across the other health and human services agencies, impacting approximately 328,000 clients statewide. The table below illustrates the potential impact of sequestration by agency on funding and clients. Additional detailed information by federal grant program is provided in Appendix F. Figure VII.1 Potential HHS System Impact from Sequester Based on OMB 8 Percent Analysis \| Agency \| \| Difference \| Change \| \|---\|---\|---\|---\| \| \| \| FY13 vs. FY12 \| \| \| \| \| Fed Funds \| # Clients \| \| \| \| ($ in millions) \| \| \| Department of State Health Services \| ($86.4) \| \| (279,519) \| \| Department of Aging and Disability Services \| ($16.8) \| \| (28,104) \| \| Department of Assistive and Rehabilitative Services \| ($22.4) \| \| (2,464) \| \| Department of Family and Protective Services \| ($12.6) \| \| (11,465) \| \| Health and Human Services Commission \| ($3.5) \| \| (6,364) \| \| Total \| ($141.7) \| \| (327,915) \| Continuing Resolution For federal fiscal year 2013, Congress passed a continuing resolution or CR to keep the federal government operating until new appropriations bills are passed. The continuing resolution expires on March 27, 2013. The CR also serves as the legal authority for allowing mandatory spending (Medicaid, CHIP, SNAP/food stamps, Title IV-E & F, TANF, and Social Services Block Grant/SSBG) to proceed under the general authorizing law. Many of these entitlement programs are exempt from automatic reductions under the Budget Control Act. The continuing resolution includes the extension of the TANF program through March 2013 so the program avoids expiration at the end of the calendar year. The CR does not include contingency or supplemental TANF. Nor does the CR include the smaller provisions attached last year to the payroll tax cut bill referred to as the "extenders bill" such as the Medicare physician payments fix, transitional medical assistance/TMA and qualifying individuals/QI programs. The practice of enacting a CR in lieu of passing appropriations bills is becoming common business practice in the absence of a budget agreement. Consistent with recent history, the CR continued funding at the previous federal fiscal year 2012 funding level. With the passage of the Budget Control Act requiring the federal government to reduce spending by approximately $109 billion per year over fiscal years 2013 to 2021, this may no longer be the outcome. There are many variables to consider in looking at the impact to the federal budget. Scenarios based on current laws and policies, such as expiring tax provisions, automatic enforcement under the Budget Control Act, and scheduled reductions in Medicare's payment rates for physicians' services, versus alternative fiscal approaches that change current law, (i.e., extending tax provisions) holding Medicare's payment rates constant, and avoiding automatic spending reductions, may yield different budget outlooks and impacts to economic conditions. Pending Federal Reauthorizations Supplemental Nutrition Assistance Program/SNAP The 2012 reauthorization of the SNAP program via the "Farm Bill" is currently pending in Congress. Reauthorization proposals include measures to reduce SNAP appropriations over 10 years by placing limits on eligibility for SNAP benefits and making changes to how programs operate. Measures aimed at improving quality and accountability include funding to increase identification of benefit trafficking, adding new requirements for retailer participation, and placing new limits on eligibility for categorically eligible households, college students, and individuals with substantial lottery winnings. Reauthorization proposals preserve nutrition education, adding physical activity as an eligible use of the program. Proposals also require participating retailers to stock more staple foods like fruits and vegetables and bans stores from participating if sales of prohibited items (e.g., tobacco, alcohol) exceed 45 percent of total sales. Other provisions propose to eliminate or place limits on the ways states may use SNAP performance bonus payments. Workforce Investment Act The Workforce Investment Act is pending reauthorization. This is the main vehicle for reauthorizing the Vocational Rehabilitation grants to the Department of Assistive and Rehabilitative Services. This federal legislation proposes to consolidate more than a dozen existing federal workforce programs into a single Workforce Investment Fund. Vocational rehabilitation is exempt from the proposed consolidation at this time. If retained in the final bill, other elements of the legislation would require the same set of core indicators for job training, adult literacy, and vocational rehabiliation programs and also require states to submit a unified statewide workforce development plan to the federal government. Children's Health Insurance Program/CHIP The CHIP Reauthorization Act of 2009 (CHIPRA) authorized CHIP funding through federal fiscal year 2013. CHIPRA increased the amount of funding available to Texas. The allotment is adjusted annually based on a formula that takes into account actual expenditures, child population growth, and a measure of health care inflation. CHIPRA also included significant policy changes that impacted Texas, including requiring health maintenance organizations to pay federally-qualified rural health centers their full encounter rates, applying certain Medicaid managed care safeguards to CHIP, implementing mental health parity, and providing coverage to qualified immigrant children. CHIPRA also required Texas to provide expanded dental services which was implemented in March 2012. Ryan White HIV/AIDS Treatment Extension Act of 2009 The Ryan White HIV/AIDS Treatment Extension Act of 2009 is scheduled for reauthorization in 2013. Congress has not developed proposals for reauthorization and it is unknown at this time how the Affordable Care Act may impact reauthorization of this legislation. Transitional Medical Assistance and Qualifying Individuals Programs The provisions related to Transitional Medical Assistance (TMA) and Qualifying Individuals (QI) Programs were included in the payroll tax cut bill passed in December 2011 and are set to expire on December 31, 2012. These provisions were not part of the Continuing Resolution passed by Congress to fund FY 2013 until March 27, 2013. In order to extend the programs prior to expiration, Congressional action is needed when they convene in November 2012. Under TMA, low-income Medicaid beneficiaries who would otherwise become ineligible for Medicaid due to new or increased wages or hours at a job are entitled to up to 12 months of Medicaid benefits. QI receive help with part of their Medicare expenses through state Medicaid programs. Agency Specific Federal Issues This section includes information on specific federal grant funding issues being monitored by health and human services agencies. Title IV Part E Federal Payments for Foster Care and Adoption Assistance (DFPS) The federal financial participation of Title IV-E administrative funding is declining every year due to erosion of eligibility. This erosion is happening at the national level because federal law ties Title IV-E eligibility to the income and asset standards that were in place in 1996. Those standards have not been updated because the associated program (Aid to Families with Dependent Children/AFDC) no longer exists. This is an issue in Texas due to the large number of relative placements that are not verified foster homes and cannot be counted in the calculation to determine federal financial participation. Title IV-E administrative funding is used to help fund Child Protective Services (CPS) direct delivery staff in the Department of Family and Protective Services. As the federal financial participation decreases, more state funds are needed to maintain the existing number of staff for CPS direct delivery staff. DFPS has an exceptional item request for additional state funds needed in the FY 2014-2015 biennium to maintain the FY 2013 staff level. Disability Determination Services Program (DARS) The Disability Determination Services (DDS) program is 100 percent federally funded and is exempt from the sequestration legislation. However, the DDS program continues to operate under a hiring freeze issued by the Social Security Administration. While the program continues to perform better than the national average for case processing times, the Department of Assistive and Rehabilitative Services remains concerned about the inability to hire and continues to discuss staffing levels with the Social Security Administration. Public Health Preparedness (DSHS) The Pandemic and All-Hazards Preparedness Act Reauthorization of 2011 was passed by the Senate and is pending further Congressional action. This bill reauthorizes the Public Health Emergency Preparedness grant program which provides funding for local, regional, and state public health preparedness activities and the Hospital Preparedness grant program which provides resources and coordination for healthcare systems preparedness for responding to disasters. The agency anticipates reductions for both grant programs. A reduction could reduce the preparedness infrastructure and response capacity in the state, including Austin, regional and local public health entities, and healthcare partners. In addition, the Early Warning Infectious Disease Surveillance (EWIDS) program ended July 1, 2012. This program was established in 2003 to support intrastate, interstate, and bi-national capacity development for active infectious disease surveillance, laboratory testing, and emergency preparedness and response along and across the 1,200 mile Texas-Mexico border. The agency coordinates with local health department stakeholders and is sustaining the EWIDS staffing through the base Public Health Emergency Preparedness Program grant. If future federal budget reductions occur in this base grant, it may result in reduction or elimination of this bi-national surveillance. Laboratory Services Funding (DSHS) The state laboratory at DSHS could be greatly impacted by two proposed rules changes to the Select Agent and Toxin regulations (42 CFR Part 72) and to the Clinical Laboratory Improvement Act (CLIA '88) and Health Insurance Portability and Accountability Act (HIPAA 1996). The proposed changes to the Select Agent and Toxin regulations could force the laboratory to withdraw from the Centers for Disease Control and Prevention Laboratory Response Network, leaving the state without resources to test for biological threats associated with white powder incidences. Proposed rules changes to CLIA and HIPAA would necessitate that an authentication process be developed to provide patients direct access to test results. Additional staff would be required to develop this process and maintain the system. Texas Birth Defects Research Center (DSHS) The existing funding received through the Centers for Disease Control and Prevention for the Texas Birth Defects Research Center at DSHS is slated to end in November 2014. Federal funding has supported the Texas Birth Defects Center for the last 18 years. The current annual funding level is $900,000. It is uncertain what type of birth defects research will be awarded to states after 2014. In addition, federal Title V funding provides almost 50 percent of the Birth Defects Registry (non-research) operations. It is not certain to what extent continued Title V funding for birth defects registry operations would be available in the 2014-2015 biennium. Title V Maternal and Child Health Services Block Grant (DSHS) The federal Health Resources and Services Administration is proposing a change in the allocation formula for the Title V Maternal and Child Health Services Block Grant which could result in fluctuations of the grant award amounts from year to year. The final comments on the proposed formula changes published in July 2012 were due in September 2012. The change could be implemented as soon as the FY 2013 grant funding period. Currently, grant funds are based in part on a calculation of the number of children living in poverty (in an individual state) as compared to the total number of children living in poverty in the United States, using data from the U.S. Census Bureau's official decennial census. The proposed formula change would use the American Community Survey (ACS) data for children living in poverty. This allows the federal agency to implement annual changes to the state Title V Maternal and Child Health Services Block Grant allocations using the three-year ACS poverty estimates. Mental Health and Substance Abuse Block Grants (DSHS) The federal Substance Abuse and Mental Health Services Administration asked states to provide a coordinated and combined state plan application for the 2012 Mental Health Block Grant and the Substance Abuse Prevention and Treatment Block Grant. In addition, after implementation of the Affordable Care Act, the federal Substance Abuse and Mental Health Services Administration recommends that the block grant funds address services and activities focusing on the primary prevention of mental and substance use disorders. The funds could be directed to fund priority treatment and support services for individuals without insurance or for whom coverage is terminated for short periods of time; to fund those priority treatment and support services not covered by Medicaid, Medicare or private insurance for low income individuals; and, to fund primary prevention activities and services for persons not identified as needing treatment. Preventive Health and Health Services Block Grant (DSHS) In 2012, the block grant to Texas was decreased from $4.1 million to $3.1 million, resulting in the reduction of local public health programming and capacity across the state and decreasing the number of positions at the state, regional and local levels. Over the last 30 years, these funds allowed states to respond to the diverse, complex, and constantly changing public health needs of their communities. The block grant provided states the flexibility to prioritize the use of funds and fill funding gaps in public health programs dealing with leading causes of death and disability, preventing and controling chronic diseases such as heart disease, diabetes, and arthritis, and responding rapidly to emerging health issues including outbreaks of foodborne infections and water borne diseases. In response to recent reductions, Texas reprioritized and reduced public health services for disease surveillance and reporting, disease prevention and education programs, and water and food safety services in our communities. In addition state regional public health offices and local health departments have had to reduce or repurpose staffing including physicians, nurses, general sanitarians, epidemiologists, laboratory service staff, social service staff, health educators, and public health technicians. The proposed funding elimination could have a significant impact on critical public health responsibilities that protect health and safety and prevent disease, and on the capacity of local communities to maintain local public health systems and respond to public health emergency response activities across the state. Federal Funds Enhancement Initiatives The health and human services agencies were successful in efforts to enhance revenue and maximize the use of federal funds during the current biennium. By working with various federal funding sources, the state identified expenditures where additional federal funds could be claimed and qualified for new opportunities to bring additional dollars to Texas. The health and human services agencies continue to seek innovative ways to increase access to federal funds. Refinancing of Intellectual Disability Community Services This "safety net" program provides support for individuals in the intellectual disability priority population who reside in the community. Beginning in fiscal year 2012, up to 5,000 individuals who were Medicaid eligible were moved into the Texas Home Living waiver. This allowed Texas to "refinance" these services in order to receive federal matching funds. Texas will receive an estimated $22.5 million in matching federal funds for FY2012-2013. Temporary Assistance for Needy Families (TANF) Emergency Contingency Fund The American Recovery and Reinvestment Act of 2009 provided states the opportunity to receive additional funding through the TANF Emergency Contingency Fund. As a result of revenue maximization efforts, the Health and Human Services Commission submitted and received approval from the federal Administration for Children and Families for increased expenditures in non-recurrent short-term benefits. This included utility assistance ($15.6 million) and donated food and volunteer hours provided by food banks ($21.2 million). A portion of the funds were allocated to the Texas Food Bank Network to allow food banks to purchase Texas-grown or manufactured products and bulk purchase staples, such as peanut butter, beans, or rice that food banks identified as being in short supply. TANF Contingency Fund In 2012 Texas applied for and received approximately $42 million in additional funds requested through the TANF Contingency Funds grant. These funds are separate and apart from the TANF Emergency Contingency Funds and were created under the Personal Responsibility and Work Opportunity Reconciliation Act. Unlike the regular TANF block grant which provides a fixed funding amount to states regardless of economic conditions, the TANF Contingency Fund provides additional TANF funds to states in times of economic downturn when states reach high levels of unemployment and/or food stamp caseloads. Texas met the threshold, based on SNAP caseload. TANF Contingency Funds can be used for any purpose for which regular TANF funds are used but must be spent in the fiscal year they are received. Supplemental Nutrition Assistance Program (SNAP) Outreach Activities In FY 2012 the state was able to claim additional SNAP funding through an agreement with the US Department of Agriculture involving outreach-related expenditures. The state received approximately $937,000 in additional federal funds based on expenditures for the targeted outreach and education activities by the state and enhanced outreach efforts by the local food banks related to SNAP. - Approximately $350,000 for targeted outreach and education activities. - Approximately $326,000 for outreach activities based on the number of SNAP recipients requesting food from local food banks. - Approximately $261,000 from collaboration between HHSC and the food bank network to provide outreach by purchasing labeled boxes with messages about the SNAP program and where to get assistance and apply for benefits. The additional SNAP funds were passed through to the local organizations. To quantify how much of their outreach effort is SNAP related, food banks must document the number of applications they receive that are SNAP related relative to all applications received and apply that percentage to their total outreach effort. There were four food banks participating in FY 2012 and seven are expected to participate in FY 2013. Reallotment funds for Older Blind, Supported Employment and Independent Living grants The Department of Assistive and Rehabilitative Services requested 2012 Reallotment funds for Older Blind (OB), Supported Employment (SE), and Independent Living (IL) grants. The OB and IL grants require a 10 percent state match and the SE grant has no state match requirements. The agency requested approximately $2.7 million and received about $7,000. Receiving these additional federal funds is not automatic; the availability of funds is determined by other states returning their unused funds to the federal programs. VIII. P ROVIDER R ATE C ONSIDERATIONS AND M ETHODOLOGY Overview of Provider Rate Considerations and Methodology Direct services received by health and human services clients are predominantly provided through the private sector. While state employees determine client eligibility and provide protective and regulatory services, medical, residential and social services are generally received by clients in community settings from private sector individuals or entities 1 . These providers may also serve individuals who do not receive state funded services. The provider community expects, at a minimum, to be reimbursed for the cost of rendering service and most providers operate as a business, desiring the opportunity to earn a profit when providing efficient care which meets regulatory standards. The Texas health and human services system should provide adequate reimbursement to permit client access to necessary and efficiently delivered services for clients enrolled in state funded programs. Figure VIII.1 illustrates the cost of providing increases/decreases in the rates paid to providers and the cost of providing a 1 percent rate change. The 1 percent rate increment can be used to estimate the fiscal impact to the state for each 1 percent rate increase or decrease. The overall percent rate changes in this figure represent rate changes required to recognize increases/decreases in costs incurred by providers as verified through audited cost reports, in some cases routine inflation over current rates, for select programs the cost to implement federally mandated rates, or the cost to increase rates to Medicare rates for programs that have their rates based on the Medicare methodology. Rate increases may be needed in order to appropriately reimburse providers for changes in their costs in delivering care to HHS clients. Without additional funding for rate increases, continued rising costs incurred by providers will erode the quality of services delivered and could result in access to care problems for clients due to fewer providers willing to deliver services for the level of Medicaid reimbursement, unless providers can adjust their business practices to reduce costs. In general, most Medicaid services had rate increases effective September 1, 2007; however, those rate increases in some cases still lagged behind routine inflation, or the costs incurred by providers (as determined through the rate methodologies and provider reported/audited costs) or Medicare rates. Prior to the September 1, 2007 rate increases, most services had their rates reduced effective September 1, 2003, and then had them held flat until the rate increases restored the reduced rates for most services effective September 1, 2007. Many provider rates were reduced by 1 percent effective September 1, 2010, 1 percent February 1, 2011 and by varying percentages effective September 1, 2011. HHSC develops approximately 158,000 different rates, primarily for the Medicaid program. Of this amount 360 rates are for health maintenance organizations, 955 are for nursing facilities, 28,000 for school health and related services, 473 for inpatient hospital standard dollar amounts and 745 for inpatient hospitals diagnostic related groups, 112,592 are for physicians and other 1 State employees also provide mental health and residential services at state hospitals, state supported living centers and state centers. professionals, 1,991 are for durable medical equipment, and 2,773 are for Texas Health Steps medical providers. In addition to the rate tables, information is provided on several specific rate issues including long-term services and supports and compensation for attendant workers. See the figure below and Appendix C for the cost of providing a 1 percent rate change for each program is identified. In addition, Appendix C provides estimates for the cost of fully funding the various rates using current methodologies; provides estimates for a $1 per hour increase for attendant wages; and a comparison of Medicaid rates with select physician/professional fees and select dental fees. Cost of One Percent Rate Change Figure VIII.1 Estimated Cost of 1 Percent Rate Change \| Program by Budget Agency \| Last Rate Increase \| \| Rate Reduction Since Last Rate Increase \| \| Incremental Cost of 1 Percent Rate Change \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Date \| Percent \| Date \| Percent \| 2014 \| \| 2015 \| \| \| \| \| \| \| \| AF \| GR \| AF \| GR \| \| DADS \| \| \| \| \| \| \| \| \| \| Service Coordination (ID) \| 6/1/2010 \| 5.00% \| NA \| NA \| 6 44,524 \| 2 59,356 \| 6 44,524 \| 259,099 \| \| PASSR Assessment Effective 2-1-2013 \| NA \| NA \| NA \| NA \| 4 ,181 \| 1 ,682 \| 4 ,181 \| 1,681 \| \| PASSR Specialized Services Effective 2-1-2013 \| NA \| NA \| NA \| NA \| 9 3,954 \| 3 7,807 \| 9 3,954 \| 37,770 \| \| Community Attendant Services \| 8/1/2009 \| $0.80 per hour minimum wage rate increase* \| NA \| NA \| 5 ,332,152 \| 2 ,145,658 \| 5 ,435,433 \| 2,185,044 \| \| Community Based Alternatives \| 8/1/2009 \| $0.80 per hour minimum wage rate increase* \| 9/1/2011 \| 3.95% for Personal Assistance and Financial Management Services \| 1 ,620,032 \| 6 51,901 \| 1,620,032 \| 651,253 \| \| Community Living Assistance and Support Services \| 8/1/2009 \| $0.80 per hour minimum wage rate increase* \| NA \| NA \| 1 ,957,026 \| 7 87,507 \| 1,957,026 \| 786,724 \| \| Day Activity and Health Services - Title XIX \| 8/1/2009 \| $0.80 per hour minimum wage rate increase* \| NA \| NA \| 1 16,393 \| 4 6,837 \| 118,373 \| 47,586 \| \| Deaf-Blind Multiple Disabilities \| 6/15/2010 \| 18% increase for Intervenors \| NA \| NA \| 7 9,469 \| 3 1,978 \| 7 9,469 \| 31,946 \| \| Home and Community-based Services \| 10/1/2009 \| 4.25% \| 9/1/2011 \| 3% to 44% depending on service \| 8 ,607,183 \| 3 ,463,531 \| 8 ,607,183 \| 3,460,088 \| \| Note 1 Hospice Payments (NF Related Only) \| 9/1/2009 \| 2.79% \| 9/1/2011 \| 3.00% \| 2,459,164 \| 9 89,568 \| 2,527,304 \| 1,015,976 \| \| Intermediate Care Facilities - Intellectual Disabilities \| 9/1/2009 \| 1.50% \| 9/1/2011 \| 5.00% \| 3,186,638 \| 1 ,282,303 \| 3 ,186,638 \| 1,281,028 \| Estimated Cost of 1 Percent Rate Change \| Program by Budget Agency \| Last Rate Increase \| \| Rate Reduction Since Last Rate Increase \| \| Incremental Cost of 1 Percent Rate Change \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Date \| Percent \| Date \| Percent \| 2014 \| \| 2015 \| \| \| \| \| \| \| \| AF \| GR \| AF \| GR \| \| DADS, continued \| \| \| \| \| \| \| \| \| \| Medically Dependent Children Program \| 8/1/2009 \| $0.80 per hour minimum wage rate increase \| NA \| NA \| 414,743 \| 1 66,893 \| 4 14,743 \| 166,727 \| \| Non-Medicaid Services - Title XX \| 8/1/2009 \| $0.80 per hour minimum wage rate increase* \| NA \| NA \| 8 80,537 \| 8 80,537 \| 8 80,537 \| 880,537 \| \| Nursing Facility \| 9/1/2009 \| 2.79% \| 2/1/2011 \| 3.00% \| 2 7,442,746 \| 1 1,042,961 \| 2 7,497,713 \| 11,054,080 \| \| Primary Home Care \| 8/1/2009 \| $0.80 per hour minimum wage rate increase* \| NA \| NA \| 9 75,776 \| 3 92,652 \| 9 75,908 \| 392,315 \| \| Program of All-inclusive Care for the Elderly \| 9/1/2012 \| -0.5% OVERALL \| NA \| NA \| 3 79,130 \| 1 52,562 \| 3 79,130 \| 152,410 \| \| Promoting Independence Services \| 8/1/2009 \| $0.80 per hour minimum wage rate increase \| NA \| NA \| 991,530 \| 3 98,992 \| 1,044,205 \| 419,770 \| \| Texas Home Living Waiver \| 10/1/2009 \| 39.49% \| 2/1/2011 \| 2.00% \| 550,848 \| 221,661 \| 5 50,848 \| 221,441 \| \| Total DADS (with totals only included) \| \| \| \| \| 55,736,028 \| 22,954,386 \| 56,017,201 \| 23,045,475 \| Note 1: Tied by federal law to 95% of NF rates - any changes to NF rates will impact Hospice Payments. * Effective 9/1/09, there was a $19.2 million GR funding increase for certain DADS Community Care programs for rate enhancement. DARS \| Note 2 ECI - Case Management \| 3/15/2010 \| 24.00% \| NA \| NA \| 209,256 \| 84,205 \| 216,370 \| 86,981 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| ECI - Development Rehabilitative Services \| 3/15/2010 \| 5.71% \| NA \| NA \| 380,783 \| 153,227 \| 393,730 \| 158,279 \| Note 2: Rate change effective 10-1-2011 to reflect change in reimbursement methodology eliminating monthly unit of services as directed by CMS. Estimated Cost of 1 Percent Rate Change \| Program by Budget Agency \| Last Rate Increase \| \| Rate Reduction Since Last Rate Increase \| \| Incremental Cost of 1 Percent Rate Change \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Date \| Percent \| Date \| Percent \| 2014 \| \| 2015 \| \| \| \| \| \| \| \| AF \| GR \| AF \| GR \| \| DFPS \| \| \| \| \| \| \| \| \| \| 24-Hr. Residential Child Care (Foster Care) - Foster Family \| 9/1/2009 \| 3.33% \| NA \| NA \| 172,764 \| 93,103 \| 171,916 \| 92,732 \| \| CPA - Foster Family Pass Through \| 9/1/2009 \| 3.33% \| NA \| NA \| 1,038,958 \| 611,011 \| 1,028,913 \| 605,310 \| \| CPA - Retainage \| 9/1/2009 \| 1.33% \| NA \| NA \| 1,354,284 \| 796,455 \| 1,355,155 \| 797,238 \| \| 24-Hr. Residential Child Care (Foster Care) - Child Placing Agency (CPA) \| 9/1/2009 \| 2.41% \| NA \| NA \| 2,393,028 \| 1,407,340 \| 2,385,828 \| 1,403,422 \| \| 24-Hr. Residential Child Care (Foster Care) - Residential Treatment Facility \| 9/1/2009 \| 9.30% \| NA \| NA \| 885,655 \| 604,282 \| 886,409 \| 605,949 \| \| 24-Hr. Residential Child Care (Foster Care) - Emergency Shelter \| 9/1/2009 \| 8.68% \| NA \| NA \| 219,451 \| 142,885 \| 224,027 \| 145,864 \| \| Note 3 24-Hr. Residential Child Care (Foster Care) - Total All Provider Types \| NA \| NA \| NA \| NA \| 3,671,113 \| Note 4 2,247,736 \| 3,673,189 \| Note 5 2,247,092 \| \| Psychiatric Transition (Intensive Psychiatric Step Down) \| NA \| NA \| NA \| NA \| 28,835 \| Note 6 22,116 \| 29,363 \| Note 7 22,522 \| \| Total DFPS (with totals only included) \| \| \| \| \| 9,764,090 \| 5,924,928 \| 9,754,801 \| 5,920,128 \| Note 3: Supervised Independent Living (SIL) is a new 24 hour residential child care (foster care) living arrangement. SIL is scheduled to begin in FY 2013. Future costs are unknown; however, DFPS believes any costs associated with SIL are being captured through the 24 hour residential child care costs (foster care). Note 4: If TANF funding is available, up to $728,042 of this amount is eligible for TANF funding the remaining $1,519,694 must be GR Note 5: If TANF funding is available, up to $727,833 of this amount is eligible for TANF funding the remaining $1,519,259 must be GR Note 6: If TANF funding is available, up to $12,235 of this amount is eligible for TANF funding the remaining $9,881 must be GR Note 7: If TANF funding is available, up to $12,459 of this amount is eligible for TANF funding the remaining $10,063 must be GR \| Note 8 & 9 Children with Special Health Care Needs (CSHCN) - Outpatient Hospital \| 9/1/2007 \| 2.50% \| 2/1/2011 \| 2.00% \| 40,849 \| 21,650 \| 40,849 \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| Note 8 & 9 CSHCN - Ambulance Services \| 9/1/2009 \| 2.50% \| 2/1/2011 \| 2.00% \| 2,261 \| 1,198 \| 2,261 \| \| Note 8 & 9 CSHCN - Durable Medical Equipment, Prosthetics, Orthotics, Supplies \| Various 2008 \| 2.50% \| 2/1/2011 \| 2.00% \| 12,927 \| 6,851 \| 12,927 \| \| Note 8 & 9 CSHCN - Drugs/Biologicals \| 10/1/2008 \| 2.50% \| 2/1/2011 \| 2.00% \| 80,881 \| 42,867 \| 80,881 \| Estimated Cost of 1 Percent Rate Change \| Program by Budget Agency \| Last Rate Increase \| \| Rate Reduction Since Last Rate Increase \| \| Incremental Cost of 1 Percent Rate Change \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Date \| Percent \| Date \| Percent \| 2014 \| \| 2015 \| \| \| \| \| \| \| \| AF \| GR \| AF \| GR \| \| DSHS, continued \| \| \| \| \| \| \| \| \| \| Note 8 & 9 TEFRA Based Inpatient Hospital (Cost-Based) \| NA \| NA \| NA \| NA \| 34,377 \| 18,220 \| 34,377 \| 18,220 \| \| Note 8 & 9 CSHCN - Nursing \| 11/1/2002 \| 2.50% \| 2/1/2011 \| 2.00% \| 666 \| 353 \| 666 \| 353 \| \| Note 8 & 9 CSHCN - Physician & Professional Services - Total \| 9/1/2007 \| 2.50% \| 2/1/2011 \| 2.00% \| 30,109 \| 15,958 \| 30,109 \| 15,958 \| \| Note 8 & 9 Family Planning - Durable Medical Equipment, Prosthetics, Orthotics, \| Various 2008 \| 2.50% \| 2/1/2011 \| 2.00% \| 6,585 \| 0 \| 6,585 \| 0 \| \| Note 8 & 9 Family Planning - Drugs/Biologicals \| 10/1/2008 \| 2.50% \| 2/1/2011 \| 2.00% \| 47,881 \| 0 \| 47,881 \| 0 \| \| Note 8 & 9 Family Planning - Clinical Laboratory \| 4/1/2008 \| 2.50% \| 2/1/2011 \| 2.00% \| 34,248 \| 0 \| 34,248 \| 0 \| \| Note 8 & 9 Family Planning - Physician & Professional Services (Includes Women's Health Program) - Adults - Total \| 9/1/2007 \| 2.50% \| 2/1/2011 \| 2.00% \| 40,334 \| 0 \| 40,334 \| 0 \| \| Note 8 & 9 Maternal and Child Health - \| 9/1/2007 \| 2.50% \| 2/1/2011 \| 2.00% \| 41,916 \| 0 \| 41,916 \| 0 \| \| Maternal and Child Health - Physician & Professional Services - Children - Total \| 9/1/2007 \| 2.50% \| 2/1/2011 \| 2.00% \| 19,942 \| 0 \| 19,942 \| 0 \| \| Note 8 & 9 Maternal and Child Health - Physician & Professional Services - Adults - Total \| 9/1/2007 \| 2.50% \| 2/1/2011 \| 2.00% \| 27,685 \| 27,685 \| 27,685 \| 27,685 \| \| Note 10 Mental Health (MH) Targeted Case Management - Adult \| 9/1/2004 \| New Service \| 2/1/2011 \| 2.00% \| 89,066 \| 35,840 \| 93,297 \| 37,505 \| Estimated Cost of 1 Percent Rate Change \| Program by Budget Agency \| Last Rate Increase \| \| Rate Reduction Since Last Rate Increase \| \| Incremental Cost of 1 Percent Rate Change \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Date \| Percent \| Date \| Percent \| 2014 \| \| 2015 \| \| \| \| \| \| \| \| AF \| GR \| AF \| GR \| \| DSHS, continued \| \| \| \| \| \| \| \| \| \| Note 10 MH Rehabilitative Services - Adult \| 9/1/2004 \| New Service \| 2/1/2011 \| 2.00% \| 984,197 \| 396,041 \| 1,030,946 \| 414,440 \| \| Note 10 MH Rehabilitative Services - Children \| 9/1/2004 \| New Service \| 2/1/2011 \| 2.00% \| 422,207 \| 169,896 \| 446,441 \| 179,469 \| \| Note 8 & 9 Substance Use Disorder \| 9/1/2007 \| 7.00% \| NA \| NA \| 753,771 \| 109,071 \| 761,309 \| 110,161 \| \| NorthSTAR -- Medicaid Inpatient Hospital \| NA \| NA \| NA \| NA \| 80,488 \| 32,388 \| 85,037 \| 34,185 \| \| NorthSTAR -- MH Rehabilitative Services - \| NA \| NA \| NA \| NA \| 26,227 \| 10,554 \| 27,659 \| 11,119 \| \| NorthSTAR -- MH Rehabilitative Services - Adults \| NA \| NA \| NA \| NA \| 45,666 \| 18,376 \| 48,307 \| 19,419 \| \| NorthSTAR -- MH Targeted Case Management - Children \| NA \| NA \| NA \| NA \| 6,700 \| 2,696 \| 7,066 \| 2,841 \| \| NorthSTAR -- MH Targeted Case Management - Adults \| NA \| NA \| NA \| NA \| 17,182 \| 6,914 \| 18,176 \| 7,307 \| \| NorthSTAR - Physician & Professional Services - Total \| NA \| NA \| NA \| NA \| 116,408 \| 46,843 \| 122,988 \| 49,441 \| \| NorthSTAR -- Medicaid Institutions for Mental Disease (State Hospitals) \| NA \| NA \| NA \| NA \| 146,244 \| 58,849 \| 154,510 \| 62,113 \| \| Youth Empowerment Services (YES) Waiver \| 4/1/2012 \| 17% for Community Living Supports; 34% for Family Supports \| NA \| NA \| 30,000 \| 12,210 \| 30,000 \| 12,210 \| Note 8: 1% Fiscal impact displayed for CSHCN, Maternal and Child Health Services, and Substance Use Disorder Services reflects 1% decrease only, a 1% increase to these programs would be 100% GR funded at the All Funds amount. Note 9: "GR" for these programs is Fund 8003 GR Match for Maternal Child Health Block Grant or 8002 General Revenue for Substance Abose Block Grant. Any reduction in general revenue may result in loss of federal block grants and elimination of this program. Note 10: Mental Health Targeted Case Management and Rehabilitative Services rates adjusted effective 9-1-2011 to reflect the change in reimbursement methodology eliminating cost settlement adjusted rates to reflect a statewide prospective in lieu of provider specific rate with cost settlement. Estimated Cost of 1 Percent Rate Change \| Program by Budget Agency \| Last Rate Increase \| \| Rate Reduction Since Last Rate Increase \| \| Incremental Cost of 1 Percent Rate Change \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Date \| Percent \| Date \| Percent \| 2014 \| \| 2015 \| \| \| \| \| \| \| \| AF \| GR \| AF \| GR \| \| HHSC \| \| \| \| \| \| \| \| \| \| Anesthesia - Children \| 9/1/2007 \| 21.58% \| 2/1/2011 \| 2.00% \| 501,845 \| 201,942 \| 530,651 \| 213,322 \| \| Anesthesia - Adults \| 1/1/2010 \| 9.23% \| 2/1/2011 \| 2.00% \| 424,484 \| 170,812 \| 444,647 \| 178,748 \| \| Anesthesia - Certified Registered Nurse Anesthetist - \| 9/1/2007 \| 21.58% \| 2/1/2011 \| 2.00% \| 89,975 \| 36,206 \| 95,139 \| 38,246 \| \| Anesthesia - Certified Registered Nurse Anesthetist - \| 1/1/2010 \| 9.23% \| 2/1/2011 \| 2.00% \| 105,464 \| 42,439 \| 110,474 \| 44,411 \| \| Ambulance Services \| 9/1/2009 \| 29.97% \| 2/1/2011 \| 2.00% \| 1,439,718 \| 579,343 \| 1,508,104 \| 606,258 \| \| Ambulatory Surgical Center/Hospital Ambulatory Surgical Center \| 9/1/2007 \| 2.50% \| 9/1/2011 \| 5.00% \| 738,785 \| 297,287 \| 773,882 \| 311,100 \| \| Birthing Centers \| 7/1/2012 \| 250.00% \| 9/1/2011 \| 5.00% \| 1,837 \| 739 \| 1,924 \| 773 \| \| Children & Pregnant Women - Case Management - Children \| 9/1/2007 \| 55.50% \| 2/1/2011 \| 2.00% \| 13,964 \| 5,619 \| 14,627 \| 5,880 \| \| Children & Pregnant Women - Case Management -Adults \| 9/1/2007 \| 55.50% \| 2/1/2011 \| 2.00% \| 2,370 \| 954 \| 2,506 \| 1,007 \| \| Children's Health Insurance Program (CHIP) (including perinate, excluding pharmacy costs) \| 9/1/2013 \| -0.3% (3/1/12), - 1.1% (9/1/12) \| NA \| NA \| 10,479,756 \| 2,952,147 \| 10,679,899 \| 3,005,324 \| \| CHIP Dental \| 9/1/2013 \| -9.5% Overall, since 9/1/2012 \| NA \| NA \| 1,559,260 \| 439,244 \| 1,588,591 \| 447,030 \| \| CHIP Vendor Drug Dispensing Fee \| 3/1/2012 \| MC rollout for VD decreased Disp Fee from $6.5/RX +1.96% to $1.50/RX \| NA \| NA \| 34,613 \| 9,750 \| 35,265 \| 9,924 \| \| Clinical Laboratory Fees (non- state owned) \| 4/1/2008 \| 2.60% \| 9/1/2011 \| 10.50% \| 2,342,303 \| 942,543 \| 2,476,659 \| 995,617 \| \| Orthodontics - Children \| 9/1/2007 \| 52.50% \| 2/1/2011 \| 2.00% \| 2,578,604 \| 1,037,630 \| 2,726,616 \| 1,096,100 \| \| Orthodontics - Adults \| 9/1/2007 \| 52.50% \| 2/1/2011 \| 2.00% \| 12,792 \| 5,148 \| 13,400 \| 5,387 \| \| Dental Services - Children's \| 9/1/2007 \| 52.50% \| 2/1/2011 \| 2.00% \| 12,415,824 \| 4,996,128 \| 13,128,492 \| 5,277,654 \| \| Dental Services - Adults \| 9/1/2007 \| 52.50% \| 2/1/2011 \| 2.00% \| 65,130 \| 26,208 \| 68,223 \| 27,426 \| \| Durable Medical Equipment, Prosthetics, Orthotics, Supplies (DMEPOS) \| \| \| \| \| \| \| \| \| \| Diabetic Equipment and Supplies \| Various 2008 \| 10.00% \| 9/1/2011 \| 10.00% \| 261,145 \| 105,085 \| 273,550 \| 109,967 \| \| Hearing \| Various 2008 \| 10.00% \| 9/1/2011 \| 10.00% \| 770,180 \| 309,920 \| 806,763 \| 324,319 \| Estimated Cost of 1 Percent Rate Change \| Program by Budget Agency \| Last Rate Increase \| \| Rate Reduction Since Last Rate Increase \| \| Incremental Cost of 1 Percent Rate Change \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Date \| Percent \| Date \| Percent \| 2014 \| \| 2015 \| \| \| \| \| \| \| \| AF \| GR \| AF \| GR \| \| HHSC, continued \| \| \| \| \| \| \| \| \| \| Hospital Beds and Accessories \| Various 2008 \| 10.00% \| 9/1/2011 \| 10.00% \| 84,263 \| 33,907 \| 88,265 \| 35,483 \| \| Incontinence Supplies \| Various 2008 \| 10.00% \| 9/1/2011 \| 10.00% \| 1,929,119 \| 776,277 \| 2,020,752 \| 812,342 \| \| Kidney Machines and Access \| Various 2008 \| 10.00% \| 9/1/2011 \| 10.00% \| 1,675 \| 674 \| 1,754 \| 705 \| \| Miscellaneous DME Equipment and Supplies \| Various 2008 \| 10.00% \| 9/1/2011 \| 10.00% \| 279,449 \| 112,450 \| 292,722 \| 117,674 \| \| Mobility Aids \| Various 2008 \| 10.00% \| 9/1/2011 \| 10.00% \| 62,802 \| 25,272 \| 65,785 \| 26,446 \| \| Neurostimulators \| Various 2008 \| 10.00% \| 9/1/2011 \| 10.00% \| 13,808 \| 5,556 \| 14,464 \| 5,815 \| \| Nutrition \| Various 2008 \| 10.00% \| 9/1/2011 \| 10.00% \| 1,239,095 \| 498,612 \| 1,297,953 \| 521,777 \| \| Orthotics \| Various 2008 \| 10.00% \| 9/1/2011 \| 10.00% \| 193,736 \| 77,959 \| 202,938 \| 81,581 \| \| Oxygen and Related Respiratory Equipment \| Various 2008 \| 10.00% \| 9/1/2011 \| 10.00% \| 584,898 \| 235,363 \| 612,681 \| 246,298 \| \| Prosthetics \| Various 2008 \| 10.00% \| 9/1/2011 \| 10.00% \| 60,990 \| 24,542 \| 63,887 \| 25,683 \| \| Speech Generating Devices/Augmentive Communication Devices \| Various 2008 \| 10.00% \| 9/1/2011 \| 10.00% \| 2,867 \| 1,154 \| 3,003 \| 1,207 \| \| Wheel Chairs \| Various 2008 \| 10.00% \| 9/1/2011 \| 10.00% \| 489,827 \| 197,106 \| 513,094 \| 206,264 \| \| Wound Therapy \| Various 2008 \| 10.00% \| 9/1/2011 \| 10.00% \| 101,841 \| 40,981 \| 106,679 \| 42,885 \| \| Vision \| Various 2008 \| 10.00% \| 9/1/2011 \| 10.00% \| 328,433 \| 132,161 \| 344,033 \| 138,301 \| \| Family Planning - Children \| 9/1/2007 \| 10.06% \| 2/1/2011 \| 2.00% \| 189,939 \| 18,994 \| 200,841 \| 20,084 \| \| Family Planning - Adults \| 9/1/2007 \| 4.00% \| 2/1/2011 \| 2.00% \| 453,142 \| 45,314 \| 474,666 \| 47,467 \| \| Federally Qualified Health Centers \| 1/1/2012 \| Medicare Economic Index (MEI) (0.6%) or MEI+0.5% \| 1/1/2011 \| 1.00% \| \| \| \| \| \| \| \| \| \| \| 529,297 \| 212,989 \| 529,297 \| 212,777 \| \| Freestanding Psychiatric Hospitals (non-state owned) \| 1/1/2008 \| 18.18% \| 9/1/2011 \| 8.00% \| 332,881 \| 133,951 \| 348,765 \| 140,204 \| \| TEFRA Based Inpatient Hospital (Cost-Based) \| NA \| NA \| NA \| NA \| 10,222,127 \| 4,113,384 \| 10,707,744 \| 4,304,513 \| \| Inpatient Hospital - SDA Rebasing \| 9/1/2001 \| 13.87% \| 9/1/2012 \| Funding reduced by $20 million GR as hold harmless for SDA transition ends \| 26,034,047 \| 10,476,101 \| 27,270,832 \| 10,962,874 \| \| Outpatient Hospital \| 9/1/2007 \| 2.50% \| 9/1/2011 \| 10.00% \| 14,044,396 \| 5,651,465 \| 14,711,596 \| 5,914,061 \| \| Outpatient Imaging \| NA \| NA \| NA \| NA \| 863,812 \| 347,598 \| 904,848 \| 363,749 \| \| HHA- Home Health Aide Services \| 9/1/2007 \| 2.50% \| 2/1/2011 \| 2.00% \| 1,412 \| 568 \| 1,479 \| 595 \| \| HHA - Other Services (Supplies) \| 9/1/2007 \| 2.50% \| 2/1/2011 \| 2.00% \| 3,914 \| 1,575 \| 4,100 \| 1,648 \| Estimated Cost of 1 Percent Rate Change \| Program by Budget Agency \| Last Rate Increase \| \| Rate Reduction Since Last Rate Increase \| \| Incremental Cost of 1 Percent Rate Change \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Date \| Percent \| Date \| Percent \| 2014 \| \| 2015 \| \| \| \| \| \| \| \| AF \| GR \| AF \| GR \| \| HHSC, continued \| \| \| \| \| \| \| \| \| \| HHA - Skilled Nursing Services \| 9/1/2007 \| 2.50% \| 2/1/2011 \| 2.00% \| 173,336 \| 69,750 \| 181,569 \| 72,991 \| \| Laboratory Services - Children \| 9/1/2007 \| 27.50% \| 2/1/2011 \| 2.00% \| 67,017 \| 26,968 \| 70,864 \| 28,487 \| \| Laboratory Services - Adults \| 9/1/2007 \| 12.50% \| 2/1/2011 \| 2.00% \| 136,917 \| 55,095 \| 143,421 \| 57,655 \| \| Maternity Service Clinic \| NA \| NA \| 9/1/2011 \| 7.00% \| 1,845 \| 742 \| 1,933 \| 777 \| \| Note11 Medical Transportation \| NA \| NA \| 9/1/2010 \| 3.68% 1.0% \| 43,265 \| 17,609 \| 45,321 \| 18,446 \| \| Physician And Other Practitioners - Children \| 9/1/2007 \| 27.50% \| 2/1/2011 \| 2.00% \| 9,249,767 \| 3,722,106 \| 9,780,703 \| 3,931,943 \| \| Physician And Other Practitioners - Adults \| 9/1/2007 \| 12.50% \| 2/1/2011 \| 2.00% \| 5,679,886 \| 2,285,586 \| 5,949,680 \| 2,391,771 \| \| Note 12 ACA Physicians Primary Care - Children \| 9/1/2007 \| 27.50% \| 2/1/2011 \| 2.00% \| 0 \| 0 \| 623,468 \| 250,634 \| \| Note 12 ACA Physicians Primary Care - Adults \| 9/1/2007 \| 12.50% \| 2/1/2011 \| 2.00% \| 0 \| 0 \| 141,411 \| 56,847 \| \| Note 12 ACA THSteps Providers Primary Care - Children \| 9/1/2007 \| 27.50% \| 2/1/2011 \| 2.00% \| 0 \| 0 \| 1,530,497 \| 615,260 \| \| Note 12 ACA Physicians Vaccine Administration - Children \| 9/1/2007 \| 27.50% \| 2/1/2011 \| 2.00% \| 0 \| 0 \| 61,402 \| 24,684 \| \| Note 12 ACA Physicians Vaccine Administration - Adults \| 9/1/2007 \| 12.50% \| 2/1/2011 \| 2.00% \| 0 \| 0 \| 425 \| 171 \| \| Note 12 ACA THSteps Providers Vaccine Administration- Children \| 9/1/2007 \| 27.50% \| 2/1/2011 \| 2.00% \| 0 \| 0 \| 157,579 \| 63,347 \| \| Physicians Vaccine Administration - Children \| 9/1/2007 \| 27.50% \| 2/1/2011 \| 2.00% \| 99,713 \| 40,125 \| 105,436 \| 42,385 \| \| Physicians Vaccine Administration - Adults \| 9/1/2007 \| 12.50% \| 2/1/2011 \| 2.00% \| 2,374 \| 955 \| 2,487 \| 1,000 \| \| Physician- Administered Drugs/Biological Fees - Children \| 10/1/2008 \| 3.59% \| 2/1/2011 \| 2.00% \| 41,306 \| 16,622 \| 43,677 \| 17,558 \| \| Physician- Administered Drugs/Biological Fees - Adults \| 10/1/2008 \| 3.59% \| 2/1/2011 \| 2.00% \| 157,494 \| 63,376 \| 164,975 \| 66,320 \| \| Physician-Administered Oncology Drugs - Children \| 10/1/2008 \| 3.59% \| 2/1/2011 \| 2.00% \| 12,185 \| 4,903 \| 12,884 \| 5,179 \| \| Physician-Administered Oncology Drugs - Adults \| 10/1/2008 \| 3.59% \| 2/1/2011 \| 2.00% \| 407,678 \| 164,050 \| 427,043 \| 171,671 \| Estimated Cost of 1 Percent Rate Change \| Program by Budget Agency \| Last Rate Increase \| \| Rate Reduction Since Last Rate Increase \| \| Incremental Cost of 1 Percent Rate Change \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Date \| Percent \| Date \| Percent \| 2014 \| \| 2015 \| \| \| \| \| \| \| \| AF \| GR \| AF \| GR \| \| HHSC, continued \| \| \| \| \| \| \| \| \| \| Certified Nurse Midwife - Children \| 9/1/2007 \| 27.50% \| 2/1/2011 \| 2.00% \| 3,005 \| 1,209 \| 3,177 \| 1,277 \| \| Certified Nurse Midwife - Adults \| 9/1/2007 \| 27.50% \| 2/1/2011 \| 2.00% \| 6,388 \| 2,571 \| 6,692 \| 2,690 \| \| Chiropractors - Children \| 9/1/2007 \| 27.50% \| 2/1/2011 \| 2.00% \| 2,133 \| 858 \| 2,256 \| 907 \| \| Chiropractors - Adults \| 9/1/2007 \| 12.50% \| 2/1/2011 \| 2.00% \| 4,048 \| 1,629 \| 4,241 \| 1,705 \| \| Comprehensive Care Program Social Worker - Children \| 9/1/2007 \| 27.50% \| 2/1/2011 \| 2.00% \| 19,532 \| 7,860 \| 20,653 \| 8,303 \| \| Comprehensive Care Program Social Worker - \| 9/1/2007 \| 12.50% \| 2/1/2011 \| 2.00% \| 1,427 \| 574 \| 1,495 \| 601 \| \| Geneticist - Children \| 9/1/2007 \| 27.50% \| 2/1/2011 \| 2.00% \| 15,084 \| 6,070 \| 15,950 \| 6,412 \| \| Geneticist - Adults \| 9/1/2007 \| 12.50% \| 2/1/2011 \| 2.00% \| 4,626 \| 1,862 \| 4,846 \| 1,948 \| \| Licensed Clinical Social Worker - Children \| 9/1/2007 \| 27.50% \| 2/1/2011 \| 2.00% \| 41,474 \| 16,689 \| 43,854 \| 17,629 \| \| Licensed Clinical Social Worker - Adults \| 9/1/2007 \| 12.50% \| 2/1/2011 \| 2.00% \| 11,453 \| 4,609 \| 11,997 \| 4,823 \| \| Licensed Marriage and Family Therapist - \| 9/1/2007 \| 27.50% \| 2/1/2011 \| 2.00% \| 7,292 \| 2,934 \| 7,710 \| 3,099 \| \| Licensed Marriage and Family Therapist - Adults \| 9/1/2007 \| 12.50% \| 2/1/2011 \| 2.00% \| 1,167 \| 470 \| 1,222 \| 491 \| \| Licensed Professional Counselors - Children \| 9/1/2007 \| 27.50% \| 2/1/2011 \| 2.00% \| 452,963 \| 182,272 \| 478,963 \| 192,543 \| \| Licensed Professional Counselors - Adults \| 9/1/2007 \| 12.50% \| 2/1/2011 \| 2.00% \| 97,835 \| 39,369 \| 102,482 \| 41,198 \| \| Optometrist/Optician - Children \| 9/1/2007 \| 27.50% \| 2/1/2011 \| 2.00% \| 265,977 \| 107,029 \| 281,244 \| 113,060 \| \| Optometrist/Optician - Adults \| 9/1/2007 \| 12.50% \| 2/1/2011 \| 2.00% \| 82,042 \| 33,014 \| 85,939 \| 34,547 \| \| Pathologist - Children \| 9/1/2007 \| 27.50% \| 2/1/2011 \| 2.00% \| 33,855 \| 13,623 \| 35,798 \| 14,391 \| \| Pathologist - Adults \| 9/1/2007 \| 12.50% \| 2/1/2011 \| 2.00% \| 66,002 \| 26,559 \| 69,137 \| 27,793 \| \| Physician Assistants and Nurse Practitioners - Children \| 9/1/2007 \| 27.50% \| 2/1/2011 \| 2.00% \| 164,039 \| 66,009 \| 173,455 \| 69,729 \| \| Physician Assistants and Nurse Practitioners - Adults \| 9/1/2007 \| 12.50% \| 2/1/2011 \| 2.00% \| 33,308 \| 13,403 \| 34,890 \| 14,026 \| \| Podiatrist - Children \| 9/1/2007 \| 27.50% \| 2/1/2011 \| 2.00% \| 27,638 \| 11,122 \| 29,224 \| 11,748 \| \| Podiatrist - Adults \| 9/1/2007 \| 12.50% \| 2/1/2011 \| 2.00% \| 35,517 \| 14,292 \| 37,204 \| 14,956 \| \| Psychologists - Children \| 9/1/2007 \| 27.50% \| 2/1/2011 \| 2.00% \| 183,815 \| 73,967 \| 194,366 \| 78,135 \| \| Psychologists - Adults \| 9/1/2007 \| 12.50% \| 2/1/2011 \| 2.00% \| 19,404 \| 7,808 \| 20,326 \| 8,171 \| \| Radiologist - Children \| 9/1/2007 \| 27.50% \| 2/1/2011 \| 2.00% \| 185,622 \| 74,694 \| 196,277 \| 78,903 \| \| Radiologist - Adults \| 9/1/2007 \| 12.50% \| 2/1/2011 \| 2.00% \| 528,703 \| 212,750 \| 553,816 \| 222,634 \| Estimated Cost of 1 Percent Rate Change \| Program by Budget Agency \| Last Rate Increase \| \| Rate Reduction Since Last Rate Increase \| \| Incremental Cost of 1 Percent Rate Change \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| Date \| Percent \| Date \| Percent \| 2014 \| \| 2015 \| \| \| \| \| \| \| \| AF \| GR \| AF \| GR \| \| HHSC, continued \| \| \| \| \| \| \| \| \| \| Rural Health Clinics \| 1/1/2012 \| Medicare Economic Index (MEI) (0.6%) \| NA \| NA \| \| \| \| \| \| STAR+PLUS Long Term Care - - Community Based Alternatives (S+P expansions occurred 9/1/2011 and 3/1/2012. DADS paid LTSS services for those members prior to those dates.) \| NA \| NA \| NA \| NA \| 8,635,135 \| 3,474,778 \| 8,871,236 \| 3,566,237 \| \| STAR+PLUS Long Term Care - - Day Activity and Health Services (S+P expansions occurred 9/1/2011 and 3/1/2012. DADS paid LTSS services for those members prior to those dates.) \| NA \| NA \| NA \| NA \| 1,321,433 \| 531,745 \| 1,360,767 \| 547,028 \| \| STAR+PLUS Long Term Care - - Primary Home Care (S+P expansions occurred 9/1/2011 and 3/1/2012. DADS paid LTSS services for those members prior to those dates.) \| NA \| NA \| NA \| NA \| 9,893,752 \| 3,981,246 \| 10,196,162 \| 4,098,857 \| \| Substance Use Disorder Services (Chemical Dependency Treatment Facility) \| NA \| NA \| 9/1/2011 \| 5.00% \| 71,825 \| 28,902 \| 75,236 \| 30,245 \| \| Therapy Services - Comprehensive Outpatient Rehabilitation Facility (CORF) / Outpatient Rehabilitation Facility (ORF) (PT 65, PS25) - Children ONLY \| 1/1/2006 \| NA \| 9/1/2011 \| 7.00% \| 3,118,299 \| 1,254,804 \| 3,297,289 \| 1,325,510 \| \| Therapy Services - Home Health Agency - Children \| 1/1/2006 \| NA \| 2/1/2011 \| 2.00% \| 1,667,863 \| 671,148 \| 1,763,599 \| 708,967 \| \| Therapy Services - Home Health Agency - Adults \| 1/1/2006 \| NA \| 2/1/2011 \| 2.00% \| 36,660 \| 14,752 \| 38,401 \| 15,437 \| \| Therapy Services - Independent Therapists (PT 34, 35, 50) - Children \| 1/1/2006 \| NA \| 2/1/2011 \| 2% and 7% \| 1,609,884 \| 647,817 \| 1,702,291 \| 684,321 \| \| Therapy Services - Independent Therapists (PT 34, 35, 50) - Adults \| 1/1/2006 \| NA \| 2/1/2011 \| 2% and 7% \| 75,019 \| 30,188 \| 78,582 \| 31,590 \| Estimated Cost of 1 Percent Rate Change Note 11: The costs were calculated for the Transportation Service Area Providers (TSAPs) operating with 50/50 matching and for American Medical Response (AMR), the only waiver approved hybrid TSAP- at that time, operating with 60/40 matching. Note 12: ACA Physicians and Vaccine Administration increases are effective January 1, 2013-December 31, 2014; per federal direction, no rate reductions may occur during the enhancement period. Estimated rate change amount reflects 8 months of SFY 2015 after the enhancement period ends. Long Term Services and Supports Apportioning Rate Changes Pro Rata In the event that appropriations are not adequate to fully fund payment rate increases included in this 2014-2015 Consolidated Budget for a specific program and no direction is given by the Legislature as to Legislative intent on the distribution of appropriated funds across services and cost areas (e.g., direct care versus indirect care) within that long term services and supports program, HHSC will distribute appropriated funds for the program proportionally based on each of the program's service type's and cost area's ratio of rates as determined in accordance with published reimbursement methodology to existing payment rates. Any rate reductions will be applied in a similar manner. For example, if the 2014-2015 Consolidated Budget included a rate increase of 10 percent for Program A and Program A's rates were comprised of two cost centers: one a direct care cost center and one an indirect cost center. The 10 percent requested rate increase is a total rate increase for the program, comprised of a 20 percent increase for direct care costs and a 5 percent increase for indirect costs (based on a calculation of the rates at the time the request was determined). If funds were appropriated to cover 50 percent of the requested rate increase (i.e., a 5 percent rate increase overall), the direct care cost center would increase 10 percent (50 percent of the 20 percent increase) and the indirect cost center would increase 2.5 percent (50 percent of the 5 percent increase). Comparison of Nursing Facility Medicaid Rates to Private Pay Rates Data from nursing facility provider's fiscal year 2010 cost reports showed the average daily payment for a Medicaid recipient was $127.80, whereas the average daily payment for a private pay resident was $133.57 and the average daily payment for a Medicare resident was $378.24. A comparison of Nursing Facility Medicaid rates to estimated private pay amounts is detailed below. Figure VIII.2 Comparison of Nursing Facility Rates Fiscal Year 2010 \| \| \| \| Percent Medicaid \| \|---\|---\|---\|---\| \| Procedure \| Average \| Average \| to Average Private \| \| Description \| Medicaid Fee \| Private Pay \| Pay \| Attendant Compensation Direct support workers, typically referred to as attendants; provide the majority of services to consumers in a number of Department of Aging and Disability Services community-based programs. Texas faces serious challenges in meeting current and future needs for a stable and adequate attendant workforce. The demand for new attendants in Texas is expected to increase substantially over the next decade due to numerous factors including the aging of the baby boom generation, the aging of family caregivers, and the increasing prevalence of various disabilities. Meanwhile, retention of attendants has long been a challenge; high rates of job turnover exist throughout the state. Low compensation is a significant issue with attendant wages in Texas ranking among the lowest in the nation. A Home and Community-Based Services Workforce Advisory Council (Council) was established by the Health and Human Services Commission in 2009 to identify and study attendant workforce issues, including wages and benefits, turnover, recruitment, training and skill development, and retention. Three priority recommendations were made by the Council. All three recommendations are concerned with improving compensation levels, as research shows that wages and benefits are the most important factors affecting attendant recruitment and retention. Appendix C – Attendant Wages per Hour and Cost of Increasing Attendant Wages by $1.00 per Hour, presents the minimum attendant wages per hour assumed in fiscal year 2011 base payment rates for the various DADS programs as well as the maximum attendant wages per hour assumed in the fiscal year 2013 rates assuming full participation in one of HHSC's wage enhancement programs. This table also presents the estimated cost of increasing attendant wages assumed in program rates by $1.00 per hour plus associated payroll taxes and benefits. Costs are presented separately for each individual DADS program employing attendants. Figures presented in this table can be used in calculating the fiscal impact of various wage options for attendants. Hospitals Transitioning the New Standard Dollar Amount Payment System Effective September 1, 2011, the conversion of most acute care hospitals to a statewide standard dollar amount (SDA payment methodology with add-on rates was implemented as required by the 2012-13 General Appropriations Act (Article II, Health and Human Services Commission, H.B. 1, Rider 67 and Rider 61(b)(17), 82nd Legislature, Regular Session, 2011). To offset the loss experienced by some hospitals by transitioning to this new methodology, a transitional holdharmless amount was added to each impacted provider's SDA on a proportional basis during the first year under the new statewide SDA payment methodology. The application of the transitional hold harmless add-on to the statewide SDAs ended on August 31, 2012. Change in the Diagnosis-Related Group Classification System Senate Bill 7, 82 st Legislative, First Special Called Session, 2011, amended the Texas Government Code Sec. 536.005, and instructed HHSC to the extent possible to convert hospital reimbursement systems to a diagnosis-related groups (DRG) methodology that allows for a more accurate classification of specific patient populations and accounts for severity of patient illness and mortality risk. As a result, the All Patient Refined Diagnosis-Related Groups (APR-DRGs) classification system was implemented for most hospitals on September 1, 2012. The APR-DRG is a patient classification system that provides a means of relating the types of patients a hospital treats (i.e., its case mix) to the costs incurred by the hospital. The APR-DRG methodology expands the basic DRG structure to focus on all populations instead of targeting just the elderly Medicare population as the former Medicare Severity-Diagnosis Related Groups (MS-DRG) system used for Medicare was designed to do. In addition, APR-DRGs will allow HHSC to be able to compare hospital service lines, individual physician performance, and patient outcomes through the use of a severity adjustment that creates a common measurement across disparate patient types. The APR-DRG methodology is necessary to support pay-for-quality analytics and is essential to derive potentially preventable complications and other quality metrics. APRDRGs along with a hospital's Statewide Standard Dollar Amount (SDA) with add-ons are the two components used in the calculation of reimbursement of inpatient services at acute care hospitals. Disproportionate Share Hospital (DSH) 2013 and Beyond With the implementation of the Texas Healthcare Transformation and Quality Improvement Program, Medicaid 1115 Waiver (Transformation Waiver), hospitals that have traditionally transferred local hospital district funds to be used to obtain federal matching funds for the DSH program are reviewing their options to continue funding the DSH program and to also participate in funding the Transformation Waiver. Net returns for hospitals that transferred local funds for the DSH program have diminished significantly since 1996, while the amount of local hospital district funds contributed to support other hospitals statewide has grown. Under the current DSH methodology these hospitals can receive better returns on their transferred local hospital district funds under the Transformation Waiver. Discussions regarding the funding of the DSH program for program year 2013 and beyond are ongoing. The hospital industry asked HHSC to obtain General Revenue funding for nontransferring hospitals for the DSH program year 2013. The 2014-2020 health care reform law reduced DSH allotments on the assumption that, with the expansion of health care coverage under the Affordable Care Act, there will be fewer uninsured patients and less uncompensated care incurred by hospitals. Specifically, the law reduced payments nationwide by $500 million in federal fiscal year 2014, $600 million in federal fiscal years 2015 and 2016, $1.8 billion in federal fiscal year 2017, $5 billion in federal fiscal year 2018, $5.6 billion in federal fiscal year 2019, and $4 billion in federal fiscal year 2020. Actual reductions to the Texas allotment are unknown at this time. The law directs the secretary of the U.S. Department of Health and Human Services to make the reductions using a methodology that focuses on the percentage of uninsured and the amount of uncompensated care provided by hospitals in each state. The secretary must impose a smaller percentage reduction on low-DSH states and the methodology must take into account the portion of the allotment used to expand coverage through a section 1115 waiver. Acute Care Services Biennial Review of Medicaid Acute Care Fees Most Medicaid acute care fees are based on the Medicare Relative Value Unit (RVU) system, which is an evidence-based, national standard used to compare the relative value of professional health care services. Based upon actual empirical measurement, RVUs quantify the relative work, practice expense and malpractice cost associated with each rated service. A total RVU amount, based on the sum of these three components, is then assigned to each Current Procedural Terminology code. Rates are typically set at some percentage of the Medicare rate for a similar service. Rates for services that do not have an equivalent Medicare RVU are based on the fees for comparable services, an examination of fees from other states, market rates, or other fee analyzer tools. For the majority of Medicaid acute care programs, agency rules, the Medicaid State Plan, or agency policy require fee reviews at periodic intervals. In 2008, HHSC set a goal to review all acute care reimbursement rates at least once every two years and implemented a fee review plan to reach that goal. The intent of the review process was to utilize a consistent and objective approach to updating rates. Most of the acute care fees, prior to this initiative, had not had a systematic review and had not been updated in six to ten years, or in some cases longer. The fee review plan included improving internal processes and assigning a portion of the first level review of acute care fees to the Medicaid claims processing contractor. HHSC added an amendment to the Medicaid claims administrator contract in August 2008 that made the contractor responsible for reviewing and recommending to HHSC changes to approximately one eighth of approximately 66,000 fees every quarter. HHSC reviews and approves the contractor's work schedule and recommendations, including fee determination and fiscal impact analysis. The first calendar fee review was implemented effective April 1, 2009. The eighth and final calendar fee review in the first two-year cycle was completed and implemented effective January 1, 2011. HHSC continues to update rates based on this established two year review calendar cycle. One of the results of these fee reviews was the identification and implementation of needed systems changes to allow HHSC to pay separate rates for age groups (children vs. adults) and by place of service (facility or non-facility). It also improved the online fee schedules to allow them to display the most recent fee review dates so that providers will know when the fees were reviewed and revised. With these reviews, the Medicaid conversion factors that are multiplied by the RVU to determine the payment fee are not changed. Conversion factors are revised when appropriations warrant an update for fee increases or decreases. Physicians/Professional Services Medicare reimburses all physicians and professionals according to the same fee schedule. Medicaid pays Advanced Practice Nurses and Physician Assistants at 92 percent of the fee paid to physicians for the same service. Medicaid also pays Licensed Clinical Social Workers, Licensed Professional Counselors, Licensed Marriage and Family Therapists and Licensed Psychological Associates 70 percent of the fee paid to psychiatrists and psychologists for the same service. Medicaid currently pays approximately 82 percent of Medicare for physician and professional services to children and 78 percent of Medicare for physician and professional services to adults. This Medicare methodology is based on the primary Medicaid conversion factor of $28.0672 for services provided to children and the primary Medicaid conversion factor of $26.7305 for services provided to adults. An additional conversion factor of $30.000 was added as an option to increase a rate beyond the normal threshold for children and adults as deemed necessary by medical staff. By way of comparison, the Medicare conversion factor effective January 1, 2012, is $34.0376. A comparison of 2012 select physician and professional Medicaid rates to 2012 Medicare rates is detailed in Appendix C, along with a ranking of the procedure code based on the total dollar amount paid for that Medicaid service in fiscal year 2011. Figure VIII.3 Comparison of Medicare to Texas Medicaid Conversion Factors for Physicians and Other Professionals IX. A PPENDICES A. Increase Capacity of HHS – Community Services \| Biennium \| AF \| $ 18.4 \| $ 159.9 \| $ 15.0 \| $ 7.6 \| $ 0.9 \| $ 10.6 \| $ 1.0 \| $ 7.9 \| $ 272.2 \| $ 31.6 \| $ 525.0 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| GR \| $ 7.6 \| $ 64.4 \| $ 6.1 \| $ 3.2 \| $ 0.3 \| $ 10.6 \| $ 1.0 \| $ 7.9 \| $ 109.8 \| $ 12.8 \| $ 223.7 \| \| \| Caseload as of Aug. 09 \| 982 \| 3,056 \| 238 \| 574 \| 16 \| 3,549 \| 538 \| 996 \| 5,566 \| 1,116 \| 16,628 \| \| FY 2015 \| AF \| $ 13.7 \| $ 120.2 \| $ 11.2 \| $ 5.7 \| $ 0.6 \| $ 7.9 \| $ 0.7 \| $ 5.9 \| $ 204.5 \| $ 23.7 \| $ 394.1 \| \| \| GR \| $ 5.6 \| $ 48.4 \| $ 4.6 \| $ 2.4 \| $ 0.3 \| $ 7.9 \| $ 0.7 \| $ 5.9 \| $ 82.4 \| $ 9.6 \| $ 167.7 \| \| \| Total for FY15 \| 491 \| 1,528 \| 119 \| 287 \| 8 \| 1,774 \| 269 \| 498 \| 2,783 \| 558 \| 8,314 \| \| \| Avg. Monthly Caseload \| 736 \| 2,292 \| 179 \| 430 \| 12 \| 2,661 \| 403 \| 747 \| 4,174 \| 837 \| 12,471 \| \| FY 2014 \| AF \| $ 4.8 \| $ 39.7 \| $ 3.8 \| $ 1.9 \| $ 0.2 \| $ 2.7 \| $ 0.3 \| $ 2.0 \| $ 67.8 \| $ 7.9 \| $ 130.9 \| \| \| GR \| $ 2.0 \| $ 16.0 \| $ 1.5 \| $ 0.8 \| $ 0.1 \| $ 2.7 \| $ 0.3 \| $ 2.0 \| $ 27.4 \| $ 3.2 \| $ 56.0 \| \| \| Total for FY14 \| 491 \| 1,528 \| 119 \| 287 \| 8 \| 1,774 \| 269 \| 498 \| 2,783 \| 558 \| 8,314 \| \| \| Avg. Monthly Caseload \| 245 \| 764 \| 60 \| 143 \| 4 \| 887 \| 134 \| 249 \| 1,391 \| 279 \| 4,156 \| \| Number Served August 2013 \| \| 9,816 \| 4,619 \| 2,380 \| 5,738 \| 156 \| 35,489 \| 5,375 \| 9,955 \| 20,729 \| 11,157 \| 105,414 \| \| Percent Eligible \| \| 20.7% \| 37.3% \| 25.1% \| 69.3% \| 16.7% \| 50.0% \| 50.0% \| 69.3% \| 69.3% \| 20.7% \| \| \| % Recv. Other Svcs. \| \| 60.5% \| 24.2% \| 7.5% \| N/A \| 40.3% \| varies \| varies \| 0.0% \| 26.3% \| N / A \| \| \| Current Interest Lists Feb 2012 \| \| 13,580 \| 40,947 \| 23,840 \| 16,201 \| 470 \| 24,907 \| 9,953 \| 11,192 \| 40,168 \| 14,000 \| 195,258 \| \| CLASS/HCS - 20 % of estimated eligibles on the Interest List served Other Programs --10% Increase to the number served in August 2013 \| \| Community Based Alternatives (CBA) \| Comm. Living Asst. & Supp. Svcs. (CLASS) \| Medically Dep. Children's Program (MDCP) \| Texas Home Living Waiver \| Deaf-Blind w/ Mult. Disab. Waiver (DBMD) \| Non-Medicaid Services1 \| In-Home & Family Support \| MR Community Services \| Home and Community-Based Svcs. (HCS) \| STARPLUS CBA (MAO only) \| Total \| A. Increase Capacity of HHS – Community Services, continued \| Biennium \| AF \| $3.1 \| $54.1 \| $23.6 \| $ 80.8 \| \|---\|---\|---\|---\|---\|---\| \| \| GR \| $3.1 \| $54.1 \| $23.6 \| $ 80.8 \| \| \| Caseload as of Aug. 13 \| 12,206 \| 52,484 \| 1,740 \| 66430 \| \| FY 2015 \| AF \| $1.6 \| $27.1 \| $11.8 \| $ 40.4 \| \| \| GR \| $1.6 \| $27.1 \| $11.8 \| $ 40.4 \| \| \| Annual Caseload \| 12,206 \| 52,484 \| 1,100 \| 65790 \| \| FY 2014 \| AF \| $1.6 \| $27.1 \| $11.8 \| $ 40.4 \| \| \| GR \| $1.6 \| $27.1 \| $11.8 \| $ 40.4 \| \| \| Annual Caseload \| 12,206 \| 52,484 \| 1,100 \| 65790 \| \| Phase in % FY 14 FY 15 \| \| 0% \| 0% \| 0% \| \| \| \| \| 100% \| 100% \| 100% \| \| \| August 2013 Caseload \| \| 12,206 \| 52,484 \| 1,740 \| \| \| % Recv. Other Svcs. \| \| 0% \| 0% \| 100% \| \| \| Current Waiting List \| \| 286 \| 6,242 \| 802 \| \| B. 10% Biennial Base Reduction Schedule LAR 10 Percent Reduction Schedules HHS agencies submitted items totaling $609.6 million in general revenue as part of a supplemental schedule in agencies' LARs. This schedule represents reductions, and in some cases, elimination of various HHS programs. Savings and the impact on FTEs are listed below. Details of the 10 percent reductions are shown in the following tables. \| \| Supplemental 10% Schedule \| \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| \| General Revenue/General Revenue Dedicated \| \| \| \| \| \| \| (in millions) \| \| \| \| \| \| Agency \| \| FY 2014 \| FY 2015 \| Biennial \| FY 2015 \| \| \| \| \| \| \| FTEs \| \| HHSC \| \| $66.2 \| $66.2 \| $132.4 \| \| \| DADS \| \| 74.4 \| 74.7 \| 149.1 \| \| \| DFPS \| \| 36.8 \| 37.8 \| 74.6 \| \| \| DARS \| \| 12.0 \| 12.0 \| 24.0 \| \| \| DSHS \| \| 114.8 \| 114.7 \| 229.5 \| \| B. 10% Biennial Base Reduction Schedule, continued \| Agency Name: Department of Aging and Disability Services \| FTE Reduction \| FY 2015 \| \| 18.5 \| 4.9 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| FY 2014 \| \| 18.5 \| 4.9 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Cumulative GR-related reduction \| \| 0.67% \| 0.75% \| 0.86% \| 1.09% \| 1.61% \| 1.65% \| 3.39% \| 3.51% \| 3.70% \| 3.76% \| 4.10% \| 4.11% \| 4.21% \| 4.75% \| 4.87% \| 4.87% \| 4.90% \| 4.94% \| 5.00% \| 7.59% \| 7.78% \| 8.06% \| 8.15% \| 8.65% \| 8.66% \| 8.82% \| 9.62% \| 9.81% \| 9.81% \| 9.85% \| 9.90% \| 10.00% \| \| \| Individuals not Served \| FY 2015 \| 5,799 \| - \| - \| 631 \| 476 \| - \| - \| - \| - \| - \| - \| - \| - \| - \| - \| - \| - \| - \| - \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| FY 2014 \| 5,799 \| - \| - \| 631 \| 476 \| - \| - \| - \| - \| - \| - \| - \| - \| - \| - \| - \| - \| - \| - \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Reduction Amount \| Biennial Total \| 9,979,816 \| 1,266,313 \| 1,575,360 \| 3,370,116 \| 7,843,638 \| 618,723 \| 25,866,759 \| 1,875,835 \| 2,755,423 \| 912,836 \| 5,045,590 \| 110,740 \| 1,531,484 \| 8,009,563 \| 1,846,242 \| 74,973 \| 391,401 \| 519,732 \| 960,221 \| 38,646,919 \| 2,802,641 \| 4,116,813 \| 1,363,848 \| 7,538,498 \| 165,454 \| 2,288,156 \| 11,966,901 \| 2,758,427 \| 112,014 \| 584,783 \| 776,518 \| 1,433,792 \| \| \| \| FY 2015 \| 4,989,908 \| 633,156 \| 787,680 \| 1,685,058 \| 3,921,819 \| 309,361 \| 12,939,888 \| 950,268 \| 1,377,061 \| 456,211 \| 2,545,732 \| 55,815 \| 765,361 \| 4,002,790 \| 922,662 \| 37,468 \| 195,603 \| 259,737 \| 492,316 \| 19,333,183 \| 1,419,773 \| 2,057,435 \| 681,615 \| 3,803,519 \| 83,392 \| 1,143,509 \| 5,980,475 \| 1,378,528 \| 55,979 \| 292,246 \| 388,066 \| 734,705 \| \| \| \| FY 2014 \| 4,989,908 \| 633,157 \| 787,680 \| 1,685,058 \| 3,921,819 \| 309,362 \| 12,926,871 \| 925,567 \| 1,378,362 \| 456,625 \| 2,499,858 \| 54,925 \| 766,123 \| 4,006,773 \| 923,580 \| 37,505 \| 195,798 \| 259,995 \| 467,905 \| 19,313,736 \| 1,382,868 \| 2,059,378 \| 682,233 \| 3,734,979 \| 82,062 \| 1,144,647 \| 5,986,426 \| 1,379,899 \| 56,035 \| 292,537 \| 388,452 \| 699,087 \| \| \| % impact \| \| 100% \| 5% \| 5% \| 11.4% \| 11.4% \| 11.4% \| 1.173% \| 1.173% \| 1.173% \| 1.173% \| 1.173% \| 1.173% \| 1.173% \| 1.173% \| 1.173% \| 1.173% \| 1.173% \| 1.173% \| 1.173% \| 1.752% \| 1.752% \| 1.752% \| 1.752% \| 1.752% \| 1.752% \| 1.752% \| 1.752% \| 1.752% \| 1.752% \| 1.752% \| 1.752% \| 1.752% \| \| Agency Code: 539 \| Reduction Item \| Name \| In-Home and Family Support \| Central Administration \| Information Technology Program Support \| Non-Medicaid Services \| Intellctual Disability Community Services \| Promoting Independence Plan \| Nursing Facility Payments \| Hospice \| Intermediate Care Facilities - Intellectual Disability \| Primary Home Care \| Community Attendant Services (Formerly Frail Elderly) \| Day Activity and Health Services (DAHS) \| Community Based Alternatives (CBA) \| Home and Community Based Services (HCS) \| Community Living Assistance & Support Services (CLASS) \| Deaf-Blind Multiple Disabilities (DBMD) \| Medically Dependent Children Program (MDCP) \| Texas Home Living Waiver \| Promoting Independence Services \| Nursing Facility Payments \| Hospice \| Intermediate Care Facilities - Intellectual Disability \| Primary Home Care \| Community Attendant Services (Formerly Frail Elderly) \| Day Activity and Health Services (DAHS) \| Community Based Alternatives (CBA) \| Home and Community Based Services (HCS) \| Community Living Assistance & Support Services (CLASS) \| Deaf-Blind Multiple Disabilities (DBMD) \| Medically Dependent Children Program (MDCP) \| Texas Home Living Waiver \| Promoting Independence Services \| \| \| \| Strat \| 1.4.4 \| 3.1.1 \| 3.1.2 \| 1.4.1 \| 1.4.2 \| 1.4.3 \| 1.6.1 \| 1.6.3 \| 1.7.1 \| 1.2.1 \| 1.2.2 \| 1.2.3 \| 1.3.1 \| 1.3.2 \| 1.3.3 \| 1.3.4 \| 1.3.5 \| 1.3.7 \| 1.6.4 \| 1.6.1 \| 1.6.3 \| 1.7.1 \| 1.2.1 \| 1.2.2 \| 1.2.3 \| 1.3.1 \| 1.3.2 \| 1.3.3 \| 1.3.4 \| 1.3.5 \| 1.3.7 \| 1.6.4 \| \| \| Rank \| \| 1 \| 2 \| 2 \| 3 \| 3 \| 4 \| 5 \| 5 \| 5 \| 5 \| 5 \| 5 \| 5 \| 5 \| 5 \| 5 \| 5 \| 5 \| 5 \| 6 \| 6 \| 6 \| 6 \| 6 \| 6 \| 6 \| 6 \| 6 \| 6 \| 6 \| 6 \| 6 \| B. 10% Biennial Base Reduction Schedule, continued \| 6.I. 10 Percent Biennial Base Reduction Options Schedule Approved Reduction Amount $23,942,761 \| Agency Name: Department of Assistive and Rehabilitative Services \| FTE Reduction (From FY 2012 and FY 2013 Base Request) \| FY 2015 \| \| \| \| \| \| \| \| \| \| \| Total $ 11,971,382 $ 11,971,379 $ 23,942,761 $ 18,451,442 $ 18,449,244 $ 36,900,686 \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| FY 2014 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Cumulative GR-related reduction as a % of Approved Base \| \| 1.2% \| 1.5% \| 1.7% \| 2.7% \| 5.0% \| 6.2% \| 6.5% \| 6.7% \| 7.7% \| 10.0% \| \| \| \| \| \| Revenue Loss \| Biennial Total \| $ 10,769,078 \| $ 2,538,853 \| $ 1,305,708 \| $ 3,836,704 \| $ - \| $ 10,769,078 \| $ 2,538,853 \| $ 1,305,708 \| $ 3,836,704 \| $ - \| \| $ 36,900,686 \| \| \| \| \| FY 2015 \| $ 5,384,539 \| $ 1,269,426 \| $ 652,854 \| $ 1,917,803 \| \| $ 5,384,539 \| $ 1,269,426 \| $ 652,854 \| $ 1,917,803 \| \| \| $ 18,449,244 \| \| \| \| \| FY 2014 \| $ 5,384,539 \| $ 1,269,427 \| $ 652,854 \| $ 1,918,901 \| \| $ 5,384,539 \| $ 1,269,427 \| $ 652,854 \| $ 1,918,901 \| \| \| $ 18,451,442 \| \| \| \| Reduction Amount \| Biennial Total \| $ 2,914,630 \| $ 687,136 \| $ 353,387 \| $ 2,516,228 \| $ 5,500,000 \| $ 2,914,630 \| $ 687,136 \| $ 353,387 \| $ 2,516,227 \| $ 5,500,000 \| \| $ 23,942,761 \| \| \| \| \| FY 2015 \| $ 1,457,315 \| $ 343,568 \| $ 176,693 \| $ 1,258,114 \| $ 2,750,000 \| $ 1,457,315 \| $ 343,568 \| $ 176,693 \| $ 1,258,113 \| $ 2,750,000 \| \| $ 11,971,379 \| \| \| \| \| FY 2014 \| $ 1,457,315 \| $ 343,568 \| $ 176,694 \| $ 1,258,114 \| $ 2,750,000 \| $ 1,457,315 \| $ 343,568 \| $ 176,694 \| $ 1,258,114 \| $ 2,750,000 \| \| $ 11,971,382 \| \| \| Agency Code: 538 \| Reduction Item \| Name \| Reduce VR General \| Reduce VR Blind \| Reduce Administration \| Reduce Early Childhood Intervention \| Reduce Comprehensive Rehabilitation Services (CRS) \| Reduce VR General \| Reduce VR Blind \| Reduce Administration \| Reduce Early Childhood Intervention \| Reduce Comprehensive Rehabilitation Services (CRS) \| \| Total \| \| \| \| \| Strat \| 2.3.1 \| 2.1.3 \| 4.1.1 \| 1.1.1 \| 2.3.4 \| 2.3.1 \| 2.1.3 \| 4.1.1 \| 1.1.1 \| 2.3.4 \| \| \| \| \| \| Rank \| \| 1 \| 2 \| 3 \| 4 \| 5 \| 6 \| 7 \| 8 \| 9 \| 10 \| \| \| B. 10% Biennial Base Reduction Schedule, continued \| 10 Percent Biennal Base GR Reduction Options Schedule Approved Reduction Amount $74,589,146 \| Agency Name: Texas Department of Family and Protective Services \| FTE Reduction (From FY 2014 and FY 2014 Base Request) \| FY 2015 \| \| \| 1.0 \| 1.0 \| 3.0 \| 3.2 \| \| 4.8 \| 48.0 \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| FY 2014 \| \| \| 1.0 \| 1.0 \| 3.0 \| 3.2 \| \| 4.8 \| 24.0 \| \| \| \| \| Cumulative GR-related reduction as a % of 2014-15 Base \| iennial Total \| \| 0.2% \| 0.8% \| 1.6% \| 3.0% \| 5.0% \| \| 8.0% \| 8.3% \| 10.0% \| \| \| \| Revenue Loss \| \| \| 220,314 \| - \| - \| - \| - \| \| - \| 309,912 \| - \| \| \| \| \| FY 2015 B \| \| 108,713 \| - \| - \| - \| - \| \| - \| 227,799 \| - \| \| \| \| \| FY 2014 \| \| 111,601 \| - \| - \| - \| - \| \| - \| 82,113 \| - \| \| \| \| GR Reduction Amount \| Biennial Total \| \| 1,520,994 \| 4,728,852 \| 5,367,778 \| 10,521,700 \| 15,157,044 \| \| 22,591,162 \| 2,169,437 \| 12,532,179 \| \| \| \| \| FY 2015 \| \| 761,941 \| 2,364,426 \| 2,683,889 \| 5,260,850 \| 7,578,522 \| \| 11,295,581 \| 1,606,919 \| 6,266,090 \| \| \| \| \| FY 2014 \| \| 759,053 \| 2,364,426 \| 2,683,889 \| 5,260,850 \| 7,578,522 \| \| 11,295,581 \| 562,518 \| 6,266,089 \| \| \| Agency Code: 530 \| Reduction Item \| Name \| 1st 5% Increment \| Program Support and Administrative Cost Savings \| Eliminate Funding for Other At-Risk Prevention Programs and Related Program Support \| Eliminate Funding for Texas Families Together and Safe Program and Related Program Support \| Eliminate Funding for Community Youth Development Program and Related Program Support \| Eliminate Funding for Services to At-Risk Youth Program and Related Program Support \| 2nd 5% Increment \| Eliminate Funding for Services to At-Risk Youth Program and Related Program Support \| Reduce the Number of Special Investigators through Attrition \| Reduce APS and CPS Purchased Client Services \| \| \| \| \| Strat \| \| multi \| C.1.5, C.1.6 \| C.1.3, C.1.6 \| C.1.2, C.1.6 \| C.1.1, C.1.6 \| \| C.1.1, C.1.6 \| B.1.1 \| multi \| \| \| \| Rank \| \| \| 1 \| 2 \| 3 \| 4 \| 5 \| \| 6 \| 7 \| 8 \| B. 10% Biennial Base Reduction Schedule, continued \| Agency Name: Department of State Health Services \| FTE Reduction (From FY 2012 and FY 2013 Base Request) \| FY 2015 \| \| 12.80 \| 0.30 \| \| 9.10 \| \| 8.90 \| \| \| 223.00 \| 63.00 \| 0.90 \| 2.60 \| 0.10 \| 5.00 \| 4.80 \| 24.70 \| 5.50 \| \| \| \| \| \| 0.10 \| 1.10 \| 556.00 \| \| 4.60 \| 9.50 \| 6.60 \| \| 5.90 \| 2.70 \| 3.30 \| 3.00 \| 0.10 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| FY 2014 \| \| 12.80 \| 0.30 \| \| 9.10 \| \| 8.90 \| \| \| 223.00 \| 63.00 \| 0.90 \| 2.60 \| 0.10 \| 5.00 \| 4.80 \| 24.70 \| 5.50 \| \| \| \| \| \| 0.10 \| 1.10 \| 556.00 \| \| 4.60 \| 9.50 \| 6.60 \| \| 5.90 \| 2.70 \| 3.30 \| 3.00 \| 0.10 \| \| \| Cumulative GR-related reduction as a % of Approved Base \| \| 0.48% \| 0.58% \| 0.89% \| 1.32% \| 1.37% \| 1.41% \| 1.44% \| 1.45% \| 1.95% \| 2.49% \| 2.77% \| 2.81% \| 3.23% \| 3.31% \| 3.52% \| 3.76% \| 3.90% \| 4.73% \| 4.77% \| 5.00% \| 5.12% \| 5.84% \| 6.12% \| 6.78% \| 6.78% \| 9.29% \| 9.74% \| 9.76% \| 9.82% \| 9.91% \| 9.95% \| 9.97% \| 9.98% \| 9.99% \| 10.00% \| 10.00% \| \| \| Revenue Loss \| Biennial \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| FY 2015 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| FY 2014 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Reduction Amount \| Biennial Total \| $ 10,956,286 \| $ 2,466,675 \| $ 7,025,934 \| $ 9,751,962 \| $ 1,319,468 \| $ 900,000 \| $ 707,850 \| $ 136,600 \| $ 11,500,000 \| $ 12,400,000 \| $ 6,321,329 \| $ 972,741 \| $ 9,653,122 \| $ 1,903,173 \| $ 4,718,048 \| $ 5,487,502 \| $ 3,301,700 \| $ 18,970,488 \| $ 880,420 \| $ 5,387,172 \| $ 2,758,417 \| $ 16,495,385 \| $ 6,485,039 \| $ 15,003,815 \| $ 160,487 \| $ 57,597,471 \| $ 10,396,944 \| $ 289,206 \| $ 1,501,657 \| $ 1,968,086 \| $ 949,582 \| $ 425,350 \| $ 211,197 \| $ 312,578 \| $ 198,735 \| $ 6,534 \| \| \| \| FY 2015 \| $ 5,478,143 \| $ 1,233,337 \| $ 3,512,967 \| $ 4,875,981 \| $ 659,736 \| $ 450,000 \| $ 353,925 \| $ 68,300 \| $ 5,750,000 \| $ 6,200,000 \| $ 3,160,664 \| $ 486,371 \| $ 4,768,586 \| $ 951,586 \| $ 2,359,023 \| $ 2,743,751 \| $ 1,650,850 \| $ 9,485,244 \| $ 440,210 \| $ 2,693,586 \| $ 1,379,208 \| $ 8,245,965 \| $ 3,242,519 \| $ 7,501,907 \| $ 80,243 \| $ 28,798,736 \| $ 5,198,472 \| $ 144,603 \| $ 750,828 \| $ 984,043 \| $ 474,791 \| $ 212,675 \| $ 105,598 \| $ 156,289 \| $ 99,367 \| $ 3,267 \| \| \| \| FY 2014 \| $ 5,478,143 \| $ 1,233,338 \| $ 3,512,967 \| $ 4,875,981 \| $ 659,732 \| $ 450,000 \| $ 353,925 \| $ 68,300 \| $ 5,750,000 \| $ 6,200,000 \| $ 3,160,665 \| $ 486,370 \| $ 4,884,536 \| $ 951,587 \| $ 2,359,025 \| $ 2,743,751 \| $ 1,650,850 \| $ 9,485,244 \| $ 440,210 \| $ 2,693,586 \| $ 1,379,209 \| $ 8,249,420 \| $ 3,242,520 \| $ 7,501,908 \| $ 80,244 \| $ 28,798,735 \| $ 5,198,472 \| $ 144,603 \| $ 750,829 \| $ 984,043 \| $ 474,791 \| $ 212,675 \| $ 105,599 \| $ 156,289 \| $ 99,368 \| $ 3,267 \| \| Agency Code: 537 \| Reduction Item \| Name \| Kidney Health Care \| TxHealth Steps-Medicaid-HHSC IAC-Women & Children's Health Services \| Primary Health Care (Title XX Swap) - Community Primary Care Services \| Mental Health Services for Adults - Title XX Swap \| Central Administration \| IT Program Support \| Other Support Services \| Regional Administration \| Health Care Indigent \| Waco Center for Youth (State Hospitals) - MH State Hospitals \| South Texas Health Care System \| County Indigent Health Care Services \| Kidney Transportation - Kidney \| Epilepsy - Epilepsy Hemophilia Services \| HIV/STD Prevention \| Children with Special Needs \| Laboratory Services \| Mental Health Services for Adults \| Office of Violent Sex Offender \| Mental Health Services for \| Mental Health Services for \| Community Mental Health Crisis Services \| NorthStar Behavioral Health Waiver \| EMS & Trauma Care System \| Texas Center for Infectious Diseases \| State Hospitals (Not Waco) - MH State Hospitals \| Mental Health Community Hospitals \| Regions - Public Health Preparedness and Coordinated Services \| Health Registries, Information, and Vital Records \| Infections Disease Prevention, Epidemiology & Surveillance \| Health Promotion & Chronic Disease Prevention \| Food (Meat) and Drug Safety \| Environmental Health \| Radiation Control \| Health Care Professionals \| Health Care Facilities \| \| \| \| Strat \| 1.3.3 \| 2.1.2 \| 2.1.4 \| 2.2.1 \| 5.1.1 \| 5.1.2 \| 5.1.3 \| 5.1.4 \| 2.3.3 \| 3.1.3 \| 3.1.2 \| 2.3.4 \| 1.3.3 \| 1.3.5 \| 1.2.2 \| 1.3.4 \| 1.4.1 \| 2.2.1 \| 7.1.1 \| 2.2.2 \| 2.2.2 \| 2.2.3 \| 2.2.4 \| 2.3.1 \| 3.1.1 \| 3.1.3 \| 3.2.1 \| 1.1.1 \| 1.1.2 \| 1.2.3 \| 1.3.1 \| 4.1.1 \| 4.1.2 \| 4.1.3 \| 4.1.4 \| 4.1.5 \| \| \| Rank \| \| 1 \| 2 \| 3 \| 4 \| 5 \| 6 \| 7 \| 8 \| 9 \| 10 \| 11 \| 12 \| 13 \| 14 \| 15 \| 16 \| 17 \| 18 \| 19 \| 20 \| 21 \| 22 \| 23 \| 24 \| 25 \| 26 \| 27 \| 28 \| 29 \| 30 \| 31 \| 32 \| 33 \| 34 \| 35 \| 36 \| B. 10% Biennial Base Reduction Schedule, continued \| 10 Percent Biennial Base Reduction Options Schedule Approved Reduction Amount $ 132,349,556 1332593819 \| Agency Name: Health and Human Services Commission \| FTE Reduction (From FY 2012 and FY 2013 Base Request) \| FY 2015 \| \| \| \| \| \| \| 1.0 \| 3.0 \| \| 6.0 \| \| \| $ 66,174,778 $ 66,174,778 $ 132,349,556 $ 97,996,218 $ 98,081,674 $ 196,077,892 10.0% 10.0 10.0 Total \| 10.0 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| FY 2014 \| \| \| \| \| \| \| 1.0 \| 3.0 \| \| 6.0 \| \| \| \| 10.0 \| \| \| \| Cumulative GR-related reduction as a % of Approved Base \| \| 8.8% \| 8.9% \| 8.9% \| 9.0% \| 9.0% \| 9.2% \| 9.2% \| 9.2% \| 9.8% \| 9.8% \| 9.9% \| 10.0% \| \| 10.0% \| \| \| \| Revenue Loss \| Biennial Total \| $ 179,083,185 \| $ 1,148,802 \| $ 104,610 \| $ 936,790 \| $ 125,396 \| $ 3,181,372 \| $ 291,252 \| $ 885,434 \| Savings in Eligibility Services $ 3,873,797 $ 3,873,797 $ 7,747,594 $ 4,145,798 $ 4,145,798 $ 8,291,596 9 1.1.2 Salary \| $ 487,036 \| $ 1,535,819 \| $ 6,600 \| \| $ 196,077,892 \| \| \| \| \| FY 2015 \| $ 89,584,307 \| $ 574,401 \| $ 52,305 \| $ 468,395 \| $ 62,698 \| $ 1,590,686 \| $ 145,626 \| $ 442,717 \| \| $ 243,518 \| $ 767,923 \| $ 3,300 \| \| $ 98,081,674 \| \| \| \| \| FY 2014 \| $ 89,498,878 \| $ 574,401 \| $ 52,305 \| $ 468,395 \| $ 62,698 \| $ 1,590,686 \| $ 145,626 \| $ 442,717 \| \| $ 243,518 \| $ 767,896 \| $ 3,300 \| \| $ 97,996,218 \| \| \| \| Reduction Amount \| Biennial Total \| $ 117,030,304 \| $ 872,928 \| $ 104,610 \| $ 708,592 \| $ 59,906 \| $ 2,990,518 \| $ 77,026 \| $ 210,670 \| \| $ 45,262 \| $ 1,059,594 \| $ 1,442,552 \| \| $ 132,349,556 \| \| \| \| \| FY 2015 \| $ 58,515,152 \| $ 436,464 \| $ 52,305 \| $ 354,296 \| $ 29,953 \| $ 1,495,259 \| $ 38,513 \| $ 105,335 \| \| $ 22,631 \| $ 529,797 \| $ 721,276 \| \| $ 66,174,778 \| \| \| \| \| FY 2014 \| $ 58,515,152 \| $ 436,464 \| $ 52,305 \| $ 354,296 \| $ 29,953 \| $ 1,495,259 \| $ 38,513 \| $ 105,335 \| \| $ 22,631 \| $ 529,797 \| $ 721,276 \| \| $ 66,174,778 \| \| \| Agency Code: 529 \| Reduction Item \| Name \| Provider Rate Reduction \| Adjust Target to Credit for One-Time Expenses \| Reduction in Administrative Contracted Services \| Reduction in Administrative Operating Expense \| Reduction in Administrative Travel \| Services Travel Reduction in Eligibility \| Reduction in Vacant Administrative FTEs \| Salary Savings in Administrative Areas \| \| Reduction in Filled Administrative FTEs \| Reduction in Contracted Administrative Services \| Partial Reduction in GR Funded Programs \| \| Total \| \| \| \| \| Strat \| 2.1.1 2.1.2 2.1.3 2.1.4 2.1.5 2.2.1 2.2.2 2.2.3 2.2.4 2.2.5 3.1.1 3.1.2 3.1.3 \| 1.1.1 1.1.2 1.2.1 2.3.1 5.1.1 \| 1.1.2 2.3.1 \| 1.1.1 1.1.2 1.2.1 2.3.1 3.1.4 4.2.1 5.1.1 \| 1.1.1 2.3.1 3.1.4 5.1.1 \| 1.1.2 \| 1.1.2 1.2.1 5.1.3 \| 1.1.1 1.2.1 2.3.1 5.1.1 5.1.3 \| \| 1.2.1 \| 1.2.1 2.3.1 3.1.4 \| 1.1.1 1.2.1 4.1.1 4.2.2 \| \| \| \| \| \| Rank \| \| 1 \| 2 \| 3 \| 4 \| 5 \| 6 \| 7 \| 8 \| \| 10 \| 11 \| 12 \| \| \| C1. Rate Schedule – Rate Change Based on Current Review of Costs \| KEY - A - Access based CR - Cost Reports used for prospective rate - trend to FY 2012/2013 B - Based on rates from other Medicaid programs T - Trending from current rate to FY 2012/2013 BR - Blue Ribbon file of claims data M - Based on Medicare rates Estimated Cost of 1 Percent Change CD - Percent of claims data PA - Pro forma analysis \| Estimated Biennial Cost of 1 Percent Rate Change \| \| GR \| DADS \| 518,455 \| 3,363 \| 75,577 \| 4,330,702 \| 1,303,154 \| 1,574,231 \| 94,423 \| 63,924 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| AF \| \| 1,289,048 \| 8,362 \| 187,908 \| 10,767,586 \| 3,240,064 \| 3,914,052 \| 234,766 \| 158,937 \| \| \| Estimated Biennial Cost of Rate Change to Fully Fund Methodology \| \| GR \| \| 0 \| 0 \| 0 \| 18,132,739 \| 8,412,127 \| 1,826,108 \| 311,983 \| 222,458 \| \| \| \| \| AF \| \| 0 \| 0 \| 0 \| 45,084,100 \| 20,915,282 \| 4,540,300 \| 775,695 \| 553,102 \| \| \| Percentage Rate Change to Fully Fund Methodology \| 2015 \| \| \| 0.00% \| 0.00% \| 0.00% \| 4.19% \| 6.46% \| 1.16% \| 3.30% \| 3.48% \| \| \| \| 2014 \| \| \| 0.00% \| 0.00% \| 0.00% \| 4.19% \| 6.46% \| 1.16% \| 3.30% \| 3.48% \| \| \| Estimated 2012-2013 Biennial Program Cost \| \| GR \| \| 50,499,601 \| 85,256 \| 2,235,015 \| 421,328,709 \| 172,651,412 \| 161,348,357 \| 29,775,248 \| 6,525,090 \| \| \| \| \| AF \| \| 122,627,867 \| 209,064 \| 5,480,664 \| 1,023,347,141 \| 418,304,906 \| 391,761,064 \| 71,794,467 \| 15,843,840 \| \| \| Method of Determining Rate Change \| \| \| \| CR \| T \| T \| CR \| CR \| CR \| CR \| B \| \| \| Rate Reduction Since Last Rate Increase \| Percent \| \| \| NA \| NA \| NA \| NA \| 3.95% for Personal Assistance and Financial Management Services \| NA \| NA \| NA \| \| \| \| Date \| \| \| NA \| NA \| NA \| NA \| 9/1/2011 \| NA \| NA \| NA \| \| \| Last Rate Increase \| Percent \| \| \| 5.00% \| NA \| NA \| $0.80 per hour minimum wage rate increase* \| $0.80 per hour minimum wage rate increase* \| $0.80 per hour minimum wage rate increase* \| $0.80 per hour minimum wage rate increase* \| 18% increase for Intervenors \| \| \| \| Date \| \| \| 6/1/2010 \| NA \| NA \| 8/1/2009 \| 8/1/2009 \| 8/1/2009 \| 8/1/2009 \| 6/15/2010 \| \| \| Program by Budget Agency \| \| \| \| Service Coordination (ID) \| PASSR Assessment Effective 2-1-2013 \| PASSR Specialized Services Effective 2-1-2013 \| Community Attendant Services \| Community Based Alternatives \| Community Living Assistance and Support Services \| Day Activity and Health Services - Title XIX \| Deaf-Blind Multiple Disabilities \| \| \| \| AF \| 17,214,367 \| 4,986,469 \| 6,373,276 \| 829,486 \| 1,761,074 \| 54,940,459 \| 1,951,684 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| Estimated Biennial Cost of Rate Change to Fully Fund Methodology \| \| GR \| (2,101,659) \| 33,741,072 \| 8,871,139 \| 1,814,889 \| 12,327,438 \| 372,114,179 \| 3,273,539 \| \| \| \| AF \| (5,225,406) \| 83,891,849 \| 22,056,538 \| 4,512,404 \| 12,327,438 \| 925,197,326 \| 8,139,082 \| \| Percentage Rate Change to Fully Fund Methodology \| 2015 \| \| -0.30% \| 16.82% \| 3.46% \| 5.44% \| 7.00% \| 16.84% \| 4.17% \| \| \| 2014 \| \| -0.30% \| 16.82% \| 3.46% \| 5.44% \| 7.00% \| 16.84% \| 4.17% \| \| Estimated 2012-2013 Biennial Program Cost \| \| GR \| 684,867,177 \| 189,547,261 \| 241,526,626 \| 34,237,620 \| 25,055,838 \| 1,825,772,839 \| 168,718,297 \| \| \| \| AF \| 1,663,205,255 \| 460,360,150 \| 586,450,373 \| 83,129,592 \| 176,086,158 \| 4,433,312,438 \| 407,644,669 \| \| Method of Determining Rate Change \| \| \| CR \| B \| CR \| B \| CR \| CR \| CR \| \| Rate Reduction Since Last Rate Increase \| Percent \| \| 3% to 44% depending on service \| 3.00% \| 5.00% \| NA \| NA \| 3.00% \| NA \| \| \| Date \| \| 9/1/2011 \| 9/1/2011 \| 9/1/2011 \| NA \| NA \| 2/1/2011 \| NA \| \| Last Rate Increase \| Percent \| \| 4.25% \| 2.79% \| 1.50% \| $0.80 per hour minimum wage rate increase \| $0.80 per hour minimum wage rate increase* \| 2.79% \| $0.80 per hour minimum wage rate increase* \| \| \| Date \| \| 10/1/2009 \| 9/1/2009 \| 9/1/2009 \| 8/1/2009 \| 8/1/2009 \| 9/1/2009 \| 8/1/2009 \| \| Program by Budget Agency \| \| \| Home and Community-based Services \| Note 1 Hospice Payments (NF Related Only) \| Intermediate Care Facilities - Intellectual Disabilities \| Medically Dependent Children Program \| Non-Medicaid Services - Title XX \| Nursing Facility \| Primary Home Care \| \| KEY - A - Access based CR - Cost Reports used for prospective rate - trend to FY 2012/2013 B - Based on rates from other Medicaid programs T - Trending from current rate to FY 2012/2013 BR - Blue Ribbon file of claims data M - Based on Medicare rates Estimated Cost of 1 Percent Change CD - Percent of claims data PA - Pro forma analysis \| Estimated Biennial Cost of 1 Percent Rate Change \| \| GR \| 304,972 \| 818,762 \| 443,102 \| 45,999,861 \| Note 1: Tied by federal law to 95% of NF rates - any changes to NF rates will impact Hospice Payments. * Effective 9/1/09, there was a $19.2 million GR funding increase for certain DADS Community Care programs for rate enhancement. \| DARS \| 171,186 \| 311,506 \| 482,692 \| Note 2: Rate change effective 10-1-2011 to reflect change in reimbursement methodology eliminating monthly unit of services as directed by CMS. \| DFPS \| 185,834 \| 1,216,321 \| 1,593,692 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| AF \| 758,260 \| 2,035,735 \| 1,101,696 \| 111,753,228 \| \| \| 425,626 \| 774,513 \| 1,200,139 \| \| \| 344,681 \| 2,067,872 \| 2,709,440 \| \| \| Estimated Biennial Cost of Rate Change to Fully Fund Methodology \| \| GR \| 304,972 \| 4,691,505 \| 589,326 \| 464,531,815 \| \| \| 0 \| 0 \| 0 \| \| \| 9,220,551 \| 18,542,510 \| 35,028,315 \| \| \| \| \| AF \| 758,260 \| 11,664,759 \| 1,465,256 \| 1,136,655,985 \| \| \| 0 \| 0 \| 0 \| \| \| 17,289,192 \| 33,685,628 \| 61,748,129 \| \| \| Percentage Rate Change to Fully Fund Methodology \| 2015 \| \| 1.00% \| 5.73% \| 1.33% \| Total DADS (with totals only included) \| \| \| 0.00% \| 0.00% \| Total DARS \| \| \| 50.16% \| 16.29% \| 22.79% \| \| \| \| 2014 \| \| 1.00% \| 5.73% \| 1.33% \| \| \| \| 0.00% \| 0.00% \| \| \| \| 50.16% \| 16.29% \| 22.79% \| \| \| Estimated 2012-2013 Biennial Program Cost \| \| GR \| 30,320,547 \| 82,640,070 \| 38,775,908 \| \| \| \| 16,414,019 \| 29,868,646 \| \| \| \| 9,536,500 \| 77,633,694 \| 60,880,236 \| \| \| \| \| AF \| 73,641,317 \| 200,583,314 \| 94,302,737 \| \| \| \| 39,860,258 \| 72,533,848 \| \| \| \| 17,465,807 \| 129,225,792 \| 101,338,690 \| \| \| Method of Determining Rate Change \| \| \| PA \| B \| B \| \| \| \| CR \| CR \| \| \| \| CR \| PA \| CR \| \| \| Rate Reduction Since Last Rate Increase \| Percent \| \| NA \| NA \| 2.00% \| \| \| \| NA \| NA \| \| \| \| NA \| NA \| NA \| \| \| \| Date \| \| NA \| NA \| 2/1/2011 \| \| \| \| NA \| NA \| \| \| \| NA \| NA \| NA \| \| \| Last Rate Increase \| Percent \| \| -0.5% OVERALL \| $0.80 per hour minimum wage rate increase \| 39.49% \| \| \| \| 24.00% \| 5.71% \| \| \| \| 3.33% \| 3.33% \| 1.33% \| \| \| \| Date \| \| 9/1/2012 \| 8/1/2009 \| 10/1/2009 \| \| \| \| 3/15/2010 \| 3/15/2010 \| \| \| \| 9/1/2009 \| 9/1/2009 \| 9/1/2009 \| \| \| Program by Budget Agency \| \| \| Program of All-inclusive Care for the Elderly \| Promoting Independence Services \| Texas Home Living Waiver \| \| \| \| Note 2 ECI - Case Management \| ECI - Development Rehabilitative Services \| \| \| \| 24-Hr. Residential Child Care (Foster Care) - Foster Family \| CPA - Foster Family Pass Through \| CPA - Retainage \| \| Estimated Biennial Cost of 1 Percent Rate Change \| \| GR \| 2,810,761 \| 1,210,231 \| 288,749 \| 4,494,828 \| 44,638 \| 11,845,056 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| AF \| 4,778,856 \| 1,772,064 \| 443,478 \| 7,344,302 \| 58,198 \| 19,518,890 \| \| Estimated Biennial Cost of Rate Change to Fully Fund Methodology \| \| GR \| 53,570,825 \| 44,172,515 \| 13,536,409 \| 60,275,200 \| 70,942 \| 234,417,267 \| \| \| \| AF \| 95,433,757 \| 66,806,796 \| 20,790,257 \| 200,320,002 \| 183,325 \| 496,257,086 \| \| Percentage Rate Change to Fully Fund Methodology \| 2015 \| \| Note 3 19.97% \| 37.70% \| 46.88% \| 27.28% \| 3.15% \| \| \| \| 2014 \| \| Note 3 19.97% \| 37.70% \| 46.88% \| 27.28% \| 3.15% \| \| \| Estimated 2012-2013 Biennial Program Cost \| \| GR \| 138,513,930 \| 66,436,120 \| 15,050,453 \| 229,537,003 \| 2,178,995 \| \| \| \| \| AF \| 230,564,482 \| 96,231,264 \| 22,584,368 \| 366,845,921 \| 2,817,030 \| \| \| Method of Determining Rate Change \| \| \| CR \| CR \| CR \| CR \| PA \| \| \| Rate Reduction Since Last Rate Increase \| Percent \| \| NA \| NA \| NA \| NA \| NA \| \| \| \| Date \| \| NA \| NA \| NA \| NA \| NA \| \| \| Last Rate Increase \| Percent \| \| 2.41% \| 9.30% \| 8.68% \| NA \| NA \| \| \| \| Date \| \| 9/1/2009 \| 9/1/2009 \| 9/1/2009 \| NA \| NA \| \| \| Program by Budget Agency \| \| \| \| \| \| \| \| \| \| KEY - A - Access based CR - Cost Reports used for prospective rate - trend to FY 2012/2013 B - Based on rates from other Medicaid programs T - Trending from current rate to FY 2012/2013 BR - Blue Ribbon file of claims data M - Based on Medicare rates Estimated Cost of 1 Percent Change CD - Percent of claims data PA - Pro forma analysis \| Estimated Biennial Cost of 1 Percent Rate Change \| \| GR \| DSHS \| 43,300 \| 2,396 \| 13,702 \| 85,734 \| 36,440 \| 706 \| 31,916 \| 0 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| AF \| \| 81,698 \| 4,522 \| 25,854 \| 161,762 \| 68,754 \| 1,332 \| 60,218 \| 13,170 \| \| \| Estimated Biennial Cost of Rate Change to Fully Fund Methodology \| \| GR \| \| 43,300 \| 2,396 \| 13,702 \| 85,734 \| 36,440 \| 706 \| 31,916 \| 0 \| \| \| \| \| AF \| \| 81,698 \| 4,522 \| 25,854 \| 161,762 \| 68,754 \| 1,332 \| 60,218 \| 13,170 \| \| \| Percentage Rate Change to Fully Fund Methodology \| 2015 \| \| \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| \| \| \| 2014 \| \| \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| \| \| Estimated 2012-2013 Biennial Program Cost \| \| GR \| \| 4,329,987 \| 239,626 \| 1,370,280 \| 8,573,421 \| 3,644,011 \| 70,610 \| 3,191,564 \| 0 \| \| \| \| \| AF \| \| 8,169,786 \| 452,124 \| 2,585,434 \| 16,176,265 \| 6,875,492 \| 133,226 \| 6,021,820 \| 1,317,085 \| \| \| Method of Determining Rate Change \| \| \| \| B \| B \| B \| B \| CR \| B \| B \| B \| \| \| Rate Reduction Since Last Rate Increase \| Percent \| \| \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| NA \| 2.00% \| 2.00% \| 2.00% \| \| \| \| Date \| \| \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| NA \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| \| \| Last Rate Increase \| Percent \| \| \| 2.50% \| 2.50% \| 2.50% \| 2.50% \| NA \| 2.50% \| 2.50% \| 2.50% \| \| \| \| Date \| \| \| 9/1/2007 \| 9/1/2009 \| Various 2008 \| 10/1/2008 \| NA \| 11/1/2002 \| 9/1/2007 \| Various 2008 \| \| \| Program by Budget Agency \| \| \| \| Note 13 & 14 Children with Special Health Care Needs (CSHCN) - Outpatient Hospital \| Note 13 & 14 CSHCN - Ambulance Services \| Note 13 & 14 CSHCN - Durable Medical Equipment, Prosthetics, Orthotics, Supplies \| Note 13 & 14 CSHCN - Drugs/Biologicals \| Note 13 & 14 TEFRA Based Inpatient Hospital (Cost-Based) \| Note 13 & 14 CSHCN - Nursing \| Note 13 & 14 CSHCN - Physician & Professional Services - Total \| Note 13 & 14 Family Planning - Durable Medical Equipment, Prosthetics, Orthotics, \| \| KEY - A - Access based CR - Cost Reports used for prospective rate - trend to FY 2012/2013 B - Based on rates from other Medicaid programs T - Trending from current rate to FY 2012/2013 BR - Blue Ribbon file of claims data M - Based on Medicare rates Estimated Cost of 1 Percent Change CD - Percent of claims data PA - Pro forma analysis \| Estimated Biennial Cost of 1 Percent Rate Change \| \| GR \| 0 \| 0 \| 0 \| 0 \| 0 \| 55,370 \| 73,345 \| 118,949 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| AF \| 95,762 \| 68,496 \| 80,668 \| 83,832 \| 39,884 \| 55,370 \| 182,363 \| 295,751 \| \| \| Estimated Biennial Cost of Rate Change to Fully Fund Methodology \| \| GR \| 0 \| 0 \| 0 \| 0 \| 0 \| 55,370 \| 0 \| 0 \| \| \| \| \| AF \| 95,762 \| 68,496 \| 80,668 \| 83,832 \| 39,884 \| 55,370 \| 0 \| 0 \| \| \| Percentage Rate Change to Fully Fund Methodology \| 2015 \| \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| 0.00% \| 0.00% \| \| \| \| 2014 \| \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| 0.00% \| 0.00% \| \| \| Estimated 2012-2013 Biennial Program Cost \| \| GR \| 0 \| 0 \| 0 \| 0 \| 0 \| 5,536,992 \| 6,904,415 \| 11,057,334 \| \| \| \| \| AF \| 9,576,172 \| 6,849,668 \| 8,066,725 \| 8,383,144 \| 3,988,446 \| 5,536,992 \| 16,765,960 \| 26,850,475 \| \| \| Method of Determining Rate Change \| \| \| B \| B \| B \| B \| B \| B \| CR \| CR \| \| \| Rate Reduction Since Last Rate Increase \| Percent \| \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| \| \| \| Date \| \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| \| \| Last Rate Increase \| Percent \| \| 2.50% \| 2.50% \| 2.50% \| 2.50% \| 2.50% \| 2.50% \| New Service \| New Service \| \| \| \| Date \| \| 10/1/2008 \| 4/1/2008 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2004 \| 9/1/2004 \| \| \| Program by Budget Agency \| \| \| Note 13 & 14 Family Planning - Drugs/Biologicals \| Note 13 & 14 Family Planning - Clinical Laboratory \| Note 13 & 14 Family Planning - Physician & Professional Services (Includes Women's Health Program) - Adults - Total \| Note 13 & 14 Maternal and Child Health - Dental \| Note 13 & 14 Maternal and Child Health - Physician & Professional Services - Children - Total \| Note 13 & 14 Maternal and Child Health - Physician & Professional Services - Adults - Total \| Note 15 Mental Health (MH) Targeted Case Management - Adult \| Note 15 Mental Health (MH) Targeted Case Management - Children \| \| KEY - A - Access based CR - Cost Reports used for prospective rate - trend to FY 2012/2013 B - Based on rates from other Medicaid programs T - Trending from current rate to FY 2012/2013 BR - Blue Ribbon file of claims data M - Based on Medicare rates Estimated Cost of 1 Percent Change CD - Percent of claims data PA - Pro forma analysis \| Estimated Biennial Cost of 1 Percent Rate Change \| \| GR \| 810,481 \| 349,365 \| 219,232 \| 66,573 \| 21,673 \| 37,795 \| 5,537 \| 14,221 \| 96,284 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| AF \| 2,015,143 \| 868,648 \| 1,515,080 \| 165,525 \| 53,886 \| 93,973 \| 13,766 \| 35,358 \| 239,396 \| \| \| Estimated Biennial Cost of Rate Change to Fully Fund Methodology \| \| GR \| 0 \| 0 \| 219,232 \| 66,573 \| 21,673 \| 37,796 \| 5,537 \| 14,221 \| 96,284 \| \| \| \| \| AF \| 0 \| 0 \| 1,515,080 \| 165,524 \| 53,886 \| 93,974 \| 13,766 \| 35,358 \| 239,396 \| \| \| Percentage Rate Change to Fully Fund Methodology \| 2015 \| \| 0.00% \| 0.00% \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| \| \| \| 2014 \| \| 0.00% \| 0.00% \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| 1.00% \| \| \| Estimated 2012-2013 Biennial Program Cost \| \| GR \| 76,295,099 \| 32,476,416 \| 21,604,748 \| 6,158,558 \| 2,171,223 \| 3,296,835 \| 554,672 \| 1,240,449 \| 8,907,060 \| \| \| \| \| AF \| 185,267,057 \| 78,862,339 \| 149,261,546 \| 14,956,163 \| 5,269,047 \| 8,010,986 \| 1,346,057 \| 3,014,170 \| 21,630,945 \| \| \| Method of Determining Rate Change \| \| \| CR \| CR \| NA \| B \| T \| T \| T \| T \| T \| \| \| Rate Reduction Since Last Rate Increase \| Percent \| \| 2.00% \| 2.00% \| NA \| NA \| NA \| NA \| NA \| NA \| NA \| \| \| \| Date \| \| 2/1/2011 \| 2/1/2011 \| NA \| NA \| NA \| NA \| NA \| NA \| NA \| \| \| Last Rate Increase \| Percent \| \| New Service \| New Service \| 7% \| NA \| NA \| NA \| NA \| NA \| NA \| \| \| \| Date \| \| 9/1/2004 \| 9/1/2004 \| 9/1/2007 \| NA \| NA \| NA \| NA \| NA \| NA \| \| \| Program by Budget Agency \| \| \| Note 15 MH Rehabilitative Services - Adult \| Note 15 MH Rehabilitative Services - Children \| Note 13 & 14 Substance Use Disorder \| NorthSTAR -- Medicaid Inpatient Hospital \| NorthSTAR -- MH Rehabilitative Services - Children \| NorthSTAR -- MH Rehabilitative Services - Adults \| NorthSTAR -- MH Targeted Case Management - Children \| NorthSTAR -- MH Targeted Case Management - Adults \| NorthSTAR - Physician & Professional Services - Total \| \| HHSC \| 415,264 \| 349,560 \| 74,452 \| 86,850 \| 1,185,601 \| 608,387 \| \|---\|---\|---\|---\|---\|---\|---\| \| \| 1,032,496 \| 869,131 \| 185,114 \| 215,938 \| 2,947,822 \| 1,512,666 \| \| \| 1,042,312 \| 3,481,622 \| 186,875 \| 865,019 \| 20,250,055 \| 46,374,675 \| \| \| 2,591,563 \| 8,656,545 \| 464,637 \| 2,150,743 \| 50,348,805 \| 115,303,855 \| \| \| 2.51% \| 9.96% \| 2.51% \| 9.96% \| 17.08% \| 76.23% \| \| \| 2.51% \| 9.96% \| 2.51% \| 9.96% \| 17.08% \| 76.23% \| \| \| 39,275,992 \| 32,906,064 \| 7,041,713 \| 8,175,603 \| 111,607,138 \| 57,268,616 \| \| \| 95,358,027 \| 79,905,652 \| 17,096,548 \| 19,852,781 \| 271,015,127 \| 139,065,136 \| \| \| M \| M \| M \| M \| M \| M \| \| \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 5.00% \| \| \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 9/1/2011 \| \| \| 21.58% \| 9.23% \| 21.58% \| 9.23% \| 29.97% \| 2.50% \| \| \| 9/1/2007 \| 1/1/2010 \| 9/1/2007 \| 1/1/2010 \| 9/1/2009 \| 9/1/2007 \| \| \| Anesthesia - Children \| Anesthesia - Adults \| Anesthesia - Certified Registered Nurse Anesthetist - Children \| Anesthesia - Certified Registered Nurse Anesthetist - Adults \| Ambulance Services \| Ambulatory Surgical Center/Hospital Ambulatory Surgical Center \| \| KEY - A - Access based CR - Cost Reports used for prospective rate - trend to FY 2012/2013 B - Based on rates from other Medicaid programs T - Trending from current rate to FY 2012/2013 BR - Blue Ribbon file of claims data M - Based on Medicare rates Estimated Cost of 1 Percent Change CD - Percent of claims data PA - Pro forma analysis \| Estimated Biennial Cost of 1 Percent Rate Change \| \| GR \| 7,175 \| 1,708 \| 5,957,471 \| 886,273 \| 19,674 \| 1,938,159 \| 2,133,730 \| 10,535 \| 10,273,782 \| 53,634 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| AF \| 17,840 \| 4,246 \| 21,159,655 \| 3,147,851 \| 69,878 \| 4,818,961 \| 5,305,220 \| 26,192 \| 25,544,316 \| 133,353 \| \| \| Estimated Biennial Cost of Rate Change to Fully Fund Methodology \| \| GR \| 0 \| 0 \| 5,957,471 \| 886,273 \| 19,674 \| 51,363,932 \| 0 \| 0 \| 0 \| 0 \| \| \| \| \| AF \| 0 \| 0 \| 21,159,655 \| 3,147,851 \| 69,878 \| 127,709,209 \| 0 \| 0 \| 0 \| 0 \| \| \| Percentage Rate Change to Fully Fund Methodology \| 2015 \| \| 0.00% \| 0.00% \| 1.00% \| 1.00% \| 1.00% \| 26.50% \| 0.00% \| 0.00% \| 0.00% \| 0.00% \| \| \| \| 2014 \| \| 0.00% \| 0.00% \| 1.00% \| 1.00% \| 1.00% \| 26.50% \| 0.00% \| 0.00% \| 0.00% \| 0.00% \| \| \| Estimated 2012-2013 Biennial Program Cost \| \| GR \| 878,994 \| 173,308 \| 560,409,789 \| 86,165,354 \| 4,310,350 \| 183,559,607 \| 201,809,906 \| 991,645 \| 971,702,685 \| 5,048,866 \| \| \| \| \| AF \| 2,139,198 \| 421,054 \| 1,944,948,452 \| 298,942,464 \| 14,872,446 \| 445,057,753 \| 489,973,474 \| 2,408,007 \| 2,359,193,116 \| 12,260,139 \| \| \| Method of Determining Rate Change \| \| \| B \| B \| T \| T \| PA \| M \| A,CD \| A,CD \| A,CD \| A,CD \| \| \| Rate Reduction Since Last Rate Increase \| Percent \| \| 2.00% \| 2.00% \| NA \| NA \| NA \| 10.50% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| \| \| \| Date \| \| 2/1/2011 \| 2/1/2011 \| NA \| NA \| NA \| 9/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| \| \| Last Rate Increase \| Percent \| \| 55.50% \| 55.50% \| -0.3% (3/1/12), - 1.1% (9/1/12) \| -9.5% Overall, since 9/1/2012 \| MC rollout for VD decreased Disp Fee from $6.5/RX +1.96% to \| 2.60% \| 52.50% \| 52.50% \| 52.50% \| 52.50% \| \| \| \| Date \| \| 9/1/2007 \| 9/1/2007 \| 9/1/2013 \| 9/1/2013 \| 3/1/2012 \| 4/1/2008 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| \| \| Program by Budget Agency \| \| \| Children & Pregnant Women - Case Management - Children \| Children & Pregnant Women - Case Management -Adults \| Children's Health Insurance Program (CHIP) (including perinate, excluding pharmacy costs) \| CHIP Dental \| CHIP Vendor Drug Dispensing Fee \| Clinical Laboratory Fees (non- state owned) \| Orthodontics - Children \| Orthodontics - Adults \| Dental Services - Children's \| Dental Services - Adults \| \| Estimated Biennial Cost of 1 Percent Rate Change \| \| GR \| 215,052 \| 634,239 \| 69,390 \| 1,588,619 \| 1,379 \| 230,124 \| 51,718 \| 11,371 \| 1,020,389 \| 159,540 \| 481,661 \| 50,225 \| 2,361 \| 403,370 \| 83,866 \| 270,462 \| 39,078 \| 92,781 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| AF \| 534,695 \| 1,576,943 \| 172,528 \| 3,949,871 \| 3,429 \| 572,171 \| 128,587 \| 28,272 \| 2,537,048 \| 396,674 \| 1,197,579 \| 124,877 \| 5,870 \| 1,002,921 \| 208,520 \| 672,466 \| 390,780 \| 927,808 \| \| Estimated Biennial Cost of Rate Change to Fully Fund Methodology \| \| GR \| 6,668,754 \| 0 \| 587,039 \| 22,542,514 \| 0 \| 8,500,798 \| 747,314 \| 97,677 \| 602,029 \| 4,572,432 \| 6,627,655 \| 937,204 \| 26,015 \| 11,084,617 \| 918,331 \| 10,583,211 \| 309,888 \| 921,313 \| \| \| \| AF \| 16,580,884 \| 0 \| 1,459,587 \| 56,048,668 \| 0 \| 21,135,991 \| 1,858,088 \| 242,860 \| 1,496,858 \| 11,368,684 \| 16,478,695 \| 2,330,221 \| 64,683 \| 27,560,283 \| 2,283,296 \| 26,313,607 \| 3,098,883 \| 9,213,133 \| \| Percentage Rate Change to Fully Fund Methodology \| 2015 \| \| 31.01% \| 0.00% \| 8.46% \| 14.19% \| 0.00% \| 36.94% \| 14.45% \| 8.59% \| 0.59% \| 28.66% \| 13.76% \| 18.66% \| 11.02% \| 27.48% \| 10.95% \| 39.13% \| 7.93% \| 9.93% \| \| \| 2014 \| \| 31.01% \| 0.00% \| 8.46% \| 14.19% \| 0.00% \| 36.94% \| 14.45% \| 8.59% \| 0.59% \| 28.66% \| 13.76% \| 18.66% \| 11.02% \| 27.48% \| 10.95% \| 39.13% \| 7.93% \| 9.93% \| \| Estimated 2012-2013 Biennial Program Cost \| \| GR \| 20,244,013 \| 59,704,438 \| 6,532,063 \| 149,545,581 \| 129,828 \| 21,662,889 \| 4,868,433 \| 1,070,417 \| 96,054,813 \| 15,018,436 \| 45,341,413 \| 4,727,984 \| 222,227 \| 37,971,488 \| 7,894,759 \| 25,460,164 \| 3,609,120 \| 8,530,025 \| \| \| \| AF \| 49,158,448 \| 144,980,026 \| 15,861,779 \| 363,140,881 \| 315,261 \| 52,603,900 \| 11,821,995 \| 2,599,290 \| 233,249,482 \| 36,469,202 \| 110,102,356 \| 11,480,944 \| 539,634 \| 92,205,999 \| 19,170,809 \| 61,824,806 \| 36,091,197 \| 85,300,254 \| \| Method of Determining Rate Change \| \| \| A,CD,M \| A,CD,M \| A,CD,M \| A,CD,M \| A,CD \| A,CD,M \| A,CD,M \| A,CD,M \| A,CD,M \| A,CD,M \| A,CD,M \| A,CD,M \| A,CD,M \| A,CD,M \| A,CD,M \| A,CD,M \| A, M \| A, M \| \| Rate Reduction Since Last Rate Increase \| Percent \| \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 2.00% \| 2.00% \| \| \| Date \| \| 9/1/2011 \| 9/1/2011 \| 9/1/2011 \| 9/1/2011 \| 9/1/2011 \| 9/1/2011 \| 9/1/2011 \| 9/1/2011 \| 9/1/2011 \| 9/1/2011 \| 9/1/2011 \| 9/1/2011 \| 9/1/2011 \| 9/1/2011 \| 9/1/2011 \| 9/1/2011 \| 2/1/2011 \| 2/1/2011 \| \| Last Rate Increase \| Percent \| \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.00% \| 10.06% \| 4.00% \| \| \| Date \| \| Various 2008 \| Various 2008 \| Various 2008 \| Various 2008 \| Various 2008 \| Various 2008 \| Various 2008 \| Various 2008 \| Various 2008 \| Various 2008 \| Various 2008 \| Various 2008 \| Various 2008 \| Various 2008 \| Various 2008 \| Various 2008 \| 9/1/2007 \| 9/1/2007 \| \| Program by Budget Agency \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Estimated Biennial Cost of 1 Percent Rate Change \| \| GR \| \| 425,766 \| 274,155 \| 8,417,897 \| 21,438,975 \| 11,565,527 \| 711,347 \| 1,163 \| 3,223 \| 142,741 \| 55,455 \| 112,750 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| AF \| \| 1,058,594 \| 681,646 \| 20,929,871 \| 53,304,879 \| 28,755,992 \| 1,768,660 \| 2,891 \| 8,014 \| 354,905 \| 137,881 \| 280,338 \| \| Estimated Biennial Cost of Rate Change to Fully Fund Methodology \| \| GR \| \| 468,343 \| 5,684,492 \| 76,702,037 \| 1,690,653,562 \| 387,823,095 \| 6,481,637 \| 0 \| 0 \| 0 \| 439,759 \| 1,119,613 \| \| \| \| AF \| \| 1,164,453 \| 14,133,646 \| 190,704,251 \| 4,203,563,073 \| 964,265,463 \| 16,115,291 \| 0 \| 0 \| 0 \| 1,093,399 \| 2,783,754 \| \| Percentage Rate Change to Fully Fund Methodology \| 2015 \| \| MEI (0.6%) \| MEI+.5% (1.1%) \| 20.70% \| 8.72% \| 78.86% \| 33.53% \| 8.72% \| 0.00% \| 0.00% \| 0.00% \| 7.93% \| 9.93% \| \| \| 2014 \| \| MEI (0.6%) \| MEI+.5% (1.1%) \| 20.77% \| 9.52% \| 78.86% \| 33.53% \| 9.52% \| 0.00% \| 0.00% \| 0.00% \| 7.93% \| 9.93% \| \| Estimated 2012-2013 Biennial Program Cost \| \| GR \| 95,901,992 \| \| 24,763,609 \| 792,392,027 \| 2,018,089,883 \| 1,088,684,152 \| 66,960,376 \| 109,449 \| 303,418 \| 13,437,029 \| 5,244,992 \| 10,613,832 \| \| \| \| AF \| 232,890,621 \| \| 60,157,470 \| 1,924,162,220 \| 4,900,519,157 \| 2,643,647,136 \| 162,599,598 \| 265,774 \| 736,788 \| 32,629,080 \| 12,734,296 \| 25,773,523 \| \| Method of Determining Rate Change \| \| \| T \| \| T,M \| CB \| BR \| CD \| M \| A,CD,M \| A,CD,M \| A,CD,M \| A,M \| A,M \| \| Rate Reduction Since Last Rate Increase \| Percent \| \| 1.00% \| \| 8.00% \| NA \| Funding reduced by $20 million GR as hold harmless for SDA transition ends \| 10.00% \| NA \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| \| \| Date \| \| 1/1/2011 \| \| 9/1/2011 \| NA \| 9/1/2012 \| 9/1/2011 \| NA \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| \| Last Rate Increase \| Percent \| \| Medicare Economic Index (MEI) (0.6%) or MEI+0.5% \| \| 18.18% \| NA \| 13.87% \| 2.50% \| NA \| 2.50% \| 2.50% \| 2.50% \| 27.50% \| 12.50% \| \| \| Date \| \| 1/1/2012 \| \| 1/1/2008 \| NA \| 9/1/2001 \| 9/1/2007 \| NA \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| \| \| \| AF \| 88,586 \| 19,030,470 \| 11,629,566 \| 623,468 \| 141,411 \| 1,530,497 \| 61,402 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| Estimated Biennial Cost of Rate Change to Fully Fund Methodology \| \| GR \| 0 \| 60,695,815 \| 46,446,160 \| 4,203,223 \| 1,183,205 \| 10,318,129 \| 4,264,260 \| \| \| \| AF \| 0 \| 150,911,627 \| 115,481,592 \| 10,455,779 \| 2,943,295 \| 25,666,988 \| 10,607,611 \| \| Percentage Rate Change to Fully Fund Methodology \| 2015 \| \| 0.00% \| 7.93% \| 9.93% \| 15.86% \| 19.87% \| 15.86% \| 163.38% \| \| \| 2014 \| \| 0.00% \| 7.93% \| 9.93% \| 0.00% \| 0.00% \| 0.00% \| 0.00% \| \| Estimated 2012-2013 Biennial Program Cost \| \| GR \| 3,904,907 \| 723,916,754 \| 440,305,587 \| 73,936,848 \| 16,637,421 \| 180,120,415 \| 7,515,820 \| \| \| \| AF \| 8,144,052 \| 1,757,594,631 \| 1,069,192,134 \| 214,949,756 \| 49,637,349 \| 458,623,400 \| 32,880,481 \| \| Method of Determining Rate Change \| \| \| 3.68% was reduction due to change in PPI; 1% reduction was legislatively mandated \| A, B, M,CD \| A, B, M,CD \| M \| M \| M \| M \| \| Rate Reduction Since Last Rate Increase \| Percent \| \| 3.68% 1.0% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| \| \| Date \| \| 9/1/2010 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| \| Last Rate Increase \| Percent \| \| NA \| 27.50% \| 12.50% \| 27.50% \| 12.50% \| 27.50% \| 27.50% \| \| \| Date \| \| NA \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| \| Program by Budget Agency \| \| \| Note 16 Medical Transportation \| Physician And Other Practitioners - Children \| Physician And Other Practitioners - Adults \| Note 17 ACA Physicians Primary Care - Children \| Note 17 ACA Physicians Primary Care - Adults \| Note 17 ACA THSteps Providers Primary Care - Children \| Note 17 ACA Physicians Vaccine Administration - Children \| \| KEY - A - Access based CR - Cost Reports used for prospective rate - trend to FY 2012/2013 B - Based on rates from other Medicaid programs T - Trending from current rate to FY 2012/2013 BR - Blue Ribbon file of claims data M - Based on Medicare rates Estimated Cost of 1 Percent Change CD - Percent of claims data PA - Pro forma analysis \| Estimated Biennial Cost of 1 Percent Rate Change \| \| GR \| 63,347 \| 82,510 \| 1,955 \| 34,180 \| 129,696 \| 10,082 \| 335,721 \| 2,486 \| 5,261 \| 1,765 \| 3,334 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| AF \| 157,579 \| 205,149 \| 4,861 \| 84,983 \| 322,469 \| 25,069 \| 834,721 \| 6,182 \| 13,080 \| 4,389 \| 8,289 \| \| \| Estimated Biennial Cost of Rate Change to Fully Fund Methodology \| \| GR \| 10,943,681 \| 6,740,219 \| 159,735 \| 261,816 \| 993,465 \| 0 \| 0 \| 19,716 \| 52,239 \| 13,999 \| 33,104 \| \| \| \| \| AF \| 27,223,088 \| 16,758,610 \| 397,158 \| 650,969 \| 2,470,106 \| 0 \| 0 \| 49,022 \| 129,885 \| 34,807 \| 82,309 \| \| \| Percentage Rate Change to Fully Fund Methodology \| 2015 \| \| 163.38% \| 81.69% \| 81.69% \| 7.66% \| 7.66% \| 0.00% \| 0.00% \| 7.93% \| 9.93% \| 7.93% \| 9.93% \| \| \| \| 2014 \| \| 0.00% \| 81.69% \| 81.69% \| 7.66% \| 7.66% \| 0.00% \| 0.00% \| 7.93% \| 9.93% \| 7.93% \| 9.93% \| \| \| Estimated 2012-2013 Biennial Program Cost \| \| GR \| 18,935,354 \| 7,803,837 \| 184,071 \| 3,232,740 \| 12,208,922 \| 953,610 \| 31,603,260 \| 235,155 \| 495,221 \| 166,966 \| 313,826 \| \| \| \| \| AF \| 66,731,286 \| 18,946,905 \| 446,979 \| 7,848,757 \| 29,646,873 \| 2,315,267 \| 76,742,058 \| 570,933 \| 1,202,543 \| 405,376 \| 762,063 \| \| \| Method of Determining Rate Change \| \| \| M \| A \| A \| A,M \| A,M \| A,M \| A,M \| A,M \| A,M \| A,M \| A,M \| \| \| Rate Reduction Since Last Rate Increase \| Percent \| \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| \| \| \| Date \| \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| \| \| Last Rate Increase \| Percent \| \| 27.50% \| 27.50% \| 12.50% \| 3.59% \| 3.59% \| 3.59% \| 3.59% \| 27.50% \| 27.50% \| 27.50% \| 12.50% \| \| \| \| Date \| \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 10/1/2008 \| 10/1/2008 \| 10/1/2008 \| 10/1/2008 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| \| \| Program by Budget Agency \| \| \| Note 17 ACA THSteps Providers Vaccine Administration- Children \| Physicians Vaccine Administration - Children \| Physicians Vaccine Administration - Adults \| Physician- Administered Drugs/Biological Fees - Children \| Physician- Administered Drugs/Biological Fees - Adults \| Physician-Administered Oncology Drugs - Children \| Physician-Administered Oncology Drugs - Adults \| Certified Nurse Midwife - Children \| Certified Nurse Midwife - Adults \| Chiropractors - Children \| Chiropractors - Adults \| \| Estimated Biennial Cost of 1 Percent Rate Change \| \| GR \| 16,163 \| 1,175 \| 12,482 \| 3,810 \| 34,318 \| 9,432 \| 6,033 \| 961 \| 374,815 \| 80,567 \| 220,089 \| 67,561 \| 28,014 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| AF \| 40,185 \| 2,922 \| 31,034 \| 9,472 \| 85,328 \| 23,450 \| 15,002 \| 2,389 \| 931,926 \| 200,317 \| 547,221 \| 167,981 \| 69,653 \| \| Estimated Biennial Cost of Rate Change to Fully Fund Methodology \| \| GR \| 128,166 \| 11,671 \| 98,981 \| 37,831 \| 272,147 \| 93,658 \| 47,849 \| 9,541 \| 2,972,287 \| 800,022 \| 1,745,308 \| 670,886 \| 222,151 \| \| \| \| AF \| 318,665 \| 29,017 \| 246,102 \| 94,062 \| 676,654 \| 232,868 \| 118,969 \| 23,722 \| 7,390,174 \| 1,989,140 \| 4,339,464 \| 1,668,060 \| 552,348 \| \| Percentage Rate Change to Fully Fund Methodology \| 2015 \| \| 7.93% \| 9.93% \| 7.93% \| 9.93% \| 7.93% \| 9.93% \| 7.93% \| 9.93% \| 7.93% \| 9.93% \| 7.93% \| 9.93% \| 7.93% \| \| \| 2014 \| \| 7.93% \| 9.93% \| 7.93% \| 9.93% \| 7.93% \| 9.93% \| 7.93% \| 9.93% \| 7.93% \| 9.93% \| 7.93% \| 9.93% \| 7.93% \| \| Estimated 2012-2013 Biennial Program Cost \| \| GR \| 1,528,625 \| 110,639 \| 1,180,540 \| 358,636 \| 3,245,883 \| 887,876 \| 570,690 \| 90,448 \| 35,450,356 \| 7,584,146 \| 20,816,231 \| 6,359,940 \| 2,649,594 \| \| \| \| AF \| 3,711,343 \| 268,664 \| 2,866,229 \| 870,875 \| 7,880,666 \| 2,156,026 \| 1,385,576 \| 219,634 \| 86,069,779 \| 18,416,549 \| 50,539,645 \| 15,443,814 \| 6,432,938 \| \| Method of Determining Rate Change \| \| \| A,M \| A,M \| A,M \| A,M \| A,M \| A,M \| A,M \| A,M \| A,M \| A,M \| A,M \| A,M \| A,M \| \| Rate Reduction Since Last Rate Increase \| Percent \| \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| \| \| Date \| \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| \| Last Rate Increase \| Percent \| \| 27.50% \| 12.50% \| 27.50% \| 12.50% \| 27.50% \| 12.50% \| 27.50% \| 12.50% \| 27.50% \| 12.50% \| 27.50% \| 12.50% \| 27.50% \| \| \| Date \| \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| \| KEY - A - Access based CR - Cost Reports used for prospective rate - trend to FY 2012/2013 B - Based on rates from other Medicaid programs T - Trending from current rate to FY 2012/2013 BR - Blue Ribbon file of claims data M - Based on Medicare rates Estimated Cost of 1 Percent Change CD - Percent of claims data PA - Pro forma analysis \| Estimated Biennial Cost of 1 Percent Rate Change \| \| GR \| 135,738 \| 27,429 \| 22,870 \| 29,248 \| 152,102 \| 15,979 \| 153,597 \| 435,384 \| 229,665 \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| AF \| 337,494 \| 68,198 \| 56,862 \| 72,721 \| 378,181 \| 39,730 \| 381,899 \| 1,082,519 \| 571,028 \| \| \| \| Estimated Biennial Cost of Rate Change to Fully Fund Methodology \| \| GR \| 1,076,404 \| 272,371 \| 181,355 \| 290,434 \| 1,206,171 \| 158,674 \| 1,218,029 \| 4,323,365 \| 2,117,911 \| \| \| \| \| \| AF \| 2,676,328 \| 677,211 \| 450,914 \| 722,121 \| 2,998,975 \| 394,518 \| 3,028,457 \| 10,749,416 \| 5,265,970 \| \| \| \| Percentage Rate Change to Fully Fund Methodology \| 2015 \| \| 7.93% \| 9.93% \| 7.93% \| 9.93% \| 7.93% \| 9.93% \| 7.93% \| 9.93% \| 9.54% \| MEI (0.6%) \| \| \| \| 2014 \| \| 7.93% \| 9.93% \| 7.93% \| 9.93% \| 7.93% \| 9.93% \| 7.93% \| 9.93% \| 8.89% \| MEI (0.6%) \| \| \| Estimated 2012-2013 Biennial Program Cost \| \| GR \| 12,838,233 \| 2,582,056 \| 2,163,014 \| 2,753,287 \| 14,385,954 \| 1,504,208 \| 14,527,381 \| 40,985,132 \| 21,618,757 \| 54,544,485 \| \| \| \| \| AF \| 31,169,895 \| 6,269,995 \| 5,251,572 \| 6,685,794 \| 34,927,600 \| 3,652,661 \| 35,270,971 \| 99,524,017 \| 52,496,736 \| 132,453,941 \| \| \| Method of Determining Rate Change \| \| \| A,M \| A,M \| A,M \| A,M \| A,M \| A,M \| A,M \| A,M \| CD \| T \| \| \| Rate Reduction Since Last Rate Increase \| Percent \| \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| 5.00% \| NA \| \| \| \| Date \| \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 9/1/2011 \| NA \| \| \| Last Rate Increase \| Percent \| \| 27.50% \| 12.50% \| 27.50% \| 12.50% \| 27.50% \| 12.50% \| 27.50% \| 12.50% \| 2.50% \| Medicare Economic Index (MEI) (0.6%) \| \| \| \| Date \| \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 9/1/2007 \| 1/1/2012 \| \| \| Program by Budget Agency \| \| \| Physician Assistants and Nurse Practitioners - Children \| Physician Assistants and Nurse Practitioners - Adults \| Podiatrist - Children \| Podiatrist - Adults \| Psychologists - Children \| Psychologists - Adults \| Radiologist - Children \| Radiologist - Adults \| Renal Dialysis Facilities \| Rural Health Clinics \| \| KEY - A - Access based CR - Cost Reports used for prospective rate - trend to FY 2012/2013 B - Based on rates from other Medicaid programs T - Trending from current rate to FY 2012/2013 BR - Blue Ribbon file of claims data M - Based on Medicare rates Estimated Cost of 1 Percent Change CD - Percent of claims data PA - Pro forma analysis \| Estimated Biennial Cost of 1 Percent Rate Change \| \| GR \| 1,078,773 \| 8,080,103 \| 59,147 \| 2,580,314 \| 1,380,115 \| 30,189 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| AF \| 2,682,200 \| 20,089,914 \| 147,061 \| 6,415,588 \| 3,431,462 \| 75,061 \| \| \| Estimated Biennial Cost of Rate Change to Fully Fund Methodology \| \| GR \| 1,078,773 \| 8,080,103 \| 177,442 \| 0 \| 0 \| 0 \| \| \| \| \| AF \| 2,682,200 \| 20,089,914 \| 441,183 \| 0 \| 0 \| 0 \| \| \| Percentage Rate Change to Fully Fund Methodology \| 2015 \| \| 1.00% \| 1.00% \| 3.00% \| 0.00% \| 0.00% \| 0.00% \| \| \| \| 2014 \| \| 1.00% \| 1.00% \| 3.00% \| 0.00% \| 0.00% \| 0.00% \| \| \| Estimated 2012-2013 Biennial Program Cost \| \| GR \| 89,079,734 \| 698,468,151 \| 5,567,855 \| 244,048,202 \| 130,532,403 \| 2,841,864 \| \| \| \| \| AF \| 216,909,785 \| 1,698,937,547 \| 13,520,397 \| 592,523,666 \| 316,919,107 \| 6,900,887 \| \| \| Method of Determining Rate Change \| \| \| PA \| PA \| A, B, CD \| A,M \| A,M \| A,M \| \| \| Rate Reduction Since Last Rate Increase \| Percent \| \| NA \| NA \| 5.00% \| 7.00% \| 2.00% \| 2.00% \| \| \| \| Date \| \| NA \| NA \| 9/1/2011 \| 9/1/2011 \| 2/1/2011 \| 2/1/2011 \| \| \| Last Rate Increase \| Percent \| \| NA \| NA \| NA \| NA \| NA \| NA \| \| \| \| Date \| \| NA \| NA \| NA \| 1/1/2006 \| 1/1/2006 \| 1/1/2006 \| \| \| Program by Budget Agency \| \| \| - STAR+PLUS Long Term Care - Day Activity and Health Services (S+P expansions occurred 9/1/2011 and 3/1/2012. DADS paid LTSS services for those members prior to those dates.) \| - STAR+PLUS Long Term Care - Primary Home Care (S+P expansions occurred 9/1/2011 and 3/1/2012. DADS paid LTSS services for those members prior to those dates.) \| Substance Use Disorder Services (Chemical Dependency Treatment Facility) \| Therapy Services - Comprehensive Outpatient Rehabilitation Facility (CORF) / Outpatient Rehabilitation Facility (ORF) (PT 65, PS25) - Children ONLY \| Therapy Services - Home Health Agency - Children \| Therapy Services - Home Health Agency - Adults \| \| KEY - A - Access based CR - Cost Reports used for prospective rate - trend to FY 2012/2013 B - Based on rates from other Medicaid programs T - Trending from current rate to FY 2012/2013 BR - Blue Ribbon file of claims data M - Based on Medicare rates Estimated Cost of 1 Percent Change CD - Percent of claims data PA - Pro forma analysis \| Estimated Biennial Cost of 1 Percent Rate Change \| \| GR \| 1,332,138 \| 61,778 \| 134,572 \| 96,087 \| 1,163,400 \| 3,518,823 \| 1,288 \| 888,457 \| 730,172 \| 116,833,358 \| Note 16:The costs were calculated for the Transportation Service Area Providers (TSAPs) operating with 50/50 matching and for American Medical Response (AMR), the only waiver approved hybrid TSAP- at that time, operating with Note 17:ACA Physicians and Vaccine Administration increases are effective January 1, 2013-December 31, 2014; per federal direction, no rate reductions may occur during the enhancement period. Estimated rate change amount reflects 8 months of SFY 2015 after the enhancement period ends. \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| AF \| 3,312,175 \| 153,601 \| 334,593 \| 238,905 \| 2,892,632 \| 8,749,059 \| 3,203 \| 2,209,019 \| 730,172 \| 297,707,191 \| \| \| \| Estimated Biennial Cost of Rate Change to Fully Fund Methodology \| \| GR \| 0 \| 0 \| 1,067,151 \| 761,966 \| 0 \| 0 \| 12,792 \| 888,457 \| 0 \| 2,559,502,964 \| \| \| \| \| \| AF \| 0 \| 0 \| 2,653,320 \| 1,894,522 \| 0 \| 0 \| 31,805 \| 2,209,018 \| 0 \| 6,380,427,019 \| \| \| \| Percentage Rate Change to Fully Fund Methodology \| 2015 \| \| 0.00% \| 0.00% \| 7.93% \| 7.93% \| 0.00% \| 0.00% \| 9.93% \| 1.00% \| 0.00% \| Total HHSC (with totals only included) \| \| \| \| \| 2014 \| \| 0.00% \| 0.00% \| 7.93% \| 7.93% \| 0.00% \| 0.00% \| 9.93% \| 1.00% \| 0.00% \| \| \| \| \| Estimated 2012-2013 Biennial Program Cost \| \| GR \| 125,994,745 \| 5,815,485 \| 12,727,863 \| 9,087,941 \| 110,035,375 \| 332,813,118 \| 121,266 \| 122,636,372 \| 47,712,657 \| \| \| \| \| \| \| AF \| 305,902,145 \| 14,121,717 \| 30,901,929 \| 22,064,575 \| 267,154,452 \| 808,035,657 \| 294,470 \| 296,900,298 \| 67,130,096 \| \| \| \| \| Method of Determining Rate Change \| \| \| A,M \| A,M \| A,M \| A,M \| B \| B \| A,M \| \| A,CD,M \| \| \| \| \| Rate Reduction Since Last Rate Increase \| Percent \| \| 2% and 7% \| 2% and 7% \| 2.00% \| 2.00% \| 1.00% \| 2.00% \| 2.00% \| 2.00% \| 2.00% \| \| \| \| \| \| Date \| \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 9/1/2010 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| 2/1/2011 \| \| \| \| \| Last Rate Increase \| Percent \| \| NA \| NA \| 27.50% \| 27.50% \| 7.00% \| 15.00% \| NA \| 44.80% \| 22.50% \| \| \| \| \| \| Date \| \| 1/1/2006 \| 1/1/2006 \| 9/1/2007 \| 9/1/2007 \| 8/1/2009 \| 7/1/2008 \| NA \| 9/1/2007 \| 9/1/2007 \| \| \| \| \| Program by Budget Agency \| \| \| Therapy Services - Independent Therapists (PT 34, 35, 50) - Children \| Therapy Services - Independent Therapists (PT 34, 35, 50) - Adults \| THSteps Medical Checkups \| THSteps Newborn \| THSteps Personal Care Services and Attendant Care \| THSteps Private Duty Nursing \| Tuberculosis Clinics \| Vendor Drug Dispensing Fee \| Women's Health Program \| \| \| C2. Rate Schedule – Attendant Wages per Hour and Cost of Increasing Attendant Wages by $1.00 per Hour \| Cost of Increasing Attendant Wages by $1.00 per Hour Plus Associated Payroll Taxes and Benefits \| FY 2015 \| GR \| $20,752,215 \| $2,011,858 \| $5,075,727 \| $2,914,538 \| $186,450 \| $84,982 \| $3,683,329 \| $65,988 \| $20,966,056 \| $3,719,904 \| $526,562 \| $131,559 \| $437,830 \| $4,362,629 \| $105,757 \| $8,813,381 \| $1,064,744 \| $165,040 \| $4,878,269 \| $1,283,708 \| $1,379,123 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| AF \| $51,622,425 \| $5,004,623 \| $12,626,187 \| $7,250,095 \| $463,807 \| $211,398 \| $9,162,509 \| $164,150 \| $52,154,368 \| $3,719,904 \| $526,562 \| $327,262 \| $437,830 \| $10,852,310 \| $263,077 \| $21,923,834 \| $2,648,618 \| $410,547 \| $12,134,997 \| $3,193,304 \| $3,430,654 \| \| \| FY 2014 \| GR \| $20,731,340 \| $1,959,564 \| $5,036,382 \| $2,821,243 \| $185,005 \| $85,067 \| $3,686,498 \| $66,045 \| $20,588,136 \| $3,719,904 \| $526,562 \| $129,488 \| $437,830 \| $4,366,970 \| $105,862 \| $8,822,151 \| $1,065,804 \| $165,204 \| $4,883,123 \| $1,215,231 \| $1,305,556 \| \| \| \| AF \| $51,519,235 \| $4,869,691 \| $12,515,861 \| $7,011,041 \| $459,754 \| $211,398 \| $9,161,277 \| $164,127 \| $51,163,360 \| $3,719,904 \| $526,562 \| $321,789 \| $437,830 \| $10,852,310 \| $263,077 \| $21,923,834 \| $2,648,618 \| $410,547 \| $12,134,997 \| $3,019,958 \| $3,244,424 \| \| Per Unit Cost of Increasing Rate to support $1.00 per hour increase in attendant wages \| \| \| $2.48 \| $2.48 \| $1.10 \| $1.10 \| $1.51 \| $1.12 \| $1.10 \| $1.10 \| $1.10 \| $1.10 \| $1.10 \| $0.41 \| $0.41 \| $1.10 \| $1.10 \| $8.15 \| $1.16 \| $1.16 \| $5.91 \| $0.28 \| $0.28 \| \| Maximum Attendant Wages per hour Assumed in FY 2013 Rates Assuming Full Participation in Enhancement Program \| \| \| $13.22 \| $12.77 \| $8.78 \| $7.74 \| $8.87 \| $8.27 \| $8.29 \| $9.06 \| $8.31 \| $8.31 \| $7.25 \| $10.03 \| $10.03 \| $10.29 \| $10.29 \| $8.91 \| $11.18 \| $11.18 \| $9.19 \| $7.66 \| $9.16 \| \| Attendant hours per Unit of Service \| \| \| 2.18 \| 2.18 \| 1.00 \| 1.00 \| 1.37 \| 1.02 \| 1.00 \| 1.00 \| 1.00 \| 1.00 \| 1.00 \| 0.38 \| 0.38 \| 1.00 \| 1.00 \| 7.01 \| 1.00 \| 1.00 \| 5.08 \| 0.25 \| 0.25 \| \| Total Attendant Compensation Assumed in FY 2013 Rates \| \| \| $10.32 \| $9.81 \| $8.53 \| $8.53 \| $8.94 \| $7.99 \| $7.99 \| $8.84 \| $8.02 \| $8.02 \| $7.99 \| $7.99 \| $7.99 \| $10.20 \| $10.20 \| $10.19 \| $11.76 \| \| $10.45 \| $8.45 \| $10.10 \| \| Percent Payroll Taxes and Benefits Assumed in FY 2013 Rates \| \| \| 13.68% \| 13.68% \| 10.25% \| 10.25% \| 10.25% \| 10.25% \| 10.25% \| 10.25% \| 10.25% \| 10.25% \| 10.25% \| 10.25% \| 10.25% \| 10.25% \| 10.25% \| 16.29% \| 16.29% \| \| 16.37% \| 10.25% \| 10.25% \| \| Minimum Attendant Wages per Hour Assumed in FY 2013 Rates \| \| \| $9.08 \| $8.63 \| $7.74 \| $7.74 \| $8.11 \| $7.25 \| $7.25 \| $8.02 \| $7.27 \| $7.27 \| $7.25 \| $7.25 \| $7.25 \| $9.25 \| $9.25 \| $8.76 \| $10.11 \| \| $8.98 \| $7.66 \| $9.16 \| \| Program \| \| \| Nursing Facility \| Hospice (NF-related only) \| Community Based Alternatives (CBA) \| Medically Dependent Children Program \| CBA Assisted Living / Residential Care \| Residential Care \| Primary Home Care (PHC) Nonpriority \| PHC Priority \| Community Attendant Services \| Family Care \| Client Managed Personal Attendant Services \| Day Activity and Health Services (DAHS) - Title XIX Medicaid \| DAHS - Title XX \| Community Living Assistance and Support Services \| Deaf Blind Multiple Disabilities Waiver \| Home and Community-based Services Residential Direct Service Worker \| Home and Community-based Services Supported Home Living \| Texas Home Living Community Support Services \| Intermediate Care Facilities for Persons with Mental Retardation - (ICF/MR) Direct Service Workers \| Texas Health Steps (TxHSteps) - Personal Care Services \| TxHSteps - Behavioral Personal Care Services \| C3. Rate Schedule – Comparison of Select Physician/Professional Fees \| Rank \| Procedure Code \| Description \| Current Medicaid Fee \| Current Medicare Fee \| \|---\|---\|---\|---\|---\| \| 1 \| T1000 \| Private Duty / Independent Nursing - Registered Nurse - up to 15 minutes (Child) \| $11.05 \| N/A \| \| 1 \| T1000 \| Private Duty / Independent Nursing - Registered Nurse - Client with Tracheostomy or Ventilator - up to 15 minutes (Child) \| $12.71 \| N/A \| \| 1 \| T1000 \| Private Duty / Independent Nursing - Licensed Vocational Nurse - up to 15 minutes - (Child) \| $8.09 \| N/A \| \| 1 \| T1000 \| Private Duty / Independent Nursing - Licensed Vocational Nurse - Client with Tracheostomy or Ventilator - up to 15 minutes (Child) \| $8.87 \| N/A \| \| 2 \| 92507 \| Speech/Hearing Therapy - 15 minutes (Independent Therapist - Child) \| $32.55 \| $68.42 \| \| 2 \| 92507 \| Speech/Hearing Therapy - 15 minutes (Comprehensive Outpatient Rehabilitation Facility or Outpatient Rehabilitation Facility - Child) \| $40.80 \| $68.42 \| \| 2 \| 92507 \| Speech/Hearing Therapy - per visit (Home Health Agency - Child) \| $137.20 \| $68.42 \| \| 3 \| 99213 \| Established Patient Office Visit - 15 minutes (Child) \| $36.89 \| $71.82 \| \| 3 \| 99213 \| Established Patient Office Visit - 15 minutes (Adult) \| $33.27 \| $71.82 \| \| 4 \| 97530 \| Therapeutic Activities - 15 minutes (Independent Therapist - Child) \| $32.55 \| $34.38 \| \| 4 \| 97530 \| Therapeutic Activities - 15 minutes (Comprehensive Outpatient Rehabilitation Facility or Outpatient Rehabilitation Facility - Child) \| $40.80 \| $34.38 \| \| 4 \| 97530 \| Therapeutic Activities - per visit (Home Health Agency - Child) \| $137.20 \| $34.38 \| \| 5 \| 99214 \| Established Patient Office Visit - 25 minutes (Child) \| $51.80 \| $105.52 \| \| 5 \| 99214 \| Established Patient Office Visit - 25 minutes (Adult) \| $46.73 \| $105.52 \| \| 6 \| 97110 \| Therapeutic Exercises - 15 minutes (Independent Therapist - Child) \| $32.55 \| $31.31 \| \| 6 \| 97110 \| Therapeutic Exercises - 15 minutes (Comprehensive Outpatient Rehabilitation Facility or Outpatient Rehabilitation Facility - Child) \| $40.80 \| $31.31 \| \| 6 \| 97110 \| Therapeutic Exercises - per visit (Home Health Agency - Child) \| $137.20 \| $31.31 \| \| 7 \| 99392 \| Established Patient Preventative Visit - ages 1-4 \| $83.37 \| $103.47 \| \| 8 \| T1019 \| Personal Care Services - 15 minutes - (Child) \| $2.89 \| N/A \| \| 8 \| T1019 \| Personal Care Services Consumer Directed Services - 15 minutes - (Child) \| $2.69 \| N/A \| \| 8 \| T1019 \| Personal Care Services Behavioral Health Condition - 15 minutes - (Child) \| $3.43 \| N/A \| \| 8 \| T1019 \| Personal Care Services Consumer Directed Services Behavioral Health Condition - 15 minutes - (Child) \| $3.23 \| N/A \| \| 9 \| 99391 \| Established Patient Preventative Visit - Infant \| $76.20 \| $97.01 \| \| 10 \| 59410 \| Obstetrical Care (Child) \| $682.03 \| $1,074.91 \| \| 10 \| 59410 \| Obstetrical Care (Adult) \| $649.55 \| $1,074.91 \| \| 10 \| 59410 \| Obstetrical Care (in birthing center) \| $731.11 \| $1,074.91 \| \| 11 \| 99283 \| Emergency Department Visit - Moderate Severity (Child) \| $60.33 \| $60.25 \| \| 11 \| 99283 \| Emergency Department Visit - Moderate Severity (Adult) \| $54.41 \| $60.25 \| \| 12 \| 99393 \| Established Patient Preventative Visit - ages 5-11 \| $83.03 \| $103.13 \| \| 13 \| 99284 \| Emergency Department Visit - High Severity (Child) \| $88.27 \| $114.71 \| \| 13 \| 99284 \| Emergency Department Visit - High Severity (Adult) \| $79.62 \| $114.71 \| \| 14 \| 90806 \| Outpatient Psychotherapy - 45 to 50 minutes (Child) \| $68.48 \| $79.65 \| \| 14 \| 90806 \| Outpatient Psychotherapy - 45 to 50 minutes (Adult) \| $65.22 \| $79.65 \| \| 15 \| H2017 \| Psychosocial Rehabilitation Services - 15 minutes (individual) \| $26.93 \| N/A \| \| 15 \| H2017 \| Psychosocial Rehabilitation Services - 15 minutes - (group) \| $5.39 \| N/A \| \| 16 \| 59515 \| Caesarian Delivery - including obstetrical care (Child) \| $824.90 \| $1,302.28 \| \| 16 \| 59515 \| Caesarian Delivery - including obstetrical care (Adult) \| $785.61 \| $1,302.28 \| \| 17 \| 99469 \| Subsequent Neonate Critical Care - 28 days of age or less \| $370.13 \| $413.22 \| \| 18 \| 99232 \| Subsequent Hospital Care (Child) \| $49.42 \| $70.46 \| \| 18 \| 99232 \| Subsequent Hospital Care (Adult) \| $44.57 \| $70.46 \| \| 19 \| 99285 \| Emergency Department Visit - High Severity - Threat to Life (Child) \| $109.74 \| $168.15 \| \| 19 \| 99285 \| Emergency Department Visit - High Severity - Threat to Life (Adult) \| $98.98 \| $168.15 \| \| 20 \| 99472 \| Subsequent Pediatric Critical Care - 29 days to 24 months \| $368.08 \| $394.16 \| \| 21 \| 99394 \| Established Patient Preventative Visit - ages 12-17 \| $90.55 \| $112.66 \| \| 22 \| 90862 \| Medication Management (Child) \| $43.79 \| $58.89 \| \| 22 \| 90862 \| Medication Management (Adult) \| $41.70 \| $58.89 \| \| 23 \| 99233 \| Subsequent Hospital Care - 35 minutes (Child) \| $66.46 \| $101.09 \| \| 23 \| 99233 \| Subsequent Hospital Care - 35 minutes (Adult) \| $59.95 \| $101.09 \| \| 24 \| 99212 \| Established Patient Office Visit - 10 minutes (Child) \| $24.54 \| $42.89 \| \| 24 \| 99212 \| Established Patient Office Visit - 10 minutes (Adult) \| $22.14 \| $42.89 \| \| 25 \| 99479 \| Subsequent Intensive Care - Low Birth Weight Infant \| $124.95 \| $125.26 \| C4. Rate Schedule – Comparison of Select Dental Fees \| Rank \| Procedure Code \| Description \| Current Medicaid Rate \| ADA 50th Percentile Rate* \| Medicaid as Percentage of 50th Percentile of ADA Fee Survey \| \|---\|---\|---\|---\|---\|---\| \| 1 \| D2391 \| Resin-based Composite - One Surface, Posterior \| $82.40 \| $145.00 \| 56.8% \| \| 2 \| D1351 \| Dental Sealant Per Tooth \| $28.24 \| $43.00 \| 65.7% \| \| 3 \| D2930 \| Prefabricated Stainless Steel Crown - Primary Tooth \| $152.94 \| $220.00 \| 69.5% \| \| 4 \| D8670 \| Periodic Orthodontic Treatment Visit (As Part of a Contract) \| $66.74 \| Not Listed on Schedule \| N/A \| \| 5 \| D2392 \| Resin-Based Composite - Two Surfaces, Posterior \| $108.00 \| $185.00 \| 58.4% \| \| 6 \| D0145 \| Oral Evaluation for a Patient under Three Years of Age and Counseling with Primary Caregiver (Dental Home) \| $142.07 \| Not Listed on Schedule \| N/A \| \| 7 \| D8080 \| Comprehensive Treatment of the Adolescent Dentition \| Manually Priced \| Not Listed on Schedule \| N/A \| \| 8 \| D1120 \| Dental Prophylaxis - Child \| $36.75 \| $55.00 \| 66.8% \| \| 9 \| D0120 \| Periodic Oral Evaluation - Established Patient \| $28.85 \| $40.00 \| 72.1% \| \| 10 \| D7240 \| Removal of Impacted Tooth - Completely Bony \| $294.00 \| $400.00 \| 73.5% \| \| 11 \| D8220 \| Fixed Appliance Therapy \| Manually Priced \| Not Listed on Schedule \| N/A \| \| 12 \| D7140 \| Extraction, Erupted Tooth or Exposed Root \| $65.70 \| $135.00 \| 48.7% \| \| 13 \| D3220 \| Therapeutic Pulpotomy \| $86.20 \| $160.00 \| 53.9% \| \| 14 \| D0150 \| Comprehensive Oral Evaluation - New or Established Patient \| $35.32 \| $70.00 \| 50.5% \| \| 15 \| D9248 \| Non-intravenous Conscious Sedation \| $183.75 \| Not Listed on Schedule \| N/A \| \| 16 \| D1110 \| Dental Prophylaxis - Adult \| $54.88 \| $74.00 \| 74.2% \| \| 17 \| D0272 \| Dental Bitewings - Two Films \| $23.38 \| $36.00 \| 64.9% \| \| 18 \| D1203 \| Topical Application of Fluoride - Child \| $14.70 \| $24.00 \| 61.3% \| \| 19 \| D0274 \| Dental Bitewings - Four Films \| $34.61 \| $53.00 \| 65.3% \| \| 20 \| D8210 \| Removable Appliance Therapy \| Manually Priced \| Not Listed on Schedule \| N/A \| \| 21 \| D0210 \| Intraoral - Complete Series (Including Bitewings) \| $70.64 \| $105.00 \| 67.3% \| \| 22 \| D0330 \| Panoramic Film \| $63.78 \| $90.00 \| 70.9% \| \| 23 \| D9230 \| Analgesia \| $27.81 \| $48.00 \| 57.9% \| \| 24 \| D0220 \| Intraoral Periapical - First Film \| $12.56 \| $23.00 \| 54.6% \| \| 25 \| D0230 \| Intraoral Periapical - Each Additional Film \| $11.51 \| $19.00 \| 60.6% \| *Obtained from the American Dental Association (ADA) 2011 Survey of Dental Fees (West South Central Region) Note: Rank is based on the highest expenditure paid for a specific procedure code D. Promoting Independence Initiative The Promoting Independence Initiative (Initiative) is the direct result of four public policy actions: - The United States Supreme Court ruling, Olmstead v. L.C., June 1999, which stated in part…" that individuals living in institutions must be provided community care when the following conditions are met: - State's treatment professionals determine that such placement is appropriate; - Affected persons do not oppose such treatment; and - Placement can be reasonably accommodated, taking into account the resources available to the state and the needs of others who are receiving state supported disability services…." - Governor Bush's Executive Order GWB 99-2, September 1999, which began the Texas Initiative by requiring the Health and Human Services Commission to conduct a comprehensive review of all services and support systems available to people with disabilities in Texas ensuring the involvement of consumers, advocates, providers, and relevant agency representatives in this review. Executive Order GWB 99-2 also required that a report of these findings be submitted to the Governor, the Lieutenant Governor and the Speaker of House by January 2001; this report became the first Promoting Independence Plan (Plan). The Plan and Initiative includes specific requirements to provide community options for persons within the Olmstead population who are served in large (fourteen or more bed) community Intermediate Care Facilities for Individuals with Intellectual Disabilities (ICF/IID), state supported living centers, state mental health facilities (state hospitals) and nursing facilities (NFs) who are appropriate for and choose community alternatives. - Texas statutes enacted in 2001 which codified many of the aspects of the original Plan and appropriations language which created the "Money Follows the Person" policy. - S.B. 367 codified many of the aspects of the Plan that impacted the entire health and human services systems, established the Promoting Independence Advisory Committee, and requires updated Plans every two years prior to a new legislative session. - S. B. 368 impacts children (0-21 years of age) by emphasizing and providing direction to HHSC and all health and human services agencies regarding the implementation of permanency planning efforts. - Governor Perry's Executive Order RP-13, April 2002, which enhances the Initiative and directs HHSC to continue its development and implementation of the state's Promoting Independence Initiative and Plan, including revising it on a regular basis. Additionally, Executive Order RP-13 highlights the need for housing, workforce, and permanency planning efforts. The Initiative has been very successful in shaping long term services and supports public policy since 2001 by providing increased community opportunities for individuals residing in NF, state supported living centers, and large community ICFs/IID and decreasing the number of repeat admissions to state hospitals. Two of the most successful initiatives are: - "Money Follows the Person" (MFP) which has helped over 30,000 NF residents to move into community Medicaid waiver programs as of July 30, 2012. MFP was recognized by the Council of State Governments with its 2006 Innovation Award. In addition, the Texas program was the impetus for Congress to include MFP in the Deficit Reduction Act (DRA) of 2005, Section 6071, and providing $1.75 billion in Demonstration awards for states to begin similar programs. The recent Affordable Care Act (2010) extended the MFP Demonstration through calendar year 2016 and added more than $2 billion to the nationwide project. - Promoting Independence provides individuals residing in state supported living centers and large community ICFs/IID expedited access to the Home and Community-based Services (HCS) Medicaid waiver program. Individuals in state schools may be provided a community option within six months of referral and those in large community ICFs/MR within twelve months. Since 1999, and as of July 31, 2012 over 3,567 individuals have chosen a community program. As stated, Texas' MFP program was codified into federal law by the DRA 2005. Texas' Demonstration award will ultimately be worth $185.6 million in enhanced federal funding by the end of the Demonstration in Calendar Year 2016; all funds are contingent upon the number of individuals who relocate from institutional settings. By July 2012, the project had already helped 6,187 individuals with complex medical/functional needs residing in NFs, state schools, and nine or more bed community ICFs/IID by providing them a choice of service settings. The Demonstration includes: - Two new specialized supports services (Cognitive Adaptation Training and Substance Abuse Services) for individuals with co-occurring behavioral health needs who live in the San Antonio service delivery area. - An "overnight support service" which will allow an individual with complex medical/functional needs to hire an attendant during normal sleeping hours; this service will be limited to Cameron, Hidalgo, Willacy and the counties surrounding Tyler. - Assistance to providers of nine or more bed community ICF/IID who chose to voluntarily close their facilities and take those beds off-line. - Post-relocation services, which are ongoing contacts with individuals once they have left a NF to help ensure a successful transition to the community. - Housing initiatives to develop linkages between the long-term services and supports system with the housing system to result in increased dedicated housing voucher for the Olmstead population and the development of more integrated, accessible, and affordable housing. HHSC oversees the Initiative and delegates the daily management to the Department of Aging and Disability Services. DADS has included the following two exceptional items: - Exceptional Item #3 Promoting Independence - Funding under this exceptional item would service approximately 400 slots at Large Intermediate Care Facilities for Individuals with Intellectual Disabilities and State Supported Living Centers, 192 slots for Department of Family and Protective Services children aging out of foster care, 400 (300 Home and Community-based Services and 100 Community Based Alternatives) crisis slots for persons at imminent risk of institutionalization and 360 slots for the diversion of individuals with intellectual and developmental disabilities from nursing facilities. \| \| ($ in Millions) \| \| FY 2014 \| \| FY 2015 \| Biennium \| \|---\|---\|---\|---\|---\|---\|---\| \| General Revenue \| \| $7.9 \| \| $24.2 \| \| $32.1 \| \| All Funds \| \| $19.7 \| \| $60.2 \| \| $79.9 \| - Exceptional Item #4 Community Expansion - This item continues DADS' efforts to increase services for community programs that maintain interest lists. For HCS and Community Living assistance and Support Services (CLASS), funding would serve 20 percent of the estimated number of eligible individuals on the interest lists who would likely accept services. For Community Based Alternatives (CBA), Medically dependent Children's Program (MDCP), Texas Home Living, STAR+PLUS CBA individuals above the SSI level, In Home and Family Support, Title XX services, and IDD Community services, this item requests funding to increase services levels by 10 percent over FY 2012-13 levels. The request includes funding for acute care, drug and administrative costs at HHSC, as well as long term care and administrative costs at DADS. In addition to the increase above, this item requests funding for a new Community First Choice program. Federal law now gives states the option to provide Medicaid State Plan home and community-based attendant services, habilitation and personal emergency response services in exchange for a 6 percent enhanced FMAP. Under federal statute, individuals eligible for CFC must already be eligible for Medicaid under the state plan and meet an institutional level of care. Implementation is anticipated in 2015. Currently, Texas provides up to 50 hours per week of attendant care to adults with physical disabilities under its Medicaid state plan through the Primary Home Care (PHC) and Community Attendant Services (CAS) programs. No analogous state plan program exists for individuals with intellectual and developmental disabilities (IDD). With CFC, adults with a primary diagnosis of IDD, who are currently eligible for Medicaid but are not receiving attendant care services, would have access to attendant care, habilitation and personal emergency response services through the state plan. This option may reduce the need for waiver type services and may also result in diversion from costlier institutional settings by providing these basic services in the individual's home. \| \| ($ in Millions) \| \| FY 2014 \| \| FY 2015 \| Biennium \| \|---\|---\|---\|---\|---\|---\|---\| \| General Revenue \| \| $56.0 \| \| $203.5 \| \| \| Health and Human Services Commission Exceptional Items that impact Promoting Independence. - Exceptional Item #30 Balancing Incentive Payments - The estimated fiscal impact of Balancing Incentive Payments (BIP) has not been determined. BIP provides an increase in FMAP for a balancing incentive payment state for eligible Medicaid expenditures. Balancing incentive payments are available to states in which less than 50 percent of total Medicaid expenditures for a fiscal year for long-term services and supports (LTSS) are for non-institutional LTSS. Texas has applied for BIP funding and CMS has confirmed that Texas could qualify for a time-limited 2 percent increase in FMAP for community-based services. Funding is available to states through October 2015 and must be invested in infrastructure improvements and efforts designed to improve access to community-based LTSS. E. Long Term Care Plan Section 533.062 of the Texas Health and Safety Code requires the Long-Term Care Plan for Individuals with Intellectual Disabilities and Related Conditions to be developed prior to each legislative session and adjusted following legislative action on appropriations for long-term care services specific to this population. The Health and Human Services Commission publishes the plan solely to reflect the legislative appropriations for the 1) state supported living centers and licensed/certified community-based intermediate care facilities serving individuals with an intellectual disability or related conditions (ICF/IID), and 2) the various waiver programs serving individuals with intellectual disabilities and related conditions. Data in this plan represent the average monthly number of persons expected to participate in each service. They do not necessarily represent the number of institutional beds or waiver slots available. DADS legislative appropriations request contains two exceptional items, Promoting Independence and Community Expansion, totaling approximately $291.6 million in general revenue and $976.3 million in all funds. The items focus on providing community-based services for aging individuals and those with intellectual disabilities and related conditions. - Promoting Independence – DADS is requesting funds to: o Expand waiver services for transition of 400 persons from ICF/IID (including state supported living centers); o Expand waiver services to support 192 children aging out of foster care; o Expand waiver services to support 300 persons at imminent risk of entering an ICF/IID; o Expand waiver services to support 100 individuals at imminent risk of entering a nursing facility; and o Expand waiver services to support 360 individuals with intellectual and developmental disabilities moving from nursing facilities during the biennium. - Community Expansion – DADS is requesting an increase in funding to support 11,266 new individuals in DADS community-based services currently on interest lists. Of those, 9,210 will be in services covered by this plan. Community First Choice The Community First Choice program has potential to change the service system capacity. Currently, Texas provides up to 50 hours per week of attendant care for adults with physical disabilities under its Medicaid state plan through the Primary Home Care and Community Attendant Services programs. No analogous state plan program exists for individuals with an intellectual disability or related conditions. Federal law now gives states the option under the CFC to provide Medicaid state plan home and community-based attendant services, habilitation and personal emergency response services to individuals with an intellectual disability or related conditions at a 6 percent enhanced federal medical assistance percentage (FMAP). Under federal statute, individuals eligible for CFC must already be eligible for Medicaid under the state plan and meet an institutional level of care. CFC may reduce the need for waiver services and may also result in diversion from institutional settings by providing these basic services in an individual's home. The design and development of this program is under discussion and may provide the opportunity for further increases in service capacity. Potential growth in service capacity through the CFC program is not reflected in this plan. Intermediate Care Facilities for Individuals with an Intellectual Disability or Related Conditions (ICF/IID) The ICF/IID program is a Medicaid-funded program that provides 24-hour residential services and supports for individuals with an intellectual disability or related conditions in settings of four or more persons. ICF/IID services are provided in two settings: state supported living centers and community-based facilities. The primary purpose of the Medicaid ICF/IID program is the provision of health and habilitation services. Provision of active treatment is the core requirement for certification as an ICF/IID. Each facility must comply with federal and state standards, applicable laws, and regulations. While the number of individuals served by the ICF/IID programs has been declining for the past decade, there has been a slight increase in enrollment since the beginning of Fiscal Year 2012. Estimates for 2013 through 2015 reflect this increase. The increase may result from the lack of additional Home and Community-based (HCS) waiver slots. Individuals on the interest list may be choosing ICF/IID services because they are unable to wait for HCS services. Waiver Programs Section 1915(c) of the Social Security Act provides that upon federal approval states may "waive" various federal Medicaid requirements to provide an array of support services in the community as an alternative to institutional care. Medicaid expenses for individuals in waiver programs cannot exceed, in the aggregate, Medicaid expenses for institutional services for individuals with similar needs. - The 2006-07 General Appropriations Act (Article ΙΙ, Department of Aging and Disability Services, S.B. 1, 79 th Legislature, Regular Session, 2005) authorized appropriations for a significant expansion of all waiver programs administered by the Department of Aging and Disability Services. - The 2008-09 General Appropriations Act (Article ΙΙ, Department of Aging and Disability Services, H.B. 1, 80 th Legislature, Regular Session, 2007) allocated additional funds in Strategy D.1.1.: Waiting/Interest List Reduction in the amounts of $42,605,333 for fiscal year 2008 and $130,632,915 for fiscal year 2009. - The 2010-11 General Appropriations Act (Article ΙΙ, Department of Aging and Disability Services, S.B. 1, 81 st Legislature, Regular Session, 2009) authorized appropriations of $92.5 million for fiscal year 2010 and $270.8 million for fiscal year 2011 for expanding community-based services. Home and Community-based Services (HCS) Program The HCS program serves individuals with a primary diagnosis of an intellectual disability or a related condition who qualify for a Level of Care I. The HCS program provides individualized services and supports for persons living in their family home, their own home, in a foster/companion care setting, or in a residence with no more than four individuals who receive similar services. HCS Exceptional Items \| \| Initiative \| \| 2014 \| \| 2015 \| \|---\|---\|---\|---\|---\|---\| \| Maintain August 2013 \| \| 284 \| \| 284 \| \| \| Promoting Independence \| \| 306 \| \| 937 \| \| \| Interest List Reduction \| \| 1,391 \| \| 4,174 \| \| Texas Home Living (TxHmL) Program The TxHmL program provides individualized community-based services and supports for individuals with a primary diagnosis of an intellectual disability or a related condition who qualify for a Level of Care I. Selected essential services and supports are provided for individuals so they can continue to live with their families or in their own homes. The sharp increase in the number of individuals served by TxHmL beginning in 2012 reflects legislative direction to refinance services formerly provided by local authorities using only general revenue (GR) funds. Individuals who received GR funded services in the past are now enrolled in the TxHmL waiver, which allows federal matching funds to support the cost of these services. TxHmL Exceptional Items \| \| Initiative \| \| 2014 \| \| 2015 \| \|---\|---\|---\|---\|---\|---\| \| Promoting Independence \| \| - \| \| - \| \| \| Interest List Reduction \| \| 143 \| \| 430 \| \| Community Living Assistance and Support Services (CLASS) Program The CLASS program provides home and community-based services for adults and children with related conditions so they can live with their families or in their own homes as an alternative to ICF/IID services. Individuals with related conditions have a diagnosis listed on the DADS Approved Diagnostic Codes for Persons with Related Conditions. The disability must originate before age 22 and limit the individual's ability to perform activities of daily living. CLASS Exceptional Items \| \| Initiative \| \| 2014 \| \| 2015 \| \|---\|---\|---\|---\|---\|---\| \| Promoting Independence \| \| - \| \| - \| \| \| Interest List Reduction \| \| 764 \| \| 2,292 \| \| Deaf-Blind with Multiple Disabilities (DBMD) Program The DBMD program provides home and community-based services for individuals who have deaf blindness with one or more other disabilities. Individuals live with their families, in their own homes, or in residences with no more than six individuals. The program focuses on increasing opportunities for individuals to communicate and interact with their environment. DBMD Exceptional Items \| \| Initiative \| \| 2014 \| \| 2015 \| \|---\|---\|---\|---\|---\|---\| \| Promoting Independence \| \| - \| \| - \| \| \| Interest List Reduction \| \| 4 \| \| 12 \| \| Consolidated Waiver Program (CWP) The Consolidated Waiver Program was a pilot 1915(c) Medicaid waiver limited to Bexar County. The 2010-11 General Appropriations Act (Article ΙΙ, Department of Aging and Disability Services, S.B. 1, 81st Legislature, Regular Session, 2009) did not re-authorize funding for this program, in effect directing DADS to discontinue the CWP waiver. Individuals receiving services in this program transferred to other waiver programs. F1. Federal Funds FY 2012 Top 30 HHS Enterprise Federal Funding Sources ($ in millions) \| Rank \| CFDA \| Federal Agency \| Federal Grant Title \| GR Match Y/N \| TOTALS HHS System Est FY2012 \| HHSC \| DADS \| DSHS \| DFPS \| DARS \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 1 \| 93.778 \| HHS-CMS \| Title XIX - Medicaid/Medical Assistance Program (multiple grants) - medical assistance for children, pregnant women and elderly providing inpatient/outpatient hospital, physician services, nursing facility care, home health care, family planning, rural health clinic, lab/x-ray, FQHC, and EPSDT under age 21. \| Y \| $15,277.8 \| $11,588.5 \| $3,551.0 \| $92.0 \| $7.3 \| $39.1 \| \| 2 \| 93.767 \| HHS-CMS \| State Children's Health Insurance Program/CHIP - preventive care; inpatient/outpatient hospital services for children from low-income families not eligible for Medicaid up to age 19. \| Y \| $934.1 \| $934.1 \| \| \| \| \| \| 3 \| 10.557 \| USDA \| Special Supplemental Nutrition Program for Women, Infants, and Children/WIC (2 grants) - supplemental nutritious foods, nutrition education, infant formula, purchase of breast pumps, referral services to social/medical providers, tests for anemia, and vendor management. Healthcare services are not allowable. \| N \| $574.0 \| \| \| $574.0 \| \| \| \| 4 \| 93.558 \| HHS-ACF \| Title IV Part A-Temporary Assistance for Needy Families/TANF & TANF to Title XX (Block Grant) - broad flexibility for cash assistance, employment services, adult education to children under age 18 (or 18 and attending school) and parents or relative caretakers of children, cannot be used for medical assistance, except pre-pregnancy family planning. \| N \| $346.7 \| $76.5 \| \| $22.3 \| $231.9 \| $16.1 \| \| 5 \| 84.126 \| DOE \| Vocational Rehabilitation Grants to States (2 grants) - for vocational rehabilitation services including assessment, counseling, vocational or other training, job placement, reader services for blind, interpreter services for deaf, medical and related services, prosthetic and orthotic devices, transportation to secure vocational services. \| Y \| $225.2 \| \| \| \| \| $225.2 \| \| 6 \| 93.658 \| HHS-ACF \| Title IV E-Foster Care (multiple grants) - provides safe, 24-hour substitute care for children under jurisdiction of state-payments to foster family homes, child-care institutions, public/nonprofit child placement agencies; food, clothing, shelter, daily supervision, school supplies; funds cannot be used for counseling or treatment services. \| Y \| $207.0 \| \| \| \| $207.0 \| \| \| 7 \| 10.561 \| USDA \| State Administration for Supplemental Nutrition Assistance Program SNAP aka Food Stamps - for administrative costs to screen/certify applicants; issue benefits; conduct fraud investigations; provide fair hearings; conduct nutrition education activities. \| Y \| $205.2 \| $205.2 \| \| \| \| \| \| 8 \| 93.667 \| HHS-ACF \| Title XX-Social Services Block Grant (SSBG) - to prevent, reduce or eliminate dependency; achieve or maintain self-sufficiency; prevent neglect, abuse or exploitation of children and adults; prevent or reduce inappropriate institutional care; or secure admission or referral for institutional care when other forms not appropriate. Funds family planning and rehabilitation services. DADS-home-based services, home delivered meals, adult foster care, residential care, adult day care, personal assistant services, attendant care, emergency response services; DSHS-family planning services, children's mental health services; DFPS-protective services for adults and children, mental health and mental retardation investigations. \| N \| $140.7 \| $7.6 \| $88.8 \| $11.0 \| $33.3 \| \| F1. Federal Funds, continued \| Rank \| CFDA \| Federal Agency \| Federal Grant Title \| GR Match Y/N \| TOTALS HHS System Est FY2012 \| HHSC \| DADS \| DSHS \| DFPS \| DARS \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 9 \| 96.001 \| SSA \| Disability Determinations - to conduct disability determination and evaluate disability status for identifying clients eligible for Supplemental Security Income/SSI and Social Security Disability Insurance/SSDI. \| N \| $137.8 \| \| \| \| \| $137.8 \| \| 10 \| 93.959 \| HHS- SAMHSA \| Substance Abuse Prevention and Treatment Block Grant - to develop and implement prevention, treatment, and rehabilitation activities to address alcohol and drug abuse. \| N \| $133.3 \| \| \| $133.3 \| \| \| \| 11 \| 93.659 \| HHS-ACF \| Title IV E-Adoption Assistance (multiple grants) - for subsidy payments, administrative expenses for placing children in adoption and training of professional staff and parents. \| Y \| $94.2 \| \| \| \| $94.2 \| \| \| 12 \| 93.917 \| HHS-HRSA \| HIV Care Formula Grants - for healthcare and support services for individuals and families with HIV. State must use 75% on core medical services such as outpatient and ambulatory health care, AIDS Drug Assistance Program, oral health care, medical case management, and health insurance premiums; and 25% for support services such as respite care, outreach services and medical transportation. \| Y \| $88.2 \| \| \| $88.2 \| \| \| \| 13 \| 93.566 \| HHS-ACF \| Refugee and Entrant Assistance (multiple grants, includes 93.576/93.584) - for assistance provided to refugees, asylees, Cuban and Haitian entrants, victims of severe forms of trafficking, and certain Amerasians from Vietnam and Iraqi and Afghan Special Immigrant Visa holders for resettlement in the US, includes cash and medical assistance and social services. \| N \| $53.7 \| $38.9 \| \| $9.7 \| $5.1 \| \| \| 14 \| 93.777 \| HHS-CMS \| Survey and Certification of Health Care Providers and Suppliers/Medicare (multiple grants) - for inspecting providers and suppliers of health care services, to ensure mandatory adherence to Medicare/Medicaid health and safety standards and conditions; and includes activities such as performing survey activities and administration of the program. \| N \| $49.2 \| \| $44.1 \| $5.1 \| \| \| \| 15 \| 93.994 \| HHS-HRSA \| Title V-Maternal and Child Health Services Block Grant - for developing systems of care for the provision of health services and related activities including planning, administration, education and evaluation; and maintain a toll-free information line for parents and Medicaid providers. States must use 30% of funds for preventive and primary care services for children and at least 30% for children with special healthcare needs. \| Y \| $44.3 \| \| \| $44.3 \| \| \| \| 16 \| 84.181 \| DOE \| Special Education Grants - for implementing and maintaining a comprehensive, coordinated, multidisciplinary, interagency system to make available early intervention services to infants and toddlers, birth thru 2, with disabilities and their families. \| N \| $43.7 \| \| \| \| \| $43.7 \| \| 17 \| 93.069 \| HHS-CDC \| Public Health Emergency Preparedness - for developing emergency-ready public health departments that are flexible and adaptable; supporting the National Response Framework, which guides how the nation responds to all types of hazards including infectious disease outbreaks; natural disasters; biological, chemical, and radiological incidents; and explosions. \| Y \| $40.8 \| \| \| $40.8 \| \| \| F1. Federal Funds, continued \| Rank \| CFDA \| Federal Agency \| Federal Grant Title \| GR Match Y/N \| TOTALS HHS System Est FY2012 \| HHSC \| DADS \| DSHS \| DFPS \| DARS \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 19 \| 93.958 \| HHS- SAMHSA \| Community Mental Health Services Block Grant - for providing comprehensive community mental health services to adults with a serious mental illness and to children with a serious emotional disturbance; monitoring progress in implementing a comprehensive community-based mental health system; and providing technical assistance. \| N \| $36.0 \| \| \| $36.0 \| \| \| \| 20 \| 93.556 \| HHS-ACF \| Title IV Part B-Promoting Safe and Stable Families - for family preservation, family support services such as respite or parenting skills training, family reunification services and adoption promotion. \| Y \| $30.4 \| \| \| \| $30.4 \| \| \| 21 \| 93.575 \| HHS-ACF \| Child Care and Development Block Grant - for child care assistance for low-income families; including quality expansion; infant and toddler quality improvement; and child care resource and referral, including a national toll-free hotline; and school-age child care. \| N \| $30.0 \| \| \| \| $30.0 \| \| \| 22 \| 93.044 \| HHS-Admin for Comm Living \| Title III Part B-Special Programs for the Aging for Supportive Services and Senior Centers - for community-based systems of service for older individuals via state and area planning and provision of supportive services, including multipurpose senior centers. Funds to maximize the informal support provided to older Americans to enable them to remain independent in their homes and communities, including transportation services, in-home services, and other support services. \| Y \| $26.2 \| \| $26.2 \| \| \| \| \| 23 \| 93.268 \| HHS-CDC \| Immunization Grants - for costs associated with planning, organizing and conducting preventive health service programs to immunize individuals against vaccine preventable diseases including assessment costs, surveillance and outbreak control, public education and information, school compliance, and vaccine storage and supply management. \| N \| $24.3 \| \| \| $24.3 \| \| \| \| 24 \| 93.779 \| HHS-CMS \| CMS Research, Demonstrations and Evaluations - for expanding efforts to improve the efficiency of payment, delivery, access and quality of our health care programs for the beneficiaries. \| N \| $23.8 \| \| $22.2 \| $1.6 \| \| \| \| 25 \| 93.94 \| HHS-CDC \| HIV Prevention Programs (multiple grants) - for establishing and maintaining primary and secondary Human Immunodeficiency Virus (HIV) prevention programs. \| N \| $21.5 \| \| \| $21.5 \| \| \| \| 26 \| 93.645 \| HHS-ACF \| Child Welfare Services Program - for development and expansion of a coordinated child and family services program that utilizes community-based agencies and ensures all children are raised in safe, loving families, including protecting and promoting the welfare of all children; preventing abuse, neglect, or exploitation; supporting at-risk families through services that allow children to remain with their families or return to their families in a timely manner; promoting the safety, permanence, and well-being of children in foster care and adoptive families; and providing training, professional development, and support to ensure a well- qualified workforce. \| Y \| $18.7 \| \| \| \| $18.7 \| \| F1. Federal Funds, continued \| Rank \| CFDA \| Federal Agency \| Federal Grant Title \| GR Match Y/N \| TOTALS HHS System Est FY2012 \| HHSC \| DADS \| DSHS \| DFPS \| DARS \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 27 \| 93.283 \| HHS-CDC \| Centers for Disease Control and Prevention- Investigations and Technical Assistance Grants (multiple grant programs) - for controlling communicable diseases, chronic diseases and disorders, and other preventable health conditions such as obesity, heart disease and stroke, diabetes, tobacco control, tuberculosis, cancer, and foodborne illnesses; investigations and evaluation of all methods for controlling or preventing disease and disability thru surveillance, technical assistance, consultation, and program support. \| Y \| $17.0 \| \| \| $17.0 \| \| \| \| 28 \| 93.217 \| HHS-Ofc of Pop Affairs \| Title X-Family Planning Services - for educational, counseling, comprehensive medical (including contraceptive services, infertility services), referrals, and social services; reduce maternal and infant mortality; promote maternal and child health; and increase services to males. Funds may not be used in programs where abortion is a method of family planning. \| Y \| $16.1 \| \| \| $16.1 \| \| \| \| 29 \| 93.053 \| HHS-Admin for Comm Living \| Nutrition Services Incentive Program - for purchase of foods or to access commodities from USDA for preparation and efficient delivery of nutritious meals to older adults. \| Y \| $12.5 \| \| $12.5 \| \| \| \| \| 30 \| 93.791 \| HHS-CMS \| Money Follows the Person Rebalancing Demonstration - for assisting states to balance their long-term care systems and help Medicaid enrollees transition from institutions to the community. \| Y \| $6.7 \| $4.0 \| $2.8 \| \| \| \| \| Top 30 Totals: \| \| \| \| \| $18,896.4 \| $12,854.6 \| $3,784.9 \| $1,137.2 \| $657.8 \| $461.9 \| \| All Other Federal Funds \| \| \| \| \| $495.3 \| $104.7 \| $112.4 \| $126.4 \| $88.4 \| $63.5 \| \| TOTAL All Federal Funds Est FY2012: \| \| \| \| \| $19,391.8 \| $12,959.4 \| $3,897.3 \| $1,263.6 \| $746.2 \| $525.4 \| F2. Federal Funds - Sequestration Potential HHS System Impact of the Sequester Based on OMB Analysis ($ in thousands) F2. Federal Funds - Sequestration, continued \| CFDA # \| Grant Name \| AY12 \| AY13 \| Difference AY13 vs AY12 \| Change \| \|---\|---\|---\|---\|---\|---\| \| \| \| Fed Funds \| Fed Funds \| Fed Funds \| Clients \| \| Department of Aging and Disability Services (DADS) \| \| \| \| \| \| \| 93.043 \| Spc Svcs Aging - IIID \| 1,248 \| 1,149 \| (100) \| (377) \| \| 93.044 \| Spc Svcs Aging - IIIB \| 22,390 \| 20,599 \| (1,791) \| (7,374) \| \| 93.045 \| Spc Svcs Aging - IIIC \| 40,467 \| 37,230 \| (3,237) \| (11,412) \| \| 93.052 \| National Family Caregiver Support, Title III, Part E \| 9,141 \| 8,409 \| (731) \| (2,543) \| \| 93.053 \| Nutrition Svcs Incentive \| 12,539 \| 11,536 \| (1,003) \| (2,905) \| \| 93.667 \| Title XX - Social Services Block Grant \| 91,583 \| 84,257 \| (7,327) \| (2,746) \| \| 93.777 \| Title XVIII - State Survey & Certification \| 28,139 \| 25,888 \| (2,251) \| \| \| 93.779 \| CMS Res, Demonstrations & Evaluations \| 2,619 \| 2,409 \| (209) \| (747) \| \| 94.011 \| Foster Grandparent Program \| 1,998 \| 1,838 \| (160) \| \| \| Subtotal, DADS \| \| 210,124 \| 193,314 \| (16,810) \| (28,104) \| \| Department of Assistive and Rehabilitative Services (DARS) \| \| \| \| \| \| \| 84.126 \| Rehabilitation Services-Vocational Rehab Grants to States \| 236,026 \| 217,144 \| (18,882) \| (1,923) \| \| 84.169 \| Independent Living-State Grants (Combined) \| 1,404 \| 1,291 \| (112) \| (50) \| \| 84.177 \| Rehabilitation Services-Independent Living Services for Older Individuals who are Blind \| 2,132 \| 1,962 \| (171) \| (490) \| \| 84.181 \| Special Education-Grants for Infants and Families \| 40,319 \| 37,093 \| (3,226) \| \| \| Subtotal, DARS \| \| 279,881 \| 257,491 \| (22,391) \| (2,464) \| \| Department of Family and Protective Services (DFPS) \| \| \| \| \| \| \| 93.556.001 \| Title IV-B, Part 2, Promoting Safe and Stable Families (PSSF) \| 32,938 \| 30,303 \| (2,635) \| \| \| 93.556.002 \| Title IV-B, Part 2, Promoting Safe and Stable Families (PSSF)- Monthly Caseworker Visits \| 2,081 \| 1,915 \| (166) \| \| \| 93.566 \| Refugee and Entrant Assistance – State Administered Programs \| 6,278 \| 5,776 \| (502) \| \| \| 93.575 \| Child Care and Development Block Grant (CCDBG) \| 33,915 \| 31,202 \| (2,713) \| (10,832) \| \| 93.590 \| Community-Based Grants for the Prevention of Child Abuse (CBCAP) \| 2,285 \| 2,102 \| (183) \| \| \| 93.599 \| Title IV-E Chafee Education and Training Vouchers (ETV) Program \| 3,156 \| 2,904 \| (252) \| \| \| 93.645 \| Title IV-B, Part 1, Child Welfare Services \| 25,571 \| 23,525 \| (2,046) \| \| \| 93.667 \| Title XX, Social Services Block Grant \| 39,744 \| 36,564 \| (3,180) \| (513) \| \| 93.669 \| Child Abuse and Neglect, Basic State Grant (CAPTA) \| 2,207 \| 2,030 \| (177) \| \| \| 93.674 \| Chafee Foster Care Independent Living Program \| 9,466 \| 8,709 \| (757) \| (120) \| \| Subtotal, DFPS \| \| 157,641 \| 145,030 \| (12,611) \| (11,465) \| \| Health and Human Services Commission (HHSC) \| \| \| \| \| \| \| 93.566 \| Refugee and Entrant Assistance - State \| 35,573 \| 32,728 \| -2,846 \| \| \| 93.584 \| Refugee and Entrant Assistance - Targeted Assistance \| 2,735 \| 2,516 \| -219 \| \| \| 93.671 \| Family Violence Prevention & Services \| 5,217 \| 4,800 \| -417 \| (6,364) \| \| Subtotal, HHSC \| \| 43,525 \| 40,043 \| (3,482) \| (6,364) \| \| GRAND TOTAL \| \| 1,769,869 \| 1,628,280 \| ( 141,706) \| ( 327,915) \| G. Major HHS Agencies Savings Initiatives H. Health and Human Services Agencies Executive Contact List Health and Human Services Commission 4900 North Lamar Blvd., 7 th Floor Austin, Texas 78751 Kyle L. Janek, M.D., Executive Commissioner 512-424-6502 Fax: 512-424-6587 email@example.com Chris Traylor, Chief Deputy Commissioner 512-424-6502 Fax: 512-424-6587 firstname.lastname@example.org Katie Olse, Chief of Staff 512-424-6867 Fax: 512-424-6587 email@example.com Greta Rymal, Deputy Executive Commissioner for Financial Services 512-424-6919 Fax: 512-424-6669 firstname.lastname@example.org Stephanie Muth, Deputy Executive Commissioner for Social Services 512-424-6767 Fax: 512-424-6669 email@example.com Mark Chassay, M.D., Deputy Executive Commissioner for Health Services 512-424-6936 Fax: 512-424-6585 firstname.lastname@example.org Rolando Garza, Deputy Executive Commissioner for System Support Services 512-424-6660 Fax: 512-424-6955 email@example.com Bowden Hight, Deputy Executive Commissioner for Information Technology 512-424-6990 Fax: 512-424-6669 firstname.lastname@example.org $3,000 $1,500 $- $775.2 $1,322.8 $775.2 $6,173.7 $7,229.1 $7,934.0 Tracy Henderson, Chief Financial Officer 512-424-6632 Fax: 512-424-6411 email@example.com Department of Aging and Disability Services 701 West 51st Street Austin, Texas 78751 Jon Weizenbaum, Interim Commissioner 512-438-3030 David Cook, Acting Chief Financial Officer 512-438-3355 Fax: 512-438-4220 firstname.lastname@example.org Fax: 512-438-3014 email@example.com Department of Assistive and Rehabilitative Services 4800 North Lamar Blvd., 3rd Floor Austin, Texas 78756 Debra Wanser, Commissioner 512-377-0600 Fax: 512-377-0682 Mary Wright, Chief Financial Officer 512-377-0618 Fax: 512-424-4419 firstname.lastname@example.org email@example.com Department of Family and Protective Services 701 West 51st Street Austin, Texas 78751 Howard Baldwin, Commissioner 512-438-4870 Fax: 512-438-3525 firstname.lastname@example.org Department of State Health Services 1100 West 49th Street Austin, Texas 78756-3199 David L. Lakey, M.D., Commissioner Bill Wheeler, Chief Financial Officer 512-458-7375 512-458-7111 Fax: 512-458-7477 Fax: 512-458-7477 email@example.com firstname.lastname@example.org Beth Cody, Interim Chief Financial Officer 512-438-3089 Fax: 512-438-4853 email@example.com
SNAPSHOT FOR TRUCKING \| April 2018 SmartDrive Smart IQ® Beat Snapshots provide in-depth analysis and metrics of top fleet performance trends based on the SmartDrive database of over 220 million analyzed and scored driving events. Only video reveals the hidden dangers of speeding. The SmartDrive SmartIQ Speeding Drivers Snapshot for Trucking illuminates key observations that distinguish speeding drivers from all other drivers. The likelihood they will engage in other unsafe driving practices has a direct connection to collisions and fleet costs— drivers recently in a collision speed nearly 69% more than non-collision drivers. Findings: This analysis demonstrates that speeding drivers are less safe overall and exhibit fundamental driving errors at a significantly higher rate than all other drivers. For instance they are: * 53% more likely to be involved in a near collision with another vehicle * 2.5x more likely to not stop at a stop sign and engage in unsafe lane changing And, it's not just the danger they add to your fleet. They also affect your bottom line. Highway MPG for drivers who speed is 2.7% lower than all other drivers. Read the Snapshot for more analysis. Introduction Speeding is rampant. And growing. For the first time in nearly a decade, preliminary 2016 data from the National Safety Council estimates that as many as 40,000 people died in motor vehicle crashes last year. 1 That marks a 6% increase over 2015, and a 14% increase over 2014—the most dramatic two-year escalation since 1964—53 years. Although 83% of drivers surveyed believe speeding is a safety concern, 64% say they are comfortable speeding. 2 But why? Delivery schedules, weather delays and traffic are among the reasons truck drivers speed. Yet, while it's tempting to drive fast, do the dangers outweigh the benefits? According to the National Highway Traffic Safety Administration (NHTSA): 3 * 27% of all fatal automobile crashes involve drivers who were speeding * Speeding-related fatalities increased by 4% from 2015 to 2016 * 15% of speeding-related fatalities occurred on interstate highways and drivers involved in fatal crashes tend to speed more frequently at night If a driver is willing to risk speeding, is he or she more likely to take other risks while driving? Because a driver wasn't in a collision today, was he simply lucky in avoiding the collision? 1 National Safety Council Motor Vehicle Fatality Estimates 3 NHTSA Traffic Safety Facts DOT HS 812 409 and 812 456 2 National Safety Council Driver Safety Public Opinion Poll, February 2017 4 IIHS Status Report, Vol 51, No. 4 As speed limits increase, do fatalities follow? According to the Insurance Institute for Highway Safety (IIHS), they do. The IIHS study shows that increases in speed limits over two decades have cost 33,000 lives in the U.S. 4 Driving at an excessive rate of speed decreases the amount of time that a driver has to avoid a crash. Once the crash occurs, it is much more likely to be severe when the vehicles are traveling at a high rate of speed. The NHTSA reports that the force of a crash's impact doubles with every 10-mile per hour increase in speed at speeds faster than 50 miles per hour. The risk of suffering a serious injury or dying also increases with the higher rate of speed. What other factors are contributing to these collisions and fatalities? 50 mph While it's tempting to drive fast, the dangers of excessive speeding don't outweigh the benefits. The additional factors that come with speeding simply add to the dangers. Eliminate speeding and many of these additional factors disappear. Speeding – Collision vs. Non-Collision On average, drivers who speed the most are more likely to be in a collision. Drivers recently in a collision speed excessively at a rate nearly 69% more than non-collision drivers. More than 17% of all fatal crashes are related to speeding. 1 Speeding \| Excessive Speeding (> 10 mph Over Limit) Moderate Speeding (<= 10 mph Over Limit) \| \| \|---\|---\| \| \| 45% \| % Difference in Speeding Observations for Drivers Recently Involved in a Collision * Speeding is the most frequent driver-related factor for drivers involved in fatal crashes. The correlative factors of intersecting collision drivers and their speeding habits is updated here from the previous SmartIQ study released in April, 2017. 1 U.S. DOT Large Truck and Bus Crash Facts 2015 Speeding – Near Collisions On average, drivers who speed the most are nearly 45% more likely to be involved in a near collision. Near collisions are a strong indicator of collision risk. Video provides a unique opportunity to see risk before it becomes a collision. Near Collisions * Top Speeders are 54% more likely to cross the median or centerline of the roadway. * Top Speeders are also 53% more likely to be involved in a near collision with a vehicle in transport than all other drivers. Speeding – Lane Management/Vehicle Control Drivers who speed the most are more likely to have poor control of their vehicles. These drivers are more likely to engage in unsafe lane changing/ merging, passing, braking and turning. They are also more likely to drive with two hands off the wheel. Unsafe Vehicle Control * Top Speeders are 3.7x more likely to drive with two hands off the wheel. * Top speeders are nearly 2.7x more likely to engage in frequent lane departures and straddle lanes. * Top Speeders are more than 2.5x more likely to engage in unsafe lane changing than all other drivers. They are also nearly 2x more likely to engage in unsafe turning. Speeding – Following Distance Drivers who speed the most engage in unsafe following at a rate nearly 3x other drivers. For a typical tractor-trailer, FMCSA recommends a 4-second following distance. 1 Unsafe Following * Top Speeders are nearly 3x more likely than all other drivers to maintain a following distance of less than one second. 1 USDOT FMCSA: https://www.fmcsa.dot.gov/safety/driver-safety/cmv-driving-tips-following-too-closely Speeding – Incomplete/Failure to Stop Drivers who speed the most are consistently more likely to not stop – or come to a complete stop – at stop signs and stop lights. With nearly 26% of all truck collisions occurring at an intersection, 1 there is a high risk of injury or worse. Failure to Stop at Intersection % Difference in Observations per 1,000 hrs (Top Speeders vs All Other Drivers) * Top Speeders are 2.5x more likely to not attempt to stop at a stop sign than all other drivers. * Top Speeders are also 2x more likely to not come to a complete stop at either stop lights or stop signs 1 FMCSA Large Truck & Bus Crash Facts 2015. Speeding – Distracted Driving Drivers who speed the most have a significantly higher propensity to be distracted while driving – more than 2.5x all other drivers, averaged across all distractions. Distractions * Mobile phones top the list of Top Speeder distractions at a rate that's nearly 3.5x all other drivers. * Although not top of the list, food, beverage and grooming/personal hygiene occur 3.2x more in Top Speeders than all other drivers. Speeding – Seatbelts Drivers who speed the most also engage in other risky driving behaviors. In fact, they use seatbelts the least. Seatbelts reduce crash-related injuries and deaths by about half. 1 Seatbelts % Difference in Observations per 1,000 hrs (Top Speeders vs All Other Drivers) * Top speeders are 3.1x more likely to not wear their seatbelts at higher speeds and are more likely to be injured in a collision. 1 Kahane CJ. Fatality reduction by safety belts for front-seat occupants of cars and light trucks: updated and expanded estimates based on 1986-99 FARS data. Washington, DC: US Department of Transportation, National Highway Traffic Safety Administration; 2000. Publication no. DOT-HS-809-199. Available athttp://www-nrd.nhtsa.dot.gov/Pubs/809199.PDF. 9 Speeding – Fuel Waste drivers. Speeding impacts more than safety; it also impacts a fleet's bottom line. Fuel Economy * On average, MPG for top Speeding Drivers is 2.7% lower than for all other drivers. Targeted coaching can deliver significant safety and fuel savings. Speeding – SmartDrive SmartIQ® Safety Score In general, drivers who speed the most are at a higher risk of a collision. The SmartIQ Safety Score measures overall risk, as evidenced by other findings in this study. A lower Safety Score drives reductions in collision frequency and severity. * On average, Top Speeders' SmartDrive Safety Score is 3.1x worse than All Other Drivers. Safety Score measures the observed rate of risk in a single score. The score incorporates information about each observation's relative risk, the number of occurrences of each observation, the amount of time that was driven and other factors. Need more reasons to eliminate speeding in your fleet? As evidenced in this report, and reinforced by the Network for Traffic Safety (NETS), FMCSA and U.S. Department of Labor Reports, the costs of reducing speeding in your fleet far outweigh any reason to allow it. Beyond safety, it's important to consider: The Cost of Crashes * In the U.S., traffic crashes cost employers $47.4 billion in direct crash-related expenses, including medical care, liability, productivity losses and property damage (NETS). * Speeding, alone, resulted in $8.4 billion in crash-related expenses for employers. Distracted driving resulted in $8.2 billion (NHTSA). * Speeding is a top contributing factor to traffic crashes. In 2013, speeding was linked to 29% of all fatal crashes, and 9,613 lives were lost in speedingrelated crashes (NHTSA). Maintenance Costs Gears, bearings, clutches, suspension and drive trains all wear much faster at higher speeds. Increasing speed from 50 mph to 60 mph increases maintenance costs by 38%. Increasing the speed to 70 mph increases the cost by 80%. 1 1 NAFA Vehicle Policies and Procedures Survey Impact on Tires Sustained high speeds raise tire temperatures above the critical level causing strength and wear properties to deteriorate rapidly. Tire wear will almost double at road speeds of 70 mph or greater. 1 Fuel Efficiency Increasing highway cruising speed from 55 mph (90km/h) to 75mph (120km/h) can raise fuel consumption as much as 20%. Drivers can improve their gas mileage 10-15% by driving at 55mph rather than 65 mph (104km/h). 75 Data based upon EPA and fueleconomy.gov statistics. Note: Many factors affect fuel economy so figures can vary significantly. Overview of Study and Methodology This study was conducted by utilizing the SmartDrive® database of over 220 million analyzed driving events and the accompanying telematics data. The study focuses on four different types of speeding observations * Moderate Speeding (≤ 10mph Over Limit) * Excessive Speeding (≥ 10 mph Over Limit) * Exceeded Maximum Fleet Speed * Attained Extreme Speed (85mph+ or 10mph over Max Fleet Speed) Only private fleet, for-hire and specialty trucking customers were included in this study. Top Speeders: Drivers whose speeding rate was in the top 25% of the entire driver population in a given week. Speeding rate is calculated as the ratio between speeding score and miles driven. Speeding score is based on four different types of speeding observations that were measured through video events. Other Drivers: Drivers whose speeding rate was in the bottom 75% of the entire driver population in a given week. Note: Many drivers appear in both categories at some time during the two-year study period but only count once in the grand total. See Speeding Dangers…and Avoid Them The SmartDrive SmartIQ Speeding Drivers Snapshot for Truckers illustrates key observations that distinguish speeding drivers from all other drivers. As an added feature, we included an interactive map that shows where speeding dangers exist on our country's interstates. Now, in addition to understanding the impact of speeding on your fleet, you can discover where it's occurring and potentially avoid it. See which interstates have the best and worst speed scores. Drill down into specific states to identify where the most speeding occurs. Or, search by road name to learn more about where your drivers drive. Utilizing SmartDrive's database of over 220 million analyzed driving events and the accompanying telematics data, the map provides speed scores calculated for interstates segmented by state/county, utilizing SmartDrive's speeding observations weighted by severity, normalized by hours driven, and scaled 0-100.
"We're making friends of ALL people through Christ." October 2018 Elder Thoughts - Tammy Madison School has just started, it is the beginning of the church year, and our environment is changing. The weather is getting cooler, the leaves are changing colors and the days are getting shorter. A time of wonder and excitement but also uncertainty and questions. What will this new school year bring? Will I like my teacher? Will any of my friends be in my class? What is going to happen in our church this year? Will I see some old friends that I didn't see over the summer months? What things have changed? Will I like the changes? I have always liked this time of year because of the excitement it brings. I enjoy the smell of the crisp fall air. I love the multitude of colors and the wonder. My sister got married in October a few years ago and when I asked her why she chose October she stated, "Why not !!!!" I guess that was all the answer I required. So my friends, embrace this time of year. Look forward to the new and exciting things that are happening around you. Church Office: 9 River St., Hudson Falls, NY 12839 747-3013 Open Tues-Fri, 10-2 Church: 5 River St. 747-2203 Rev. Michael Plank, Pastor Home Phone: 636-3200 Pat Barron, Clerk of Session Home Phone: 747-4573 Sunday Worship 10am Nursery Care Available! Church School K-8 (Sept—May) Elder of the Month: Tammy Madison Trustee: Care & Compassion: Carol LaPoint, Bonnie Trevett, Norma Shaffer This newsletter is made possible through our giving to FPC Hudson Falls. Pastor's Corner Rev. Plank is currently on sabbatical, but due back in October. We look forward to his return! Trustee Notes Member Spotlight - Meet Megan Cummings This month we are highlighting Megan Cummings. Megan resides in Warrensburg with her husband Ray and her daughter Riley. Riley was baptized in our church. Megan went to Fort Edward School and Potsdam College where she majored in psychology. Megan is going to return to school in the fall to continue her education in nursing. At the present time she works at Stewart's in Warrensburg. Megan says "We used to bring our grandmother Claire to church and we decided to join because this church is like family." A lot of her time is spent outdoors hiking and walking. She is the daughter of Carol LaPoint and baby sister of Zac Perry-LaPoint. Welcome to our church family! Attention ! Stewardship is coming!! "Stewardship is the practice of celebrating ALL of life as a trust to be managed on God's behalf." "I have held many things in my hand, and have lost them all; but whatever I have placed in God's hands, that I still possess." - Martin Luther King During the month of October, you will be hearing some Minutes for Mission regarding our Stewardship campaign. We will be giving out pledge cards for you to complete. We would like to have you think and pray over what you feel you can give... financial is just one part... service to the church is another part !! Consecration Sunday will be November 11th with a soup and sandwich luncheon. --- Stewardship Committee Session Notes The regular meeting of the Session of the First Presbyterian Church of Hudson Falls, NY was held on September 13 at 7:00 PM with a worship service and Communion. Visioning: Elder Mike Barron spoke of what the church did during Rev. Michael's sabbatical: we experienced one different worship service: Fifth Sunday; had an adult education study of Prayer using a guide by Max Lucado; Care and Compassion committee visited the shut-ins and any hospital visits; 'Pastor's Report': For the past three months I have led worship services. We have introduced a couple of different things woven into those services. We also introduced an entirely different service called Fifth Sunday, in which 43 people attended. We expect the September service will have more people as we are back to a regular church schedule. Zac and I led a bible/books study in which 16 people in total attended between two sessions offered (Sunday after worship and Wednesday mornings.) People who attended enjoyed the study that used a study guide, video, and a book to enhance our learning of prayer. Most said they would do another one in this similar format. I had email communications between a few people who were interested in having their wedding and having their child baptized. We were able to have them wait until Rev. Michaels return to make it uncomplicated. Zac and I met to discuss the Borderlinks trip. We decided that it should be pushed back as the cost was high and no time to fundraise. We will discuss with Rev. Michael after he returns. I also met with personnel committee regarding Kent Baker. Details will be discussed as an agenda item. Ministry is so rewarding. I have learned even more about myself and others during this period. I am grateful for all the support during this time and await to hear the excitement and learning Rev. Michael has experienced next month. May God grant us the patience and wisdom to discern what is next for the First Presbyterian Church of Hudson Falls. In Grace and peace, Mike Barron, Ruling Elder Clerk's Report: Correspondence: Thank you from: Glens Falls Ballet for the use of our tables for their dance recital (Melanie Hastings request) National Safety Council and Washington County Sheriff for the $100 donation for teaching children and community how to prevent accidents and needless tragedies through child safety programs. Washington County DSS Food pantry for the monetary donations. Washington County LEAP (formerly EOC) for the donation in memory of Lula Mae Anderson Attendance: June: 6/3 no attendance sheet turned in; 6/10 – 79 (Youth Sunday); 6/17 (Father's Day) – 59; 6/24 – 82 July: 7/1 – 53; 7/8 – 65; 7/15 (very hot and humid) 53; 7/22 60; 7/29 (5 th Sunday service) – 43 August: 8/5 – 60; 8/12 – 61; 8/19 – 58; 8/26 – 50 Communion: June 10 – 79; July 1 – 49; August 5 – 53; September – 53 Average attendance: June, July and August combined…61 Committee reports: Fellowship: Coffee hour resumed September 9. Sign ups are needed for October and November. Sign up sheet will be in the Narthex. Outreach and Mission: August Pennies for Hunger:$27 for DSS Food Pantry; $29.59 for Presbyterian Hunger Fund. O&M: First meeting was held this past Sunday. We are looking into how we can be a part of Locktoberfest again. Peace and Global Witness offering season is upon us. I have already reached out to Lauren. We are going to dig back into working on mentoring programs for new members, or existing members looking to be more active. Old Business: Borderlinks: due to cost and scheduling conflicts with the life of the church, that we would postpone the trip until October 2019. The Borderlinks team has graciously accepted our request, and is transferring our deposit to that trip. We will form a committee this fall, adding Pastor Michael and a fourth member to begin the planning of a more organized trip, to include fundraising throughout the year. It will be noted that any left - over funds raised will be given to St. Joseph's parish in Fort Edward to help their Immigration efforts. Sexual Maltreatment forms Zac, Pat, and Tammy agreed that the current Sexual Misconduct policy is sufficient, and will require all officers of the church, employees, and volunteers working with children to reaffirm their commitment to the policy by signing a new agreement form. These will be available for Session for our meeting. We will look at a training to take place in late fall/early winter. The notice is important for people to know what to do given the problems the Catholic church has been having. Newcomers 101: Zac (with Mike B. covering a sick day) held the Newcomer's 101 class. Attendance was good, with 8 to 12 members joining each week. Locktoberfest: The date for Locktoberfest is October 13. It is a festival marking the closing of the canal for the winter. There will be a Family Fun 5K run sponsored by our Worshiping Community, Underwood Crossfit. We need to think of other ways to make our church visible (no fundraising…just visible as a place to worship and gather. Ideas and help are needed. New Business: Fifth Sunday discussion: Fifth Sunday was described for those Session members who were unable to attend the one in July. For September 29 the reflections will be presented by Tammy Madison and Mary Dickinson. Papers will be in the bulletin for people to write down their favorite hymns, which some will be used in the worship service…description will be in the morning announcements. At the September service paper ballots will be given to each participant, who will write "yes" or "no" to indicate whether or not to continue Fifth Sunday service…there are 4 fifth Sundays in the year, the next one in 2018 is the last Sunday in December. Ballots will be anonymous and Session will count them at the October meeting. Commissioner for September Presbytery meeting: Pat Barron There being no other business, the meeting closed at 8:25 with closing prayer by Zac PerryLaPoint Pat Barron, Clerk Lift Report The three-year Lift Fund drive was finished as of July. Many thanks to those who have met their commitment to this project. For those who have not yet finished their commitment, please continue to contribute to your pledge so that we can retire the loan. A portion of the Lift Fund loan was used for the new Fellowship floor, and balance of the loan is $4,700 short as of the end of August. If you would like to contribute more to the lift fund it would be greatly appreciated and mark it as such so the contribution will go to the correct account. Thank you! Sue Gilbert UPDATE: As of the end of September, the lift shortfall is $4,265. Monthly Scripture Readings The Scripture readings you will hear in October are: 7 Prayer Chain For prayer requests, please call one of the people on the following list. That person will call the next person, and the last will call the first, so all members of the chain receive the request: Coffee Hour Care & Compassion Thanks to all who have volunteered! Please see sign up in the Narthex if you'd like to volunteer next month. Adult Fellowship Upcoming Dates 2018 - Mark Your Calendars! Sat. October 27, 5pm — Otoupals — Progressive Dinner Women's Association The Fall Rummage Sale is scheduled for October 18-20. Hours will be Thurs: 9:30 - 4, Fri & Sat 9:30 12:30. Sorting dates will be Tuesday - Friday, Oct. 2 - 5, and October 9 -12, from 10am - 2pm. Also Oct. 15-17. All help is appreciated! See Carol Moyer or Melanie Hastings for details. If you would like to bring food for the week of the sale, please sign up in the Narthex or see Jane Otoupal. We are currently accepting items for the fall sale. Please, we will only accept fall and winter items. Flat-screen TVs only, and electronics such as DVD players must have audio and video. No bowling balls. Donations accepted until Fri, October 12th. Thank you! Prayer Shawl Ministry & Craft Night Do you like to knit or crochet? Would you like to learn? How about joining the Prayer Shawl Ministry Group? We meet on the first Thursday of each month. Yarn, hooks, needles and instruction are all available. If you like doing crafts but aren't into knitting or crocheting come to "Any Craft Night" on the third Thursday of each month. Bring a craft to work on while enjoying wonderful fellowship. Prayer shawls and lap blankets are available. If you know of someone who would benefit from the love, warmth and prayers that are worked into each one, please contact the Church Office or complete a request card (located in the narthexes). Questions? See Diane Lapan, Diane Macintosh, Mary Dickinson or Sue Gilbert. Newcomers are always welcome! * Prayer Shawl Oct. 4 @ 7pm * (No Craft Night in Oct. due to Rummage Sale) Birthdays & Anniversaries Happy October Birthday to: 11 James Mercure Happy October Anniversary to: Carol & Steve Hoover -- Oct. 4 Reni & Robin Boisvert -- Oct. 21 Michael Plank & Lauren Grogan -- Oct. 24 Roger & Sue Gilbert -- Oct. 25 Amazon Shopping The church has set up an account with Amazon Smile where Amazon donates 0.5% of the purchase to our church at no cost to you or the church. In order for us to receive a donation when you shop at Amazon login into smile.amazon.com and you will see a spot when you can donate to a charitable organization. Just type in First Presbyterian Church and our church name will pop up with our address of 9 River St., Hudson Falls, NY 12839. Shop as normal and our church will receive a donation from your purchase. The church has received a total of $106.33 from Amazon Smile this year to date! Prayers & Concerns Each month we'll list all of the people that we've had in our prayers for the past month. If you'd like to add someone to our weekly list, please place their names in the offering plate during Sunday Worship, or call the church office at 747-3013. Please notify when name is to be removed. Hospital Admittance Update Due to HIPAA (Health Insurance Portability and Accountability Act) the First Presbyterian Church will not be notified if you, or a loved one, are hospitalized. Please call the Church Office (747-3013) to let us know that you, or a loved one, have been hospitalized. When admitted, be sure to list Hudson Falls First Presbyterian Church as your affiliate and give permission to release the information so that Rev. Plank or a member of the Care and Compassion Committee can visit. Otherwise, your admittance and room number will not be available. Those in Our Prayers In Nursing Homes: Jane Stuebing (Martin) Judy Bronk First Presbyterian Church of Hudson Falls October 2018 Sundays 10 am, Worship Last Sunday of the Month -- Bible 101 Class, Classroom Mondays 8 pm, AA - Fellowship Hall Tuesdays 6 pm, TOPS 6:30 Operation Santa Claus 7 pm, AA - Fellowship Hall Wednesdays 7 am, AA Meditation -- Classroom 10 am, Exercise Group -- Fellowship Hall FPC Fall Rummage Sale October 18-20! Come shop or help! See Carol Moyer or Melanie Hastings Thursdays 8 pm, Al Anon -- Classroom Oct 2, Trustees, 7 pm Oct 4, Prayer Shawl, 7 pm Oct 11, Session, 7 pm Oct 18, Craft Night, 7 pm Oct 18, Woodmen, 7 pm - FH Saturdays 10 am, AA -- Lounge Oct 13, Emmaus, 5-8 pm - FH
CHINA AT A GLANCE Capital Beijing Population1,343,239,923 (July 2012 est.) Median age35.5 years GDP (Official exchange rate) US$6.989 trillion Consumer prices (Inflation rate) 5.4% (2011 est.) CurrencyRenminbi (RMB) Official languagesChinese and Mandarin Other languagesYue (Cantonese), Wu (Shanghainese), Minbei (Fuzhou), Minnan (Hokkien-Taiwanese), Xiang, Gan Literacy rate92.20% Source: CIA World Factbook DIGITAL DATA Internet population513,100,000 (2011) % of population38.40% Source: World Internet Stats Mobile penetration859,000,000 (2010) % of population64% Source: CIA World Factbook PRINT TAX (%) ¨ VAT þ Sales tax 0% (standard rate) * Advertising revenue8.65% Source: Media Convergence Asia Paciﬁc FIPP MEMBERS NATIONAL ASSOCIATIONS China Periodicals Association (CPA) » PUBLISHERS Bauer (Sichuan) Culture Service » » Condé Nast China » Beijing Jigong Vogel Media Advertising » Gruner + Jahr (Beijing) Advertising » IDG China » Hearst Magazines China » Mondadori SEEC (Beijing) Advertising » Rayli Magazine House » MPC (Beijing) » Reader's Digest (Shanghai) Advertising , » SEEC Media Group » Rizzoli Beijing » Sino-manager Mass Media Company » Trends Omni Media » Trends Media Group SUPPLIERS » Media Pacific » BPA Worldwide China » Publicitas China 120 Special report from: DIDIER GUÉRIN, PRESIDENT & CEO, MEDIA CONVERGENCE ASIA-PACIFIC It almost sounds tragic: China's economy is slowing down. After nearly 30 years of 10% sustained GDP growth year-on-year, the economy is stabilising to about 7.5%. While "no economy can grow by double digits forever," The Economist 1 commented, it is worth noting that China has become the second largest economy in the world, benefitting manufacturers, consumers and magazine publishers. But the country still has a long way to go in its wealth creation process. ZenithOptimedia predicts magazine adspend in China will grow by 13.6% in 2013 and by the same amount in 2014 4 . GroupM is more conservative in its forecast and estimates that for the first time, China's magazine adspend will be in line with economic growth and increase by only 7% in 2013. According to McKinsey: "China's GDP is about $6 trillion; by 2020, we think it will be $11 trillion – the equivalent of adding another two Germanys. so with higher incomes and lower savings, many more people are going to spend more and more. Consumer companies have an enormous, historically, unprecedented opportunity" 2 . More consumption means more advertising – music to publishers' ears. China already represents the largest automobile market in the world (before the US) and is second only to Japan in the luxury market. But not for long. BMW sells more cars in China than in any other country in the world (including Germany) and even Rolls Royce expects China to become its largest buyer in 2013. Moreover, the presence of high-profile brand stores in China is impressive: 60 stores for Burberry, 36 stores in 29 cities for Louis Vuitton and 17 stores expanding to 25 for Hermès. Cosmetic adspend boom According to GroupM, China's total adspend in 2012 is expected to reach US$46 billion (third after the US and Japan) and US$49.8 billion in 2013 (a 9% increase) 3 . China's biggest advertisers remain the world's largest cosmetic groups: P&G China, followed by L'Oréal Group and Unilever China. This applies across all media platforms. The magazine share of this investment remains modest (at around 3%) but it is far from minuscule: about US$1.5 billion and US$1.6 billion are expected for 2012 and 2013. However, these figures do not include the advertising budgets from Hong Kong, where several large advertisers and agencies have located their regional headquarters. In 2013, there will be another US$895 million in magazine advertising coming from Hong Kong. An undefined portion of this amount will find its way to China. Both media services agencies are more bullish with their online projections. The expected growth is about 32-35% in 2013, with total spending estimated at US$16.9 billion in 2013. Although about half of this amount goes to paid search, this is a considerable source of extra revenues for magazine publishers in China who are expanding their multiplatform digital offerings. Meanwhile, China has become the second largest market for iPad (after the US). Strong women's/fashion titles The immediate consequence of the economic growth is to put pressure on salaries. In 2012, the minimum wage across the country's 31 provinces has increased by 19% and it has doubled over the past 10 years. This trend has been even faster in the magazine industry. And, in a culture where corporate loyalty is nonexistent, talented and experienced magazine executives become more difficult to hire and to retain. While advertising for technology and business magazines slowed in the first half of 2012, women's and fashion magazines continue to grow significantly (by about 17% according to IDG) fuelled by the high-end luxury brands, which still consider magazines as the best vehicle to generate engagement from readers. The most notable trends in China's magazines in 2012 were the increase of frequency from monthly to fortnightly of Cosmopolitan (published by Trends under licence from Hearst) and Elle (now owned and operated by Hearst). Grazia celebrated its third year of presence in China with a solid expansion in circulation following a reduced cover price from RMB10 (€1.20) to RMB5. Another bright year is on its way for the magazine publishing industry in China. 1. The Economist: "China Economy, Slow Boats", September 1-17, 2012 2. McKinsey & Company: "Consuming China: How to get ready for the next stage", June 2012 3. GroupM: "This Year, Next Year – Worldwide media & marketing forecasts", Summer 2012 4. ZenithOptimedia: "Advertising Expenditure Forecasts," June 2012 FIPPWORLD MAGAZINE TRENDS 2012/2013 Special report from: BY THE CHINA PERIODICALS ASSOCIATION (CPA) The Chinese magazine landscape encompasses some 120 groups in the press and publishing industry, including 31 book publishing groups, 47 newspaper and magazine groups, 29 distribution groups and 13 printing groups. There are 9,884 magazine titles registered with the General Administration of Press and Publication (GAPP), with a total annual print run of 3,54 billion copies. The total revenue of the Chinese media industries in 2010 was €68.3 billion, with magazine advertising making up 0.53% of this share and magazine distribution 2.92%. There are less than 1,000 titles active in the retail market with approximately 800 titles available on subscription, according to GAPP's 12th Five-Year Plan and the Governmental Report 2010 of the Ministry of Industry and Information Technology. About 4,000 B2B titles are distributed via membership. Party-owned groups publish 1,400 titles including 52 titles with a circulation over 150,000 per issue. Thirty-two magazine titles have a circulation of more than 1 million (12 of these are commercially distributed titles, 11 are published by party-owned groups and nine titles are educational). In total, 64 international brands have been approved by the Government to be published on a licensing basis. Magazines can only be delivered by the Chinese Post service which also owns 160,000 newsstands and retail venues throughout China, although they can be subscribed to from special local channels such as school and government administration offices. The annual revenue of the China Post subscription business in 2010 was 7.29 billion yuan ( € 0.86 billion), including newspaper and magazines, according to data from the annual report of China Post 2010. The annual revenue of the China Post newsstand business in 2010 was 1.8 billion yuan ( € 0.22 billion). There are 29 distribution groups, in which book and magazine wholesale distribution are the core business. The magazine and newspaper distribution market had an annual turnover of 36 billion yuan ( € 4.25 billion) in 2010. ADSPEND > Source: ZenithOptimedia ADVERTISING EXPENDITURE BY MEDIUM (USD MILLION) MAGAZINE ADSPEND GROWTH 2005~2014 (USD MILLION) % SHARE OF ADSPEND (2011) FIPPWORLD MAGAZINE TRENDS 2012/2013 121 CHINA CONSUMER AND B2B MAGAZINES > HIGHLIGHTS: CONSUMER AND B2B NUMBER OF PUBLISHERS SALES DISTRIBUTION BREAKDOWN (RMB) Source: CPA. Includes magazines and newspapers NUMBER OF MAGAZINE TITLES BY CATEGORY \| 1 \| General interest \| 697 \| \|---\|---\|---\| \| \| Philosophy and sociology \| \| \| 3 \| Natural science and technology \| 4,805 \| \| \| Culture and education \| \| \| 5 \| Literature and arts \| 624 \| \| \| Children and youth \| \| \| 5 \| Pictorial \| 62 \| Source: GAPP/CPA TOP ADVERTISERS \| 1 \| L'Oréal \| 6 \| Chanel \| \|---\|---\|---\|---\| \| \| LVMH 7 \| \| \| \| 3 \| Estée Lauder \| 8 \| BMW \| \| \| Procter & Gamble 9 \| \| \| \| 5 \| Swatch Group \| 10 \| Daimler \| NUMBER OF TITLES MAJOR PUBLISHING COMPANIES / OPERATORS Source: Media Convergence Asia-Paciﬁc 2012 TOP ADVERTISING CATEGORIES \| 1 \| Toiletries \| 6 \| \|---\|---\|---\| \| \| Automobiles 7 \| \| \| 3 \| Personal items \| 8 \| \| \| Clothing 9 \| \| \| 5 \| Business & services \| 10 \| Source: CTR Advertising Monitoring 2010 / ZenithOptimedia Asia Paciﬁc Market & MediaFact 2011 Source: CTR Advertising Monitoring 2010 / ZenithOptimedia Asia Paciﬁc Market & MediaFact 2011 CONSUMER MAGAZINE PUBLISHING REVENUE ADVERTISING REVENUE (USD MILLION) \| \| 2007 \| 2008 \| 2009 \| 2010 \| 2011 \| 2012 \| 2013 \| 2014 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| Consumer magazine print advertising \| 682 \| 865 \| 975 \| 1,153 \| 1,210 \| 1,343 \| 1,487 \| 1,635 \| \| \| 3 \| 7 \| 10 \| 17 \| 27 \| 40 \| 56 \| 74 \| \| Total consumer magazine advertising \| 685 \| 872 \| 985 \| 1,170 \| 1,237 \| 1,383 \| 1,543 \| 1,709 \| CIRCULATION REVENUE (USD MILLION) Sources: PricewaterhouseCoopers LLP, Wilkofsky Gruen Associates 122 FIPPWORLD MAGAZINE TRENDS 2012/2013 Sources: PricewaterhouseCoopers LLP, Wilkofsky Gruen Associates FIPPWORLD MAGAZINE TRENDS 2012/2013 123
February 10, 2015, 8:00 a.m. St. Joseph Cathedral, Parish Hall, 401 Main St. Attending: Scott Hensgens, Ric Kearny, Melanie Montanaro, Sevetri Wilson Absent: Fran Gladden, Gordon LeBlanc, Cheryl McCormick Others in Attendance: Gary Anderson, Joseph Anthony, Alicia Baron, Charles Bennett, Frances Bennett, Tom Bergman, Greg Bivin, Gary Black, Virginia Black, Shannon Blakeman, Timothy Boone, Chelsea Brasted, Cpl. Kyle Callihan, Johnathan Cary, Ken Champagne, Norman Chenevert, Cheryl Michelet, Whitney Cooper, Fr. Counce, Chief Dabadie, Tom Dawson, Angela deGravelles, Kristen Diehl, Peter Dieterich, Rachel DiResto, Lt. Donnie Distefano, Greg Dole, Monica Dugas, Liz Eure, Brian Falcon, Heather Fatzinger, Christine Forsman, Lisa FreemanMarcia Groff, Gaye Hamilton, John O. Hearin, Edwin Hightower, Ryan Holcomb, Courtney Hunt, Rebecca Jacobs, Mary Johnson, Sadie Roberts-Joseph, Emily Kay, Douglas Kennedy, Nicole Kennelly, Tara Kistler, Jackie Kreutzer, Erin Kruppner, Ashley LaBorde, Lori Lasseigne, Beverly LeBeau, Ron LeBouef, Justin Lemoine, Jason Lockhart, Sam Losavio, Lisa Lymuel, Lauralyn Maranto, Mary Jane Marcantel, Fr. Pat Mascarella, Jennifer Mayer, Al McDuff, Rev. David Melville, Cheryl Michelet, BJ Milatello, Brandon Morgan, Jennifer Myer, Mikeila Nagura, Tim NesSmith, Chris Nichols, Shawn Nolan, Amy Norval, Beau Olinde, Mary Olinde, Duane Pierce, Andy Pino, Eric Poche, Skipper Post,Tina Rance, Margaret Read, Bill Reich, Eric Relle, Leif Remo, Davis Rhorer, Stephanie Riegel, Rachel Riley, Lakeisha Robichaux, Darlene Rowland, Sam Sanders, Ray Scriber, Larry Selders, Casey Sessums, Jamie Setze,Darlene Shingleur, Lisa Smith, Karen Stagg, Ben Stalter, J.T. Sukits, Jan Sumrall, Casey Tate, Ben Taylor, Jeremy Theriot, Eric Thomas, Veach Tucker, Henry Turner, Jr., Clark Vega, Gabe Vicknair, Dr. Graysen Walles, Sgt. Weber, Quinn Welsch, Councilwoman Tara Wicker 1. Mr. Ric Kearny called the meeting to order. 2. Mr. Ric Kearny declared a quorum. 3. Mr. Scott Hensgens moved to approve the agenda, Ms. Sevetri Wilson seconded and the agenda was approved. 4. Mr. Scott Hensgens moved to approve the January 10, 2015 minutes, Mrs. Melanie Counce Montanaro seconded and the minutes were approved. Fr. Paul Counce began the meeting with a prayer. Mr. Rhorer thanked Fr. Counce for hosting the meeting at the St. Joseph Cathedral Parish Hall. Mr. Davis Rhorer briefed the Commission on the correspondence he received regarding the closing of the BR General Emergency Room. Mr. Rhorer replied with an email indicating the importance of a nearby Emergency Room. 5. Board Action – There was no board action. 6a. Governmental Issues – There was no board action February 10, 2015 Pg. 2 6b. Development Initiatives – Downtown Police Precinct – The Commission viewed, via PowerPoint, a photograph of the interior of City Hall. Chief Carl Dabadie informed the Commission that with the increase of activity downtown the police have seen the need to increase the number of officer's downtown. Currently there are ten officers assigned downtown and plans are to increase that number to 22 by October 2015. Plans are also in the works to open a full-time precinct in City Hall. The satellite office on Third Street will remain in operation. St. Joseph Reception Hall – The Commission viewed, via PowerPoint, renderings of the proposed improvements. Fr. Paul Counce expressed his excitement with the renovations and encouraged anyone interest in utilizing the space for a community event or reception to contact the church office. Ms. Rachel Riley, Post Architects, briefed the Commission on the following renovations that include expanding the 5,000 square-foot parish hall to 15,000 square-feet 9,900 square-foot of interior space and 5,100 square-foot of outdoor covered space. The space now accommodates 200-300 people for community events and receptions. Additional improvements include; enlarged restrooms, lobby renovations, and auditorium expansion. Although no construction work was focused on the cathedral's interior or exterior, new air conditioning was installed. Mr. Rhorer congratulated everyone with the project. Rotary Centennial Project – The Commission viewed, via PowerPoint, an image of the Rotary logo. Mr. Rhorer informed the Commission that as part of the Rotary100 th year celebration the DDD is partnering with the Rotary Club to construct a public sculpture on the improved riverfront. Mr. Skipper Post informed the Commission that Rotary will begin accepting entries for the international design competition to design a piece of art for the riverfront. Rotary has contracted with CODAworx to assist with the entries. Rotary has raised $350,000 for the project which will begin art solicitation spring 2015. EPA Bike Share Grant – The Commission viewed, via PowerPoint, an image of an existing bike sharing station. Ms. Whitney Cooper informed the Commission that the City in partnership with DDD, CRPC, BRAF and CPEX has received a grant to obtain a bike share development strategy for downtown. The grant will fund a 2 day workshop by experts to provide a plan for downtown Baton Rouge. Mr. J.T. Sukis, CRPC, commended everyone involved with the project. 440 on Third/ Matherne's Update – The Commission viewed, via PowerPoint, a rendering of the exterior signage for Matherne's and interior of Matherne's. Mr. Rhorer informed the Commission that the open house was a tremendous success on January 21, 2015. The DDD has reached out to surrounding areas to support the grocery store. Mr. Rhorer commended everyone involved with the project. City Hall Plaza Update – The Commission viewed, via PowerPoint, a rendering of the conceptual design for City Hall. Mr. Gabe Vicknair briefed the Commission on the design challenges of the project designed by Reed Hilderbrand. The capacity of the proposed lawn is approximately 3 times that of Galvez Plaza. Mr. Rhorer announced that the Crest received another international engineering award. Riverfront Gateways / River Road Improvements – The Commission viewed, via PowerPoint, photographs of the current construction on River Road in front of LASM and Repentance Park. February 10, 2015 Pg. 3 Mr. Vicknair briefed the Commission on the current improvements that have been made to the riverfront gateways and River Road: - Cross Walks are complete - Currently removing old striping - Planting is complete - Pathway is complete - Funding secured for seating / umbrellas - Ribbon Cutting mid March 2015 - LASM – Improvements along the north side of plaza. Rotollo is the contractor for the project which has a projected six month construction timeline. The completion will provide public space. Downtown Maintenance Committee – The Commission viewed, via PowerPoint, a photograph of painted sidewalks and cleaned sidewalks. Ms. Whitney Cooper informed the Commission that the she has been working with the utility companies to inform them of the existing ordinance. The next Maintenance Committee is scheduled for Thursday, January 26, 2015. Ms. Chris Nichols commended Ms. Cooper on her work with the committee. Downtown Greenway Update – The Commission viewed, via PowerPoint, a photograph of the improvements to Expressway Park. Ms. Cooper informed the Commission that the site furnishings have been installed in Expressway Park. Ms. Cheryl Michelet informed the Commission that the basketball court is expected to be complete soon, pending appropriate weather conditions. Ms. Michelet also reported that improvements to Spanish Town neighborhood park will be going to bid Wednesday, February 11, 2015 with the bid opening Tuesday, March 10, 2015. The improvements will include a new playground, seating, trees, pavilion, BBQ grills and tables, A donation was received from an outside source which will used to include add alternates, providing the bid is approved. New Businesses – US Agencies – The Commission viewed, via PowerPoint, a photograph of the ribbon cutting ceremony. Mr. Ken Champagne expressed his excitement to be downtown. The move brought approximately 100 employees to the downtown area. Events – The Commission viewed, via PowerPoint, the logos for the following events. Each Commissioner received flyers on the events. Mr. Casey Tate briefed the Commission on the following events. o #MovieNight BR – February 11 o Spanish Town Mardi Gras Parade / Ultimate LA Mardi Gras Party – February 14 o Mardi Gras Mambo – February 21 o A Confederacy of Dunces Kick Off – February 28 o B. R. Arts Market – March 7 o Foundation for Historical Louisiana/Old Governor's Mansion o Manship Theatre Events / LSU MOA o Capitol Park Museum o Old State Capitol o River Center Events February 10, 2015 Pg. 4 o BRSO o LASM o USS Kidd 7. Strategic Plan – Plan Baton Rouge II – The Commission viewed, via Power Point, a photograph of the PBR II cover. The DDD continues to implement the plan. Mr. Rhorer informed the Commission that he recently met with Mr. Andres Duany, new urbanist planner, and Mr. Duany was overwhelmed with the progress of downtown Baton Rouge. 8. Ongoing Projects – CPEX – The Commission viewed, via Power Point, an image of the CPEX logo. Mrs. Rachel DiResto encouraged everyone to attend the Building Blocks event scheduled for Saturday, February 21, 10:00 a.m. at the Louisiana State Museum. The event introduces children and their families to the importance of design and planning in community development. BREADA – The Commission viewed, via PowerPoint, an image of the BREADA logo. Mrs. Darlene Rowland briefed the Commission on the following events: - Main Street Market will be open from 8am – 12noon, Saturday, February 14, 2015 & closed Tuesday, February 17, 2015 for Mardi Gras. - Red Stick Market will be closed Saturday, February 14, 2015. Downtown Business Association (DBA) – The Commission viewed, via PowerPoint, an image of the DBA logo. Mrs. Alicia Baron briefed the Commission on the following event: - Friday, February 20 – Announcing Live After Five Line up - Thursday, March 5 – DBA Social – Jolie Pearl - Wednesday, February 25 – Inaugural Open house – Christ in the City - Friday, April 3 – Live After Five Spring season begins 8. Correspondence – Mentioned above 9. Public Comment – Councilwoman Tara Wicker encouraged everyone to attend the quarterly Tell Tara Town Meeting, Tuesday, March 10, 6:00 p.m. at First United Methodist Church. Mr. Frances Bennett encouraged everyone to attend the 26th Annual Trash – Treasure event scheduled March 6,7 & 8, 2015 at Cortana Mall. Ms. Jennifer Myer, CASA, briefed the Commission on the 4 th Annual Golf Benefit schedule for March 30 at the University Club. For more information visit www.casabr.org. Mr. Tim Nesmith, USS Kidd, briefed the Commission on the Mini Field Day scheduled for Saturday, February 28, 2015 from 9:00 a.m. – 5:00 p.m. February 10, 2015 Pg. 5 Mr. Greg Dole, FHL, encouraged everyone to visit the Old Governor's Mansion for a tour. Mr. Dole briefed the Commission on the upcoming events: February 12 – Professor of Folklore Barry Jean Ancelet to speak on history of Mardi Gras February 17 – Lagniappe Tours Mardi Gras Trip in New Orleans Ms. Marcia Groff briefed the Commission on the upcoming events: February 12 – Henry Turner, Jr. – Listening Room February 14 – Henry Turner, Jr. – Blues Room Meeting adjourned at 9:00 a.m.
David McAllister MEP My Elbe-Weser programme 2016-2021 Tackling challenges seizing opportunities! I. Who are we? - What do we want? My party, the Christian Democratic Union of Germany in the region between the Elbe, the Weser and the Aller, sees itself as a people's party that brings together Christian-social, liberal and conservative strands – based on fundamental Christian principles – while gearing itself particularly towards the specific culture and traditions of our northern German homeland, and developing them in the context of modern structural policy. Our main political concern is the link between our region's traditional identity and the demands of a globalised world. As the Elbe-Weser party, we therefore seek to represent the interests of our citizens with one voice. Using this approach, we have achieved many successes over the past quarter of a century. Although during the decades after the war the area between the Elbe and the Weser was among the structurally weaker areas in Lower Saxony and Germany, in terms of economic development the past two decades have seen dynamic development. I have continuously promoted this development by representing our concerns in Brussels, Berlin and Hannover with a strong voice and good judgement. In doing so, I have clearly distinguished myself from DV\1099562EN.doc our political opponents, who wanted to leave our region's infrastructure at the level of the 1970s, and opposed any additional industrial and commercial development and all necessary road construction measures. For me, it was and remains true that creating productive jobs is the fundamental requirement for developing wealth and prosperity. I am committed to an active infrastructure policy as a prerequisite for any positive development. Our concern is now to secure and build on what has been achieved – despite the difficult political environment and the major global and national challenges. Our achievements are threatened in two ways: Firstly, the representation of the region in leading political positions in the regional government is unfortunately noticeably weaker compared to the previous government. Secondly, many people now feel that preserving the status quo is sufficient in securing prosperity and fail to recognise that there can be no standing still in a globalised and increasingly digitised world. We therefore need additional active commitments in order to avoid falling behind the development of cities and other prosperous regions. With our representatives and elected politicians in the municipalities, MPs at federal and regional level, the Parliamentary State Secretary in the German Federal Government, Enak Ferlemann, and with me as a Member of the European Parliament, we will make every effort to ensure the Elbe-Weser region retains its importance and continues to move forward. II. The last five years – politics in transition – a challenge for our region Over the last five years since the 2011 local elections, our country has seen significant political changes at all levels. The most dramatic event was undoubtedly the change of government in Lower Saxony in January 2013. With the elimination of David McAllister's government and election of the Red-Green regional government by a narrow margin, it was very much up to us, as the CDU Elbe-Weser, to call for the implementation of a number of projects planned and initiated in previous years, even in the new political climate. The change of regional government represented a turning point for the structural development of the ElbeWeser region in a number of respects: * Structural and economic policy is now much more firmly oriented towards southern and eastern areas of Lower Saxony, which supposedly have more limited future prospects. * The importance of rural areas as a whole has decreased. In addition, there has been a shift of policy focus away from active structural policy towards the subsidisation of political desirable but often economically unviable projects. * An active transport policy is no longer being pursued. Instead, existing plans are being delayed and, if possible, completely shelved. The coastal motorway A 20 project, the planning approval process for which should, as we have strongly urged, be launched as soon as possible and consistently pursued for all construction phases, is being delayed and blocked by the new regional government – particularly the Greens – against the interests of the people in the Elbe-Weser region. Following planning approval for the Elbe crossing on the Schleswig-Holstein side, the regional government in Hannover is called upon to also carry out the planning work on its side. The inclusion of the overall measure – as pushed for by us – as an urgent requirement in the new Federal Transport Plan will provide further impetus for the project. * The agri-food sector – one of the most important economic sectors in our region – is so overregulated that many operators and farmers no longer see any prospects for the future. * As the consolidation of regional finances carried out by the Wulff and McAllister governments has been abandoned, in future there will not be sufficient funds to implement an active infrastructure policy. * There is wide and justified criticism of the introduction of government representatives. The regional government's aim of re-establishing the structure of the abolished district governments through the back door is becoming apparent. This will further add to increasing bureaucratisation. The result is longer and more complicated administrative channels with politically motivated interference. * One example of the Elbe-Weser region being deliberately disadvantaged by the RedGreen regional government was the planned revision of parts of the Federal State Regional Planning Programme by the Ministry of Agriculture. By including large, in some cases populated areas with a view to waterlogging them as bogs to the detriment of agriculture, the regional government has shown that it does not have the political will to strengthen and promote our region effectively. The weakening of the bog plans, part of which even included areas earmarked for the coastal motorway, following widespread public protests demonstrates the practical incompetence of the regional government. * Due to its ideological blinkers and practical deficiencies, the red-green regional government has contributed to a situation where rural areas are no longer receiving the aid and support necessary for a balanced coexistence with major urban centres, something which was taken for granted under the previous Christian-liberal government. This can particularly be seen in the unsatisfactory use of EU grants, which has been – and still is – jeopardised by inadequate applications and missed deadlines. The change of federal government, from the previously governing CDU-FDP coalition to a grand coalition, also heralded a new stance and a new direction in many policy areas – including for the CDU. The Elbe-Weser region, which until now has benefited from the CDU's consistent participation in important decision-making at all three political levels, now finds itself facing new challenges. However, aside from these developments, which we will be scrutinising critically, I also welcome the implementation of many projects we had previously called for. The Cuxhaven offshore site, which I had always viewed as an important economic pillar of the future, is receiving a considerable boost through the recent decision to establish an offshore wind turbine production site. The positive development of Stade as an economic and power generation centre also helps to secure and develop the economy in the area between the Elbe and the Weser. III. Our outlook on 2016: more Elbe-Weser in Lower Saxony In the coming years, the success of our region will, more than ever before, depend on coherent cooperation between all levels – from municipalities, via the Länder and the national level to Europe. The complexity of the challenges, visible in the global financial and economic crisis in the years after 2008 and the financial crisis subsequently triggered in some southern European countries, calls for close coordination and a strong German presence at international level. The CDU-led government under Chancellor Angela Merkel has also made unpopular decisions with real determination, and thereby resolutely fulfilled Germany's responsibility within Europe. The economic development of our country shows that we are still on the right track thanks to healthy economic growth, sound finances and a stable labour market. With the current influx of tens of thousands of refugees from conflict zones and economically weak regions to Lower Saxony, pressure is mounting on the regional government to enforce the existing rules on asylum with clear guidelines, i.e. sending those not recognised as asylum seekers back to their countries of origin through faster procedures before they are dispersed to local communities, and facilitating the integration of recognised refugees from areas experiencing civil war and crises and creating opportunities for them to have a fully recognised existence within our society and culture. I would argue for a fair distribution of refugees within the European Union using well-defined quotas and allocation keys. On the question of refugees, it remains to be seen over the next few years whether the federal, regional and municipal authorities will be able to develop a tailored approach to resolving the situation on the ground. The results of this refugee policy – more than any other developments of recent years – are being observed and recorded directly on the ground. The municipal level is increasingly taking on a key role in the areas of integrating and caring for refugees. In the light of these new challenges, it is important to use the local elections on 11 September 2016 to clearly take stock of the situation. The representations in the rural districts, urban districts and municipalities deserve and need politicians who are ready and able to take responsibility, and who take effective decisions on the ground, in order to face up to the structural challenges affecting rural areas and tackle the impact of global conflicts, the effects of which are being felt more than ever by us at home. The CDU's candidates are representing this aim in the Elbe-Weser region. IV. Modern infrastructure policy: the basis of every successful economic policy For me, the focus has always been, and still is, on a regulatory approach, taking our region out of the periphery and linking to the large economic centres of central and northern Europe. Modern infrastructure is the only way of generating economic growth that increases the competitiveness of our region and makes better use of its natural resources. Provided the right policies are in place, our region has excellent global and regional links, to Scandinavia, the Benelux countries, the British isles and overseas. The transport routes of the Elbe and the Weser provide ideal shipping potential into the heart of Germany – particularly in the new Länder – and to Eastern Europe. Globalisation has meant that the international flow of goods has increased dramatically and will continue to increase. In particular, there has been a significant increase in container shipping. This trend is set to continue. In this respect, connecting the hinterland to the ports will remain the key task of infrastructure policy. For the Elbe-Weser region this means both opportunities and risks. As such, we continue to face the biggest transport policy challenge of the last fifty years. We now need to make use of the associated opportunities – economic development and jobs in the region – and to increase infrastructure so that road-, rail- and seabased traffic do not collapse and instead are further developed without delay, in a coordinated way. In view of the increase in rail transport, environmental effects and noise control provisions must be properly taken into account when planning any expansion or renovation of the rail network. It is imperative that a sufficient level of protection against noise is included in the building measures. In the meantime, some things have begun to progress: the construction of the first section of the A 26 motorway between Hamburg and Stade has been completed, as has the development of the 6-lane A 1 motorway between Hamburg and Bremen including the long-awaited Elsdorf junction. Thanks to the help of the regional economy, it was possible to make available the planning costs for the A 20 coastal motorway, enabling the plans to be carried forward swiftly. In order to further strengthen the adopted strategy, I believe that the swift implementation and development of the following projects is required: 1) Road transport * Planning and constructing the A 20 coastal motorway from Westerstede via the already completed Weser tunnel in Dedesdorf and Bremervörde to the planned Elbe crossing at Drochtersen, where it connects to the A 26; * Swift progress and completion of the construction of the A 26 motorway from Hamburg to Drochtersen via Stade and completion of the stretch to Neu Wulmstorf by 2020 and to Hamburg by 2022; planning and construction of the A 7 as far as the A 1 at Stillhorn; * Construction of the Elbe tunnel at the Elbe crossing at Drochtersen to begin in 2020 at the latest; * Construction of the Bremervörde section to begin in 2018 at the latest; * Extension of the A 281 including a further Weser tunnel connecting to Bremen airport and the Bremen industrial park; * Construction of a 27 motorway exit at Achim-West between Bremer Kreuz and Achim; * Construction of various bypasses (particularly Ritterhude, Cadenberge, Zeven and Ovelgönne/Ketzendorf); * Reconstruction/restoration of various road bridges (e.g. Ostebrücke in Hechthausen, Ostebrücke in Bremervörde, Estebrücke in Buxtehude, Allerstrom- and Allerflutbrücke in Verden). 2) Rail transport * Taking advantage of the potential for cooperation between Deutsche Bahn AG and non state-owned railway companies with a view to increasing the attractiveness of local passenger rail transport and developing an efficient freight transport infrastructure; * Extension of the Bremerhaven-Bremen-Hannover rail link and construction of a third track on the Hamburg-Hannover railway line between Lüneburg and Uelzen, and dualling of Uelzen-Stendal stretch in order to reduce the burden on the port hinterland area; * Development of Hamburg-Harburg and Bremen rail hubs; * Dualling of the Rotenburg-Verden stretch of line, including EVB's Rotenburger curve; * Upgrading the capacity of the Bremen-Wunstorf line; * Dualling of Nienburg-Minden railway line; * Following a transparent planning process, in the medium term, construction of the "Alpha-Variante Plus" to relieve the burden on and improve hinterland connections from the port by extending the Bremen-Soltau America Line; * Further improving public transport between the centres of the metropolitan areas of Hamburg and Bremen and the surrounding region. Good examples include the introduction of the Metronom, the partial realisation of the requested extension of the Hamburg urban railway from Stade to Cuxhaven, the launch of the North Sea railway between Bremerhaven and Cuxhaven in 2010, the introduction of the Bremen/Niedersachsen Regio urban railway, as well as the extension of line 4 of the Bremen tramway to Lilienthal-Falkenberg; * Extension of connections between neighbouring authorities in the Elbe-Weser region and the Hamburg Transport Association (HVV); * Creation of non-level railway crossings; * In the case of development exclusively benefiting goods transport, the share of the cost borne by municipalities should be limited. 3) Ports and shipping * Expansion of the port handling capacities in Bremerhaven, Cuxhaven and Stade and examination of further possibilities for expanding the ports as offshore-base ports, multifunctional ports and multipurpose transshipment ports. The new Siemens site in Cuxhaven is evidence of a successful structural policy; * Support for deepening the Outer Elbe and Outer Weser channels for economic reasons. We will only consider deepening the Lower Elbe and the Lower Weser, however, if the necessary conditions of dyke safety and ecology are taken into account and an agreement is reached between the federal government and the Länder on the concerns of water management and land cultivation; * Development of North Sea-Baltic Sea canal; * Development of the mid Weser river for large cargo vessels and two-tier transport; * Development of the Stade-Bützfleth industrial port by constructing a separate coal wharf for the planned high-efficiency coal power station and creating a new logistics hub by building a new industrial platform at the existing industrial railway station. 4) Air transport * Development of regional airfields, in so far as this makes economic sense and does not compromise the overall vision for North German air traffic. In this connection, regional transport policy should be brought together within an overall plan and facilitate links with the main urban centres. With this in mind, cooperation with the city states of Hamburg and Bremen is particularly important. V. Innovative economy creates and secures employment! Good and future-proof interconnections with long-distance transport networks are essential in order to address the existing disadvantages in rural areas. To ensure the Elbe-Weser region remains an attractive place to live, it is necessary to boost the regional economy. For it is precisely the local economy, characterised as it is by mid-sized enterprises, that creates and secures jobs and training in the region, for the region! Regarding the development prospects in the Elbe-Weser region, six priority developments are envisaged: 1. Depending on geographical, geological, historical, demographic, transport and industry-specific factors, many locations in our area have huge growth potential and opportunities for welcoming relocating businesses. Through our policies, I wish to actively contribute to further strengthening these strengths (e.g. at the CFK Valley in Stade, the further expansion of renewable energies, the creation of additional logistical capacities, at the animal reproduction and marketing centres in Verden and Bremervörde or in the further development of the North Sea tourism in Cuxhaven). The geographical location of the Elbe-Weser region, with its proximity to the coast and particularly the ports that are important for North Germany, has made our region especially attractive for the offshore wind energy sector. Lower Saxony in general and the Elbe-Weser region in particular are "energy regions", not only in the area of conventional energy generation but also for renewable energy generation. The location of the new offshore production facilities in Cuxhaven can only be seen as a step towards establishing this industry in our region. 2. In addition, for many local authorities, particularly locations with no direct connection to interregional transport routes, economic prosperity must come predominantly from the development of existing medium-sized structures. With our policy we wish to make an active contribution to maintaining the variety of medium-sized enterprises and thereby the range of jobs. 3. We are also threatened by skilled labour shortages. While we can create a positive environment for companies, it takes motivated and highly skilled workers to fill it with life and ultimately make it the desired economic success. Training and retraining workers in the Elbe-Weser region is therefore an important challenge for the economic development of our region. This will also involve asking questions about work-life balance even more than has previously been the case. It must be possible for the employees of a company to combine life and work, without unduly neglecting children and family. 4. With good internet connections, rural locations will in future also be able to create additional potential as a location for sectors where location is flexible. 5. In addition to innovations in the high-tech sector, low-threshold innovations with direct application are also worth supporting. Of particular importance in this respect is innovation potential that is not tapped by individual actors but rather developed by a critical mass of companies and research institutes. Only in this situation can network structures emerge along the value chain and spread far beyond the region. A classic example of this is the CFK Valley in Stade, in the area of carbon fibre reinforced plastics (CFRP, or CFK in German): starting with the research activities of the aircraft construction industry in Stade, over time a technology centre, a service centre, a training centre, a technical college and a research centre have also sprung up focusing on CFRP as a material. After an initial focus on aircraft manufacturing, the focus of the application has since expanded to include the entire mobility industry (cars, lorries, waterborne transport, etc.) and also, for example, the promising field of wind energy. 6. In the framework of a balanced energy mix, I am particularly committed to firmly supporting technological development in the field of renewable energy production, such as wind energy, or new technologies for storing energy. In doing so, I am conscious that the development of renewable energy is very complex and requires a lot of space. Given that renewable energies are not produced everywhere they are consumed, we need a comprehensive redistribution network in order to supply our country. I will have to explain to the inhabitants of the Elbe-Weser region that this will require significant amounts of investment and that our rural areas will change. As a key technology in the energy transition, wind-hydrogen is a major opportunity for the Elbe-Weser region, in particular the opportunities for cavern-based storage e.g. in Ohrensen. It is necessary to pursue efforts to bring hydrogen technology to market and to simplify approval procedures. Biogas production is particularly important in our region. It is therefore necessary to give timely consideration to making use of existing facilities after their subsidy period has ended. The subject of energy also entails promoting and developing new forms of propulsion. This applies to both large-scale goods transport and individual transport. In recent years, the electric car appears to have emerged as a potential "innovative form of propulsion" of the future, as a supplement to fossil-fuel propulsion. However, the electric car will only become accepted if the necessary infrastructure for powering vehicles is also available. I therefore encourage the municipalities to make it possible to charge electric vehicles in appropriate locations (stations, park & rides, city centres), thereby making it easier for drivers to switch to this kind of car. I personally reject subsidies for buying electric cars for public policy reasons. There are also a number of new challenges with regard to propulsion for ships, which as of recently may no longer operate using conventional heavy fuel oil in the SECA in the North Sea and the Baltic. Vessels travelling in these waters are therefore now being powered by LNG engines. Converting our ports to enable vessels with LNG engines to refuel offers a great opportunity to make them an even more attractive port of call. Active economic and structural policy requires a reliable framework across the board. Therefore, I advocate: ensuring that approval procedures for establishing industrial projects and business startups are quick and not hindered by red tape, making new attractive and needs-oriented sites available for businesses at suitable locations across all districts in the Elbe-Weser region, Ensuring that public administrations operate efficiently and close to the public, and that investment projects are promoted rather than impeded, organising supply and disposal systems in a way that keeps charges to a minimum, pursuing an active economic development policy. For that purpose it is necessary to promote the region as a whole, beyond our own area. The districts are invited to further develop appropriate concepts, strengthening cross-Länder initiatives, such as the metropolitan regions of Hamburg and Bremen/Oldenburg, the Süderelbe growth initiative with the Free and Hanseatic City of Hamburg or Bremen-Lower Saxony inter-municipal association. Here it is important to ensure that the "give and take" between the metropolitan area and surrounding municipalities is consistently balanced and that the benefits of these initiatives outweigh the costs in the long term, carrying out private-public-partnership (PPP) projects (such as the completed reconstruction of the prison in Bremervörde and various newly built schools) as an example of long-term cooperation between the public authorities and private industry in suitable infrastructure and building projects, for the federal and regional governments in future to be involved in funding the particular costs of converting abandoned army sites in the municipalities in a way that favours structure, avoiding unnecessary prestige projects and taking greater account of co-payments and subsequent costs when requesting subsidies, in order to consolidate public finances, ensuring that the tax burden for companies does not weaken competitiveness, notwithstanding the important role of secure financing for districts and municipalities, further strengthening the universities in the Elbe-Weser region and advertising for the establishment of new disciplines, for example for engineering-related jobs, promoting company nurseries and afternoon childcare/education in a way that does not unduly restrict parents' working life, and making private and municipal nurseries' opening hours more flexible, so that children can be cared for during different working hours. VI. Digitalisation – already driving modern societies While the development of the internet was long seen simply as one factor in the regional economy or as an advantage in zoning residential areas, primarily for young families, the digitalisation of our lives now constitutes one of the most important social challenges that policies must tackle. It is no coincidence that this issue is at the heart of policy-making at both Bundesland and federal level. It is currently promoted at European level by Germany's European Commissioner, Günther Oettinger (CDU). Today's information society means that modern infrastructure policy in the Elbe-Weser region must include IT infrastructure improvements: efficient broadband data networks are a fundamental requirement so that businesses, citizens and administrations can make the most of the potential that they offer. Efficient data networks can unleash a powerful stimulus for growth and create new jobs, particularly in rural regions that are far away from economic and population centres. The new forms of work organisation within businesses ushered in by broadband internet help to make procedures more efficient and to make the use of public services easier and cheaper for citizens, as well as facilitating access to educational content. Of course, the fact cannot be ignored that expanding access to broadband internet in all parts of the Elbe-Weser region comes with an enormous price tag. In addition to laying fibre optic cables – and depending on the local circumstances – wireless solutions should be sought in order to provide more distant communities with a similarly modern connection. I support the further development of the Lower Saxony Broadband Competence Centre (Breitband Kompetenzzentrum Niedersachsen) in Osterholz-Scharmbeck (www.breitbandniedersachsen.de). My goal is for everyone in the Elbe-Weser region to have fast internet. The digitalisation of our society offers many more opportunities and affects many more areas of life today that it did a few years ago. I therefore support: * further developing e-government facilities in municipalities and counties. E-government as a way for citizens to interact with the authorities will continue to expand in the coming years. Going to deal with the relevant public office is a real problem, due to having to make rather long trips, cut into working hours and undertake complex procedures. The ability to make applications online, to participate in administrative procedures such as published land-use plans via internet portals, and simply to speed up procedures, is an advantage for authorities and citizens alike. * setting up a common IT service group that establishes trans-regional platforms and takes over support on IT issues for municipalities, counties, and authorities. Municipalities can make use of digital infrastructure to exploit synergies between themselves and also pool expenditure to a greater extent than before. This could be achieved by setting up a common IT service group, enabling municipalities to offer and make use of services among themselves. * developing fast internet connections with fibre optic cables and wireless connections, especially to give more rural regions a fast internet connection. Due to demographic change, the population of rural areas in particular is getting older and people living in these areas are finding it more difficult to participate in the life of society. A good digital infrastructure can remedy this situation, maintaining social contacts and especially allowing various consumer products to be supplied via online retail, as a complement to the traditional retail sector. * revising the provision of online education for schools in rural areas. The population decline in rural areas also affects our schools. Small schools in particular are threatened with extinction. The result for many pupils would be a long journey to the nearest school. Online courses could provide a medium-term solution for educational authorities, particularly in terms of staffing, and thus enable smaller schools to remain open. * installing public wi-fi access. There are already public wi-fi networks in many countries, including within the EU. It is now customary, particularly in large cities, to be able to access such networks and take advantage of what is on offer, such as in the area of tourism. VII. Family-friendliness, education and instruction: more choice, less uniformity Education and instruction at different stages of life are even more important today than in the past. Education in crèches and child daycare centres as well as schools and all adult education institutions are vital location-related factors for rural areas. In this regard, we can build on well developed care and education provisions. The system must be improved, while preserving or restoring the maximum degree of freedom of choice for parents, children and young people. Equal opportunities for all children should be ensured, with each child having access to a schooling and an education that takes account of their talents. More specifically, I have the following objectives for the various stages of life: * Since 2013, every child is legally entitled to a place at a crèche. A number of extra crèche places were created by the CDU-led government from 2008; 35% of children have places for care, education and instruction. Needs-based further development must now follow. One focus in the coming years will need to be on making childcare hours more flexible, which is essential given the changing conditions on the labour market. Child daycare centres must not be overburdened by a purported duty to educate. Childcare must be able to be practically implemented and should not be overregulated. It is particularly important to ensure good cooperation between child daycare centres and primary schools. Care should be made more flexible, there should be more all-day options, and childminder initiatives should be promoted. * The balance between work and family life should be further improved by giving young people incentives and the realistic possibility to take responsibility for family planning, and by giving well-educated young women in particular the possibility of pursuing a career that matches their qualifications without having to give up on having a family. This must be backed up by enhancing understanding among businesses, so as to expand flexible working hours and in-work childcare opportunities. This will provide women with equal opportunities to realise their professional potential and to reach managerial positions. * Given variations in pupil numbers, the entire school situation must be evaluated and its structure continuously tailored to changing circumstances; meanwhile, the principle of schooling that is as close to home as possible should remain intact. The top priority must remain the development of all-day schooling across the board, and flexible education, instruction and care options. Continuous development of all-day schools must be pursued. At the same time, care must be taken not to leave municipalities to finance this alone. In particular, given the falling numbers of pupils, resources that have been freed up in this area should be used, and cooperation with non-school authorities should be reinforced. * In my view, special needs schools are still important. In particular, we are opposed to the closure of the "Lernen" special needs schools. The right to inclusion must be retained, but this must not be an obligation that is detrimental to the children. A pedagogically sound approach to this issue must be developed. * The introduction of secondary schools ensures that schooling commensurate to pupils' talent is available everywhere. Thus it has been possible to lay the groundwork for rendering previous ideological debates about schooling unnecessary in favour of a focus on students' needs, and for ensuring that every pupil, across the board, now has access to the best possible education close to their home. * Gymnasiums (grammar schools) must retain their separate status and be further developed. Gymnasiums that already exist must under no circumstances be replaced by comprehensive schools (Gesamtschulen), as this runs the risk that gymnasium curricula will no longer be sufficiently taught. Sufficient teaching provision is the highest priority for all types of school. At this point, reference should be made to the situation at the end of David McAllister's Bundesland government (up to 2013), when the teaching provision was much better than it is now. I also support all efforts * to raise the level of education and vocational training in schools and, where necessary, to supplement it by means of private schools * to provide a wide variety of vocational schools and to strive to develop them into "regional competence centres" for vocational training. Close cooperation and coordination with the domestic economy is key in this regard. * to strengthen the "independent schools" programme * to establish or develop technical colleges. A good example is the Maritime College in Cuxhaven. * to further promote the development of the colleges in the Elbe-Weser region (e.g. hochschule 21 in Buxtehude, or the PFH Private University Göttingen, Hansecampus Stade). Dual courses – jointly offered by colleges and businesses – make our region significantly more attractive to students and young professionals and will have a longlasting positive impact on economic development. As far as possible, future efforts should be made to strive for such closer cooperation between colleges and businesses in other locations so as to ensure that the Elbe-Weser region's supply of workers meets its needs and is equipped for the future. The same applies to cooperation with existing adult education institutions. * to strengthen the close cooperation with Hamburg, Bremen and Bremerhaven so as to make the most of the opportunities offered by those communities' universities and technical colleges for our region. VIII. Agricultural and food industry: less paternalism – more trust! The food industry is one of the most important economic sectors in the Elbe-Weser region. The main concern of our region's agriculture, which is characterised by medium-sized operations, is to produce healthy and safe food for consumers, taking the requirements of nature conservation and animal welfare into account. The twin facts of a growing world population and steadily shrinking agricultural land area will continue to require agriculture to become more efficient by making use of progress in technology and breeding, in line with resource-efficient and environmentally friendly production. Agriculture in the Elbe-Weser region has seen substantial increases in productivity in recent years while also using quality assurance systems to help increase food security. It is therefore doing its bit to solve the food question, so crucial for the future of humanity. The Elbe-Weser region, with the large number of highly efficient farms established here, its farmers' technical expertise and high level of education, and well established distribution channels, has become one of the few German agricultural regions that has developed a European vision for the future. This is particularly true for the dairy sector, the processing industry, and arable farming, as well as fruit growing on the lower Elbe. I wish to strongly support this development, thereby making our contribution to the acceptance of modern agricultural production methods by means of social dialogue. Due to its major investments in agricultural equipment, livestock and alternative energy sources, agriculture has strongly contributed to the economic development of up- and downstream sectors and the banking sector in the Elbe-Weser region; meanwhile, here as nowhere else, agricultural production has also been brought into line with consumer protection and animal welfare, as well as conservation of nature and the environment. Similarly, land management processes are increasingly taking the conservation of species-rich biological resources into account. I am committed to a non-ideological and forward-looking agricultural policy that takes existing structures in agriculture and the food industry with its significant overheads as a given, and develops them further in accordance with economic, environmental and social requirements that are in line with social demands. A holistic sustainability-based approach is my guiding philosophy. However, the agricultural policy framework must allow farming families to develop their farms in such a way as to survive and earn a decent income in a climate of tough global competition. The possibilities offered by the renewable energy law have been used extensively in the ElbeWeser region for years, meaning that farmers make use of renewable raw materials, residues from livestock and biogenic waste and thereby make the contribution to climate protection and sustainable energy supply that is urged by politicians. In my view, however, food production takes priority over energy production. There is now sufficient evidence that biogas production from renewable raw materials has led to distortions in the land markets, with correspondingly dramatic rent price rises, meaning that some conventional and also organic grassland and arable farming operations are no longer able to participate in lease markets. Therefore I support the equal co-existence of different industries, and appropriately balanced government support for energy production. This notwithstanding, investment in bioenergy was always based on the conditions that existed when the decision to invest was made, meaning that grandfathering is not up for debate. A large proportion of the Elbe-Weser region's agricultural value creation is thanks to the processing industry. Milk and piglets, as well as pork, poultry and beef are produced with the highest degree of expertise. As well as the objective quality of their products, our farming families are also increasingly faced with social discussions regarding livestock. I am committed to further developing the conditions in which livestock is kept, without losing sight of farms' competitiveness; I am against ideologically motivated tokenistic policies that have no benefit for animal welfare. Moreover, I call for clean groundwater. Promoting improved nutrient management systems counteracts negative trends in terms of nitrate levels. All in all, I would like to ensure that agriculture retains its (not just economically) important and central position in the society of the rural Elbe-Weser region by striving for conditions that will bring together social acceptance of agricultural production and its competitiveness. Woodlands and forestry fulfil a variety of functions. Aside from the huge significance for jobs throughout the "wood cluster" in rural areas, timber as a raw material is providing those who own woodland with increasingly large incomes. Woodland also fulfils specific environmental functions: it is the foundation for communities of many different species, preserves groundwater, makes a significant contribution to climate protection, and is a valuable part of the range of options for local recreation and leisure activities. I am strongly in favour of a sustainable concept for making use of woodland, and against the closure of privately owned woods. Sustainable fishing is practised on the North Sea coastline. This is particularly the case for crab, coastal, and small and large deep-sea fisheries. These should continue to be prioritised. They have must sufficient space, and in cases where there is a conflict with other uses, their requirements must be adequately taken into account. Modernising the fishing fleet is essential if structures are to be retained and fishing is to be safeguarded in this location. Funding programmes should help in this regard. Meanwhile, businesses on the ground can only invest if fishing can provide an adequate income. This is a sector that has seen significant overregulation, making fishermen less effective while failing to produce a corresponding benefit. IX. Environmental protection in the Elbe-Weser triangle: less ideology – more progress! One of the guidelines for CDU policy is proper consideration of the requirements of environmental protection and nature conservation. The responsibility – including towards future generations – to preserve creation is a high priority for us Christian Democrats. The diverse landscape of the Elbe-Weser region ranges from the Wadden Sea to wetlands, moorland, geest terrain and heathland, and possesses a diversity of species that, in our view, it is important to preserve. I am quite convinced that effective environmental protection and nature conservation requires joint efforts on the part of all stakeholders, and especially the involvement of landowners and farmers. A constructive combination of official nature conservation, volunteers, associations and users is beneficial in this regard, as many nature conservation projects in the Elbe-Weser region in recent years demonstrate. Measures taken by individuals should continue to be encouraged; explicit recognition of voluntary activities to protect species – e.g. the improvement and creation of semi-natural bodies of water, planting hedges and flowering strips for indigenous flora and fauna, protecting native grassland birds – is very important, including as part of conservation programmes. Counties' revenue from assessing the hunting tax should go to nature conservation projects managed by the regional hunting associations (Kreisjägerschaften). Intact raised bogs and fens are not only important for climate protection; they also contribute to a thriving and viable home region. They constitute important reservoirs, preventing flooding in moorland villages. No more peat will be extracted beyond existing priority areas, and existing priority areas will be reviewed. Moor grassland, typical for the landscape of this area, should be preserved for agricultural use, and economic prospects for farmers identified. Therefore, I am in favour of viable models to conserve and sustainably use moorlands. Protected areas are important in terms of providing habitats for endangered plants and animals. We support compromise-based designations of protected areas to preserve our unique landscape, with rules that are acceptable both for people and for our region. The preservation of our cultural landscape via nature conservation contributes to tourism and is a driver for the regional economy, and therefore for our villages' future. In future, too, conservation behind the dikes along the coastline and the Elbe must be Directive enough space, as well as to protect settlements. Dike shepherds play an important role in maintaining the dikes. Given increasing predation by wolves, dike security is the guaranteed for the long term. A floodplain should be provided to give areas under the Habitats priority, leading to wolf-free areas being designated along our coastal protection line. We cannot tolerate the increasing impact that nitrates are having on groundwater bodies that are close to the surface. In addition to specialist legislation, measures should be implemented in cooperation with water companies, municipalities and farmers (depending on their efficiency) in order to bring these levels down. Risks potentially caused by the use of fracking technology to extract natural gas must be minimised and the overriding priority must be to protect potable water, the most important thing that people consume; I reject the use of fracking in water conservation zones. Preserving nature requires knowledge about nature. I therefore wish to further develop environmental education in kindergartens, schools, and adult education, including with the involvement of recognised nature conservation associations. In order not to fuel any more land take and to conserve agricultural land, I consider a steering land strategy to be beneficial and call for compensation in kind and compensation payments to be placed on an equal footing, going entirely to aid nature conservation. I am in favour of practical nature conservation and environmental protection, which involves weighing up all stakeholders' interests in a balanced manner. In this context, the frequent and ideological abuse of the right to bring class actions must be curtailed. Moreover, NGOs (nongovernmental organisations) must become much more transparent: what interest groups are behind these often opaque organisations, and who is financing them? Are they really working for the general good, or are they serving individual interests? Legislators and administrations need to demand more clarity, e.g. in laws relating to non-profits. X. More social cohesion in rural areas I would like to maintain and enhance the Elbe-Weser region as a place where everyone lives together healthily and with good social relations, acting for each other and with each other. We need to conserve our villages and give them the opportunity to rejuvenate and further develop. Young people must also be able to build in the place where they grew up so that they can continue to live in their home towns. The planning authority's narrow interpretation of paragraph 34 of the German Building Code (BauGB) regarding backland development on a case by case basis, and primarily the promulgation of the Odour Immission Directive (GIRL), means that young families are increasingly finding it impossible to acquire a permit to build in their home villages in the current legal context. The legal provisions in the Building Code and the GIRL must be revised in favour of our villages. In contrast to population centres, rural areas continue to be at a disadvantage in terms of social policy issues. The Elbe-Weser region must be treated equally with the population centres of Hamburg and Bremen in order to ensure uniform living conditions. This is particularly true for the provision of doctors. We must ensure that care provided in rural areas by doctors or in hospitals will continue to be provided close to people's homes. The EUR 400 000 of support provided by Lower Saxony to doctors to settle there only led to a small number of new country doctors by the end of 2014. The Bundesland must top up this support. The law to enhance medical care launched by federal health minister Hermann Gröhe, which also included incentives for doctors to settle in rural areas, is a step in the right direction. Local councillors and mayors should actively entice young doctors by promoting the advantages of their respective municipalities. Model projects such as "Landpartie Zeven" are going in the right direction. The Elbe-Weser region can benefit from the fact that young doctors who want to live in northern Lower Saxony have studied medicine at the European Medical School in Oldenburg or the Hannover Medical School (MHH). Early contact must be made with medical students. Adequate and high quality clinic care must be ensured for the Elbe-Weser region. To achieve this, the focus must be on lean and effective structures. Strengthening families in their role as communities of responsibility continues to be one of our important policy goals. Families are the bedrock of our coexistence. Families should feel happy and accepted in the Elbe-Weser region. Family-friendliness must be a hallmark of our region. We support the local family associations that have already sprung up in large numbers in the Elbe-Weser region. A particular characteristic of family-friendliness is the balance between work and family life. Therefore, I call for crèches and kindergartens near people's homes. It is also important to support mothers and fathers who want to bring up their child at home during the first few years of the child's life. Improved public transport with a denser network and stops that are more frequently served makes a decisive contribution to family-friendliness, allowing children and young people to be more independently mobile. This would lighten the load on single parents in particular, of which some 90 percent are women. Community buses and group taxis that can be requested by telephone are a good way to supplement public transport. Many people – principally volunteers – care for others who are in need or simply require assistance and support. Volunteers contribute to social cohesion in society, and their efforts take the strain off state institutions. Therefore volunteers, even if their work is free of charge, should be encouraged as much as possible. Many municipalities support volunteers with discounts, e.g. by means of a volunteers' card. Other counties, towns and municipalities should follow this example. In my view, financial aid for associations is a particularly important part of supporting voluntary work. I want all generations to live together in harmony. Older people should play their part in actively shaping life in the community. Even more use should be made of their experience and skills. Older people and younger people can benefit from each other. This is why we need older people in organisations and political parties. But older people also need services that are tailored to them, such as the trips for older people offered by many municipalities. I am particularly in favour of the work done by intergenerational homes and senior citizens' advisory councils in the Elbe-Weser region. XI. Immigration: An opportunity and challenge for the Elbe-Weser region Immigration to the Elbe-Weser region has increased considerably. The various groups of immigrants should be differentiated: * people who have been persecuted on political grounds in their home country are entitled to asylum in Germany for the duration of the threat in their home country. The fact that all European countries can now be classified as safe countries of origin is a success of European policy. It must therefore be made clear to asylum seekers from these countries that their applications have no chance of being successful. * people fleeing war and civil war are – under the provisions of the Geneva Convention – also welcome until fighting stops in their home countries, even if they have come to Germany in spite of European agreements to the contrary. * people who have come to Germany due to difficult economic conditions in their home countries have no fundamental right to remain in Germany, even if the motives of these immigrants are fully understandable. It is in everyone's interest to clear this up soon. * skilled workers who come to Germany under regulated procedures are more necessary than ever. I am emphatically in favour of the immigration of qualified and motivated women and men. I have deep sympathy for the suffering of the thousands of civil war refugees and asylum seekers. They should be able to have a good fresh start in the Elbe-Weser region. We want to help them. We are also deeply thankful to the many full-time and volunteer helpers who care for refugees and asylum seekers, e.g. in the German Red Cross or in neighbourhood initiatives. However, I am also aware that increased migration creates major challenges for towns and municipalities. Accommodating refugees and asylum seekers has already reached – or exceeded – the capacities of some towns and municipalities. Accommodation options have become scarce in many places. Accommodation is problematic for cities and municipalities during the winter in particular. Better Bundesland and federal support is needed to help the municipalities to cope with this task. The Bundesland government must distribute all the national funding for municipalities, and supplement it with its own funding. Not everyone who makes an application for asylum in the Elbe-Weser region will be given the right to stay. This is particularly true for asylum seekers from the Balkans and other safe countries of origin who want to live in the Elbe-Weser region for economic reasons. Economic immigrants should be distinguished from refugees and those entitled to asylum. Asylum law does not give economic immigrants any right to remain. I am committed to ensuring that Lower Saxony stops sending people from safe countries of origin to the municipalities, but rather keeps them in the central reception centres until the asylum procedure is completed. Bavaria's specialised centres for immigrants from the Balkans are also a good example for Lower Saxony. Unsuccessful asylum seekers must return to their home countries. The future of the Balkans must not be jeopardised due to a mass emigration of young people for economic reasons. These people are urgently needed to develop their home countries and make them economically stronger. If a person does not leave voluntarily, he or she must be removed. Lower Saxony, and county public order offices, are called on to dedicate more efforts to implementing removals and to raise the removal quota. I see a Europe of open borders, facilitating travel and the movement of goods, as a major achievement. However, I can also see that making it easier for foreign criminals to cross borders is a threat to internal security. I therefore call for the police in the Elbe-Weser region to receive every assistance to allow them to better detect people smugglers and gangs of burglars and to prevent the abuse of asylum. Refugees and those entitled to asylum who are permitted to remain and whose new home, for the time being, is the Elbe-Weser region should be helped to find a job so that they do not have to subsist on benefit payments in the long term. Learning German is a precondition for this, and should start while the asylum procedure is ongoing. Refugees and asylum seekers with formal qualifications can enrich the economy of the Elbe-Weser region; I am in favour of integrating these people into our society. All refugees and asylum seekers are expected to show a desire to integrate and to comply with our country's fundamental values. For me, the values of non-violence, liberal democracy, gender equality and religious tolerance are essential, and must also be extended to foreign migrants. Our constitution and laws are the basis for peaceful co-existence. XII. Demographic change – see the opportunities! Demographic change, a societal "mega-trend", is especially significant for the largely rural Elbe-Weser region. The total population is decreasing, while people are on average getting older and society is becoming more diverse. However, not every municipality has experienced these fundamental changes; demographic developments, too, are regionally specific. These developments have risks, but also offer major opportunities for the Elbe-Weser region. The risks must be tackled by making adjustments as early as possible. In particular, therefore, I would argue in favour of taking long-term demographic developments into account when planning infrastructure, towns and schools. Principally, approaches to deal with housing stocks in rural areas must be developed. Against this backdrop, I welcome the fact that the first counties and municipalities – including some in our region – are preparing to implement joint measures to cope with demographic change. It should be the goal of political decisions to optimise what is on offer, not to permanently reduce it. The municipal reorganisation of territorial structures – completed in many places, started in others – is already bearing first fruit. I continue to support this route for municipalities, where it is beneficial or desirable. Demographic developments also suggest increased investment in education. In my view, if these principles are applied consistently, then successful integration will enrich society in the Elbe-Weser region. Demographic developments must also be seized as a significant opportunity in the ElbeWeser region. Living longer also means participating in the life of society longer. Experience and traditions can be handed down. Now more than ever before, the coexistence of old and young, rooted in our society's cultural values, is the way of life of the future and underpins our society. XIII. Efficient administrative structures for effective municipalities and counties As early as the beginning of the millennium, I warned against a fragmentation of the ElbeWeser region due to a one-sided focus on the population centres. Assigning the responsibility for governing to Bundesland level was able to prevent this. The progress made at that time thanks to significant corrections intended to strengthen rural areas has been quickly mishandled and undone by the new Bundesland government since 2013. In particular, the administrative reform that had strengthened municipal self-government at county and municipal level by abolishing regional governments was counteracted by the re-establishment of regional officials. The ban on new debts after 2020 – now enshrined in the constitution – risks failing from the outset because the Bundesland government is unable to handle the available resources prudently and responsibly. This is all the more alarming because the state's tax receipts are currently higher than ever before. I will take steps to ensure that bureaucratic obstacles are eliminated and financial means are used sensibly and in a resultsoriented way. Going forward, efforts need to be redoubled to develop and implement joint action strategies. This also includes making full use of cooperation with the large urban areas and associations. Long term, a municipality must have adequate funding if it is to be able to fulfil its duties for the benefit of citizens. Allowing municipalities to retain and/or fully recover their ability to act financially is, therefore, a key objective for me. In my view, four key conditions must be met if this goal is to be reached: 1. Municipalities' funding from both the federal and the Bundesland government must be fair and commensurate with the principle of connexity. In recent years, there have been significant efforts from the federal level, in particular, to relieve the financial strain on counties, as well as towns and municipalities, and to redistribute the costs of social changes. Assuming the costs of a subsistence allowance for the elderly and those receiving incapacity benefit, and the increased contribution from the federal government towards the costs of accommodation, are key examples. However, it is also particularly important in future that when it is assigning duties to the municipalities, the Bundesland respects the principle of connexity more and fully reimburses the incurred costs. In terms of refugee accommodation, financial agreements should be struck between national, Bundesland and municipal authorities to ensure a timely arrangement regarding payment or reimbursement of all incurred costs. Municipalities can only have the necessary financial room for manoeuvre to be able to dedicate themselves to education and integration – important issues for the future – if they are able to house and care for people without incurring net costs. If the integration of the large numbers of migrants that is badly needed fails due to financial mismatches between the various levels of government, then the state as a whole will have failed. 2. Municipalities must assume their responsibilities efficiently and in line with current demands and opportunities. I still think that modernising municipal administrations and enhancing cooperation among municipalities has considerable potential. Unfortunately, we must note that the huge potential of the internet and modern technology has hitherto often been criminally neglected by German administrations, in contrast to other European countries. Although it is theoretically possible to bring in ways to accomplish administrative procedures electronically, thus leading to a socially responsible reduction in administrative staff, the staff numbers in county administrations and town halls are once again on the rise. The increase in responsibilities and different arrangements (e.g. more part time work) only partially explain this. Consistent optimisation of procedures and bolder use of up-to-date technology would limit further increases in staff numbers. In addition to financial savings, optimising administrative procedures also tends to increase service quality for citizens, such as the online portal for consulting building permits (BauakteOnline). Enhancing cooperation among municipalities can create synergies. For example, not every municipality needs its own construction depot or its own IT department that is equally responsible for all tasks. Merging or forming a group in order to specialise are up-to-date responses to increasing demands. If this approach is taken seriously, then all options are up for consideration. 3. Municipal policy must take sensible and responsible decisions, concentrating not only on what is desirable but also on what is feasible. Improved funding from the Bundesland and the federal government, optimised administrative procedures and real inter-municipal cooperation give our municipalities fresh room for manoeuvre. It will be critical not to carelessly squander the savings made thanks to municipal policy by spending more in other areas. The budget law for the municipalities of Lower Saxony stipulates – similarly to the Bundesland- and federal-level debt brake – that counties, towns and municipalities must run their economies sustainably and not get into a vicious circle where new debts mount up. I take this moral duty to future generations seriously. Discretionary payments should therefore always be scrutinised and should be limited to the lowest amount possible as set out in the budget. Limiting and reducing municipal debt should be the rule in our region, not the exception. This is the only way that we can enable municipalities to boldly plan for the future and make future-oriented investments. 4. The opportunities of the large urban areas of Hamburg and Bremen/Oldenburg should be used for the Elbe-Weser region. Cooperation in terms of structural policy serves to optimise the functioning of the economy, science and infrastructure, and also aids positioning thanks to a joint external marketing strategy. At the same time, the Elbe-Weser region must always be considered in its entirety and must not allow itself to be divided up. It must always remain a cultural and economic whole. This is best guaranteed by close cooperation between the five counties with the regional associations and institutions. XIV. Domestic security: less crime – more security for the Elbe-Weser region My party has always been the party of domestic security. We feel even more committed to this mission given our rapidly changing world, with its constantly evolving challenges in the fight against crime. We welcomed the positive crime trends in our 2011 manifesto, with fewer cases and a higher proportion of cases solved; however, I note that since the change of government in Lower Saxony, while the number of crimes is still lower than it was ten years ago, the proportion of cases solved, which had reached 63% under the CDU-led Bundesland government, is now falling (60.6% in 2014). I therefore call on the Bundesland government to once again make domestic security a priority in the future. Specifically, this means: * strengthening crime prevention and improving victim protection. In this regard, efforts to combat extremism by means of enhanced cooperation with schools and youth welfare services should be a high priority. * improving staffing for a police force that is close to citizens, is consistently out on the beat and that uses modern resources to also tackle minor crimes and violations. * rapidly introducing effective investigation methods and more police patrols to prevent increasingly frequent domestic break-ins. * offsetting burdens placed on the police by large disaster areas and large-scale deployments, such as football matches or protests. This must not be detrimental to local police presence. * strengthening of the State Protection Office (Verfassungsschutz) as an "early warning system", in particular with regard to combating political extremism. * making sustained efforts to combat rising crime related to motorcycle gangs. * setting up a centre of expertise on internet and cyber crime, with the appropriate level of connectivity between all relevant institutions. * enhancing resources for the judiciary to ensure faster procedures and thus more timely prosecution. The Bremervörde prison opened in January 2013, and its success has met all the expectations that we outlined in our previous manifesto. I consider the public-private partnership (PPP) principle – used here for the first time for a prison in Lower Saxony – to have been well implemented, and call on the Bundesland government to carry out a fair audit, together with an assessment of other areas where the Bundesland might sensibly use PPP. XV. More cultural diversity and tourism in the Elbe-Weser region In the era of globalisation, it is more important than ever to preserve and strengthen our region's cultural landscape. Strengthening our region's unmistakeable hallmarks – our cultural heritage, varied history, hospitality, high degree of civic engagement, and strong cultural life – is, and will remain, an important goal. As well as conserving and promoting the Low German language, I would like to see more promotion of the various local cultural attractions that have been brought to life both due to investment from the Bundesland (e.g. the artists' colonies of Fischerhude and Worpswede) and thanks to extensive volunteer efforts. In my view, therefore, it is important that culture is seen and organised even more strongly as a network than has previously been the case, to ensure that cultural offerings are clearer and thus have more of an impact. In the field of tourism, combining structures and offerings – which I have always supported – has already produced many good results. In this domain, too, various forms of volunteering have enabled cultural offerings to have much more of an external effect; initiatives involving several counties, such as the Osteland Association (Arbeitsgemeinschaft Osteland), are exemplary and will continue to have my support in future. Tourist resources that have been successfully established at county level, such as the "North Paths" ("Nordpfade") in Rotenburg county, should be scrutinised in collaboration with the county tourist boards with a view to rolling them out across the whole Elbe-Weser region. Cycle tourism is developing in a very positive direction and is increasingly attractive to holidaymakers. The Elbe and Weser cycle path must be maintained and further developed. Good quality cycle paths are attractive for everyone and provide added value for our region. XVI. Europe, Germany and the Elbe-Weser region Together with chancellors Adenauer and Kohl, the CDU managed to unify our country and to integrate Europe – in the face of resistance from our political competitors. We are proud of this fact. I wholeheartedly support the task of bringing about internal German unity – a task that continues, 25 years on – especially as unity has given all Germans tremendous opportunities. Economic and cultural ties in the new German bundesländer have also strengthened our region. Chancellor Angela Merkel's involvement should be rated particularly highly in this regard. Businesses are being encouraged to set up in all regions. When supporting the economy, therefore, the main question can no longer be whether an area or project to be supported is in a particular region – the east or the west – but rather whether the social and economic data shows that support is required. By making this call, we are in line with the federal and Bundesland governments. However, joint decisions must also be supported and implemented by all. I have always been in favour of European integration. The European Union, which has grown to 28 Member States, offers us huge opportunities for our economic development. Peace, the rule of law, democracy, social justice and a market economy are now firmly established in all European countries. However, European integration must not infringe on the principle of subsidiarity: the only questions that should be decided in Brussels and Strasbourg are ones that cannot be adequately solved at lower levels. As an MEP, I am in favour of us being actively involved in and having an influence on framing European concerns. EU structural funding has been of considerable benefit to the Elbe-Weser region. In the 20072013 EU funding period, a total of EUR 1.2 billion was invested in the former district of Lüneburg. This funding helped to carry out numerous projects and create jobs in the region. The necessary infrastructure projects that led to Siemens siting a plant in Cuxhaven could only be carried out thanks to EU funding and its consistent application by the CDU-led Bundesland government. I successfully made efforts to ensure that these subsidies were only used for projects that would generate sustainable economic growth. Innovative measures and projects were developed and financed so that new, future-proof jobs could be created. Moreover, research and infrastructure was promoted and our rural areas developed. Since our Elbe-Weser region in particular has experienced excellent economic development in recent years, the former district of Lüneburg will no longer be an "Objective 1 region" for current EU funding. Nonetheless, I am strongly committed to generating more sustainable economic development in the 2014-2020 period. The German armed forces not only guarantee peace and freedom for us all, but also make a substantial contribution to stability in conflict zones by participating in international deployments. Many soldiers from the Elbe-Weser region have been and are involved in these operations. They have society's full backing and appreciation. The armed forces bases – for example in Seedorf, Nordholz and Garlstedt – must be equipped (by means of investments in human and material resources) so that the important tasks set by politics and society are also able to be fulfilled. The Elbe-Weser region will play an important role in Germany and Europe if we make use of our regional advantages and fully participate in the tasks at hand. In this sense, the CDU sees itself as the party of the Elbe-Weser region and will make every effort to attain these objectives. _____________
Freshwater Aquatic Microfauna: Australian Waterlife Dr. Robert Walsh Aquatic Micro-invertebrate Ecologist Australian Waterlife Dr. Robert Walsh AUSTRALIAN WATERLIFE 5 Nirranda Court Oakdowns TAS 7019 Australia Ph: (03) 6247-3637 International: +61-3-6247-3637 Email : email@example.com www.australianwaterlife.com.au Contents : Freshwater Microfauna : The Australian freshwater microfauna are typically comprised of four major groups of small, microscopic invertebrate animals: the rotifers, ostracods, copepods and cladocerans. The rotifers constitute a phylum found almost exclusively in freshwaters and are not included this preamble. The ostracods, copepods and cladocerans are groups of the large sub-phylum Crustacea. The ostracods are a Class with 6 super Families and approximately 100 species known from Australian inland waters. Copepods constitute a Class which is widespread in both freshwater and marine environments. There are three Orders: the Calanoida, the Cyclopoida and the Harpacticoida. Cladocerans constitute 8 Families and are a group of small animals living primarily in freshwater environments. All of these major groups have species adapted to pelagic (open water), or littoral (shallows, vegetated), and benthic (bottom) environments. Together the aquatic microfauna may collectively number in the 1000s per litre of water, or in the millions per square metre of the benthos. These microcrustacea are an important group as they link all of the major components of the aquatic food web together. Many copepods and all cladocerans in Australia are herbivorous consuming algae, and provide a food source for larval, juvenile fish and small fish species, plus aquatic birds. Many Cladocerans may also consume detritus and bacteria. Many cyclopoids are predatory feeding on insect larvae (eg Mosquitoes), and some may even prey on fish larvae (eg Carp). In south east Asia and Africa they have even been used in malaria control. Carnivorous ostracods are known to predate on amphibian eggs with a mortality rate of more than 90%. Freshwater microfauna are an important subject for freshwater toxicology and for understanding the environmental effects of human activities on lakes and wetlands. Filter-feeding cladocerans are among a few known animals that can clear pollutioncaused algal blooms in lakes. Moreover, cladocerans are a critical part of freshwater ecosystems, as most larger freshwater organisms depend directly on them as a significant source of food. In Europe and the USA, changes in species composition and abundance of cladocerans have been used as bio-indicators for watershed deliveries, climate and atmosphere changes, eutrophication and acidification of water bodies. In Australia, studies have shown a link between changes in cladoceran assemblages in billabongs, and the European settlement in the Murray Darling Basin. To-date the use of these animal groups in aquatic ecological studies in Australia has been overlooked for a variety of reasons. To put it briefly, the aquatic microfauna are arguably the most important link in the aquatic food web. As a group they link all the components in the food web, living and non-living together. Copepoda : Calanoida : In Australian inland waters there are 2 Families, the Centropagidae with 4 genera and with 41 species found across the country, and the Diaptomidae occurring in northern Australia with 1 genus and 2 species. The pictures below are typical of the copepod Centropagidae microfauna (e.g. Boeckella and Calamoecia). These taxa are found mainly in the open water environment of Australian inland waterways and standing bodies of water, such as reservoirs or lakes. The free-swimming copepods move through the water in jerky motions by moving their swimming legs. These small animals typically are herbivorous or omnivorous, feeding on algae, detritus and even bacteria. Typical body length is 700um-1.7mm. A few species are predatory, opportunistically attacking other copepods and cladocerans. The taxonomy of the Calanoida is based on the arrangement of the 5 th pair of legs in the males of the species. Copepods have a hard exoskeleton, many legs (used for swimming and gathering food), a segmented body, and jointed appendages. Although lacking compound eyes, they have a single simple eye in the middle of the head (sometimes it is only present in the larval stage); this simple eye can only differentiate between light and dark. There are two pairs of antennae; one pair is long and one pair is short. Calanoids generally eat bacteria, diatoms, and other tiny, single-celled organisms in the water. Some are predacious eating rotifers and other small micro-fauna. They are important in our waters as this group of animals provide a link between the bacterial decomposition pathway and the food web present in our waters. They are the main food source of many macroinvertebrates, juvenile and small fish species. Copepoda : Cyclopoida : There are currently 18 Genera of Cyclopoids found within Australian inland waters with approximately 120 different species. Each species with their own ecology and environmental preferences. Many are voracious predators with some even noted for attacking fish larvae. As predators cyclopoids may have a substantial impact on their prey, for example Mesocyclops sp. may crop >25% of its prey population per day. The above two pictures are typical of the cyclopoid microfauna found in many inland waters and associated water ways. These animals are typically found in the littoral zone of inland waters and are quite voracious predators. Some taxa have even been recorded attacking and killing fish larvae (eg Carp). In one study nearly 90% of the fish larvae were removed by cyclopoid predation. The taxonomy of this group is based on the arrangement of the respective segments of the female 5 th pair of legs of the females. See the Pictures below. Typical body length is 600um -1.3mm. The above pictures are of the genus Mesocyclops. The level of microscopy required is shown in the second picture of the 5th pair of thoracic legs on which taxonomic identification is based on the arrangement of leg segments. There is no published key to the Australian Cyclopoida. All taxonomic identification is based on material gleamed from internationally published material. Cyclopoida : Macrocyclops sp This cyclopoid genus is the largest known from Australian inland waters. The picture below is of the genus Macrocyclops. There are two species of this genus currently identified from Australian waters. These two species are Macrocyclops albidus and Macrocyclops distinctus. Their distribution and abundance may be attributed to pH and temperature, but the effects vary with the species. In the benthic regions of lakes it is not uncommon to find copepod densities up to 70,000 individuals per metre squared. The level of microscopy required on which taxonomic identification of the Cyclopoida is based, is shown in the two pictures below of the 5th pair of thoracic legs. Macrocyclops spp. are quite large when fully mature, with reproductive adults 1.6-2.1mm in total body length. Specimens have been known to reach 3-4mm.This genus occurs largely within the littoral and benthic zone of ponds, wetlands etc. It is a voracious predator attacking not only rotifers, cladocerans, copepods but also the early stages of its own species. Such predatory cyclopoids are believed to be a primary factor in controlling the distribution and abundance of Rotifera. Cladocera : Cladocerans other-wise known as water fleas are small, often transparent animals, whose general shape and jerky swimming action accounts for their common name of "water fleas". Although abundant in nearly all waters they are often overlooked. A total of eight Families of Cladocera are known from Australian inland waters. These include the Sididae, Bosminidae, Chydoridae, Daphniidae, Ilyocryptidae, Macothricidae and Moinidae. Generally cladocerans are small in size with the greater majority of species being less than 1mm in total length. Cladocerans occur where ever there may be water; such as lakes, marshes, ponds, dams, pools, puddles, temporary waters, billabongs, cut-off river meanders, ox-bow lakes, wetlands, and even in sphagnum moss. Most species are sensitive to salinity. Typically the cladocerans are the most abundant of the micro-crustaceans within aquatic systems, reaching densities greater than 1 million animals per metre squared, with as many as 30 species being present. Whether a species occurs in a body of water depends upon: 2) Chemical and physical requirements of the species 1) Probability of colonization of the water body 3) Food conditions within the water 4) Predators living within the water Almost all members of the Families Chydoridae, Ilyocryptidae and the Macothricidae are benthic, living on and in various surfaces, particularly aquatic macrophytes, coarse plant debris, other organic debris and swim only very short distances. Most species of the remaining Families of cladocerans are primarily planktonic where their swimming lifestyle makes them independent of surfaces. Besides differing in habitat, planktonic and benthic cladocerans differ in ecological relationships. Therefore to say that everything learnt about Daphnia or Chydorus applies equally to all cladocerans is misleading and incorrect. Large planktonic species of cladocerans such as Daphnia appear to be most efficient in cleaning up water bodies made turbid by blue-green algae. The size and feeding rates of large Daphnia make them especially efficient at the clearing of water bodies of algae. Smaller cladocerans such as Bosmina and Ceriodaphnia , while less prone to predation by fish, invertebrates etc, are less efficient at clearing of algae from water bodies. Cladoceran significance in aquatic food webs has largely been ignored in Australia. This particularly true of the Chydoridae. Firstly taxonomic keys are often inaccessible, incomplete or inaccurate to species level for the average aquatic ecologist. Even at the Family level of taxonomic resolution, the Chydoridae have been confused with members of other Families (e.g. Bosminidae). Secondly as they commonly live in amongst aquatic vegetation and the benthos of inland waters, they do not appear in plankton samples, the common habitat sampled for aquatic micro-invertebrates; or their numbers are so low that they are regarded as unimportant. Aquatic vegetation and the benthos is routinely sampled for macro-invertebrates, however the chydorids are ignored as by-catch, or excluded due to the mesh size of the net (500um) misses the majority of species, and as the sampling is for macro-invertebrates, any chydorids present are regarded as contaminants, insignificant due to their small size, or under sampled, not identified or enumerated. However overseas studies has shown that they have high species richness and high densities, often being the most abundant animal taxa present. In Europe and the USA , where chydorid taxonomy and ecology is better known, chydorids are used as bio-indicators for climate change, eutrophication, and acidification of water bodies. Chydorids are just as sensitive to environmental conditions as Diatoms, and studies have shown that species composition of chydorid communities is dependent on the physicochemical conditions of a water body. Their body parts preserve well in sediments plus their ecology and community relationships are stable over time, thus making them useful for paleolimnological studies. Chydorids have radiated extensively within Australia, thus making them good bioindicators, as in a healthy water body, several species may co-exist in the same environment. Of all the cladocerans they possess the greatest degree of radiation, and in Australian inland waters the levels of selective pressures which may cause genetic divergence seem higher than elsewhere. This makes the Chydoridae ideal for studies on evolution and adaptive radiation. Much of the above discussion relating to the Chydoridae is true for most of the other taxonomic groups of Cladocera. Cladocera : Chydoridae : The Chydoridae are the most diverse cladoceran family with Australia and appears to have undergone adaptive radiation to suite environmental conditions. There are more than 30 different genera with more than 82 different species found across the country, with many endemic to particular regions. Australia has the largest number of species and highest level of endemicity in the world. The Chydoridae occur predominantly in the littoral region of vegetated water bodies in slow moving waterways, lakes, wetlands, billabongs, springs, temporary water, water holes throughout the country. They are also present in caves, underground waters and in bryophytes. Alona sp. Chydorus sp. Note the post abdominal foot …the shape of the indent at base of the tooth, the large spine at the base of the tooth, and the teeth on the foot. Some members of the Chydoridae live on the stems or stalks of aquatic vegetation, consuming the film of algal mucilage or Diatoms that may cover such plants. Others live within or just above the sediment, grazing on bacteria and/or detritus. The Chydoridae typically feed by crawling along surfaces or through the sediment where they scrape up or filter food. Between species there is great variation in diet. Most of the specialization of the Chydoridae seems to be in obtaining food from slightly different microhabitats. The greater majority of the Chydoridae are usually in the range of 300-600um, with few individuals or species larger than 700um (0.7mm) in total body length. Cladocera : Macrothricidae The Family Macrothricidae is one of the least studied groups of microcrustacea found within the littoral zone of inland waters. The Family has a global distribution and are believed to be the most primitive of the Cladocera. They typically are abundant in tropical and subtropical water bodies. Representatives of this family are often found in the temperate waters of southern Australia. The Macrothricidae occur predominantly in the benthic littoral region of vegetated water bodies in slow moving waterways, lakes, wetlands, billabongs, springs, temporary water, and water holes throughout the country. Macrothrix sp. There are 4 Genera within this Family, with approx 17 species belonging to the Genus Macrothrix found in Australian fresh waters. Macrothrix is a benthic dwelling genus, found in the littoral shallows of rivers, ponds, wetlands and lakes often amongst aquatic vegetation. Body size is often 0.4-0.8mm. They form an important part of the diet of small adults and juvenile stages of freshwater fish. Cladocera : Daphniidae: Daphnia is native to Australia, and inhabit large lakes as well as small temporary pools, and is found in the littoral zone of many inland waters, and often in the open waters of impoundments and wetlands. Daphnia sp. This genus has some 14 species and is quite widespread within Australian inland waters and often prevalent. Often when environmental conditions are right the genus may be present in quite large numbers. It is often the taxa present in waterways when organic enrichment i.e. algal blooms are present, with the population of a water body responding rapidly to algae blooms. Daphnia may be the largest of the aquatic microfauna, with individuals reaching 5mm in total body length. The Cladocera (e.g. Daphnia) are also referred to as water fleas. They are found in freshwater environments including swamps, lakes, ponds, streams and rivers. Most are filter feeders and ingest unicellular algae and similar small protists and bacteria. In the northern hemisphere this genus is often used in ecological and ecotoxicology studies. More is known about ecology of this particular genus than of all the other genera found in the Cladocera. Cladocera : Daphniidae Ceriodaphnia species are widespread throughout Australian inland waters. Once believed to be mono-specific, this is now known not to be the case, with up to half a dozen species believed to exist within Australia. Ceriodaphnia sp. Species determination within Australia is problematic as all the species so far recorded from Australia are believed to be new taxa and there is at this stage no taxonomic key to the genus. This genus is often encountered in samples from the littoral zone of water bodies. It may also be encountered within the open waters of large bodies of water if there are no or few predators. The diet of this taxa is believed to be algae. The maximum size of the genus is no more than 0.7mm with most individuals in the range 0.4- 0.55mm (400-550um). Here in Australia, this genus has been in the past been used in ecological and ecotoxicology studies. Ostracoda: Ostracods are crustaceans and are surrounded by a shell that has been secreted around them. They are quite widespread though out the continent and are found in all sorts of inland waters. They range in size from 0.4mm up to 5mm. Ostracods are the oldest known microfauna with fossils dating back to the Cambrian. The ostracods occupy a wide range of habitats and are found in nearly every sort of aquatic habitat. These range from temporary waters to permanent ponds, lakes, intermittent waters, ditches, irrigation canals, within underground aquifers, moist organic mats on forest floors and even in the cups of certain plants. Ostracods have a range of conditions each can survive in, including salinity, temperature, and acidity. Knowing these tolerance levels allows scientists to make estimates of past climates from collections of ostracods shells found in wetland sediments. Candonocypris sp. Cypretta sp. Ostracods are primarily benthic animals and are rarely found in the plankton of water bodies. Most forms are free-living . The species may have a swimming, clinging, climbing or burrowing life style. Because swimming is energetically demanding, most ostracods can only swim short distances. The greater majority of the ostracods are detritovores and herbivores. Their diet is restricted to algae and organic detritus. A few are known to be carnivorous. Some ostracod taxa are opportunistic predators and display foraging behaviour. For example, Australocypyris insularis may influence the structure of the aquatic microfaunal community in saline lakes. Other ostracod species have been observed to consume snails. Four species have been shown to consume amphibian eggs consuming up to 90% of the egg mass. Physical and chemical characteristics of the aquatic habitat are important factors in ostracod distribution and abundance. A high percentage of the ostracods are found only in bicarbonate rich water. Bicarbonate after being converted to carbonate is the prime constituent of the animals shell. Ostracods are typically identified taxonomically from adult specimens. There are approximately 200 species identified from Australia. Why include microfaunal community assessments in studies of environmental impacts and water quality? Aquatic microfauna are an extremely important link in the aquatic food web, serving both as consumers- of algae, bacteria, other microorganisms, plus larval macro-invertebrates and fish fry: - and as prey for larger animals such as macro-invertebrates, small fish species and the juvenile stages of larger species, and many water birds. Aquatic microfauna are an important part of the diet of birds. For example the diet of swans consists mainly of aquatic vegetation, however they are also insectivores as young swans (cygnets). In particular, cygnets need a protein rich diet, consuming small crustaceans and insects as their main source of food. Similarly ducks and geese also consume a wide variety of aquatic plant material, plus associated microcrustaceans. Therefore the presence or absence of microcustacean species in a water body may provide us with useful ecological information. In addition the inclusion of aquatic microfaunal community analysis can help provide a more thorough understanding of water quality. In some inland waters, the relative abundance of microfaunal species or types can be used as an indicator of water quality. Some species are limited by physicochemical variables, such as oxygen, temperature, pH or salinity. Microfauna are also affected by competition between species, predation by other species, and food availability. The microfaunal species composition in a particular consistent water body usually remains somewhat stable over time, and the sudden appearance of new species or disappearance of existing species may indicate a change in water quality due to toxic substances, eutrophication, or imbalance between piscivorous and planktivorous fish; or as in the case of large or deep reservoirs, due to a flushing event or a turn–over event following thermal/chemical stratification. In temporary water bodies or those subject to wide fluctuation in water levels, the changes in temperature, nutrients, ionic content, ph and the underwater light regime influence on aquatic plants and algae, may also influence microfaunal species type and number of individuals per species that may be present in the water body at a given point in time. Therefore a routine monitoring program involving the aquatic microfauna, utilizing proper scientific sampling techniques is recommended. There are different methods used to sample particular habitats and in sampling for Rotifera and Microcrustacea. Continuous, long-term monitoring of microfauna community structure are useful in detecting patterns and changes in species composition, these in turn may be related to changes in water quality. A routine monitoring program also helps to separate the ordinary effects of seasonal changes upon the microfaunal community from changes caused by other factors. In short the aquatic microfauna are arguably the most important link in the aquatic food web. As a group they link all the components in the aquatic food web together.
Tell-E-Gram Text Only Version, June 9, 2017 POA Meetings and Events (red denotes irregularity of time, day, and/or location) - June 15, 9 a.m., ACC, POA Conference Room - June 16, 9 a.m., Finance Advisory Committee, POA Conference Room - June 19, 5 p.m., Dock Captains, Chota Rec Center - June 20, 3 p.m., Golf, POA Conference Room - June 21, 1:30 p.m., POA Board Meeting, Yacht Club Tellico Village POA Water Quality Report 2016 Is my drinking water safe? Yes, our water meets all of EPA's health standards. We have conducted numerous tests for over 80 contaminants that may be in drinking water. As you'll see in the chart on the back, we only detected 13 of these contaminants. We found all of these contaminants at safe levels. What is the source of my water? Your water which is surface water serving the Kahite neighborhood, in Monroe County, and the Mialaquo and Chatuga neighborhoods, in Loudon County comes from Tellico Lake and is supplied by Tellico Area Service System (TASS). The remainder of Tellico Village is served by surface water from Loudon Utilities which comes from Watts Bar Lake (Tennessee River) and Piney Spring. Our goal is to protect our water from contaminants and we are working with the State to determine the vulnerability of our water source to potential contamination. The Tennessee Department of Environment and Conservation (TDEC) has prepared a Source Water Assessment Program (SWAP) Report for the untreated water sources serving this water system. The SWAP Report assesses the susceptibility of untreated water sources to potential contamination. To ensure safe drinking water, all public water systems treat and routinely test their water. Water sources have been rated as reasonably susceptible, moderately susceptible or slightly susceptible based on geologic factors and human activities in the vicinity of the water source. The Tellico Village POA sources are rated as reasonably susceptible to potential contamination. An explanation of Tennessee's Source Water Assessment Program, the Source Water Assessment summaries, susceptibility scorings and the overall TDEC report to EPA can be viewed online at https://www.tn.gov/environment/article/wr-wq-source-water-assessment or you may contact the Water System to obtain copies of specific assessments. Why are there contaminants in my water? Drinking water, including bottled water, may reasonably be expected to contain at least small amounts of some contaminants. The presence of contaminants does not necessarily indicate that water poses a health risk. More information about contaminants and potential health effects can be obtained by calling the Environmental Protection Agency's Safe Drinking Water Hotline (800-426-4791). Este informe contiene información muy importante. Tradúscalo o hable con alguien que lo entienda bien. For more information about your drinking water, please call public works Director Jeff Gagley or public works Manager Glen Quillen at 865-458-4522. How can I get involved? Our Public Service advisory Committee meets at 9 a.m. the first Wednesday of each month, : feel free to participate in these meetings. The meetings are held in the POA Conference room at 112 Chota Center. Is our water system meeting other rules that govern our operations? The State and EPA require us to test and report on our water on a regular basis to ensure its safety. We have met all of these requirements. Results of unregulated contaminant analysis are available upon request. We want you to know that we pay attention to all the rules. Other Information Contaminants that may be present in source water: The sources of drinking water (both tap water and bottled water) include rivers, lakes, streams, ponds, reservoirs, springs, and wells. As water travels over the surface of the land or through the ground, it dissolves naturally-occurring minerals and, in some cases, radioactive material, and can pick up substances resulting from the presence of animals or from human activity. * Microbial contaminants, such as viruses and bacteria, which may come from sewage treatment plants, septic systems, agricultural livestock operations, and wildlife. * Pesticides and herbicides, which may come from a variety of sources such as agriculture, urban stormwater runoff, and residential uses. * Inorganic contaminants, such as salts and metals, which can be naturally-occurring or result from urban stormwater runoff, industrial, or domestic wastewater discharges, oil and gas production, mining, or farming. * Organic chemical contaminants, including synthetic and volatile organic chemicals, which are byproducts of industrial processes and petroleum production, and can also come from gas stations, urban stormwater runoff, and septic systems. In order to ensure that tap water is safe to drink, EPA and the Tennessee Department of Environment and Conservation prescribe regulations which limit the amount of certain contaminants in water provided by public water systems. Name of Water System's water treatment processes are designed to reduce any such substances to levels well below any health concern. FDA regulations establish limits for contaminants in bottled water which must provide the same protection for public health. * Radioactive contaminants, which can be naturally-occurring or be the result of oil and gas production and mining activities. Do I Need To Take Special Precautions? Some people may be more vulnerable to contaminants in drinking water than the general population. Immuno-compromised persons such as persons with cancer undergoing chemotherapy, persons who have under-gone organ transplants, people with HIV/AIDS or other immune system disorders, some elderly, and infants can be particularly at risk from infections. These people should seek advice about not only their drinking water, but food preparation, personal hygiene, and precautions in handling infants and pets from their health care providers. EPA/CDC guidelines on appropriate means to lessen the risk of infection by Cryptosporidium and other microbiological contaminants are available from the Safe Drinking Water Hotline (800-426-4791). Lead in Drinking Water If present, elevated levels of lead can cause serious health problems, especially for pregnant women and young children. Lead in drinking water is primarily from materials and components associated with service lines and home plumbing. Tellico Village POA is responsible for providing high quality drinking water, but cannot control the variety of materials used in plumbing components. When your water has been sitting for several hours, you can minimize the potential for lead exposure by flushing your tap for 30 seconds to 2 minutes before using water for drinking or cooking. If you are concerned about lead in your water, you may wish to have your water tested. Information on lead in drinking water, testing methods, and steps you can take to minimize exposure is available from the Safe Drinking Water Hotline or at http://www.epa.gov/lead/protect-yourfamily%23w at er%23water Water System Security Following the events of September 2001, we realize that our customers are concerned about the security of their drinking water. We urge the public to report any suspicious activities at any utility facilities, including treatment plants, pumping stations, tanks, fire hydrants, etc. to 865-458-4522. Think before you flush! Flushing unused or expired medicines can be harmful to your drinking water. Properly disposing of unused or expired medication helps protect you and the environment. Keep medications out of Tennessee's waterways by disposing in one of our permanent pharmaceutical take back bins. There are nearly 100 take back bins located across the state, to find a convenient location please visit: https://www.tn.gov/ environment/article/sp-unwanted-pharmaceuticals The table may include terms and abbreviations with which you might not be familiar. To help you better understand these terms, we've provided the following definitions: Non-Detects (ND) - laboratory analysis indicates the constituents are not present. - Parts per billion (ppb) or Micrograms per liter - one part per billion corresponds to one minute in 2,000 years or to a single penny in $10,000,000. - Parts per million (ppm) or Milligrams per liter (mgll) - one part per million corresponds to one minute in two years or a single penny in $10,000. - Parts per trillion (ppt) or Nonograms per liter (nonograms/l) - one part per trillion corresponds to one minute in 2,000,000 years or a single penny in $10,000,000,000. - Millirems per year (mrem/yr) - measure of radiation absorbed by the body. - Picocuries per liter (pCiIL) - picocuries per liter is a measure of the radioactivity in water. - Million Fibers per Liter (MFL) - million fibers per liter is a measure of the presence of asbestos fibers that are no longer than 10 micrometers. - Parts per quadrillion (ppq) or Picograms per liter (picograms/l) - one part per quadrillion corresponds to one minute in 2,000,000,000 years or one penny in $10,000,000,000,000. - Nephelometric Turbidity Unit (NTU) - nephelpmetric turbidity is a measure of the clarity of water. Turbidity in excess of 5NTU is just noticeable to the average person. - Action Level - the concentration of a contaminant that, if exceeded, triggers treatment or other requirements a water system must follow. - Maximum Contaminant Level - The "Maximum Allowed" (MCL) is the highest level of a contaminant allowed in drinking water. MCLs are set as close to the MCLGs as feasible using the best available treatment technology. - Treatment Technique (TT) - A treatment technique is a required process intended to reduce the level of a contaminant in drinking water. - Maximum Contaminant Level Goal - The "Goal" (MCLG) is the level of a contaminant in drinking water below which there is no known or expected risk to health. MCLGs allow for a margin of safety. - Haa5 – Haloacetic Acid – By-products of chlorination Board Workshop Now on TVB! Did you miss the Board Workshop? Tellico Village Broadcasting recorded the entire meeting and it is now available to view! Click this link: https://vimeo.com/220724429. It's also available on www.tellicovillagebroadcasting.org or Spectrum Channel 193. Public Services Advisory Committee Highlights A detailed financial update was given - repairs/maintenance continue to be a large discussion point. Pool heaters went into the Wellness Center pool and work on the Chota pool is finishing up. Docks are filling up. We continue to have trouble with folks not putting spring lines onto their boats and it's damaging the docks. Brush pickup is on schedule, mowing is a couple of days behind because of the weather. Working on sign project – goal to complete that by the end of June. Working on crack seal of the Village. Project updates were given on the following: Kahite Lift Station Control Panel, Booster Pump at Wellness Center, Paving Chota/Seqouyah Rd. and parking lots, Water Pressure Monitoring. Public Works is also working on going through their vendor list and updating it. Tellico Village 30th Dinner Celebration Join us as we celebrate Tellico Village turning 30! We will be having a dinner celebration on August 24th. Tickets are now available to purchase at the Welcome Center. We have 225 tickets available for purchase at $35 per ticket. There will be tables of 10 and if you would like to sit with a group, those tickets need to be purchased together. Along with dinner, there will also be music and a guest speaker. For more information, email Lisa McCray at firstname.lastname@example.org The menu will be as follows: - Pan seared chicken breast, served with roasted fingerling potatoes & grilled white asparagus OR Grilled Bistro Steak, served with roasted fingerling potatoes & grilled white asparagus - House Salad with choice of dressing - Chocolate Lovin' Cake, a giant mouthful of chocolate pudding between two layers of dark, moist chocolate drenched chocolate cake. Tellico Village Recreation on TV! Recreation Director, Simon Bradbury, and fitness instructor, Missy Kane, were recently featured on WBIR. They discussed the trails within Tellico Village and various recreational activities. Tellico Village was described as a hidden gem! If you'd like to view this, please click the link: http://www.wbir.com/life/fit-and-fun-adventures-4/446185083 THE WELLNESS CENTER POOL HAS HEATERS! Frank says come on in, the water is great! The pool heaters have been replaced and are operational. Classes resume with Nelda's co-ed fitness class Friday at 5 p.m. Cake and refreshments will begin mid-morning on Monday. Some Other Stuff You Need to Know… Muddy Boots Hike June 12 Date: Monday, June 12th - BALD RIVER FALLS Depart: Chota Center Parking Lot in front of Lakeside Realty (across from the gas station) Time: 8 a.m. departure Driving Time from Chota Center: about 1 hour Length of Hike: 5 miles (2.5 miles, turn around return 2.5 miles) Hike Leaders: Susan & Tony Licato Rating: Susan rates the hike as overall Easy but Moderate for the 1st half-mile which consists of switchbacks going up the mountain, along the side of the falls. The inclines are not too steep but rocky and the path is somewhat narrow. Once you get through this doable challenge, the path is easy-pesy and beautiful! Bring: snacks, water, hiking boots & poles, bag lunch, picnic blanket or folding chairs to picnic near the trailhead after the hike. Bring: snacks, water, hiking boots & poles, bag lunch, picnic blanket or folding chairs to picnic near the trailhead after the hike. For more information, contact Kathleen Dooley at email@example.com HOA Social June 13 The HOA Social is June 13th at 5 p.m. at the Yacht Club. Sign up for community events. Stay for dinner with the group at the Yacht Club, if you choose. For more information visit: www.hoatellicovillage.com Tellico Village Fishing Club Meeting June 14 The Tellico Village Fishing Club will meet at 7 p.m. on Wednesday, June 14 on the top floor of the Yacht Club. The Club promotes fellowship, learning fishing techniques and knowledge of local lakes, as well as presentations by various speakers on topics related to fishing in the area. Guests are welcome. For further information, please contact 2017 President Chip Young at 614562-9310 or firstname.lastname@example.org Tellico Cruising Club June 15 - date change The Tellico Cruising Club will hold it's monthly meeting on June 15th (instead of June 14th) at the Tellico Village Yacht Club. The social hour begins at 5PM with the meeting starting promptly at 6 p.m. All Tellico Lake boaters are welcome. Any questions should be directed to Commander Tom Morgan 865-657-9380. Soggy Bottom Cookout and Paddle June 15 The annual Soggy Bottom Kayak and Hot Dog Cookout will be on Thursday June 15th at 4 PM until ??? at Bob & Georgia Filip's shoreline in the Toqua neighborhood. Getting in and out of your kayaks will be easy as they have a gentle sloping sand beach and plenty of shade in the yard. This paddle will take us from our departure point of Clear Creek Boat Ramp and follow the shoreline along the Toqua Golf Course and the Toqua neighborhood as we head eastward. We will leave Clear Creek at 4 p.m. and paddle 1 1/4 miles to Bob and Georgia's home. More ambitious paddlers can continue along the shoreline to view the scenery and attractive homes. If you prefer to cool off, bring a noddle and relax in the water. We would like everyone to gather at Bob and Georgia's home by 5:30 p.m. so the feast of hot dogs, chips, and beverages can begin (beverages will be provided). To help defray the cost of the food and beverages, each kayaker is asked to contribute $7 to the cookout. If you are planning to attend, please contact Bob Filip at 865-224-4967 or email@example.com so there can be plenty of food and drinks for everyone. As in the past, non-kayaking spouses and significant others are encouraged to join us at Bob and Georgia's home. Hope to see you at this fun event. Tellico Village Roadrunners RV Club General Meeting June 20 Tellico Village Roadrunners RV Club general meeting will be June 20th on the top floor of the Yacht Club. The social hour begins at 7:00PM and the meeting begins at 7:30. Visitors are welcome. There will be an introduction of new members, highlights of prior and future rallies. For more information go to www.tellicoroadrunnersrvclub.org Hike the East Lakeshore Trail on June 20 Join us on Tuesday June 20 when we will hike 3 miles of the miles of the Canal Branch of the East Lakeshore Trail. We will gather at the Poplar Springs Boat Ramp parking lot at 9:00 AM, where we will car pool to the trail head. The East Lakeshore Trails are just across the lake and are one of the most beautiful and accessible hiking trails in East Tennessee and have been designated as National Recreation Trails by the Department of the Interior. If you would like to become more familiar with these trails and/or would just like to take a short 2-3 mile hike, then come join us on the 3rd Tuesday of every month. All of the monthly hikes should finish no later than 11:30 AM. Your hike leaders will be Larry Elder and Jon Foreman. For additional information feel free to contact: Larry: firstname.lastname@example.org / 865-657-9722 or Jon: email@example.com /412-337-5500 Amateur Radio Club June 21 The Tellico Lake Amateur Radio Club meets on the third Wednesday of each month at the Tellico Village Chota Rec Center. At the June 21 meeting, plans will be finalized for the club's participation in the American Radio Relay League's Field Day, to be held on Saturday/Sunday June 24-25 in Philadelphia, TN. Field Day is practice for emergencies, an informal contest, a picnic, and most of all, fun. All hams and wannabe hams are welcome to attend. For more information contact Brad Berger at 865-657-3456 July 2nd Buffet Doors open at 6 p.m. for the July 2nd Buffet at the Yacht Club! Purchase your tickets at the Yacht Club for $22 per person. Hotdogs, hamburgers, grilled corn, and much more will be available to eat! Singers/actors needed for musical comedy Honky Tonk Angels; auditions set for June 21, 22, 25 Auditions for the Tellico Community Players' October production of Ted Swindley's musical comedy, The Honky Tonk Angels will be held at the Tellico Community Playhouse (304 Lakeside Plaza, Loudon) at 6:30 p.m., Wednesday, June 21 and Thursday, June 22, and at 1:30 p.m., Sunday, June 25 Play dates are October 12-14 and 19-22. The roles: fiercely independent. She identifies with "Roseanne," an earth-mother comedienne. - Angela - A Texas housewife, middle aged. She has a great sense of humor and is - Darlene- A woman from the deep South, youngest of the trio. She is pretty, sweet, and simple a young woman who grew up in a coal mining town in West Virginia and the Mississippi Delta. Note: The script calls for her to play simple guitar (can be pantomimed), and also to clog (mountain version of tap dancing). - Sue Ellen- A Los Angeles career woman, middle aged. She is a "citified" country girl… smart, very attractive, sexy, and frustrated. She should be a capable dancer and clogger. The plot has these three gusty gals who are determined to better their lives and follow their dreams to Music City, USA. Swindley, who created ALWAY S … PATSY CLINE, combines over 30 classic country hits in the production, including "I'll Fly Away," "Stand by Your Man," "9 to 5," "These Boots Were Made for Walking", and "I Will Always Love You." Wendel Werner is music director for the show. CONTACT INFO: Directors Debbie Mayberry and Dennis Loy advise potential performers to "please prepare your best 16 bars of a honky-tonk style song. Recorded accompaniment or a cappella is suggested. Choose your own song or from one of the songs listed above in the plot synopsis. Bring a recent photo or head shot. Cold reading from the script. Be prepared to provide rehearsal conflicts. Everyone will be asked to audition for dance and movement. Please wear suitable clothing and bring proper shoes." Comedy The Savannah Sipping Society opens July 13 at Tellico Playhouse Debbie Mayberry, Director - firstname.lastname@example.org Dennis Loy, Director - email@example.com Wendel Werner, Music Director - firstname.lastname@example.org The Tellico Community Players July production is the laugh-a-minute comedy Savannah Sipping Society. The cast has been selected and the play will run will run Thursday-Saturday, July 13-15 and 20-22, with a matinee on Sunday, July 23 -- at the Tellico Community Playhouse, 304 Lakeside Plaza, Loudon. Reserved seats at $21 are available on the website www.tellicocommunityplayhouse.org beginning Monday, June 12th. The play is sponsored by The Cagle Cross Group of Merrill Lynch. The Cagle Cross Group is located at 800 S. Gay Street, Suite 2200, Knoxville. Opening night tickets will also include wine and cheese before the show, beginning at 6:15 p.m,. The Savannah Sipping Society was written by Jessie Jones, Nicholas Hope and Jamie Wooten, authors who specialize in comedies with Southern charm and strong female characters, including of the highly successful Red Velvet Cake Wars. A delightful production, The Savannah Sipping Society, centers around four unique Southern women who are all stuck in a rut. Drawn together by fate - and an unplanned happy hour - the ladies decide that now's the time to reclaim that passion for life that's faded over the years. Over the course of six months that are filled with misadventures and the occasional liquid refreshment, these middle-aged women form a bond and find the confidence to kick-start their new lives. Veteran actor and director Len Willis is directing The Savannah Sipping Society. Producer is Ted Taylor. "The Veteran Next Door" is a new TV series from Tellico Village Broadcasting Frequently, those who served our nation are our next door neighbors, yet many of us don't know their stories, or even the fact they served. The new Tellico Village Broadcasting series will change that lack of knowledge for residents of Tellico Village through its new series "The Veteran Next Door." The objective of the series is to tell the stories of veterans of foreign wars who live within Tellico Village. The premiere episode of "The Veteran Next Door", features Hilary (Ozzy) Osborn WWII second Lieutenant and glider pilot. Ozzy tells us details that only someone who has lived through historic events can relate, such as where was he when he learned the Japanese had bombed Pearl Harbor. Ozzy shares with us an intimate look of events that took place more than 70 years ago to a twenty-year-old young man from Nashville, Tennessee. Residents in Tellico Village can view this episode of The Veteran Next Door at on Spectrum Channel 193 at 9:00 am and 5:00 pm. It can also be viewed online at: https://vimeo.com/219165125 TELLICO VILLAGE JUNIOR GOLF CAMP JULY 10-14 TOQUA GOLF CLUB Tellico Village Junior Golf Camp is right around the corner! Don't let the kids miss out on what is lining up to be one of our best Junior Camps yet! This year's Junior Camp will be $175 and will include the following: - Titleist alignment rods - 5 hours of PGA Professional Instruction - Tellico Village logo Golf Cap - T-shirts - Golf Balls - Tee Gifts - Range balls after 3 PM - Rules of Golf - Play on the course after 3 PM - Lunch on Friday - Prizes - Awards Ceremony - Session 1 --- 8:00 am - 9:15 am We want the kids to have a blast during Junior Camp while learning various golf skills. What better way to have fun than to get the chance to make your instructor go for a swim in the DUNK TANK? We will have 3 sessions to choose from: - Session 2 --- 9:30 am - 10:45 am (Rec Center) To enter your child, grandchild, friend, etc. please visit the Toqua Golf Shop to fill out the registration form. Feel free to contact any of our Golf Professionals with any questions! We are filling up fast so don't miss the chance to enter! - Session 3 --- 11:00 am - 12:15 pm California Club Annual Picnic! It's that time of year again to call all Californians to the beach…the beach at Tugaloo Pavilion!! The 2017 annual California Club Picnic will be Thursday, June 15 th from 5 – 8 p.m. at Tugaloo Pavilion. Please bring a salad, appetizer, side dish or dessert to share. Please bring your own beverages, we will provide ice and cups. A BBQ grill will be available on site for grilling items of your own choice so BYOM (Bring Your Own Meat)! The Club will provide plates, napkins, silverware, cups, and ice…as well as lots of fun! Please wear your name tag. We will have door prizes, trivia games, and lawn activities for your enjoyment! Please RSVP to Rory Smith at email@example.com no later than June 13 th ! Coming Up in Tellico Village University Presentation: The Edward Jones Sponsored Lecture: "The Cherokee of Yesterday and Today: Religion, Villages, History, and Social Structure" Date: Monday, June 12 Time/Location: 2 – 4 p.m. at the Yacht Club Native Cherokee historian and storyteller Freeman Owle will be here to share his stories of the Cherokee culture that was here before we arrived. Please arrive 10-15 minutes early to be seated as this is a full house event. If you are registered and cannot attend, please submit a cancellation notice through the TVU website at www.tvuniversity.org "Contact Us" page. By doing this, it will allow someone on our waiting list to be seated. Walk-ins will be seated based upon seating availability. Martin Luther Lecture Series The Martin Luther Lecture Series is as follows: Rossing of Christ the King Lutheran Church in Dalton, GA; Saturday, July 8 -"Lutheran/Catholic Dialog", presented by Bishop H. Julian Gordy, ELCA Southwestern Synod and Father Doug Owens, St. Thomas Catholic Church. The final presentation will be on Saturday, August 12 on "Luther, the Musician", presented by Dr. Carl F. Schalk, Professor of Church Music Emeritus at Concordia University in Chicago. This lecture series will be held at Shepherd of the Lake Lutheran Church, 143 Chota Center at 4 PM. The July 8 dialog will be held at St. Thomas Catholic Church in Lenoir City. Call the Shepherd of the Lake church office at 865-816-4756 for more information. Following dates are Saturday, June 17 - "Luther the Theologian", presented by Rev. John Pets of the Week: Arabella, Astoria, and Tex Arabella is a 2 year old Siamese mix with cream/brown fur and soft blue eyes. She is energetic and loves attention and is not shy at all. Arabella is even more beautiful in person. Astoria is a black and white domestic shorthair with green eyes and a very distinctive white moustache perfectly placed. Astoria is 1 year old. She is very sweet and loving. Looking for a formal cat? Look no further. Tex is 1 year old domestic short hair with green eyes and wearing his formal tuxedo. Tex was surrendered to the shelter when his owners lost their home. This affectional boy is looking for a new loving family. Please remember their personality may not show through immediately in the shelter environment. Their condo is now their "safe place" and some struggle a bit when removed from it. That, by no means, does NOT mean they aren't sweet, loving lap cats. It means they are uncomfortable or scared. Take the time to meet each cat. Pet the cats while they are still in their condo and let them get used to you for a few moments before you pick him/her up. Once you get them home and they feel secure, all will be well. All animals adopted are spayed or neutered, have age appropriate vaccinations and testing, and are microchipped (with registration). Cats are litter box trained. $40 adoption fee. Monroe County Animal Shelter is always in need over more volunteers. If you are interested in helping the shelter and the animals, please reach out to the shelter during business hours. Calling Cat Fosters: The shelter needs you…we are looking for kitten foster homes. As a foster home, you can choose to foster kittens that need to be bottle fed, or a little older kittens that need to grow up enough (3-4 weeks) so they can be spayed/neutered and be adopted or maybe just un-socialized kittens that have not had any or minimal human contact-they just need some TLC so they can be adopted. Please call the shelter for additional information. The Monroe County Animal Shelter is located at 170 Kefauver Lane in Madisonville (behind WalMart). Please note new hours: Tuesday-Friday from 11-4:30 and Saturdays from 11-2. The shelter is closed to the public on Sunday and Monday. Call 423-442-1015 and check out all available pets on our web site at www.friendsofanimalsmc.org TN Monroe County Animal Shelter is the official Facebook page for the Monroe County Animal Shelter. Adoption Gift Certificates available all year.
CAAC LETTER 2018-03 May 3, 2018 MEMORANDUM FOR CIVILIAN AGENCIES FROM: WILLIAM CLARK CHAIR CIVILIAN AGENCY ACQUISITION COUNCIL (CAAC) SUBJECT: Class Deviation from the Federal Acquisition Regulation (FAR) to increase the threshold for requiring certified cost or pricing data. This CAAC letter is being issued to serve as consultation in accordance with FAR 1.404 authorizing agencies to issue a class deviation to implement a section of the National Defense Authorization Act for Fiscal Year 2018 to increase the threshold for requiring certified cost or pricing data. The objective of the statute and this deviation is to implement Section 811 of the National Defense Authorization Act for Fiscal Year 2018 (FY 18 NDAA) which amends 10 U.S.C. 2306a and 41 U.S.C. 3502 to increase the threshold for certified cost or pricing data. This increase raises the threshold for requiring Certified Cost or Pricing Data from $750,000 to $2,000,000. It is important to note that under the same U.S. Codes cited above, contracts entered into on or before June 30, 2018 are excluded from this threshold increase. Also, contractors for those contracts can request to modify such contracts, without consideration, to use the new threshold. The Department of Defense, the General Services Administration, and the National Aeronautics and Space Administration have undertaken rulemaking to formally incorporate the threshold increase concerning cost and pricing data into the FAR. The attached FAR text identifies the additions and deletions anticipated to implement Section 811 of the FY18 NDAA concerning these thresholds. These rulemaking changes will be published in the Federal Register. Pending publication of the amendment to the FAR via FAR Case 2018-005, agencies may authorize a class deviation to implement the threshold change in the statute. (See Attachment). The attachment also contains excerpts highlighting the effect of the statute and this deviation on FAR clauses 52.230-1 through 52.230-5 and FAR parts 30.201-4(b), 42.709-O(b), and 42.709-6. This CAAC letter constitutes consultation with the Chair of the CAAC required by FAR 1.404(a)(1). Once processed, agencies are requested to share the deviation widely among their workforces to ensure full awareness of and compliance with Section 811 of FY18 NDAA concerning this threshold change. It is recommended that the deviation be made effective until the FAR is amended by the FAR case. Agencies are reminded that FAR 1.404 requires agencies to furnish a copy of each approved class deviation to the FAR Secretariat, General Services Administration, Regulatory Secretariat (MVCB), 1800 F Street, NW, 2nd Floor, ATTN: Joanne Sosa, Washington, DC 20405. Agencies may also email the deviation to firstname.lastname@example.org. If you have any questions or require additional information about this Letter, please contact Charles Gray by phone at 703-795-6328 or on line at email@example.com. Attachment Attachment - FAR Deviation Text Baseline is FAC 2005-97, published in the Federal Register on January 24, 2018. Changes shown as: [additions] and deletions. Part 15 Contracting by Negotiation * * * * * Subpart 15.4 -- Contract Pricing * * * * * 15.403 Obtaining certified cost or pricing data. * * * * * 15.403-4 Requiring certified cost or pricing data (10 U.S.C. 2306a and 41 U.S.C. chapter 35). (a)(1) The contracting officer shall obtain certified cost or pricing data only if the contracting officer concludes that none of the exceptions in 15.403-1(b) applies. However, if the contracting officer has reason to believe exceptional circumstances exist and has sufficient data available to determine a fair and reasonable price, then the contracting officer should consider requesting a waiver under the exception at 15.403-1(b)(4). The threshold for obtaining certified cost or pricing data is $750,000[$2,000,000]. Unless an exception applies, certified cost or pricing data are required before accomplishing any of the following actions expected to exceed the current threshold or, in the case of existing contracts, the threshold specified in the contract: (i) The award of any negotiated contract (except for undefinitized actions such as letter contracts). (ii) The award of a subcontract at any tier, if the contractor and each higher-tier subcontractor were required to furnish certified cost or pricing data (but see waivers at 15.403-1(c)(4)) (iii) The modification of any sealed bid or negotiated contract (whether or not certified cost or pricing data were initially required) or any subcontract covered by paragraph (a)(1)(ii) of this subsection. Price adjustment amounts must consider both increases and decreases (e.g., a [$500,000] $200,000 modification resulting from a reduction of [$1,500,000] $500,000 and an increase of [$1,000,000] $300,000 is a pricing adjustment exceeding $750,000 [$2,000,000]). This requirement does not apply when unrelated and separately priced changes for which certified cost or pricing data would not otherwise be required are included for administrative convenience in the same modification. Negotiated final pricing actions (such as termination settlements and total final price agreements for fixed-price incentive and redeterminable contracts) are contract modifications requiring certified cost or pricing data if— (A) The total final price agreement for such settlements or agreements exceeds the pertinent threshold set forth at paragraph (a)(1) of this subsection; or (B) The partial termination settlement plus the estimate to complete the continued portion of the contract exceeds the pertinent threshold set forth at paragraph (a)(1) of this subsection (see 49.105(c)(15)). * * * * * PART 30—COST ACCOUNTING STANDARDS ADMINISTRATION * * * * * Subpart 30.2—CAS Program Requirements * * * * * 30.201-4 Contract clauses. * * (b) Disclosure and consistency of cost accounting practices. (1) Insert the clause at FAR 52.230-3, Disclosure and Consistency of Cost Accounting Practices, in negotiated contracts when the contract amount is over $750,000 [$2,000,000], but less than $50 million, and the offeror certifies it is eligible for and elects to use modified CAS coverage (see 48 CFR 9903.201-2 (FAR Appendix)), unless the clause prescribed in paragraph (c) of this subsection is used. * * * * * * * PART 42—CONTRACT ADMINISTRATION AND AUDIT SERVICES * * * * * Subpart 42.7—Indirect Cost Rates * * * * * 42.709-O Scope (a) This section implements 10 U.S.C. 2324(a) through (d) and 41 U.S.C. 4303. It covers the assessment of penalties against contractors which include unallowable indirect costs in— (2) The final statement of costs incurred or estimated to be incurred under a fixed-price incentive contract. (1) Final indirect cost rate proposals; or (b) This section applies to all contracts in excess of $750,000 [$2,000,000], except fixed-price contracts without cost incentives or any firm-fixed-price contracts for the purchase of commercial items. * * * * * 42.709-6 Contract clause. Use the clause at 52.242-3, Penalties for Unallowable Costs, in all solicitations and contracts over $750,000 [$2,000,000] except fixed-price contracts without cost incentives or any firm-fixed-price contract for the purchase of commercial items. Generally, covered contracts are those which contain one of the clauses at 52.216-7, 52.216-16, or 52.216-17, or a similar clause from an executive agency's supplement to the FAR. * * * * * 52.230-1 Cost Accounting Standards Notices and Certification. As prescribed in 30.201-3, insert the following provision: COST ACCOUNTING STANDARDS NOTICES AND CERTIFICATION (OCT 2015) *** I. DISCLOSURE STATEMENT—COST ACCOUNTING PRACTICES AND CERTIFICATION (a) Any contract in excess of $750,000 [$2,000,000] resulting from this solicitation will be subject to the requirements of the Cost Accounting Standards Board (48 CFR Chapter 99), except for those contracts which are exempt as specified in 48 CFR 9903.201-1. * * * * * 52.230-2 Cost Accounting Standards. As prescribed in 30.201-4(a), insert the following clause: COST ACCOUNTING STANDARDS (OCT 2015) * * * (d) The Contractor shall include in all negotiated subcontracts which the Contractor enters into, the substance of this clause, except paragraph (b), and shall require such inclusion in all other subcontracts, of any tier, including the obligation to comply with all CAS in effect on the subcontractor's award date or if the subcontractor has submitted certified cost or pricing data, on the date of final agreement on price as shown on the subcontractor's signed Certificate of Current Cost or Pricing Data. If the subcontract is awarded to a business unit which pursuant to 48 CFR 9903.201-2 is subject to other types of CAS coverage, the substance of the applicable clause set forth in subsection 30.201-4 of the Federal Acquisition Regulation shall be inserted. This requirement shall apply only to negotiated subcontracts in excess of $750,000 [$2,000,000], except that the requirement shall not apply to negotiated subcontracts otherwise exempt from the requirement to include a CAS clause as specified in 48 CFR 9903.201-1. * * * * * 52.230-3 Disclosure and Consistency of Cost Accounting Practices. As prescribed in 30.201-4(b)(1), insert the following clause: DISCLOSURE AND CONSISTENCY OF COST ACCOUNTING PRACTICES (OCT 2015) * * (d) The Contractor shall include in all negotiated subcontracts, which the Contractor enters into, the substance of this clause, except paragraph (b), and shall require such inclusion in all other subcontracts of any tier, except that— (2) This requirement shall apply only to negotiated subcontracts in excess of $750,000 [$2,000,000]. (1) If the subcontract is awarded to a business unit which pursuant to 48 CFR 9903.201-2 is subject to other types of CAS coverage, the substance of the applicable clause set forth in subsection 30.201-4 of the Federal Acquisition Regulation shall be inserted. * * * * 52.230-4 Disclosure and Consistency of Cost Accounting Practices—Foreign Concerns. As prescribed in 30.201-4(c), insert the following clause: DISCLOSURE AND CONSISTENCY OF COST ACCOUNTING PRACTICES— FOREIGN CONCERNS (OCT 2015) * * * (d) The Contractor shall include in all negotiated subcontracts, which the Contractor enters into, the substance of this clause, except paragraph (b), and shall require such inclusion in all other subcontracts of any tier, except that— (2) This requirement shall apply only to negotiated subcontracts in excess of $750,000 [$2,000,000]. (1) If the subcontract is awarded to a business unit which pursuant to 48 CFR 9903.201-2 is subject to other types of CAS coverage, the substance of the applicable clause prescribed in FAR 30.201-4 shall be inserted. * * * * * 52.230-5 Cost Accounting Standards—Educational Institution. As prescribed in 30.201-4(e), insert the following clause: COST ACCOUNTING STANDARDS—EDUCATIONAL INSTITUTION (AUG 2016) * * * (d) The Contractor shall include in all negotiated subcontracts which the Contractor enters into, the substance of this clause, except paragraph (b), and shall require such inclusion in all other subcontracts, of any tier, including the obligation to comply with all applicable CAS in effect on the subcontractor's award date or, if the subcontractor has submitted certified cost or pricing data, on the date of final agreement on price as shown on the subcontractor's signed Certificate of Current Cost or Pricing Data, except that— (1) If the subcontract is awarded to a business unit which pursuant to 48 CFR 9903.201-2 is subject to other types of CAS coverage, the substance of the applicable clause set forth in 48 CFR 9903.201-4 shall be inserted; (2) This requirement shall apply only to negotiated subcontracts in excess of $750,000 [$2,000,000]; and * * *
Behaviours of Randomly Distributed Natural Fiber Reinforced Clay Joyanta Maity Department of Civil Engineering Meghnad Saha Institute of Technology, Kolkata, West Bengal, India Abstract- Randomly distributed natural fiber reinforced soil has been advantageously applied in many civil engineering field to improve the engineering characteristics of soft compressible soil. In the subgrade construction of road, soils found at many sites are of low strength and highly compressible even after proper compaction. To improve their characteristics, fibers can be randomly mixed with weak soil. Since, synthetic fibers are costly and non-degradable, natural fibers can be utilized for cost effective and eco-friendly construction. In this paper, applicability of natural fibers to improve weak subgrade material is investigated. Keywords – Randomly distributed fibers, Reinforced soil, Natural fiber, Eco-friendly. I. INTRODUCTION In India, huge amount of construction of road is being made through different schemes like PMGSY, etc. But available soils near construction sites are sometimes found to be weak in strength and of high compressibility. Therefore, there is a need of suitable methods to improve the weak sub-grade. In this regards, reinforced earth is a composite construction material in which the strength of the engineering fill is enhanced by the addition of strong extensible tensile reinforcement. The concept of reinforced earth was first developed by Vidal [1969], by introduction of reinforcing elements in a soil mass increases shear resistance of the medium. The uses of reinforced earth techniques for improving the engineering properties of soils are getting importance day by day and are very effectively used in many areas of civil engineering. In the recent years, randomly distributed fiber reinforced soil are being valuably used as a ground improvement technique in the case of subgrades and embankments construction. Compare to other conventional methods of reinforced soil, randomly distributed fiber reinforced soil shows some advantages. The main advantages are the simplicity in mixing, maintenance of strength isotropy and absence of potential planes of weakness which may develop parallel to the oriented reinforcement. The fibers added in constructions are expected to provide better compact interlocking system between the fiber and the soil system. Shetty and Rao [1987] conducted a series of laboratory CBR tests and reported that when 10% coir fibers (by volume) mixed with silty sand (SM), resulted increase in CBR value under soaked and unsoaked conditions by 26% and 22% respectively. Santoni and Webstar [2001] had also shown the improvement on the load carrying capacity by fiber stabilization of sand for airfields and road constructions. However in India, the cost of synthetic fibers is very high compare to natural fibers which affects the cost effectiveness. Therefore for low traffic unpaved roads, use of locally available natural fibers as reinforcing material are very encouraging. Natural fibers like Coir, Jute, Palm fiber, etc. are mostly available in third world countries at a low cost and their supply is ensured from agriculture. Chattopadhyay.et.al [2008] reported that geotextiles made from natural fibers like jute or coir is being employed as economic and eco-friendly solution. In the present investigation, an attempt has been undertaken to study the compaction and strength characteristics of locally available soils by randomly mixing natural Jute and Coir fibers. 88 ISSN: 2319 – 1058 II. PROPOSED INVESTIGATION A. Scope of Work – An experimental programme has been undertaken by the author to study the compaction and strength characteristics of locally available clayey soils reinforcing by randomly distributed natural Jute and Coir fibers. Results of the experimental study of clayey soil-natural fiber mix composite with varing fiber percentages and various fiber length of Jute and Coir fiber, are presented here. B. Materials Used – Clay: Locally available clayey soil from Nazirabad around Kolkata of West Bengal was used in this experimental study. The clay was CI as per IS soil classification. The physical properties of clay are given in Table 1. Natural fibers: Natural fibers like Jute and Coir fibers have been used as reinforcing material, taken from local market. The fibers after cutting into small pieces of length, 10mm, 15mm and 20mm, have been randomly mixed with clay with varying percentages of 1%, 1.5% and 2% to form homogeneous mixture. The summary of the physical properties of fibers is given in Table 2. Table 1: Physical Properties of Clay \| Coefficient of uniformity, C u \| 5.56 \| \|---\|---\| \| Coefficient of curvature, C c \| 0.88 \| \| MDD (gm/c.c) \| 1.52 \| \| OMC (%) \| 21.5 \| \| California Bearing Ratio (%) \| 3.2 \| \| UCS at OMC (kg/cm2) \| 8.5 \| Table 2: Physical Properties of Fibers \| Tests \| Jute \| Coir \| \|---\|---\|---\| \| Density (gm/c.c) \| 1.47 \| 1.40 \| \| Diameter (mm) \| 0.03 (av.) \| 0.25 (av.) \| C. Test Programme – A series of Standard Proctor test and California Bearing Ratio test have been conducted on clay-fiber mix composites to study the effects of inclusion of natural fibers of various lengths and proportion. Standard Proctor tests have been done as per I.S. 2720, Part 7 (1980), to determine the Optimum moisture content (OMC) and Maximum dry density (MDD) values for each case. California Bearing Ratio tests have been conducted at OMC as per I.S. 2720, Part 16 (1987) to determine strength characteristics of the soil-fiber mix composites. All these tests have been performed for various parameters of clay-fiber mix composites, as given in Table 3. The mixing of fibers and clay has been done manually with proper care for preparing uniform mixture at each stage of mixing. Table 3: Various parameters of fiber used in clay-fiber mix III. EXPERIMENT AND RESULT Standard Proctor tests and California Bearing Ratio tests have been conducted on clay-fiber mix composites to study the effects of inclusion of natural fibers of various lengths and proportion. The results of Standard Proctor tests and California Bearing Ratio tests have been presented subsequently. A) STANDARD PROCTOR TEST: The standard Proctor tests have been conducted for clay mixed with randomly distributed Jute and Coir fibers of length 1cm, 1.5cm and 2cm with varying percentages of 1%, 1.5% and 2%, to determine the Optimum Moisture Volume 5 Issue 3 June 2015 89 ISSN: 2319 – 1058 Content (OMC) and the corresponding Maximum dry density (MDD) for each soil-fiber mix. The effects of fiber content and fiber length on the value of MDD and OMC of clay-fiber mix composites are discussed as below. (i) Effect of fiber content on MDD The variations of Maximum dry density (MDD) with fiber content for Jute and Coir fiber are shown in Fig.1 and Fig.2 respectively. From the figs.1 and 2, it is observed that Maximum dry density (MDD) of fiber mixed clayey soil is decreasing with the increase in percentages of both Jute and Coir fibers. The decrease in MDD is about 8.6% for 2cm length, 2% Jute fibers by dry weight of soil whereas for 2cm length, 2% Coir fibers, the decrease in MDD is about 9.9%. The decrease in density is most likely as a result of natural fibers having less specific weight in comparison with solid clay particles. (ii) Effect of fiber content on OMC The variations of Optimum Moisture Content (OMC) with fiber content for Jute and Coir fiber are shown in Fig.3 and Fig.4 respectively. Volume 5 Issue 3 June 2015 90 . From the figs.3 and 4, it is observed that OMC of fiber mixed clayey soil is increasing with the increase in percentages of both Jute and Coir fibers. The increase in OMC is about 30.2% for 2cm length, 2% Jute fibers by dry weight of soil whereas for 2cm length, 2% Coir fibers, the increase in OMC is about 16.3%. The increase in OMC is most likely as a result of greater water absorption capacity of natural fibers compare to clay particles. (iii) Effect of fiber length of on MDD The variations of Maximum dry density (MDD) with fiber length for Jute and Coir fiber are shown in Fig.5 and Fig.6 respectively. Volume 5 Issue 3 June 2015 91 Fig.6: Variation of MDD with fiber length for soil mixed with randomly distributed Coir fiber. From the figs.5 and 6, it is observed that Maximum dry density (MDD) of fiber mixed clayey soil is decreasing with the increase in length of both Jute and Coir fibers. It is also observed that MDD decreases asymptotically to a constant value for further increase in fiber length up to 2cm length of fiber. However, the decrease in the MDD value is more significant when length of fiber in between 0 to 1cm. Thereafter, the rate of decrease of MDD value is much lower for further increase in fiber length for both Jute and Coir fiber mixed clayey soil. (iv) Effect of fiber length of on OMC The variations of Optimum Moisture Content (OMC) with fiber length for Jute and Coir fiber are shown in Fig.7 and Fig.8 respectively. 92 ISSN: 2319 – 1058 From the figs.7 and 8, it is observed that OMC of fiber mixed clayey soil is increasing with the increase in length of both Jute and Coir fibers. However, the increase in the OMC value is more significant when length of fiber in between 0 to 1cm. Thereafter, the rate of increase of OMC value is much lower for further increase in fiber length for both Jute and Coir fiber mixed clayey soil. But the relative rate of increase is more in case of Jute fiber compare to Coir fiber. B) CALIFORNIA BEARING RATIO TEST: Unsoaked CBR tests have been conducted at optimum moisture content, for the clayey soil mixed with randomly distributed Jute and Coir fibers of various length of length 1cm, 1.5cm and 2cm and with varying percentages of 1%, 1.5% and 2% of the dry weight of soil, as per I.S. 2720 Part 16. The effects of fiber content and fiber length on the value of unsoaked CBR of clay-fiber mix composites are discussed as below. (i) Effect of fiber content on unsoaked CBR The variations of Unsoaked CBR with fiber content for Jute and Coir fiber are shown in Fig.9 and Fig.10 respectively. Volume 5 Issue 3 June 2015 93 From the figs.9 and 10, it is observed that unsoaked CBR value increases with the increase in Jute and Coir fiber content up to 1.5% of fiber inclusion of the dry weight of soil and after that, it decreases. For both Jute and Coir fiber, the maximum increase in unsoaked CBR is for 1.5% fiber content with fiber length of 1cm. The decrease of unsoaked CBR value with the increase in fiber content may be due to the fact that, at that fiber content, fiber quantities are higher enough to effect more fiber-fiber interactions than fiber-soil interactions. (ii) Effect of fiber length of on unsoaked CBR The variations of unsoaked CBR with fiber length for Jute and Coir fiber are shown in Fig.11 and Fig.12 respectively. From the figs.11 and 12, it is observed that unsoaked CBR value increases with the increase in Jute and Coir fiber length up to a peak value and after that, it decreases. It is also observed that unsoaked CBR value increases upto a Volume 5 Issue 3 June 2015 94 ISSN: 2319 – 1058 maximum value when fiber length is of 1cm. However, the rate of relative decrease in unsoaked CBR value for Jute fiber is much less compared to Coir fiber. IV.CONCLUSIONS From the experimental study reported above, following conclusions may be drawn. 1. With the increase of fiber content as well as fiber length, MDD of Randomly distributed fiber reinforced clay decreases. Similar observations are also found for Coir fibers. 2. The OMC of Randomly distributed fiber reinforced clay increases with the increase of fiber percentage as well as fiber length. However, the increase in OMC value is more in case of Jute fibers compared to Coir fibers. 3. The unsoaked CBR value increases with the increase in Jute and Coir fiber content up to 1.5% of fiber inclusion of the dry weight of soil and after that, it decreases. For both Jute and Coir fiber, the maximum increase in unsoaked CBR is for 1.5% fiber content with fiber length of 1cm. 4. Similarly, unsoaked CBR value increases with the increase in Jute and Coir fiber length up to a peak value and after that, it decreases. It is also observed that unsoaked CBR value increases upto a maximum value when fiber length is of 1cm. However, the rate of relative decrease in unsoaked CBR value for Jute fiber is much less compared to Coir fiber. REFERENCES [1] BIS 2720 (Part VII) -1980, "Determination of Water content – Dry density relation using light compaction", Bureau of Indian Standards, New Delhi, India. [2] BIS 2720 (Part XVI) -1987, "Laboratory determination of California Bearing Ratio". Bureau of Indian Standards, New Delhi, India. [3] Chattopadhyay.B.C and Chakorborty.S (2008), "Application of jute geotextiles as facilitator in drainage" Geotextiles and Geomembranes,No 27. [4] Santoni, R.L. and Webster, S.L.(2001),"Airfield and Roads construction using fiber stabilization of sands" Journal of Transportation Engineering (ASCE), vol 127 no 3 p-96-104. [5] Setty, K.R.N.S., and Rao, S.V.G. (1987), "Characteristics of fiber reinforced lateritic soil". Proc. Indian Geotechnical Conference, Bangalore, India, pp. 329-333. [6] Vidal,H. (1969) "The principle of reinforced earth", HRR.NO-282. Volume 5 Issue 3 June 2015 95
November 2002 Issue President Curt Lewis (815) 633-4280 firstname.lastname@example.org Vice President John DeRosa (847) 844-8776 email@example.com Secretary Robert Rydin (630)513-5947 firstname.lastname@example.org Treasurer John Harrison (708) 482-3894 email@example.com Inside this issue: Website: http://aerotow.evl.uic.edu/clgc/ November 5 , 2002 First Meeting— Tuesday November 19th! This season's CLGC Meeting schedule deviates from the normal "2nd Tuesday of each month" rule of thumb due to schedule conflicts with Herrick Jr. High—several meetings are on the 3rd Tuesday. The CLGC2002/2003 meeting schedule is on page 4—please mark these dates on your calendar. Thanks to Ray Konrath for securing our arrangements once again! Topics for November 19 Meeting John Cochran and Neal Ridenour will review the 2002 NISC (Northern Illinois Soaring Championships) and……. Sky Soaring's own Larry Case will share with us the success of the club's CAP program. CLGC On-Line CLGC President Curt Lewis has undertaken the design and deployment of a new website for CLGC— expected to be found at : www.chicagolandglidercouncil.com The go live date for the new website is anticipated to be December 1, 2002. Save a Stamp Are you "e-enabled?" The CLGC board is undertaking an imitative to make the monthly newsletter available via the internet for those members who are appropriately "wired". While the production and printing of this newsletter is done on a volunteer basis, the cost of materials is significant—with the largest expense being that of postage. On the dues portion of the this newsletter you will find a box to be checked if you are able and willing to receive you monthly newsletter electronically. While the delivery mechanism and target "go live" date is yet to be finalized—you will be notified either by e-mail or by this publication how and when this option will be enabled. The council wants to assure all members that we will continue to print and mail this newsletter indefinitely—we have no expectation of going "paperless" in the foreseeable future. Member organizations offer reports on the 2002 soaring season 2002 Sky Soaring Season Report Sky Soaring Inc (SSI) had a busy flying year with over 1,200 flights to date. Our flying season always begins on January 1st for the annual "First Flight of the Year and Chili Contest." The main season got "off the ground" in late March with the assembly of the club ships. Over the winter quite a bit of repair work had been performed on several of the club ships, with recovering work and other repairs including the return of the club's L13 to operation after a year long hiatus for a major overhaul. During the season Sky Soaring gained about 10 new members (and some new private ships!) along with the greatly increased activity of the Illinois Wing of the Civil Air Patrol (CAP). A CAP 2-33 and L-23 Super Blanik are based at Sky Soaring and several hundred orientation flights were given. Many members of SSI joined CAP including several of our flight instructors. They gave 100's of orientation flights and instruction to the CAP cadets and enjoy the benefits of having the CAP ships on the field. There have been 3 first solos along with 2 private ratings given to CAP cadets. Additionally one SSI member attained his private rating and a new CFIG rating was given. During the Memorial Day weekend, Sky Soaring and the Vintage Aero Association held their second bi-annual ride sharing and cookout party. This fun event hosted 100+ flyers and family members along with a host of vintage airplanes including a squadron of Stearmans. Pictures of this event can be found at http://skysoaring.com/ gallery/2002memorialday. During the winter months Sky Soaring was contacted by WTTW, the Chicago PBS TV station, about the possibility of filming a segment for "Wild Chicago". On July 7th, a VERY hot day, a crew of 3 (host, cameraman and producer) showed up and spent 8 hours shooting from the club's L23 and the "Bird Dog" tow plane, a member's Super Cub chase plane along with interviewing SSI members, family and bystanders. The segment should air in early 2003 and again in the spring. We will try to get the word out to the council when we know more. Pictures of this event can be found at http://skysoaring.com/gallery/wttwchicago. Miscellaneous ------------- * A Safety Committee is now in place and is providing reports in the newsletter and at the monthly meetings. The committee will also be organizing the spring safety meeting and doing a self evaluation based on Soaring Safety Foundation's checklist. * Sky Soaring hosted an uncomplicated little handicapped soaring contest for Sky Soaring members with best times posted each month. * There was one major accident this year resulting in a totaled glider and an injured pilot. Fortunately the pilot is recovering nicely and is back flying again. * Sky Soaring is planning our annual Christmas party for December 15th. * Steve Wasilowski (WAZ), a former club president and past Illinois SSA governor, was elected as the SSA Region 7 Director. Finally, and sadly, three members of Sky Soaring were lost to us in 2002. Marianne Niebur, Joe Sedy and Tony Brey entered their Final Glide and will be missed by the soaring community. Information about Sky Soaring Inc can be found at http:// skysoaring.com, by sending email to firstname.lastname@example.org, or by calling 847-683-SOAR. Information compiled and submitted by John DeRosa. Many thanks to; Skip Atwell, Ed Hoffmann, Mike Hurd, Larry Kase, Larry Krengel, Paul LeTourneau, David Peterson, Ed Stokes and Steve Wasilowski for their help with this article. Chicago Glider Club Summer The CGC started the season with an annual safety seminar on March 23. On April 6 private gliders were moved out of the winter hanger storage. In spite of a soggy field we were able to fly by utilizing our paved road until conditions improved. We normally fly on weekends unless you could get an available and cooperative tow pilot during the week. Last year and again this year volunteer tow pilots made themselves available every Wednesday and Friday for those of us lucky enough to take advantage of it. We had some expected and unexpected expenses this summer. Early in the season our Pawnee had to have the engine replaced. An ongoing problem with drainage from our hanger and trailer tie down area was resolved by laying drainage tile. Plans are in the works for painting our south hanger. We did the usual grass cutting, plane maintenance, club house cleaning, etc; all of this was of course made possible by club members who contributed their labor and expertise. The spirit of competition is alive and well at CGC. We have several pilots involved in the Northern Illinois Soaring Contest as well as Regional and National level competition. If you have not discovered the contest section of the SSA web page then you need to check it out. You will probably see some names you recognize. Our Blanik L23, ASK-21, Pegasus, and DuoDiscus have been fully utilized by club members this summer. We have some shiny new planes on the field thanks to John Cochrane, Rich Carlson, and Duane Eisen- beiss. John has a new ASW-27 and Rich and Duane have new Ventus 2bx sailplanes. Congratulations go to Dale Gustafson's son Darren and Gary Reuter's daughter Alison who accomplished their first solo flights in our Blanik L23. If you haven't visited our website HTTP://aerotow.evl.uic.edu/cgc I highly recommend some of the articles found there in our newsletters. In the May newsletter Jeff Russell does an excellent job of describing competition soaring from a rookie's perspective. And in the August newsletter former member Nigel Cripps tells of his flight to the Grand Canyon from his new field in Arizona. One of the low points of the summer was the loss of long time member Paul Hauser. He was a skilled pilot and a true gentleman. Paul will be missed. We are presently looking forward to our annual Pig Loin Roast and Boom-a-rang contest scheduled for September 28. A spot landing contest using the Blanik L23 will be added this year. Hopefully this late August early September good weather we have been experiencing will last for the rest of the season. And then we just have to hope for a short winter…… Courtesy of John Harrison Hinckley Soaring Hinckley Soaring is open on weekends through the end of November. We have our newly acquired Pawnee certified in the Normal category and actively towing. A high school group is scheduled to fly on the first of November. We look forward to good fall weather. Holiday time is approaching. Consider giving a unique gift! Give an introductory flight lesson or ride to that special friend. See our web page to purchase on line. www.hinckleysoaring.com Mark your Calendar We meet the second or third Tuesday of each month at 7:30 pm at Herrick Jr. High School, Downers Grove, IL. The meeting schedule is: November 19 February 18 December 10 March 11 January 14 April 8 For Sale Is the state of the economy keeping you from purchasing that set of wing stands you've had your eye on? Can't find any use for that old tail dolly? Forget E-Bay—send a note to email@example.com We'll get your item in the next newsletter— no fees—and we keep the asset in the CLGC family! Dues News First the good news: The ChicagoLand Glider Council now has 203 members! Now the bad news: It's time to renew your membership. Check the mailing label on the envelope containing this newsletter. If it shows 2002 after your name then time is running out (unless you are a CGC or Sky Soaring member in which case your dues are paid automatically). Please make sure you renew soon. Cut out the renewal form below , and send a check for $10.00 . 2002/2003 Membership/Renewal Application—ChicagoLand Glider Council Mail To: John Harrison 827 Homestead Road LaGrange Park, IL 60526 Please include $10 for annual dues payable to ChicagoLand Glider Council Name_________________________________________________ E-Mail_________________________________ Address_____________________________ City_____________________ State_______ Zip___________ Phone_____________________ Pilot Certificate Ratings___________________________ Type of Glider(s) owned, if any______________________________________________ Primary airport where member flies___________________________________________ Check if applies: ___New Member ___Change of Address ___Change of E-Mail Address ___ Change of telephone ___ I am able to receive the CLGC Newsletter via Internet ___ I wish to continue to receive the printed CLGC newsletter CLGC 2002-03 Meeting Calendar
SIT RISING RATE ETF Statement of Additional Information This statement of additional information and accompanying disclosure document are both dated February 11, 2015. This statement of additional information is the second part of a two part document. The first part is the Fund's disclosure document. The disclosure document and this statement of additional information are bound together, and both parts contain important information. This statement of additional information should be read in conjunction with the disclosure document. SAI-2 Page SAI-3 SAI-4 Form of Shares Registered Form. Shares are issued in registered form in accordance with the Trust Agreement. US Bank has been appointed registrar and transfer agent for the purpose of transferring shares in certificated form. US Bank keeps a record of all limited partners and holders of the shares in certificated form in the registry (the "Register"). The Sponsor recognizes transfers of shares in certificated form only if done in accordance with the Trust Agreement. The beneficial interests in such shares are held in book-entry form through participants and/or accountholders in DTC. Book Entry. Individual certificates are not issued for the shares. Instead, shares are represented by one or more global certificates, which are deposited by the Administrator with DTC and registered in the name of Cede & Co., as nominee for DTC. The global certificates evidence all of the shares outstanding at any time. Shareholders are limited to (1) participants in DTC such as banks, brokers, dealers and trust companies ("DTC Participants"), (2) those who maintain, either directly or indirectly, a custodial relationship with a DTC Participant ("Indirect Participants"), and (3) those banks, brokers, dealers, trust companies and others who hold interests in the shares through DTC Participants or Indirect Participants, in each case who satisfy the requirements for transfers of shares. DTC Participants acting on behalf of investors holding shares through such participants' accounts in DTC will follow the delivery practice applicable to securities eligible for DTC's Same-Day Funds Settlement System. Shares are credited to DTC Participants' securities accounts following confirmation of receipt of payment. DTC. DTC has advised us as follows. It is a limited purpose trust company organized under the laws of the State of New York and is a member of the Federal Reserve System, a "clearing corporation" within the meaning of the New York Uniform Commercial Code and a "clearing agency" registered pursuant to the provisions of Section 17A of the Exchange Act. DTC holds securities for DTC Participants and facilitates the clearance and settlement of transactions between DTC Participants through electronic book-entry changes in accounts of DTC Participants. SAI-3 What is the Plan of Distribution? Buying and Selling Shares Most investors buy and sell shares of the Fund in secondary market transactions through brokers. Shares trade on the NYSE Arca under the ticker symbol "RISE" shares are bought and sold throughout the trading day like other publicly traded securities. When buying or selling shares through a broker, most investors incur customary brokerage commissions and charges. Investors are encouraged to review the terms of their brokerage account for details on applicable charges. Distributor and Authorized Participants The offering of the Fund's shares is a best efforts offering. The Fund continuously offers Creation Baskets consisting of 25,000 shares through the Distributor, to Authorized Participants. All Authorized Participants pay a $500 fee for each order to create or redeem one or more Creation Baskets or Redemption Baskets. Sit Fixed Income Advisors II, LLC made an initial investment of $5,000,000 in exchange for 200,000 shares. In accordance with applicable requirements of Regulation M under the Securities Exchange Act of 1934, no Creation Baskets will be offered to Authorized Participants nor will units be listed for trading on the NYSE Arca until at least five business days (the "Cooling-off Period") has elapsed from the date of Sit's purchase. It is expected that the proceeds from Sit's purchase will be invested at the end of the Cooling-off Period and that the initial per unit net asset value of the Fund will be established as of 4:00 p.m. New York City time that day. Units offered in Creation Baskets on any subsequent day will be offered at the per unit NAV calculated shortly after the close of the core trading session on the NYSE Arca. The shares purchased by Sit will be redeemable by Sit on the same terms and conditions as those applicable to Authorized Participants. The Distributor receives an annual fee for its distribution services, which for the first year will equal 0.02% of assets under management ("AUM") (declining if the Fund's AUM increases above $250,000,000), with a minimum of $15,000 payable annually. In no event will the aggregate compensation paid to the Distributor and any affiliate of the Sponsor for distribution-related services in connection with the offering of shares exceed ten percent (10%) of the gross proceeds of the offering. The activities of the Distributor may result in its being deemed a participant in a distribution in a manner that would render it a statutory underwriter and subject it to the prospectus delivery and liability provisions of the 1933 Act. The offering of baskets is being made in compliance with Conduct Rule 2310 of FINRA. Accordingly, Authorized Participants will not make any sales to any account over which they have discretionary authority without the prior written approval of a purchaser of shares. The per share price of shares offered in Creation Baskets on any subsequent day will be the total NAV of the Fund calculated shortly after the close of the core trading session on the NYSE Arca on that day divided by the number of issued and outstanding shares. An Authorized Participant is not required to sell any specific number or dollar amount of shares. By executing an Authorized Participant Agreement, an Authorized Participant becomes part of the group of parties eligible to purchase baskets from, and put baskets for redemption to, the Fund. An Authorized Participant is under no obligation to create or redeem baskets, and an Authorized Participant is under no obligation to offer to the public shares of any baskets it does create. As of January 23, 2015, the following are or are expected to enter into Authorized Participant Agreements to purchase and sell shares of the Fund: JP Morgan Securities LLC Nomura Securities International, Inc. KCG Holdings Credit Suisse Securities (USA) LLC Deutsche Bank Securities Inc. Citigroup Global Markets Inc. Because new shares can be created and issued on an ongoing basis, at any point during the life of the Fund, a "distribution", as such term is used in the 1933 Act, will be occurring. Authorized Participants, other broker-dealers and other persons are cautioned that some of their activities may result in their being deemed participants in a distribution in a manner that would render them statutory underwriters and subject them to the prospectus delivery and liability provisions of the 1933 Act. For example, the Initial Authorized Participant was a statutory underwriter with respect to its initial purchase of Creation Baskets. In addition, any purchaser who purchases shares with a view towards distribution of such shares may be deemed to be a statutory underwriter. Authorized Participant will comply with the prospectus-delivery requirements in connection with the sale of shares to customers. For example, an Authorized Participant, other broker-dealer firm or its client will be deemed a statutory underwriter if it purchases a basket from the Fund, breaks the basket down into the constituent shares and sells the shares to its customers; or if it chooses to couple the creation of a supply of new shares with an active selling effort involving solicitation of secondary market demand for the shares. Authorized Participants may also engage in secondary market transactions in shares that would not be deemed "underwriting". For example, an Authorized Participant may act in the capacity of a broker or dealer with respect to shares that were previously distributed by other Authorized Participants. A determination of whether a particular market participant is an underwriter must take into account all the facts and circumstances pertaining to the activities of the broker-dealer or its client in the particular case, and the examples mentioned above should not be considered a complete description of all the activities that would lead to designation as an underwriter and subject them to the prospectus-delivery and liability provisions of the 1933 Act. Dealers who are neither Authorized Participants nor "underwriters" but are nonetheless participating in a distribution (as contrasted to ordinary secondary trading transactions), and thus dealing with shares that are part of an "unsold allotment" within the meaning of Section 4(3)(C) of the 1933 Act, would be unable to take advantage of the prospectus-delivery exemption provided by Section 4(3) of the 1933 Act. The Sponsor may qualify the shares in states selected by the Sponsor and intends that sales be made through broker-dealers who are members of FINRA. Investors intending to create or redeem baskets through Authorized Participants in transactions not involving a broker-dealer registered in such investor's state of domicile or residence should consult their legal advisor regarding applicable broker-dealer or securities regulatory requirements under the state securities laws prior to such creation or redemption. While the Authorized Participants may be indemnified by the Sponsor, they will not be entitled to receive a discount or commission from the Fund for their purchases of Creation Baskets. SAI-5 APPENDIX A Glossary of Defined Terms In this prospectus, each of the following terms has the meanings set forth after such term: Administrator: U.S. Bancorp Fund Services, LLC. Authorized Participant: One that purchases or redeems Creation Baskets or Redemption Baskets, respectively, from or to the Fund. Business Day: Any day other than a day when any of the NYSE Arca, the CME or the New York Stock Exchange is closed for regular trading. CFTC: Commodity Futures Trading Commission, an independent agency with the mandate to regulate commodity futures and options in the United States. Code: Internal Revenue Code. Commodity Pool: An enterprise in which several individuals contribute funds in order to trade futures or future options collectively. Commodity Pool Operator or CPO: Any person engaged in a business which is of the nature of an investment trust, syndicate, or similar enterprise, and who, in connection therewith, solicits, accepts, or receives from others, funds, securities, or property, either directly or through capital contributions, the sale of stock or other forms of securities, or otherwise, for the purpose of trading in any commodity for future delivery or commodity option on or subject to the rules of any contract market. Creation Basket: A block of 25,000 shares used by the Fund to issue shares. Custodian: U.S. Bank, a national banking association chartered by the Office of the Comptroller of the Currency. Distributor: Esposito Securities LLC. Dodd-Frank Act: The Dodd-Frank Wall Street Reform and Consumer Protection Act that was signed into law July 21, 2010. DTC: The Depository Trust Company. DTC will act as the securities depository for the shares. DTC Participant: An entity that has an account with DTC. Exchange Act: The Securities Exchange Act of 1934. FINRA: Financial Industry Regulatory Authority, formerly the National Association of Securities Dealers. Fund: Sit Rising Rate ETF, a series of the Trust. Indirect Participants: Banks, brokers, dealers and trust companies that clear through or maintain a custodial relationship with a DTC Participant, either directly or indirectly. Limited Liability Company (LLC): A type of business ownership combining several features of corporation and partnership structures. Margin: The amount of equity required for an investment in futures contracts. NAV: Net Asset Value of the Fund. NFA: National Futures Association. 1933 Act: The Securities Act of 1933. Option: The right, but not the obligation, to buy or sell a futures contract or forward contract at a specified price on or before a specified date. Prudential Regulators: the CFTC, the SEC and the Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the Farm Credit System and the Federal Housing Finance Agency, collectively. Redemption Basket: A block of 25,000 shares used by the Fund to redeem shares. SEC: Securities and Exchange Commission. Secondary Market: The stock exchanges and the over-the-counter market. Securities are first issued as a primary offering to the public. When the securities are traded from that first holder to another, the issues trade in these secondary markets. Shareholders: Holder of Shares. Shares: Common shares representing fractional undivided beneficial interests in the Fund. Treasuries: Obligations of the U.S. government. Trust: The ETF Managers Group Commodity Trust I, a Delaware statutory trust. Valuation Day: Any day as of which the Fund calculates its NAV. You: The owner of shares. Report of Independent Registered Public Accounting Firm To the Managing Owner of ETF Managers Group Commodity Trust I We have audited the accompanying combined statement of assets and liabilities of ETF Managers Group Commodity Trust I and the individual statement of assets and liabilities of Sit Rising Rate ETF (collectively referred to as the "Trust") as of September 26, 2014. These statements of assets and liabilities are the responsibility of the Trust's management. Our responsibility is to express an opinion on these statements of assets and liabilities based on our audits. We conducted our audits in accordance with the standards of the Public Company Accounting Oversight Board (United States). Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the statements of assets and liabilities are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the statements of assets and liabilities, assessing the accounting principles used and significant estimates made by management, and evaluating the overall statements of assets and liabilities presentation. We believe that our audits provide a reasonable basis for our opinion. In our opinion, the statements of assets and liabilities referred to above present fairly, in all material respects, the combined financial position of ETF Managers Group Commodity Trust I and the individual financial position of Sit Rising Rate ETF as of September 26, 2014, in conformity with accounting principles generally accepted in the United States of America. WithumSmith+Brown, P.C. New York, NY October 3, 2014 ETF Managers Group Commodity Trust I Combined Statement of Assets and Liabilities September 26, 2014 Assets Total Assets The accompanying notes are an integral part of these financial statements. Cash and Cash Equivalents $ $ Liabilities and Trust Capital Liabilities Trust Capital $ Total Liabilities and Trust Capital $ Shares Outstanding The Sit Rising Rate ETF 1,000 1,000 — 1,000 1,000 40 Sit Rising Rate ETF Statement of Assets and Liabilities September 26, 2014 Assets 1,000 1,000 — 1,000 1,000 40 25.00 ETF Managers Group Commodity Trust I Sit Rising Rate ETF Notes to Financial Statements September 26, 2014 (1) Organization ETF Managers Group Commodity Trust I (the "Trust") is a Delaware statutory trust formed on July 23, 2014 as a series trust. The Trust currently consists of a sole series, the Sit Rising Rate ETF (the "Fund") that has not yet commenced operations. The Fund will issue common units of beneficial interest (the "Shares") which represent units of fractional undivided beneficial interest in and ownership of the Fund. ETF Managers Capital LLC, a Delaware limited liability corporation (the "Sponsor" and "Managing Owner") will serve as the commodity pool operator of the Fund. Sit Fixed Income Advisors II, LLC ("Sit") has applied for registration as a "commodity trading advisor" ("CTA") with the Commodity Futures Trading Commission ("CFTC") and will act as such for the Fund. The only capital contributed as of September 26, 2014 is a capital contribution of $1,000 to the Fund by the Managing Owner whereby 40 shares were issued to the Managing Owner for a capital contribution. From July 23, 2014 through September 26, 2014, the Fund and the Trust had no other activities other than those related to their formations. The Fund's investment objective is to profit from rising interest rates by maintaining a portfolio with a benchmark equal to a targeted negative 10 year average effective duration, which is principally established and maintained using exchange traded futures and options on futures on 2, 5, and 10-year U.S. Treasury securities. The Fund will not use futures contracts or options to obtain leveraged investment results. The Fund's assets will consist primarily of exchange traded futures and options on futures on U.S. Treasury securities, including deposits with its Futures Commission Merchant held as collateral, U.S. Treasury securities, cash and other cash equivalents. U.S. Treasury securities are debt obligations issued by the United States Department of the Treasury and include Treasury bills, Treasury notes, and Treasury bonds ("U.S. Treasuries"). The Fund will principally invest in exchange traded futures and options on futures on 2, 5 and 10-year U.S. Treasuries. The Fund may also invest in over-the-counter swaps and other derivative instruments involving U.S. Treasuries. These exchange traded futures, options on futures, and over-the-counter swaps and other derivative instruments are collectively referred to as "Treasury Instruments". The Fund will invest in a portfolio of Treasury Instruments with the intention of tracking a benchmark equal to a negative effective duration of approximately 10 years. The Fund will establish and maintain a net short position on Treasury Instruments on 2, 5, and 10 year Treasuries. There will normally be substantially more net short exposure than net long exposure. The mix of positions will depend on market conditions and will require periodic rebalancing. The Fund qualifies as an "emerging growth company" as defined under the Jumpstart Our Business Startups Act of 2012. The term of the Trust and the Fund is perpetual (unless terminated in certain circumstances as described in the Prospectus. (2) Summary of Significant Accounting Policies The following is a summary of significant accounting policies followed by the Trust and Fund. (a) Basis of Presentation Pursuant to rules and regulations of the U.S. Securities and Exchange Commission ("SEC"), audited financial statements are presented for the Trust as a whole, as the SEC registrant and the Fund individually. The liabilities and expenses incurred, contracted for or otherwise existing with respect to each series of the Trust shall be enforceable only against the assets of each series of the Trust and not against the assets of the Trust generally or any other series. (b) Use of Estimates The preparation of the accompanying financial statements in conformity with U.S. generally accepted accounting principles requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements. Actual results could differ from those estimates. (c) Cash and Cash Equivalents The Trust and the Fund define cash and cash equivalents to be highly liquid investments, with original maturities of three months or less. (d) Income Taxes The Fund will be classified as a partnership for United States federal income tax purposes, and treated as a separate entity from any other series of the Trust for U.S. federal income tax purposes. Accordingly, the Fund will not incur United States federal income taxes. No provision for federal, state, and local income taxes has been made in the accompanying Statements of Assets and Liabilities, as shareholders are individually responsible for their own income taxes, if any, on their allocable share of the Fund's income, gain, loss, deductions and other items. (e) Related Party Transactions The Fund will pay the Managing Owner a management fee, monthly in arrears, in an amount equal to 0.50% per annum of the daily net asset value of the Fund (the "Management Fee"). The Management Fee will be paid in consideration of the Managing Owner's advisory services to the Fund. From the Management Fee, the Managing Owner will be responsible for paying any license fee relating to the index tracked by the Fund. The Managing Owner will contractually agree to waive the Management Fee and/or reimburse the Fund for its Other Expenses (which term excludes brokerage fees, interest expense, and extraordinary expenses) to cap Total Expenses at 1.50% per annum through February 1, 2016. Expenses incurred in connection with organizing the Fund and the offering of the Shares upon commencement of its trading operations will be paid by Exchange Traded Managers Group LLC, the parent and sole owner of the Managing Owner. Expenses incurred in connection with the continuous offering of Shares of the Fund after the commencement of its trading operations will be paid by the Fund. (3) The Offering of the Shares The Shares of the Fund are offered on a continuous basis pursuant to Rule 415 under the Securities Act of 1933. Shares may be purchase from the Fund only by certain eligible financial institutions (the "Authorized Participants"), and only in one or more blocks of 25,000 Shares, each called a Basket, although the initial Basket(s) will be purchased by an initial purchaser at $25 per Share ($625,000 per Basket). After the commencement of investment operations, the Fund will issue Shares in Baskets only to Authorized Participants continuously as of 12:00 p.m. New York time, on the third business day immediately following the date on which a valid order to create a Basket is accepted by the Fund, at the net asset value of 25,000 Shares as of the closing time or NYSE Arca ("NYSE Arca") on the date that a valid order to create a Basket is accepted by the Fund. An Authorized Participant will be required to pay a transaction fee of $500 per order to create or redeem one or more Baskets which will go to the Fund and will be recorded as other income. (4) Fees and Expenses (a) Organization and Offering Expenses Expenses incurred in connection with organizing the Fund and expenses incurred up to the offering of its Shares upon commencement of its trading operations will be paid by Exchange Traded Managers Group LLC, the parent and the sole owner of the Managing Owner. Expenses incurred in connection with the continuous offering of Shares of the Fund after the commencement of its trading operations will be paid by the Fund. These costs include registration fees paid to regulatory agencies and all legal, accounting, printing and other expenses associated therewith. These costs will be accounted for as a deferred charge and thereafter amortized to expense over twelve months on a straight-line basis or a shorter period if warranted. (b) Management Fee The Fund will pay the Managing Owner the Management Fee as described in Note 2(e) above. The Management Fee will be paid in consideration of the Managing Owner's advisory services. From the Management Fee, the Managing Owner will be responsible for paying any license fee relating to the index tracked by the Fund. The Managing Owner will contractually agree to waive the Management Fee and/or reimburse the Fund for its Other Expenses (which term excludes brokerage fees, interest expense, and extraordinary expenses) to cap Total Expenses at 1.50% per annum through February 1, 2016. (c) Brokerage Commissions and Fees The Fund will pay to its commodity broker all brokerage commissions and fees charged in connection with its trading activities. The Sponsor does not expect brokerage commissions and fees paid for execution and clearing services on behalf of the Fund to exceed 0.027% of the net asset value of the Fund in any year, although the actual amount of brokerage commissions and fees in any year or any part of any year may be greater. For the period July 23, 2014 through September 26, 2014 the Fund incurred no brokerage commissions or fees. (d) The Fund's Fees and Other Expenses The Fund will pay all of the routine offering, operational, administrative and other ordinary expenses of the Fund, including, but not limited to Custody, Fund Accounting, Transfer Agent and Distributor, legal and auditing fees and expenses, tax preparation expenses, filing fees, and printing, mailing and distribution costs. Such routine expenses are not expected to exceed 1.00% of the net asset value of the Fund in any year, although the actual amount of routine offering, operational, administrative and other ordinary expenses in any year or any part of any year may be greater. For the period July 23, 2014 through September 26, 2014 the Fund incurred no routine offering, operational, administrative and other ordinary expenses. The Managing Owner will contractually agree to waive the Management Fee and/or reimburse the Fund for its Other Expenses (which term excludes brokerage fees, interest expense, and extraordinary expenses) to cap Total Expenses at 1.50% per annum through February 1, 2016. (e) Extraordinary Fees and Expenses The Fund will pay all of its extraordinary fees and expenses, if any. Extraordinary fees and expenses are fees and expenses which are non-recurring and unusual in nature, such as legal claims and liabilities, litigation costs or indemnification or other unanticipated expenses. For the period July 23, 2014 through September 26, 2014 the Fund incurred no extraordinary fees or expenses. (5) Redemptions On any business day, an Authorized Participant may place an order with the Distributor to redeem one or more Baskets. Redemption orders must be placed by no later than 12:00 p.m. New York time or the close of regular trading on the NYSE Arca, whichever is earlier. A Redemption order so received will be effective on the date it is received in satisfactory form by the Distributor. Redemption orders are irrevocable. The redemption procedures allow Authorized Participants to redeem Baskets. Individual Shareholders may not redeem directly from the Fund. Instead, individual Shareholders may only redeem Shares in integral multiples of 25,000 and only through an Authorized Participant. By placing a Redemption order, an Authorized Participant agrees to deliver the Redemption Baskets to be redeemed through the Depository Trust Company's ("DTC") book entry system to the Fund not later than 3 p.m. New York time on the third business day following the effective date of the Redemption order. Prior to receipt of the redemption proceeds, an Authorized Participant's DTC account will be charged the $500 transaction fee due for the redemption order. The redemption proceeds from the Fund will consist of a transfer to the redeeming Authorized Participant of an amount of U.S. Treasuries and/or cash that is in the proportion to the total assets of the Fund (net of accrued but unpaid fees, expenses and other liabilities) on the date the order to redeem is properly received as the number of Shares to be redeemed under the redemption order is in proportion to the total number of Shares outstanding on the date the order is received. The Managing Owner, directly or in consultation with the Administrator, determines the requirements for U.S. Treasuries and the amounts of cash, including the maximum permitted remaining maturity of a Treasury, and the proportions of U.S. Treasuries and cash that may be included in distributions to redeem Baskets. The redemption distribution due from the Fund will be delivered to the Authorized Participant by 3:00 p.m. New York time on the third business day following the redemption order date if, by 3:00 p.m. New York time on such third business day, the Fund's DTC account has been credited with the Baskets to be redeemed. If the Fund's DTC account has not been credited with all of the Baskets to be redeemed by such time, the Redemption distribution will be delivered to the extent whole Baskets received. Any remainder of the Redemption distribution will be delivered on the next business day to the extent of remaining whole Baskets received if the Fund receives the fee applicable to the extension of the Redemption distribution date which the Sponsor may from time to time, determine and the remaining Baskets to be redeemed are credited to the Fund's DTC account by 3:00 p.m. New York time on such next business day. Any further outstanding amount of the Redemption order shall be cancelled. Pursuant to information from the Managing Owner, the Custodian will also be authorized to deliver the redemption distribution notwithstanding that the Baskets to be redeemed are not credited to the Fund's DTC account by 3:00 p.m. New York time on the third business day following the Redemption order date if the Authorized Participant has collateralized its obligation to deliver the Baskets through DTC's book-entry system on such terms as the Sponsor may from time to time determine. (6) Subsequent Events The Trust and the Fund have evaluated the need for disclosures and/or adjustments resulting from subsequent events through the date the financial statements were issued. This evaluation did not result in any subsequent events that necessitated disclosures and/or adjustments. Report of Independent Registered Public Accounting Firm To the Board of Trustees of ETF Managers Capital LLC We have audited the accompanying statement of financial condition of ETF Managers Capital LLC (the "Company") as of September 26, 2014 and the related statements of changes in member's capital and cash flows for the period from June 12, 2014 (inception) to September 26, 2014. These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audit. We conducted our audits in accordance with the standards of the Public Company Accounting Oversight Board (United States). Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements, assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion. In our opinion, the financial statement referred to above present fairly, in all material respects, the financial position of ETF Managers Capital LLC as of September 26, 2014 and changes in its member's capital and its cash flows for the period June 12, 2014 (inception) to September 26, 2014, in conformity with accounting principles generally accepted in the United States of America. WithumSmith+Brown, P.C. New York, NY October 3, 2014 ETF MANAGERS CAPITAL LLC Statement of Financial Condition September 26, 2014 ASSETS 1,000 1,000 2,000 — 2,000 2,000 2,000 ETF MANAGERS CAPITAL LLC Statement of Changes in Member's Capital Period from June 12, 2014 (inception) to September 26, 2014 — 2,000 2,000 ETF MANAGERS CAPITAL LLC Statement of Cash Flows Period from June 12, 2014 (inception) to September 26, 2014 (1,000) ) (1,000 2,000 2,000 1,000 — 1,000 ETF MANAGERS CAPITAL LLC Notes to Financial Statements September 26, 2014 (1) Organization and Basis of Presentation ETF Managers Capital LLC (the "Company"), a Delaware limited liability company, was formed on June 12, 2014 and is a wholly-owned subsidiary of Exchange Traded Managers Group LLC ("ETFMG"). The Company has applied for registration with the Commodity Futures Trading Commission as a commodity pool operator ("CPO") and has applied for membership with the National Futures Association ("NFA"). The Company serves as the Sponsor and Managing Owner of ETF Managers Group Commodity Trust I (the "Trust") a Delaware series trust, of which the Sit Rising Rate ETF (the "Fund") is currently the sole series of the Trust. Sit Fixed Income Advisors II, LLC ("Sit") has applied for registration as a "commodity trading advisor" ("CTA") and will act as such for the Fund. (2) Summary of Significant Accounting Policies (a) Basis of Accounting The accompanying financial statements have been prepared in conformity with accounting principles generally accepted in the United States of America. As the Company does not have any revenues or expenses during the period from June 12, 2014 (inception) to September 26, 2014, a statement of operations is not presented herein. (b) Use of Estimates The preparation of the financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and revenues and expenses and disclosure of contingent assets and liabilities during the reporting period of the financial statements. Actual results could differ from those estimates. (c) Cash and cash equivalents The Company defines cash and cash equivalents to be highly liquid investments, with original maturities of three months or less. (d) Income Taxes As the Company does not have any revenues or expenses during the period from June 12, 2014 (inception) to September 26, 2014 no provision for United States federal or state income taxes has been made. The Company is a single member limited liability company. (e) Related Party Transactions The Fund will pay the Company a management fee, monthly in arrears, in an amount equal to 0.50% per annum of the daily net asset value of the Fund (the "Management Fee"). The Management Fee will be paid in consideration of the Company's advisory services to the Fund. From the Management Fee, The Company will be responsible for paying any license fee relating to the index tracked by the Fund. The Company will contractually agree to waive the Management Fee and/or reimburse the Fund for its Other Expenses (which term excludes brokerage fees, interest expense, and extraordinary expenses) to cap Total Expenses at 1.50% per annum through February 1, 2016. Expenses incurred in connection with organizing the Fund and the offering of the Shares upon commencement of its trading operations will be paid by ETFMG, the parent and sole owner of the Company. Expenses incurred in connection with the continuous offering of Shares of the Fund after the commencement of its trading operations will be paid by the Fund. The Company has subscribed for 40 Shares or Units of the Fund in exchange for a capital contribution of $1,000 to the Fund. Units are a separate class of units of beneficial interest of the Fund that are issued to the Sponsor in exchange for its capital contribution to the Fund and represent units of fractional undivided beneficial interest in and ownership of the Fund. (3) Subsequent Events The Company evaluated the need for disclosures and/or adjustments resulting from subsequent events through the date the financial statements were available to be issued. This evaluation did not result in any subsequent events that necessitated disclosures and/or adjustments.
Legal briefing Number 76 5 December 2005 Implementing the Uhrig review: becoming an FMA agency One potential outcome of the Uhrig review is that authorities under the Commonwealth Authorities and Companies Act 1997 (CAC authorities) may become agencies under the Financial Management and Accountability Act 1997 (FMA agencies). 1 The assessment of Australian Government agencies against the Uhrig templates and principles is to be completed by March 2006. The focus of this briefing is on key issues relating to becoming or creating an FMA agency, and the changes that flow from being an FMA agency rather than a CAC authority. When a CAC authority is to become an FMA agency, the process can seem quite daunting. This briefing looks at critical issues that will need to be addressed early including: — preparing for transition (governance, preparing staff, due diligence) — transition to Public Service Act employment — transition to the FMA Act regime. Preparing for transition Cooperation between organisation and portfolio department Fundamental to achieving a smooth and seamless transfer is close cooperation between the authority and its portfolio department. Both have an equal stake in the successful outcome of the transition process and neither the authority nor the department can carry out its role without the help of the other. The CAC authority has all the knowledge of the organisation and its myriad different arrangements. The department needs to understand these so that decisions can be made about how to deal with various issues that arise out of those arrangements. One way that this cooperation can be achieved is to set up a small group (the transition committee), comprising both departmental and authority personnel, who will drive the process and ensure that all issues that need to be addressed are addressed. Governance during the transitional period Governance arrangements during the transition period need to be established. The following are some examples of governance issues that will need to be addressed. There may be others that will need consideration depending on the particular authority's circumstances and operations. Canberra Anne Kelly Special Counsel, Commercial T 02 6253 7004 F 02 6253 7316 firstname.lastname@example.org This issue Role of the board During the transition period the board will, of course, continue to manage the authority and ensure that it carries out its functions properly in accordance with the enabling and other applicable legislation which applies to the authority. However, there will be a number of matters that may need to be done differently. The board will now be managing the authority knowing that it is about to be abolished and replaced with an FMA agency. In this situation its role will become a caretaker role. The board will need to fulfil this role in close consultation with the department, bearing in mind that the authority will soon cease to exist in its current form. One of the first things the transition committee needs to do is to draw up protocols for communication and decision-making during the transition period. For example, these protocols could: — set out matters where the authority could continue to make decisions in the usual way — indicate matters likely to require approval of the department (or minister), such as: – arrangements which involve any significant spending – arrangements which will last longer than say six months – further appointments of permanent staff. There may also need to be new delegations by the board to the staff of the authority to take account of the new arrangements. Meetings between the board and the minister It might also be desirable for the minister during this time to meet with and brief the board more frequently than he or she otherwise would. This will ensure that at the highest level there is no misunderstanding. It may also be desirable for the board to be briefed by the authority more frequently than may otherwise be the case. Close liaison with other departments In order for there to be a smooth transition, the transition committee needs at an early stage to consider which departments need to be consulted. For example, the Department of Finance and Administration is responsible for both the CAC Act, which sets out the governance and accountability arrangements for statutory authorities, and the FMA Act, to which the CAC authority will be moving. Assistance and advice should be sought from Finance at an early stage. If the statutory authority has any debt or tax issues then Treasury should be consulted. Preparing the staff for the new environment There are two important aspects to this: — setting up processes for ensuring staff are kept up-to-date with what is happening — training staff on the new governance environment. Keeping staff informed Fundamental to a successful transition is ensuring that employees know what is happening and are kept informed. It is natural that there will be some uncertainty at this time, and it is vital to have processes in place to 2 The board will need to fulfil a caretaker role in close consultation with the department, bearing in mind that the authority will soon cease to exist in its current form. ensure that staff anxiety is kept to a minimum. Again, there needs to be a specific plan drawn up for this. This could include, for example: — a weekly newsletter to staff providing updates on the process — a dedicated web site where information is published — meetings where employees can ask questions — a way for staff to ask questions anonymously (e.g. via a question box, with answers posted on the web site). Training on new environment All public sector bodies, whether they are CAC authorities or agencies under the FMA Act and/or the Public Service Act 1999, have well defined governance frameworks which require adherence to the highest standards of accountability and transparency. However, employees in CAC authorities work within a different governance framework from those in FMA agencies, and staff transferring to an FMA agency will need to understand the governance framework for the handling and spending of public money. Further, the employment regime for CAC employees who are not already under the Public Service Act, but are employed under other arrangements, is also different. Under the Public Service Act, the governance framework for public servants is codified in the APS Values, and the conduct expected of public servants is set out in the Code of Conduct, which also provides for sanctions on APS employees who breach that Code. There will also be a number of other requirements, such as the Legal Services Directions, that the new agency will be subject to. Training for staff on this new environment would make the transition for them very much easier, assisting the new agency to carry on its functions in a seamless way. Due diligence preparation for transition The third item which should be on any transition group's agenda is due diligence. Due diligence is a shorthand way of saying that there needs to be a detailed examination of the business of the authority, including its functions, its assets and liabilities, and its contractual and other arrangements, with a view to identifying any issues that may need to be addressed during the transition process. Why due diligence? Many CAC authorities that become FMA agencies will do so pursuant to legislation. Why is it important to identify issues and arrangements when the legislation can simply provide for all assets and liabilities to be moved to the Commonwealth, which will become the successor in law to the authority? There are several reasons: — to ensure that all functions are suitable for transfer to the FMA agency — to ensure there are no arrangements which are unsuitable simply to be transferred by legislation — to ensure that there are no arrangements which cannot be simply transferred by legislation — to identify any peculiarities which will need to be dealt with specifically in the legislation. Once the employees of the authority become public servants they will be employed under the Public Service Act and many of their activities will be governed by the FMA Act. 4 Experience shows that an agency cannot make decisions about these matters unless it has a thorough understanding of all aspects of the business of the authority. How to set about due diligence It is often useful to draw up a due diligence check list. This should include all areas of the authority's activities which need to be investigated. The authority will then need to examine in detail all of its arrangements in relation to each of these areas. This would involve detailed discussions with the authority employee who is responsible for each specific aspect, as well as looking at the statutory or contractual arrangements that relate to that aspect of the business. The aim is to ascertain any issues – an important part of a thorough due diligence process is to have an issues list on which each issue, or potential issue, is set out as soon as it is identified. Someone then needs to be tasked to consider that issue further, in order to determine whether it can be resolved before transfer, whether it needs specific provisions in the legislation to resolve it, or if it cannot be easily resolved, how to manage it. Examination of functions The functions of the authority need to be considered carefully, so a decision can be made as to whether all the functions are suitable to be performed by the new FMA agency, or whether there are any that might be more appropriately moved to a similar CAC authority that is remaining under the CAC Act (or indeed to another department or agency). If there is to be any change in functions, or any removal of some functions to another body, then there will be the issue of which of the staff and assets/liabilities, contracts and records should follow those functions. They will then have to be excluded from any transfer in the legislation to the new FMA agency. Two recent examples are: — The abolition of ATSIC, where some functions and assets were transferred to the Commonwealth and some to other CAC authorities such as the Indigenous Land Corporation or Indigenous Business Australia. — The repeal of the National Occupational Health and Safety Commission Act 1985 and the transfer of the Commission's assets, liabilities and most of its functions to the Commonwealth. However, one of its functions, that of declaring national standards and codes of practice, has been conferred by new legislation (the Australian Workplace Safety Standards Act 2005) on an advisory body called the Australian Safety and Compensation Council, established by the executive power of the Commonwealth. Examples of some areas where there may be issues The due diligence process may uncover a variety of issues which will need to be addressed. For example: — There may be matters that might not be able to be transferred by legislation. For example, contracts governed by overseas laws, or that may need to be varied (e.g. contracts that may not be consistent with FMA requirements in relation to handling public money). — There may be contracts which have provisions for the contract to terminate at the election of the other party if there is a change of ownership. Obvious examples of this are contracts for borrowings or long-term property/leasing contracts. An important part of a thorough due diligence process is to have an issues list on which each issue, or potential issue, is set out as soon as it is identified. — Does the authority have any subsidiary companies? If so, what is the intention in relation to these companies.? Will they simply transfer to the Commonwealth? Will their assets and functions be transferred back to the authority and the company wound up before transition? — If an authority is an income tax payer, are there any outstanding matters to work through with the ATO? — Has the authority entered into any joint venture arrangements? Will these remain, and if not, how can they be unravelled? — In relation to complex or sensitive contracts, even if there is no fetter to their legislative transfer to the Commonwealth, it may be advisable to inform the other party of the proposed changes to the authority early, and make sure that it is comfortable with the arrangements. — There may be contracts which will no longer be necessary after transfer. It may be possible to unravel them before transition. There may be property or equipment leases that will no longer be needed after transition. If the authority is occupying premises it will no longer require, then there is a real issue unless the lease can be terminated, or another agency found to occupy the premises. — Intellectual property and information technology issues may arise. — Any contractual arrangements between the authority and the Commonwealth may need to be replaced by an MOU, or a letter. This can create particular issues if contracts with other parties (e.g. subcontractors) are dependent on the contract between the Commonwealth and the agency. — Existing insurance policies may no longer be required if the agency is to come under Comcover arrangements. Anne Kelly is Special Counsel in the Commercial Group in Canberra and is also the co-leader of AGS's Governance and Corporations network. She has led AGS teams in a number of major and complex projects and has advised departments and statutory authorities extensively on governance issues. Notes 1 Mr John Uhrig AC was appointed in November 2002 by the Australian Government to conduct a review of the corporate governance of Commonwealth statutory authorities and office holders. The review reported to the government in June 2003. On 12 August 2004, the government released its response to the report (see <http://www.finance. gov.au/governancestructures/>. The government accepted the recommendation that financial frameworks be based on the governance characteristics of the authority. Hence Budget-funded agencies, whose money and property should be held by the Commonwealth, typically should be subject to the Financial Management and Accountability Act 1997. Where it is appropriate that the authority be legally and financially separate from the Commonwealth and the authority is best governed by a board, it should be subject to the Commonwealth Authorities and Companies Act 1997. If the authority is occupying premises which it will no longer require, then there is a real issue unless the lease can be terminated, or another agency found to occupy the premises. 6 Becoming an FMA agency – employment considerations This is a brief overview of some of the key employment issues that arise when a CAC authority not previously covered by the Public Service Act becomes an FMA agency, focusing mainly on the terms and conditions of employment of the transferring employees. Will the authority employ under the Public Service Act? From the point of view of employment matters, the first issue to consider when looking at a CAC authority becoming an FMA agency is whether the authority will also, as part of the transition, become a Public Service Act agency. Being a CAC authority and being staffed under the Public Service Act are not mutually exclusive. Some 17 of 105 CAC authorities are staffed under the Public Service Act. Generally, CAC Act coverage is not accompanied by Public Service Act coverage, and generally FMA Act coverage is accompanied by Public Service Act coverage. While this is the norm, it is not inevitable. There are likely to be very few employment issues arising out of the transition to the FMA Act of a CAC authority that already employs its staff under the Public Service Act. We do not discuss that situation further in this briefing. Does the authority currently employ staff on its own account? The next issue to consider is whether the CAC authority that is in transition currently employs its own staff. For this to be the case, the authority must have its own legal personality, separate from the Commonwealth. This will usually be the case in relation to non-FMA authorities, but there are plenty of exceptions in the CAC Act world. This briefing looks at the situation of CAC authorities that have their own legal personality and employ their staff on their own account. The authority in transition will usually be a statutory authority (though not always). If it is, it will usually have a statutory power to engage employees. If it has that power, it will almost certainly have a statutory power to determine terms and conditions of employment of employees. The relevant provision will also typically include, or be followed by, a power to engage consultants. To give an example, let's look at the Health Insurance Commission, that ceased to exist on 1 October 2005. Subsection 9(1) of the Health Insurance Commission Act 1973 (HIC Act) established the HIC as a body corporate, as follows. (1) The Commission – (a) is a body corporate with perpetual succession; (b) shall have a common seal; (c) may acquire, hold and dispose of real and personal property; and (d) may sue or be sued in its corporate name. Note: The Commonwealth Authorities and Companies Act 1997 applies to the Commission. That Act deals with matters relating to Commonwealth authorities, including reporting and accountability and conduct of officers. Canberra Richard Harding Senior General Counsel T 02 6253 7026 F 02 6253 7304 email@example.com The authority in transition will usually be a statutory authority (though not always). Subsections 28(1) and 28(2) of the HIC Act provided for standard arrangements in relation to the engagement of staff of the HIC and the setting of their terms and conditions, as follows. (1) Subject to this section, the Commission may engage such staff as it thinks necessary for the purposes of this Act. (2) The terms and conditions of employment (other than in respect of matters provided for by this Act) of persons engaged as staff under subsection (1) shall be as determined by the Commission. Provisions like this are replicated in the establishing statutes of many statutory authorities. We can see from these provisions that the HIC had a separate legal personality from the Commonwealth – because it was established as a body corporate – and that the HIC body corporate had the power to employ its own staff. The Commonwealth is the employer of employees under the Public Service Act Public Service Act employment is employment by the Commonwealth. An agency head under the Public Service Act engages employees on behalf of the Commonwealth (s 22). Every person who is employed under the Public Service Act is an employee of the Commonwealth. (This is why it is not strictly correct to say 'I am employed by the Department of Finance and Administration.' Strictly, if you are from Finance, you are employed by the Commonwealth, in the Department of Finance and Administration.) Why is the question of whether the CAC authority employs its own staff a critical one? Why does it matter who is the employer of APS employees? The short answer to this question is because of the transmission of business provisions in the Workplace Relations Act 1996, and the effect those provisions will typically have when a CAC authority begins to employ under the Public Service Act. Those provisions are likely to come into play when there is a change of employer. The transmission of business provisions can apply where there is a change of employer Where a transition to Public Service Act employment involves a change of employer, the transmission of business provisions in the Workplace Relations Act will usually apply. And those provisions can operate to bring across the employees' current conditions, as set out in awards, certified agreements and AWAs. There is some complex case law on when the transmission of business provisions under the WR Act apply. We do not consider that case law here. While the application of the transmission of business provisions should not be assumed, it will generally be the case that those provisions will operate when a CAC authority employing staff on its own account becomes an agency employing staff under the Public Service Act. What is the effect of the transmission of business provisions? To answer this question, we need to backtrack a little, to consider the range of instruments that will typically operate in a CAC authority to regulate the terms and conditions of employment of its staff. Every person who is employed under the Public Service Act is an employee of the Commonwealth. Transmission of business provisions can operate to bring across the employees' current conditions, as set out in awards, certified agreements and AWAs. Instruments that determine terms and conditions Most CAC authorities that employ outside the Public Service Act will have the terms and conditions of their staff determined under a rich amalgam of different instruments. The constituting legislation itself Some terms and conditions may be determined directly in the authority's constituting legislation, although this will be fairly rare. Determinations made under the constituting legislation Some terms and conditions of employment may be set by CEO or Board determinations made under a power in the constituting legislation to determine terms and conditions of employees, like subsection 28(2) of the Health Insurance Commission Act, quoted above. Certified agreements Most of the terms and conditions of employment for most of the employees will be determined under a certified agreement (CA), if one is in place. In many cases a certified agreement will be in place, but not all CAC authorities have a certified agreement. AWAs Terms and conditions for some (typically senior) staff may be set under Australian workplace agreements (AWAs). Some CAC authorities may have all of their staff working on AWAs; some may have no staff on AWAs. Awards Conditions of employment may be underpinned by an award; but the award will typically have no operation in the CAC authority (apart from acting as the benchmark for the application of the no disadvantage test when CAs and AWAs are being made). This is because any awards will usually have been explicitly or generally excluded by the terms of the authority's certified agreement (and because AWAs entirely exclude awards). Common law contracts of employment Subject to any of the instruments referred to above, there may be common law contracts of employment operating between the authority and its employees. Having set out this background, we need to consider what will happen to the conditions of employment of the current staff if they are moved to employment under the Public Service Act. Operation of transmission of business provisions When the transmission of business provisions apply, they generally operate to make the industrial instruments under the Workplace Relations Act apply to the new employer, at least in respect of the employees who are transferred, and arguably, more broadly than that. There is a provision in the Workplace Relations Act which makes an award that applies to an employer transmit, so that it binds the successor of the employer (see section 149). There is a provision which makes a certified agreement transmit, so that it applies to the successor of the employer (see section 170MB). And there is a provision which makes an AWA transmit so that it binds the successor of the employer (see section 170VS). In the cases under discussion the Commonwealth will generally be the successor in employment to the CAC authority, for the purposes of the Workplace Relations Act. The provisions in the Workplace Relations Act that make awards and certified agreements transmit allow for their operation to be varied by the Australian Industrial Relations Commission. 8 When the transmission provisions apply, they generally operate to make the industrial instruments under the Workplace Relations Act apply to the new employer. A complex picture can develop on transmission The simplest case will be where an authority is merely changing status and is not going to become part of an existing agency, and is not combining with another (existing) agency (or several such agencies) to form a new agency. In this simple case, there will typically be a certified agreement and perhaps AWAs operating in the authority, and an award that is in the background, but not operating. Because the authority is simply changing status, there will be no industrial instruments to worry about at the receiving end of the transfer, apart from the Australian Public Service Award 1998 (the APS Award). A somewhat more complicated case will be where the authority is to become part of the portfolio department. Here the issue will usually be the relationship between the certified agreements of the authority and the department. The most complex cases can be very complex indeed, involving multiple overlapping certified agreements and awards, and sometimes state awards and state transmission of business arrangements. But even in the simple situation, significant issues may arise. One problem that can arise is that while the award that applied to the authority when it was under the CAC Act will usually have been excluded by the authority's certified agreement, that certified agreement may not operate to exclude the operation of the APS Award. The potential situation, then, is that the transmitted certified agreement and the APS Award will operate in tandem, with the agreement prevailing over the award to the extent of any inconsistency. This will not be a problem if the certified agreement is expressed to be comprehensive; but it will depend on the wording of the certified agreement. Beyond the transmission of business issues, there may be issues about the classification structure the new agency is to have. The classification structure of the authority when it made its own employment arrangements may not match the classification structure of the APS. The structure will have to be changed to fit the Public Service Act model, even though it is a model with significant flexibility. In this situation some translation work will have to be done. Another possibility is that the engagement and tenure arrangements in the authority may not match those under the Public Service Act. For example, an authority may not employ employees on an ongoing basis, but may engage all of its employees on term contracts, say for a maximum of five years. This does not fit the model of tenure under the Public Service Act and it is not possible to change that model. It is not possible to engage employees (other than Senior Executive Service employees) for a five-year term under the Public Service Act. A decision will usually have to be taken as to whether these staff are to be given ongoing employment. WorkChoices The government is proposing to change the transmission of business arrangements under the Workplace Relations Act. Under the WorkChoices proposals, awards, certified agreements and AWAs would not transmit where no employees take up employment with the new employer. And where transmission does occur, the transmitted instruments will only operate for a maximum of twelve months. In practice these changes are not likely to have a great deal of impact on CAC authorities moving to the Public Service Act. The classification structure of the authority when it made its own employment arrangements may not match the classification structure of the APS. 10 How are the employees to be moved to the new Public Service Act agency? Particularly where there is a change of employer, the question will arise, how are the employees to be moved to the new agency? When the new employment is Public Service Act employment, there are at least two possible answers to this question. The first is that the staff will be moved by the Public Service Commissioner, who among other things has the power to terminate the employment of an employee in a Commonwealth authority, and to engage that employee in the APS. So, generally speaking, the move can be effected administratively by the Public Service Commissioner, under section 72 of the Public Service Act. This action does not depend on any consent of the affected employees. The second option for moving people is by legislation. Generally when an authority is being moved into FMA Act coverage, there will be a need for amendment to the authority's enabling legislation (if it has enabling legislation) and provisions can be included in the amending Act that move the staff to the new agency. However, this path is generally not necessary because of the considerable flexibility of the Public Service Commissioner's power in the Public Service Act to move staff. Where the Public Service Commissioner moves the employees Where the Public Service Commissioner moves the authority's employees into the public service under section 72 of the Public Service Act, there is a facility in the Public Service Regulations which enables the agency head of the new Public Service Act agency to effectively preserve remuneration and conditions of employment of the transferred employees. A determination made under regulation 8.2 of the Public Service Regulations preserving conditions of employment ceases to apply to an employee as soon as they become covered by a new award, certified agreement or AWA. Other issues Here is a short list of some of the other employment issues that will need to be looked at if an authority is moving into Public Service Act coverage. Policy parameters for agreement making The government's policy parameters for agreement making in the Australian Public Service are substantially similar to the parameters that apply to Commonwealth authorities. There are, however, some minor differences – mostly relating to mobility across the APS – and authorities need to be aware of these. Different Commonwealth legislation may apply A number of pieces of Commonwealth legislation apply directly to employees employed under the Public Service Act. So the statutory framework that applies in an authority may change once it is within Public Service Act coverage. This is not likely to lead to major change, because most CAC authorities are likely to be covered by most Commonwealth employment legislation. But to give one example, the Maternity Leave (Commonwealth Employees) Act 1973 will automatically apply once the authority is under the Public Service Act, where at present that Act does not apply to a number of Commonwealth authorities. Coverage by the APS Values and the APS Code of Conduct Authorities need to be aware that the conduct rules for employees will change to a greater or lesser extent once employees are employed under the Public Service Act. Section 10 of the Public Service Act sets out the APS The move can be effected administratively by the Public Service Commissioner, under section 72 of the Public Service Act. This action does not depend on any consent of the affected employees. Values, and section 13 sets out the Code of Conduct. It may be necessary to provide staff with training in the new arrangements. Powers of delegation New delegations will need to be made for the exercise of powers under the Public Service Act. The Public Service Act includes very flexible powers of delegation. Authorities will need to be conscious that the employment powers in their current personnel management regime may not be perfectly mirrored in the Public Service Act. Conclusion The issue of the terms and conditions of employment can be a complex one where a CAC authority moves to the FMA Act and with that move, to employment under the Public Service Act. It is prudent to tackle the employment issues as early as possible. Richard Harding is a Senior General Counsel who specialises in public service employment law and workplace relations law. He has a background in people management policy in the Australian Public Service and has recently completed work as legal advisor to a major public service reform project in Samoa sponsored by AusAID. Financial management under the FMA Act: handling public money, appropriations and procurement When a body becomes a prescribed agency under the Financial Management and Accountability Act 1997 (the FMA Act), it becomes subject to a comprehensive regulatory regime in relation to financial management. Section 44 of the FMA Act imposes on the Chief Executive of each agency responsibility for the efficient, effective and ethical management of the Commonwealth resources under the Chief Executive's control. The FMA Act, the Financial Management and Accountability Regulations and the Finance Minister's Orders then impose a range of obligations and restrictions on the way public money and public property is to be managed and used, and how that management and use is to be reported. This briefing sets out some of the important obligations which arise for FMA Agencies. 1 The context: the Consolidated Revenue Fund and public money What is public money? All money which is held by the Commonwealth (including money which is held on behalf of another person), and all money which is held by another person on behalf of the Commonwealth is 'public money'. 2 This includes: — all money which is in the bank accounts of an FMA Act entity 3 — all petty cash held by an FMA Act entity — all money which is held by a third party on behalf of an FMA Act entity — as well as the money which is held by Finance in the 'Official Public Account' (OPA). What is the Consolidated Revenue Fund? There is no longer a 'fund' into which money is paid, which is called the Consolidated Revenue Fund (CRF). Rather, under the 'self-executing' theory of the CRF, money becomes part of the CRF when it is received by It is prudent to tackle the employment issues as early as possible. Sydney Simon Konecny Senior Executive Lawyer T 02 9581 7585 F 02 9581 7445 firstname.lastname@example.org 11 12 the Commonwealth, and remains part of the CRF until it is paid by the Commonwealth (or by someone else on behalf of the Commonwealth) to another person. For most purposes, money which is 'public money' is part of the CRF, and vice versa. Importantly, money which is held by or on behalf of an FMA agency is part of the CRF. Appropriations One of the most important principles of the Westminster system of government is that money cannot be spent by the Executive Government unless Parliament has passed a law appropriating the money. This principle is enshrined in sections 81 and 83 of the Constitution. In particular, money cannot be spent from the CRF without an appropriation. As noted above, money held by FMA agencies forms part of the CRF. Under the devolved system of financial management, agencies are responsible for managing and reporting on their expenditure under appropriations. In particular, they are responsible for ensuring that every time public money is spent, an appropriation is available to cover the expenditure, and that the expenditure is recorded, to ensure that there is no risk of overspending the appropriation. Every expenditure made under an appropriation must be recorded by the agency. This process is called 'debiting' the appropriation. This recording must be done on a cash, not an accruals, basis. Drawing rights One way in which the FMA Act ensures that there is no risk of expenditure taking place without an appropriation is by requiring that every time public money is spent, the relevant appropriation is debited by a person holding a 'drawing right'. Moreover, the person who actually makes the payment of public money is also required to hold a 'drawing right'. 4 The Finance Minister has delegated the power to issue drawing rights to the Chief Executive of each agency. 5 Complex issues arise when one agency makes payments from an appropriation which is controlled by another agency, and legal advice should be sought if an agency is involved in this kind of transaction. The Department of Finance and Administration should also be consulted. Can an agency 'keep' money that it earns? One issue that arises because of the requirement that money in the CRF cannot be spent without an appropriation, is that when an agency 'earns' money (from the sale of small assets, or from cost recovery activities), it cannot be spent by the agency without a further appropriation. The common way of dealing with this problem is for the minister responsible for the agency to enter into a 'net appropriation agreement' or 'section 31 agreement' 6 with the delegate of the Finance Minister. The effect of such an agreement is that amounts received by the agency are added to the annual departmental appropriation to the agency, meaning that the amounts can then be spent without a further appropriation. It is crucial that any agency which relies heavily on income from its activities to meet its own expenses enters into a section 31 agreement as soon as possible. Otherwise there is a real risk that the agency will spend money without an appropriation, which can amount to a breach of section 83 of the Constitution. Money cannot be spent from the CRF without an appropriation. It is crucial that any agency which relies heavily on income from its activities to meet its own expenses enters into a section 31 agreement as soon as possible. Custody of public money Under the FMA Act, public money can only be deposited by an official into an official bank account. Official bank accounts can only be opened in accordance with strict requirements imposed by the Finance Minister. In particular, official bank accounts are ordinarily required to comply with what is known as the 'core protocols' for agency banking. Under these protocols: — all agency bank accounts (other than those which hold trust money) are swept into the Official Public Account overnight – that is, their balance is reduced to zero and then restored the following morning — agencies do not earn interest on their bank balances — all agencies must maintain at least a departmental payments account and a departmental receipts account. Not all major banks are able to comply with the core protocols. It is therefore necessary to ensure that the agency is banking with a compliant bank prior to becoming an FMA agency, and that the agency's bank accounts comply with FMA Act requirements. Public money being received or handled by outsiders Difficult issues arise where money which is payable to or by the Commonwealth, is actually handled by persons outside the Commonwealth. This is becoming increasingly common, as agencies outsource functions such as payroll, collection of fees, the running of conferences etc. Where an outsider is simply involved in the receipt and custody of public money, then this can be handled by an authorisation under section 12 of the FMA Act. However, where outsiders are involved in spending or managing public money, the effect of the FMA Regulations is that the outsiders themselves become 'officials' under the FMA Act. The outsiders may not pay public money into their own bank accounts, and are subject to all the rules about the handling of public money which apply to officials inside agencies. Moreover, special arrangements may need to be made in relation to record keeping, and the management of appropriations. It is essential to seek advice in relation to these kinds of arrangements, as special contractual arrangements may be required. Procurement The FMA Act regulates the procurement activities of bodies that are subject to its requirements. The most significant aspects of procurement it regulates are: — entering into contracts — the procurement process — contract provisions. Entering into contracts Under FMA regulation 13, a person must not enter into a contract unless the proposal to spend money for the contract has been approved under regulation 9 and if necessary regulation 10. Regulation 9 requires FMA agencies to ensure that expenditure is in accordance with the policies of the Commonwealth, is an effective and efficient use of public money and is consistent with the terms under which the money is held. Where outsiders are involved in spending or managing public money, the effect of the FMA Regulations is that the outsiders themselves become 'officials' under the FMA Act. 13 Regulation 10 requires the approval of the Minister for Finance (or his delegate) if there are not sufficient 'appropriations' to cover the expenditure under the contract. The procurement process FMA regulation 8 requires that regard be had to the Commonwealth Procurement Guidelines (CPGs) in any procurement. Some aspects of the CPGs are also considered to be Commonwealth policies that have to be complied with under regulation 9. The CPGs are both 'best practice guidelines' (detailing general policies that must underpin any procurement process of an FMA agency such as value for money, encouraging competition, efficient use of resources, and transparency and accountability) and a set of rules (the Mandatory Procurement Procedures – MPPs) that must be followed for 'covered' procurements. The MPPs largely evolved out of the Australia – United States Free Trade Agreement. While some CAC authorities are subject to the CPGs and in particular the MPPs, their application for FMA agencies is different and more detailed. The most important of the MPPs are: — the monetary threshold that triggers the application of the MPPs in most cases ($80,000) – which is much lower for FMA agencies compared to non-FMA agencies that are covered by the CPGs — in almost every case an agency must approach the market at some stage in 'covered' procurement process – that is, an agency cannot rely on an understanding of what the market can provide — the agency must clearly identify the information it requires of tenderers (minimum form and content requirements) — the agency must clearly identify the legal, commercial, technical and financial capacities tenderers must have to participate in the procurement (conditions for participation) — specifications should be performance based – essential aspects must be identified to tenderers (essential requirements) — the agency must exclude tenders that do not comply with the minimum form and content requirements (except where there is an unintentional error of form) or the conditions for participation — the agency must give tenderers sufficient time to lodge their tenders and must exclude tenders that are late (except where due to agency mishandling) — unless it is not in the public interest, an agency must accept the best value for money tender that meets the form and content requirements, conditions for participation, and essential requirements. Contract provisions FMA regulation 9 requires FMA agencies to have regard to relevant Commonwealth policies. These change from time to time, but are currently described in the Department of Finance and Administration's Financial Management Guidance Number 10, Guidance on Complying with Legislation and Government Policy in Procurement. These policies cover a range of considerations (e.g. construction, environment, security and privacy). The CPGs themselves also contain some Commonwealth policies for the purposes of Regulation 9. These can impact both on the conduct of a procurement process and on the terms of any resulting contract. 14 While some CAC authorities are subject to the CPGs and in particular the MPPs, their application for FMA agencies is different and more detailed. FMA regulation 10 regulates contingent liabilities (that might arise, for example, through long term contracts, or where warranties, indemnities and limitations on liability are provided for in contracts). It requires that approvals be obtained in certain circumstances either from the Minister for Finance or from a delegate. For agencies not previously regulated under the FMA regime, the requirement to take account of the need for Regulation 10 approvals may require a different approach to tendering, negotiations and contract approvals. The Department of Finance and Administration has issued a range of publications in relation to procurement which are available from its website (www.finance.gov.au). AGS also has a range of publications in relation to Commonwealth procurement – for some recent examples see Commercial Notes 10, 11, 16 and 17 (www.ags.gov.au). Notional transactions It is important to note that transactions between agencies, although they do not involve money leaving the CRF, are treated by the FMA Act and annual appropriations Acts as if they were real transactions. This means, for example, that it is necessary to debit an appropriation when a payment is made to another agency, and that approval of the expenditure must be given. Kathryn Graham has particular expertise in Commonwealth financial management and provides advice on constitutional issues; assists clients in policy development, the development of drafting instructions and review of draft legislation; and advises on the interpretation and application of Commonwealth legislation. Simon Konecny has extensive knowledge and experience in property and contracting matters including acquisitions and disposals, leasing and advice on leasing obligations, fitouts, building and construction matters, tenders and advice in relation to tender processes and strategies, outsourcing and consultancy arrangements, indemnities and licence arrangements. Notes 1 There are a number of other obligations, and this paper should not be regarded as a comprehensive discussion of FMA Act obligations. 2 FMA Act section 5. 3 Subject to special legislative provisions which might allow an FMA agency to hold money which is not public money. 4 See section 26 of the FMA Act, which makes it an offence to make a payment of public money, or to debit an appropriation, without a valid drawing right. 5 The power to issue drawing rights is contained in section 27 of the FMA Act. Most Chief Executives have delegated the power to issue drawing rights in their own agencies. 6 So-called because it is made under the terms of section 31 of the FMA Act. A special account established under section 20 of the FMA Act can also be used to set apart money received from a particular activity for a particular use. Section 20 of the FMA Act contains a standing appropriation. The requirement to take account of the need for Regulation 10 approvals may require a different approach to tendering, negotiations and contract approvals. 15 AGS contacts AGS has a team of lawyers specialising in advising agencies on implementing the government's decision on the Uhrig recommendations. For further information on the articles in this issue or on other Uhrig issues, please contact our practice leaders in this area, John Scala and Robert Orr, or any of the lawyers listed below: Robert Orr QC Deputy General Counsel T 02 6253 7585 F 02 6253 7445 email@example.com Governance, due diligence, legislation FMA considerations The material in this briefing was first prepared for the AGS forum 'Implementing the Uhrig Review: implications of becoming an FMA agency' held in Canberra on 25 October 2005. It is anticipated that a series of follow-up seminars will be held in May–June 2006. Enquiries: Leslie Peters 02 6253 7195 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, 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 16 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 firstname.lastname@example.org to arrange supply. For enquiries regarding supply of issues, change of address details: T 02 6253 7052 F 02 6253 7313 E email@example.com ISSN 1448-4803 Approved Postage PP 233744/00042
Contracts and Purchasing Board County Administration Building, 4 th Floor February 27, 11:30 PM I. Call to Order II. Review and Approve Minutes III. Public Comment IV. Contracts and Awards A. Tabled Items \| Item \| Requestor \| Description \| \|---\|---\|---\| \| CPB2012- 128 \| Department of Health and Human Services \| Submitting a contract with Cuyahoga Health Access Partnership in the amount not-to-exceed $50,000.00 for administration of a Countywide health access plan for the period 1/1/2012 - 12/31/2013. Funding Source: 100% Health and Human Services Levy \| \| CPB2012- 138 \| Juvenile Court \| 1. What is the product/service that you seek to acquire? Provide a detailed description of the product/service. Digital Recording System for Court Hearings 2. Will this purchase obligate Cuyahoga County to this or any other vendor for future purchases, for example, maintenance, licensing or continuing need? Yearly renewal of the CourtSmart Digital Systems maintenance agreement has been approximately $55,000. 3.Why do you need to acquire these goods or services? Provide Information on the main requirement for this purchase. Juvenile Court has been using CourtSmart services since 2005. We have made 38 hardware and software tech calls to CourtSmart Technicians. A sole source renewal of the CourtSmart maintenance is imperative to keep hardware and software functioning. Juvenile Court has 3,500 DVD double-sided backup tapes with thousands of recorded hearings for future retrieval if necessary. 4. Why are the requested goods/services the only ones that-can satisfy your requirements? Juvenile Court has been using CourtSmart services since 2005. CourtSmart won the bid for the initial installation and maintenance agreement. We have renewed our maintenance agreement for the years 2005,2006, 2007, 2008,2009 and 2010. We have made 38 hardware and software tech calls to CourtSmart Technicians in 2010. Juvenile Court has 3,500 DVD double-sided backup tapes \| B. Scheduled Items \| Item \| Requestor \| Description \| \|---\|---\|---\| \| CPB2012- 163 \| County Law Library \| On behalf of the Cuyahoga County Law Library Resources Board, submitting an agreement with Board of Trustees of the Cleveland Public Library in the amount of $15,593.23 for on-line access to the CLEVNET System for the period 2/1/2012 - 1/31/2013. Funding Source: 100% County Law Library Resources Board Special Revenue Fund \| Remediation of property located at 1254 East 144th Street, East Cleveland, in connection with the FY2010 Lead-Based Paint Hazard Control and Lead Hazard Reduction Demonstration Grant Program for the period 2/27/2012 - 5/31/2012. Funding Source: 100% US Dept. of Housing and Urban Development Lead Hazard Remediation Grant ____Approve ____Disapprove ____Hold CPB2012- 165 Department of Development Recommending to accept a partial payment in the amount of $23,137.00 from the Estate of H. F. Fernandez in full satisfaction of balance due in connection with the Homeowner Rehabilitation Loan Program. Funding Source: 100% Federally Funded ____Approve ____Disapprove ____Hold CPB2012- 166 Department of Health and Human Services Community Initiatives Division/Office of Early Childhood, submitting a contract with Starting Point in the amount not-to-exceed $94,697.00 for administration of the Early Care and Education Center Capacity and Expansion Program for the Invest in Children Program for the period 1/1/2012 - 12/31/2012. Funding Source: 100% HHS Levy ____Approve ____Disapprove ____Hold CPB2012- 167 Department of Public Safety and Justice Services Submitting an agreement with City of Lakewood in the amount not-to-exceed $48,419.00 for reimbursement of purchase of equipment and eligible expenses in connection with the FY2009 Port Security Grant Program for the period 6/1/2009 - 5/31/2012. Funding Source: 75% Federal Dollars by the Department of Homeland Security FEMA, 25% Subgrantees ____Approve ____Disapprove ____Hold CPB2012- 168 Department of Public Safety and Justice Services Submitting agreements with various municipalities and a State University for reimbursement of eligible expenses in connection with the FY2010 State Homeland Security Grant Program for the period 8/1/2010 - 2/28/2013: a) City of Bay Village in the amount not-to-exceed $1,300.00. b) Cleveland State University in the amount not-to-exceed $1,295.66. c) City of Fairview Park in the amount not-to-exceed $1,300.00. d) City of Rocky River in the amount not-to-exceed $1,300.00. Funding Source: 100% by the Department of Homeland Security through OEMA ____Approve ____Disapprove ____Hold CPB2012- Department of \| CPB2012- 171 \| Department of Workforce Development \| 1) Submitting a contract with The Apex Paper Box Company in the amount not-to-exceed $11,700.00 for the On-the-Job Training Program for the period 1/23/2012 - 6/30/2012. 2) Submitting a contract with Long Term Care Ombudsman in the amount not-to-exceed $8,220.00 for the On-the-Job Training Program for the period 1/23/2012 - 6/30/2012. Funding Source: 100% Federal Workforce Investment Act Funds \| \|---\|---\|---\| \| CPB2012- 172 \| Office of Procurement and Diversity \| Recommending an award: Department of Public Works a) on RQ22158 to MNJ Technologies Direct in the amount of $48,429.00 for purchase of Hewlett Packard servers, desktop and laptop computers (State Contract No. 533268-2-24 STS-033 ORC 125.04(B)). Funding Source: 100% Sanitary Engineer General Fund \| C. Exemption Requests The current contract term is July 1, 2011 through June 30, 2012. The requested contract amendment term is July 1, 2012 through June 30, 2013. 2. Estimated Dollar Value and Funding Source(s) including percentage breakdown 1) Career Development and Placement Strategies Inc. in the amount of $105,000.00. (CE 1100534-01) 2) Center for Families and Children in the amount of $96,000.00. (CE1100498-01) 3) Cuyahoga County District Board of Health in the amount of $95,000.00. (AG 1100147-01) 4) Domestic Violence Center the amount of $95,000.00. (CE 1100536-01) 5) JDC Advertising in the amount of $80,000.00. (CE 1100537-01) 6) The MetroHealth System in the amount of $48,000.00. (AG 1100144-01) 7) Nueva Luz Urban Resource Center in the amount of $45,000.00. (CE1100495-01) 8) Passages Connecting Fathers and Sons, Inc. in the amount of $105, 000.00. (CE1100496-01) 9) United Way of Greater Cleveland in the amount of $14,000.00. (CE 1100497-01) 10) University Settlement, Incorporated in the amount of $56,000.00. (CE 1100501-01) 11) Murtis Taylor Human Services System in the amount of $66,000.00. (CE 1100500-01) 12) Cuyahoga County Office of Mediation in the amount of $41,000.00. (AG 1100146-01) 3. Rationale Supporting the Use of the Selected Procurement Method A Fatherhood RFP that was released in 2011 included an option to amend the contracts that were recommended and approved as a result of the process. Each of the providers who were given contracts (July 1, 2011 through June 30, 2012) have performed well and met all of the objectives of their respective contracts and therefore we are recommending amending each of the contracts for one year which makes the amendment period July1, 2012 through June 30, 2013. 4. What other available options and/or vendors were evaluated? If none, include the reasons why. CPB2012175 Department of Health and Human Services/ Employment and Family Services few years. Another vendor and new software would probably be much more expensive if implemented. 5. What ultimately led you to this product or service? Why was the recommended vendor selected? DSAS has used this software and application for a number of years. Staff are familiar with the product and vendor response has been satisfactory. 6. Provide an explanation of unacceptable delays in fulfilling the County's need that would be incurred if award was made through a competitive bid. All tracking and provider access to this application would be lost which would contribute to causing delays and problems in dealing with Medicare and Medicaid clients and their cases. 7. Describe what future plans, if any, the County can take to permit competition before any subsequent purchases of the required supplies or services. There is a similar software application from Lucas County that we will evaluate to replace Provider Gateway LTC during the coming year. If analysis of the replacement works, we will be able to use a new system. 1. Description of Supplies or Services (If contract amendment, please identify contract term and/or scope change) United Way of Greater Cleveland will serve as the secretariat and fiscal agent to perform the administrative duties related to the distribution, monitoring, and oversight of Cuyahoga County funds to meet the emergency food needs in the county. Currently, the Hunger Network of Greater Cleveland on behalf of their 34 affiliated hunger centers purchase food from the Cleveland Foodbank. In addition the Cleveland Foodbank is responsible for providing administrative oversight of County funds, ensuring there is a diverse inventory of food, and providing on-going evaluation of the success of their method of distribution. This contract is for the period April 1, 2012 – December 31, 2012. 2. Estimated Dollar Value and Funding Source(s) including percentage breakdown Contract is in the amount of $823,500 and is HHS levy funded. 3. Rationale Supporting the Use of the Selected Procurement ____Approve ____Disapprove ____Hold Method service. 3. Will this purchase obligate Cuyahoga County to this or any other vendor for future purchases, for example, maintenance, licensing or continuing need? □ Yes x No 4. Why do you need to acquire these goods or services? The Department of Public Works maintains 50 Pump Stations throughout Cuyahoga County. Many of these Pump Stations are outfitted with Gorman Rupp pumps. When these pumps need servicing, parts, or replacement, the Craun Liebing Company is the only regional supplier of these pumps. A one (1) year Sole Source exemption contract will enable the Department of Public Works the flexibility to quickly respond and repair failed equipment in our member communities. The 32 member communities that make up the Sanitary Division expect and are paying for a quick response to their communities needs. This contract will provide the Department of Public Works that tool. 5. Why are the requested goods/services the only ones that can satisfy your requirements? What are the unique features of the product or service that are not available in any other product or service? Provide specific, quantifiable factors/qualifications. Craun Liebing is the only regional supplier for Gorman Rupp pumps. 6. Were alternative goods/services evaluated? If yes, what were they and why were the unacceptable? Please be specific with regard to features, characteristics, requirements, capabilities and compatibility. If no, why were alternatives not evaluated? No Other supplier is authorized to sell these parts and service in this region. 7. Identify specific steps taken to negate need for sole source provider. The Sanitary Pump Stations are vital link in maintaining sewage flow in the communities. Failure of these units will result in property damage, specifically basement backup and the release of raw sewage. The County has implemented safety systems that provide an early notification of problems. By keeping the stations consistent, the county can respond quickly to service and repair many of the pumps. When a Pump Station is being designed or replaced the County based on past experience will evaluate which pump is the best during the design recommendation process. Once the design decision has been made the Pump Stations are built and the County must use factory authorized parts to maintain the warranty of the units. 8. Has your department bought these goods/services in the past? x Yes □ No If yes, who was the contractor/supplier and was the requirement competitively bid or sole source? What was the last date and price paid for goods/services? Yes and we have used Craun Liebing. Bids were solicited and no other bids were received. 9. What efforts have been made or are being made to reduce the Department's reliance on a sole source provider for these goods/services in the future? As noted above, the Department of Public Works evaluates the best available equipment on the market prior to purchase. Based on the decision to design a Pump Station with a certain pump, the department will use the approved factory authorized dealer for parts and service. 10. What efforts were made to get the best possible price? In the design phase, the Pump Station personnel work closely with the Engineers and review the pumps past performance and other factors. Pump station engineers evaluate and review all invoices to ensure the price is reasonable and consistent for the repair and parts. 11. Why is the price for this purchase considered to be fair and reasonable? As noted above, the County weighs the service costs, equipment costs, and repair costs when designing or replacing pump stations. In addition, the County considers the potential property damage and environmental concerns, as well as past pumps performance when recommending a pump. 12. Amount to be paid: The Department of Public Works is requesting a one year exemption contract in the amount not to exceed $75,000 with the Craun Liebing Company for the period of April 1, 2012 – March 31, 2013 as noted on requisition number ST-12- 22862. This will eliminate delays in securing parts, supplies, and service and prevent property damage and environmental discharge concerns. ____Approve ____Disapprove ____Hold CPB2012- 177 Department of Public Works 1. Vendor/Department Information Vendor/Contractor Name: MTech Company 2. What is the product/service that you seek to acquire? The Department of Public Works is requesting a one year Sole Source exemption contract in the amount not to exceed $120,000 with the MTech Company for the period of April 1, 2012 – March 31, 2013. Upon approval of this request the contract will be completed and submitted. The MTech Company is the sole authorized supplier/dealer for Cues camera equipment in Ohio. This includes parts, supplies, repairs and service. The Sanitary Division uses this equipment to televise sanitary and storm sewers in 32 member communities. The Sanitary Division has 8 Cues camera trucks and MTech is the only authorized supplier/dealer for Cues. This contact will enable the Department of Public Works the ability to secure parts and equipment quickly in order to return these revenue generating vehicles into service. These vehicles bill at $260 per hour. 3. Will this purchase obligate Cuyahoga County to this or any other vendor for future purchases, for example, maintenance, licensing or continuing need? □ Yes x No 4. Why do you need to acquire these goods or services? The Department of Public Works has eight Cues Camera Trucks in the fleet and the MTech Company is the only authorized dealer in the state of Ohio. No other vendor is authorized to sell these parts in Ohio. The camera equipment is used in extreme environments and as such, routine wear and tear results in the replacements of worn parts. Additionally complex problems require the equipment to be sent in for service and or replacement. This contract will enable the Department of Public Works the ability to quickly return these revenue generating vehicles into service. 5. Why are the requested goods/services the only ones that can satisfy your requirements? What are the unique features of the product or service that are not available in any other product or service? Provide specific, quantifiable factors/qualifications. By using anyone but a factory authorized supplier the County runs the risk of voiding all warranty coverage for the vehicles. Plus no other supplier is authorized to provide these parts in Ohio. 6. Were alternative goods/services evaluated? If yes, what were they and why were they unacceptable? Please be specific with regard to features, characteristics, requirements, capabilities and compatibility. If no, why were alternatives not evaluated? No other supplier is authorized to sell the Cues camera equipment in Ohio. 7. Identify specific steps taken to negate need for sole source provider. The Television Camera trucks are very expensive vehicles and have a limited number of suppliers. Prior to purchasing these vehicles, the Department of Public Works reviews the latest equipment available on the market and selects the best equipment for the County’s needs. Once that decision is made in order a specific vehicle, the county is required to use factory authorized parts and suppliers to ensure warranty on the vehicles. 8. Has your department bought these goods/services in the past? x Yes □ No If yes, who was the contractor/supplier and was the requirement competitively bid or sole source? What was the last date and price paid for goods/services? Yes and we have used MTech. Bids were solicited and no other bids were received, because no other authorized suppliers in Ohio. 9. What efforts have been made or are being made to reduce the Department’s reliance on a sole source provider for these goods/services in the future? As noted above, the Department of Public Works evaluates the best available equipment on the market prior to purchase. Based on the decision to purchase, the department is complied to use the approved factory authorized dealer for parts and service. 10. What efforts were made to get the best possible price? MTech is the sole supplier in Ohio and the County considers the price for parts when deciding to purchase the same vehicle in the future. This keeps the supplier on notice. In addition, Cues, the manufacturer, sets the price for its dealers. 11. Why is the price for this purchase considered to be fair and reasonable? As noted above, the County weighs these costs when purchasing new equipment which run in excess of $275,000 per unit. Therefore, future business is at stake. In addition, Cues the manufacturer determines the pricing. 12. Amount to be paid: The Department of Public Works is requesting approval of the Sole Source Justification and the department is requesting authorization and approval to enter into a one year contract for an amount not to exceed $120,000 for replacement parts, supplies, repairs, and service as noted on requisition number ST-12-22861. The contract period will be for April 1, 2012 – March 31, 2013. This will eliminate delays in repairing and servicing these important vehicles and keep the fleet in service. These vehicles charge $260/hour to member communities and are revenue generators. ____Approve ____Disapprove ____Hold CPB2012- 178 Department of Public Works 1. Vendor/Department Information Vendor/Contractor Name: Ohio Pump Company 2. What is the product/service that you seek to acquire? The Department of Public Works is requesting a one year Sole Source exemption contract in the amount not to exceed $50,000 with the Ohio Pump Company for the period of April 1, 2012 – March 31, 2013. Upon approval of this request the contract will be completed and submitted. Ohio Pump is the only regional supplier in Ohio for Hydromatic (Submersible) Pumps which are one of two main types of pumps used in the Sanitary Division Pump Stations. This request includes equipment parts, supplies, repairs, and service. 3. Will this purchase obligate Cuyahoga County to this or any other vendor for future purchases, for example, maintenance, licensing or continuing need? □ Yes x No 4. Why do you need to acquire these goods or services? The Department of Public Works has 50 Pump Stations in throughout Cuyahoga County. Many of these Pump Stations are outfitted with Hydromatic Pumps. When these pumps need servicing, parts, or replacement, the Ohio Pump is the only regional supplier. A one (1) year Sole Source exemption contract will enable the Department of Public Works the flexibility to quickly respond and repair failed equipment in our member communities. The 32 member communities that make up the Sanitary Division expect and are paying for a quick response to their communities needs. This contract will provide the Department of Public Works that tool. 5. Why are the requested goods/services the only ones that can satisfy your requirements? What are the unique features of the product or service that are not available in any other product or service? Provide specific, quantifiable factors/qualifications. Ohio Pump is the only regional supplier for Hydromatic pumps. 6. Were alternative goods/services evaluated? No Other supplier is authorized to sell these parts and service in this region. 7. Identify specific steps taken to negate need for sole source provider. The Sanitary Pump Stations are a vital link in maintaining sewage flow in the communities. Failure of these units can result in property damage, specifically basement backup and the release of raw sewage. The County has implemented safety systems that provide an early notification of problems. By keeping the stations consistent, the county can respond quickly and service and repair many of the pumps. When a Pump Station is being designed or replaced the County based on past experience will evaluate which pump is the best during the design recommendation process. Once the design decision has been made the Pump Stations are built and the County must use factory authorized parts to maintain the warranty of the units. 8. Has your department bought these goods/services in the past? x Yes □ No If yes, who was the contractor/supplier and was the requirement competitively bid or sole source? What was the last date and price paid for goods/services? Yes and we have used Ohio Pump. Bids were solicited and no other bids were received. 9. What efforts have been made or are being made to reduce the Department's reliance on a sole source provider for these goods/services in the future? As noted above, the Department of Public Works evaluates the best available equipment on the market prior to purchase. Based on the decision to design a Pump Station with a certain pump, the department will use the approved factory authorized dealer for parts and service. 10. What efforts were made to get the best possible price? In the design phase, the Pump Station personnel work closely with the Engineers and review the pumps past performance and other factors. Pump station engineers evaluate and review all invoices to ensure the price is reasonable and consistent for the repair and parts. 11. Why is the price for this purchase considered to be fair and reasonable? As noted above, the County weighs the service costs, equipment costs, and repair costs when designing or replacing pump stations. In addition, the County considers the potential property damage and environmental concerns, as well as past pumps performance when recommending a pump. County. The funds are to specifically assist individuals with disabilities with employment related services. LEAP had previously responded to a Request for Proposal (RFP WI-1016727) offering identical services to what Workforce is proposing to contract – employment related services to disabled individuals. The RFP period was 7/1/10 through 6/30/13. LEAP was an approved provider and actually received a contract for the period 7/1/10 – 9/30/10. Due to significant cuts in the Workforce Investment Act (WIA) formula allocation, the contract was not extended beyond 9/30/10. However, since the State of Ohio has made additional WIA funds available specifically earmarked to enhance services to individuals with disabilities, Workforce is recommending that a new contract be authorized since LEAP was selected for funding within the RFP period (7/1/10 – 6/30/13. Attached is the RFP that LEAP submitted along with the scoresheets recommending LEAP for funding. 4. What other available options and/or vendors were evaluated? If none, include the reasons why. Since the proposed services are identical to what LEAP proposed in the RFP, Workforce is recommending a new contract with LEAP. The contract services fall within the RFP period. 5. What ultimately led you to this product or service? Why was the recommended vendor selected? In the RFP process, LEAP was recommended for funding by a team of proposal reviewers. 6. Provide an explanation of unacceptable delays in fulfilling the County's need that would be incurred if award was made through a competitive bid. Allocation is available through 6/30/12. Funds would lapse if not spent. Workforce would not be able to serve individuals with disabilities timely. 7. Describe what future plans, if any, the County can take to permit competition before any subsequent purchases of the required supplies or services. Not Applicable ____Approve ____Disapprove ____Hold CPB2012- Department 1. Description of Supplies or Services (If contract 5. What ultimately led you to this product or service? Why was the recommended vendor selected? United Labor Agency, Inc. was recommended for funding by a team of proposal reviewers. 6. Provide an explanation of unacceptable delays in fulfilling the County’s need that would be incurred if award was made through a competitive bid. The special allocation was just sent provided by the State of Ohio. The allocation period ends 6/30/12. 7. Describe what future plans, if any, the County can take to permit competition before any subsequent purchases of the required supplies or services. Not applicable ____Approve ____Disapprove ____Hold CPB2012- 181 Department of Public Safety and Justice Services 1. Vendor/Department Information Vendor/Contractor Name: Aristatek, Inc. 2. What is the product/service that you seek to acquire? This proposal seeks to purchase new software licenses for previously purchased software for the Hazmat/WMD teams within Cuyahoga County. This purchase will make current the software for each team, with license validation for three years. The purchase includes access to PEAC Web for each desktop software seat purchased for one year. 3. Will this purchase obligate Cuyahoga County to this or any other vendor for future purchases, for example, maintenance, licensing or continuing need? □ Yes x No What is the duration of this purchase, including number of “potential” renewal options? Renewal of licenses will be necessary to continue using the software in the future. County obligation will depend on future FEMA grants to Cuyahoga County, and the allocation of funds for continued upgrades from the necessary community public safety community (PSUAWG). Otherwise, each team will be responsible to keep their license current. 4. Why do you need to acquire these goods or services? This software allows the Hazmat/WMD teams of the county to do research on chemicals and WMD agents in order to make decisions on selection of personal protective equipment, identifying the chemical and physical properties of the chemical agent, selection of appropriate strategy and tactics, identification of the health effects of exposure, determination of appropriate evacuation and isolation distances and integrated completion of National Incident Management System forms. 5. Why are the requested goods/services the only ones that can satisfy your requirements? What are the unique features of the product or service that are not available in any other product or service? Provide specific, quantifiable factors/qualifications. The proposed purchase would support existing software which was selected and purchased with previous UASI grant funding. Personnel have already completed training on this software. The software was initially selected after extensive research and evaluation of what software would best meet the needs of the Hazmat/WMD Technicians of the four county Hazmat/WMD teams. New licenses of this software will protect the investment that has already been made. Each team currently has earlier version of PEAC, as do a number of municipal fire departments. 6. Were alternative goods/services evaluated? If yes, what were they and why were they unacceptable? Please be specific with regard to features, characteristics, requirements, capabilities and compatibility. If no, why were alternatives not evaluated? At the time of the initial purchase, other software was evaluated, including CAMEO, ALOHA, MARPLOT, WISER and COBRA. Although some of these are also used by some of the teams, none of them provides the integrated features of PEAC. The PEAC software provides information from multiple sources in one program, making information easily accessible with minimal training. PEAC also integrates NIMS ICS forms into the program. None of the other software provides this functionality. 7. Identify specific steps taken to negate need for sole source provider. A web search was conducted to see if licensing for PEAC and PEAC WEB was available from any other company. None was found. Vendors were contacted at the IAFC Hazmat Teams Conference in Baltimore, MD and at the Urban Area Security Initiative Conference in San Francisco, CA, in an attempt to identify other sources for licensing. None were found. 8. Has your department bought these goods/services in the past? x Yes □ No If yes, who was the contractor/supplier and was the requirement competitively bid or sole source? What was the last date and price paid for goods/services? The initial purchase of the software and licenses was made as a sole source purchase directly through Aristatek, Inc.. UASI grant funds were used for the last purchase order dated 11.30.05, for $3438 for three software licenses. 9. What efforts have been made or are being made to reduce the Department’s reliance on a sole source provider for these goods/services in the future? Whenever possible, the county hazmat teams use non-sole source providers for purchases, but the specific and technical nature of these products often means there are a limited number of providers of the technology. 10. What efforts were made to get the best possible price? Due to the number of licenses we intend to purchase, we were able to obtain five 1-yr PEAC WEB licenses (normally $250/yr each) at no additional charge. 11. Why is the price for this purchase considered to be fair and reasonable? It was determined that purchasing new licenses was a better use of grant funds than purchasing previous year upgrades, and still needing to purchase future year upgrades. Additionally, annual upgrade/licenses renewal will be $350, where current upgrades to licenses are $700. 12. Amount to be paid: $14,225.00 for five PEAC-WMD licenses and five 1-yr PEAC WEB licenses (no charge by the vendor). ____Approve ____Disapprove ____Hold D. Consent Agenda i. Scheduled Consent Items \| Item \| Requestor \| Description \| \|---\|---\|---\| \| CPB2012- 182 \| Department of Public Works \| Recommending payment of a claim from the County's Self-Insurance Fund in the amount of $750.00 to T. Cartagena for vehicle damage. Funding Source: 100% Self Insurance Fund \| \| CPB2012- 183 \| Department of Development \| Submitting an amendment to an Urban Jobs and Ohio Enterprise Zone agreement among City of North Royalton and Induction Tooling, Inc. to change the terms, effective 11/2/2011. Funding Source: N/A \| \| CPB2012- 184 \| Department of Development \| Submitting an Urban Jobs and Ohio Enterprise Zone agreement among City of North Royalton, Laszeray Technology, Inc. and RGS Management, LLC. Funding Source: N/A \| \| CPB2012- 185 \| Department of Development \| Recommending a subgrant award to Cleveland-Cuyahoga County Port Authority in the amount not-to-exceed $600,000.00 for environmental cleanup for the Dike 14 project located at 8701 Lakeshore Boulevard, Cleveland, in connection with the United States Environmental Protection Agency Brownfield Revolving Loan Fund Program for the period 3/1/2012 - 6/30/2013. Funding Source: 100% U.S. EPA Brownfield Revolving Loan Fund Program \| \| CPB2012- 186 \| Office of Human Resources \| Recommending awards to various providers on RQ21414 for exercise/fitness and weight management services for the period 1/1/2012 - 12/31/2012. (Contracts and Purchasing Board Approval No. CPB2011-114 - authority to seek qualifications.) a) Body Sculpting by Exterior Designs, Inc. b) Cathleen Donovan Funding Source: N/A \| \| CPB2012- 187 \| Department of Health and Human Services \| 1) Division of Senior and Adult Services, submitting an amendment to Contract No. CE1000508-01 with Absolute Home Health Care Agency, Inc. for Homemaker Service for the Cuyahoga OPTIONS for Elders Program for the period 7/1/2010 - 6/30/2012 for a decrease in the amount of ($58,200.00). Funding Source: 100% HHS Levy \| ____Approve ____Disapprove ____Hold \| \|---\|---\|---\|---\| \| CPB2012- 188 \| Department of Health and Human Services \| Division of Children & Family Services, submitting an agreement with Cuyahoga County Board of Developmental Disabilities for Individual Option Medicaid Waiver program eligibility verification services for reimbursement of Medicaid Home and Community Based services for the period 1/1/2012 - 12/31/2012. Funding Source: 100% General Fund \| ____Approve ____Disapprove ____Hold \| \| CPB2012- 189 \| Department of Health and Human Services \| Community Initiatives Division/Office of Homeless Services, requesting approval to apply for and accept grant funds from Ohio Department of Development in the amount of $360,900.00 for the Housing Stability Program for the period 3/15/2012 - 12/31/2012. Funding Source: \| ____Approve ____Disapprove ____Hold \| \| CPB2012- 190 \| Department of Health and Human Services \| Community Initiatives Division/Family and Children First Council, submitting a grant award in the amount of $431,772.74 from Ohio Children's Trust Fund for the Child Abuse and Neglect Prevention Program for the period 7/1/2012 - 6/30/2012. Funding Source: 100% State Funded \| ____Approve ____Disapprove ____Hold \| \| CPB2012- 191 \| Department of Health and Human Services \| Community Initiatives Division/Family and Children First Council, requesting authority to seek proposals from various providers on RQ22655 for Youth Advisory Committee services for the period 5/1/2012 - 4/30/2014; requesting authority for the Director of the Office of Procurement & Diversity to advertise for proposals. Funding Source: \| ____Approve ____Disapprove ____Hold \| \| CPB2012- 192 \| County Law Department \| Approving a Memorandum of Understanding regarding County Accommodations to Employees at the Ohio Court of Appeals for Eighth District between Cuyahoga County and the Ohio Court of Appeals – Eighth Appellate District Effective January 1, 2012 \| ____Approve ____Disapprove ____Hold \| \| CPB2012- 193 \| Office of Procurement and Diversity \| Submitting specifications and estimate of cost; requesting authority for the Director to advertise for bids: Information Services Center a) on RQ22634 for IBM Database Server training for employees for an estimated cost in the amount not-to- exceed $37,050.00. Funding Source: 100% General Fund \| \|---\|---\|---\| \| CPB2012- 194 \| Office of Procurement and Diversity \| Presenting BuySpeed purchases for the week of February 27, 2012-March 2, 2012 \| \| CPB2012- 195 \| Department of Development \| Presenting voucher payments between February 16, 2012- February 22, 2012 \| VI. Other Business VII. Public Comment VIII. Adjournment Minutes Contracts and Purchasing Board County Administration Building, 4th Floor February 21, 2012 11:30 PM-Revised I. Call to Order The meeting was called to order at 11:34 AM II. Review and Approve Minutes The minutes were reviewed and approved as written. Stan Koliseky abstained III. Public Comment There was no public comment IV. Contracts and Awards A. Tabled Items CPB2012-3 Information Services Center Submitting a contract with Caliper Corporation, sole source, in the amount not-to-exceed $1,600.00 for maintenance on TransCAD GIS software for the County Sheriff for the period 3/31/2011 - 3/31/2012. Funding Source: 100% General Fund _X___Approve ____Disapprove ____Hold B. Scheduled Items CPB2012-124 County Sheriff’s Office Recommending a payment to Treasurer, State of Ohio State Highway Patrol in the amount of $919.00 per month for access to the Law Enforcement Automated Data System (L.E.A.D.S.). Funding Source:100% General Fund _X___Approve ____Disapprove ____Hold CPB2012-125 Department of Development 1) Submitting a contract with James Quinn in the amount of $1,251.09 for exterior improvements in connection with a Storefront Renovation Rebate Program project located at 14290 State Road, North Royalton, for the period 2/8/2012 - 8/6/2012. 2) Submitting a contract with Royalton Automotive, LLC in the amount of $5,994.00 for exterior improvements in connection with a Storefront Renovation Rebate Program project located at 10050 Royalton Road, North Royalton, for the period 2/1/2012 - 7/30/2012. Funding Source:100% General Fund _X___Approve ____Disapprove ____Hold CPB2012-126- Department of Development Submitting a contract with Burgess & Niple, Inc. in the amount not-to-exceed $31,936.00 for brownfield environmental site assessment of property located at 11701 Superior Avenue, Cleveland for the period 1/23/2012 - 7/21/2012. (Contracts and Purchasing Board Approval No. CPB2011-244 - authority to negotiate.) Funding Source:100% Economic Development Brownfield Fund __X__Approve ____Disapprove ____Hold CPB2012-127 Department of Development 1) Submitting a contract with Allenbey Construction Co., LLC in the amount of $7,835.00 for Lead Remediation of property located at 1295 East 143rd Street, East Cleveland, in connection with the FY2010 Lead-Based Paint Hazard Control and Lead Hazard Reduction Demonstration Grant Program for the period 2/21/2012 - 5/31/2012. 2) Submitting a contract with Allenbey Construction Co., LLC in the amount of $21,220.00 for Lead Remediation of property located at 1246/1248 Rozelle, East Cleveland, in connection with the FY2010 Lead-Based Paint Hazard Control and Lead Hazard Reduction Demonstration Grant Program for the period 2/21/2012 - 5/31/2012. 3) Submitting a contract with BDL General Contracting, Inc. in the amount of $10,930.00 for Lead Remediation for property located at 5406/5408 Merkle Avenue, Parma, in connection with the FY2010 Lead-Based Paint Hazard Control and Lead Hazard Reduction Demonstration Grant Program for the period 2/21/2012 - 5/31/2012. Funding Source:100% HUD- Lead-Based Paint Hazard Control and Lead Hazard Reduction Demonstration Grant __X__Approve ____Disapprove ____Hold CPB2012-128 Department of Health and Human Services Submitting a contract with Cuyahoga Health Access Partnership in the amount not-to-exceed $50,000.00 for administration of a Countywide health access plan for the period 1/1/2012 - 12/31/2013. Funding Source: 100% Health and Human Services Levy ____Approve ____Disapprove __X__Hold CPB2012-129 Department of Health and Human Services Submitting a contract with Maximus Consulting Services, Inc. in the amount not-to-exceed $2,150.00 for maintenance on the Program Expenditure Tracking System for the period 1/1/2012 - 12/31/2012. Funding Source: 33% Federal; 33% State; 33% Health and Human Services Levy __X__Approve ____Disapprove ____Hold CPB2012-130 Department of Public Safety and Justice Services 1) Submitting an agreement with City of Brook Park for the purchase of equipment, valued in the amount of $6,146.00, for the FY2009 State Homeland Security Grant Program for the period 8/1/2009 - 4/30/2012. 2) Submitting an agreement with City of East Cleveland for the purchase of equipment, valued in the amount of $13,230.00, for the FY2009 State Homeland Security Grant Program for the period 8/1/2009 4/30/2012. 3) Submitting an agreement with City of South Euclid for the purchase of equipment, valued in the amount of $35,145.00, for the FY2009 State Homeland Security Grant Program for the period 8/1/2009 4/30/2012. 4) Submitting an agreement with Westshore Council of Governments for the purchase of equipment, valued in the amount of $33,516.00, for the FY2009 State Homeland Security Grant Program for the period 8/1/2009 - 4/30/2012. Funding Source: FY2009 State Homeland Security Grant Program _X___Approve ____Disapprove ____Hold CPB2012-131 Department of Workforce Development 1) Submitting a contract with Optima Lender Services, LLC in the amount not-to-exceed $3,258.50 for the On-the-Job Training Program for the period 12/12/2011 - 3/31/2012. 2) Submitting a contract with Wildlife Trading Company of New Mexico, Inc. in the amount not-toexceed $1,956.20 for the On-the-Job Training Program for the period 11/28/2011 - 1/31/2012. 3) Submitting a contract with Safety Controls Technology, Inc. in the amount not-to-exceed $10,000.00 for the Incumbent Worker Training Program for the period 12/12/2011 - 6/30/2012. 4) Submitting a contract with EnerTouch, Inc. dba GoodCents in the amount not-to-exceed $9,650.00 for On-the-Job Training Program for the period 12/26/2011 - 5/31/2012. 5) Submitting a contract with North Coast Tool & Mold Corp. in the amount not-to-exceed $8,000.00 for the On-the-Job Training Program for the period 1/4/2012 - 6/30/2012. 6) Submitting a contract with Blue Stream LLC in the amount not-to-exceed $2,232.00 for the Onthe-Job Training Program for the period 1/3/2012 - 4/30/2012. 7) Submitting a contract with Kidz-R-People-2, LLC in the amount not-to-exceed $4,800.00 for the On-the-Job Training Program for the period 1/2/2012 - 5/31/2012. 8) Submitting a contract with Leek Pipe Organ Company in the amount not-to-exceed $2,860.00 for the On-the-Job Training Program for the period 12/19/2011 - 4/30/2012. 9) Submitting a contract with The Apex Paper Box Company in the amount not-to-exceed $5,000.00 for the On-the-Job Training Program for the period 1/3/2012 - 5/31/2012. 10) Submitting a contract with Steel Warehouse of Ohio LLC in the amount not-to-exceed $44,542.32 for the On-the-Job Training Program for the period 1/3/2012 - 4/30/2012. Funding Source:100% Workforce Investment Act Funding _X___Approve ____Disapprove ____Hold CPB2012-132 Information Services Center Submitting a contract, sole source, with Periscope Holdings, Inc. in the amount not-to-exceed $27,925.00 for maintenance on the BuySpeed Online System for the Office of Procurement & Diversity for the period 12/1/2011 - 11/30/2012. Funding Source: 100% General Fund __X__Approve ____Disapprove ____Hold CPB2012-133 Information Services Center Submitting a contract with Stephen Campbell & Associates, Inc., in the amount not-to-exceed $4,800.00 for maintenance on the CyberTech Pro Voice and UPS Recording System for Cuyahoga Support Enforcement Agency and Department of Senior & Adult Services for the period 2/1/2011 - 1/31/2012. Funding Source:100% General Fund _X___Approve ____Disapprove ____Hold C. Exemption Requests CPB2012-134 Department of Health and Human Services 1. Description of Supplies or Services. Laurelwood provided placement services to a deaf youth with severe mental health issues. The youth initially entered Laurelwood on the basis of an emergency psychiatric admission. Upon being cleared for discharge, the agency was unable to secure appropriate placement. 2. Estimated Dollar Value $525/day per diem for emergency placements as needed. $40,425 current balance. 3. Rationale Supporting the Use of the Selected Procurement Method The service was needed immediately as the child is unable to be safely maintained in the community at this time. 4. What other available options and/or vendors were evaluated? If none, include the reasons why. Laurelwood was selected as the provider due to the fact that the agency had no contracted providers that could meet this child's individual treatment needs. Laurelwood was already providing some services to the child and it was in her best interest to remain there until a suitable placement could be found. 5. What ultimately lead you to this product or service? Why was the recommended vendor selected? Laurelwood was selected due to the fact the child was already at the facility receiving psychiatric stabilization services and there were no other placement options available capable of meeting the child's needs. Laurelwood was available to continue providing service until the agency could secure appropriate longer term placement. 6. Provide an explanation of unacceptable delays in fulfilling the County's need that would be incurred if award was made through a competitive bid. The child's immediate safety needs would be jeopardized and treatment needs unmet. 7. Describe what future plans, if any, the County can take to permit competition before any subsequent purchases of the required supplies or services. This matter is representative of a child-specific emergency situation. __X__Approve ____Disapprove ____Hold CPB2012-135 Department of Public Safety and Justice Services 1. Description of Supplies or Services. This request is for maintenance services/extension of warranty for the License Plate Readers that have been deployed to law enforcement agencies across Cuyahoga County and Homeland Security Region 2. 2. Estimated Dollar Value $45,951.50 3. Rationale Supporting the Use of the Selected Procurement Method This technology is proprietary. Therefore, it is necessary to use this vendor to continue the maintenance services through extending the warranty. This vendor is on State Contract, thus it is most efficient to us 4. What other available options and/or vendors were evaluated? If none, include the reasons why. This technology is proprietary. Therefore, it is necessary to use this vendor to continue the maintenance services through extending the warranty. 5. What ultimately lead you to this product or service? Why was the recommended vendor selected? Initially, a multi-jurisdictional committee from agencies within Cuyahoga County and across Homeland Security Region 2 were convened to review the various vendors that had this technology. Based on overall consensus, this vendor was selected due to its capabilities and compatibility with existing technological systems. 6. Provide an explanation of unacceptable delays in fulfilling the County's need that would be incurred if award was made through a competitive bid. Further delays would possibly prevent this service contract from being established within the appropriate time frame of the services. Due to this technology being proprietary, any delays due to competitive bid would be unnecessary. 7. Describe what future plans, if any, the County can take to permit competition before any subsequent purchases of the required supplies or services. Continuation of the use of these License Plate Readers will require the maintenance services through this vendor by extending the warranty. Therefore, it will be necessary to go through this vendor in the future if it is determined that the Readers will continue to be used. ___X_Approve ____Disapprove ____Hold CPB2012-136 Information Services Center A) Requesting a state term purchase for the following: 1. Description of Supplies or Services (If contract amendment, please identify contract term and/or scope change) Server with miscellaneous equipment. 2. Estimated Dollar Value and Funding Source(s) including percentage breakdown $43,398.20. Index Code CL576124 100% 3. Rationale Supporting the Use of the Selected Procurement Method The ISC will give multiple vendors an opportunity to bin even if the product is on state term. 4. What other available options and/or vendors were evaluated? If none, include the reasons why. CDW-G and All Lines Technology 5. What ultimately led you to this product or service? Why was the recommended vendor selected? Specifications were requested from Common Pleas and MNJ Technologies met these specifications. 6. Provide an explanation of unacceptable delays in fulfilling the County's need that would be incurred if award was made through a competitive bid. Competitive bidding was applied in this request. 7. Describe what future plans, if any, the County can take to permit competition before any subsequent purchases of the required supplies or services. Receive more quotes from different vendors. B) Recommending an award: Information Services Center a) on RQ22328 to MNJ Technologies Direct, Inc.in the amount of $43,398.20 for purchase of miscellaneous computer equipment for Common Pleas Court. Funding Source: 100% Clerk of Court and Common Pleas Court Computerization account __X__Approve ____Disapprove ____Hold CPB2012-137 Information Services Center A) Requesting a state term purchase for the following: 1. Description of Supplies or Services (If contract amendment, please identify contract term and/or scope change) Oracle Database Enterprise with technical support. 2. Estimated Dollar Value and Funding Source(s) including percentage breakdown The total amount will not exceed $32,998.56. 3. Rationale Supporting the Use of the Selected Procurement Method Clerk of Courts updated their server this past year and to stay compliant with Oracle, they needed to purchase new additional licenses. 4. What other available options and/or vendors were evaluated? If none, include the reasons why. The James Group and DLT Solutions were evaluated. Both vendors are on state term. 5. What ultimately led you to this product or service? Why was the recommended vendor selected? MYTHICS provided Oracle licenses for the powerful servers and were the lowest state term bid. 6. Provide an explanation of unacceptable delays in fulfilling the County's need that would be incurred if award was made through a competitive bid. This request did go through the competitive bidding process. 7. Describe what future plans, if any, the County can take to permit competition before any subsequent purchases of the required supplies or services. Continue to allow multiple vendors an opportunity to place a bid for software and hardware requests. B) Recommending an award: Information Services Center a) on RQ22397 to Mythics, Inc. in the amount of $32,998.56 for the purchase of Oracle database license and support software for Common Pleas Court. Funding Source:100% Clerk of Court and Common Pleas Court Computerization account __X__Approve ____Disapprove ____Hold CPB2012-138 Juvenile Court 1. What is the product/service that you seek to acquire? Provide a detailed description of the product/service. Digital Recording System for Court Hearings 2. Will this purchase obligate Cuyahoga County to this or any other vendor for future purchases, for example, maintenance, licensing or continuing need? Yearly renewal of the CourtSmart Digital Systems maintenance agreement has been approximately $55,000. 3.Why do you need to acquire these goods or services? Provide Information on the main requirement for this purchase. Juvenile Court has been using CourtSmart services since 2005. We have made 38 hardware and software tech calls to CourtSmart Technicians. A sole source renewal of the CourtSmart maintenance is imperative to keep hardware and software functioning. Juvenile Court has 3,500 DVD double-sided backup tapes with thousands of recorded hearings for future retrieval if necessary. 4. Why are the requested goods/services the only ones that-can satisfy your requirements? Juvenile Court has been using CourtSmart services since 2005. CourtSmart won the bid for the initial installation and maintenance agreement. We have renewed our maintenance agreement for the years 2005,2006, 2007, 2008,2009 and 2010. We have made 38 hardware and software tech calls to CourtSmart Technicians in 2010. Juvenile Court has 3,500 DVD double-sided backup tapes with thousands of recorded hearings for future retrieval if necessary. 5.Were alternative goods/services evaluated? If yes, what were they and why were they unacceptable? Please be specific with regard to features, characteristics, requirements, capabilities and compatibility. If no, why were alternatives not evaluated? Juvenile Court IT staff evaluated 2 different sources (Liberty Recording Systems and FfR Recording Systems). The aforementioned vendors did not meet the needs of Juvenile Court specifications (ie: recordings in each courtroom, backup capability and playback capability). If we do not continue with CourtSmart digital Systems, two different hardware and software systems would need to be maintained (CourtSmart for all retrieval of past hearings and the new vendor's hardware and software). 6.Identify specific steps taken to negate need for sole source provider. Juvenile Court does not own the source code and therefore our IT personnel do not have the expertise to maintain the hardware or software. If there is no maintenance agreement with CourtSmart Digital Systems, Inc. and the digital recording system malfunctions, the judges and magistrates would be incapable of recording their hearings on a daily basis. ____Approve ____Disapprove __X__Hold CPB2012-139 County Law Department Seeking authority to post Requests for Qualifications (RFQ) for outside legal counsel. Requesting approval for the RFQ posting to close on February 24, 2012. _X___Approve ____Disapprove ____Hold CPB 2012-140 Fiscal Office 1. What is the product/service that you seek to acquire? This request is for the approval of software maintenance and support for our Unisys Remittance Processing System. Unisys is the sole provider/owner of this proprietary software. In the Remittance Processing area of the Treasurer’s Office payments are processed and uploaded to our MVP Real Property System. It is critical that the software is maintained and upgraded as needed to keep the system operating. 2. Will this purchase obligate Cuyahoga County to this or any other vendor for future purchases, for example, maintenance, licensing or continuing need? X Yes __ No Yes, because it is part of an operating system that integrates with our Real Property System. The Treasurer’s Office will be looking into a new Real Property System in the near future and in turn we may take a look at how payments are processed .We are seeking a three year agreement from 1/1/12 – 12/31/14. As long as we use this software/processing equipment the Treasurer’s Office will require this software maintenance and support. 3. Why do you need to acquire these goods or services? This agreement is for software maintenance and support. It is the operating system for our remittance processing system, critical for the operation. 4. Why are the requested goods/services the only ones that can satisfy your requirements? This is proprietary software for the system in place for payment processing that is compatible with the Unisys equipment. 5. Were alternative goods/services evaluated? No alternatives were evaluated at this time. The cost of a new system would be prohibitive. This system is working fine, no need to purchase something that would do the same thing. 6. Identify specific steps taken to negate need for sole source provider. No steps taken at this time, this software is proprietary, as is most software providing a customized function. 7. Has your department bought these goods/services in the past? X Yes No If yes, who was the contractor/supplier and was the requirement competitively bid or sole source? What was the last date and price paid for goods/services? The Treasurer’s Office has been using the Unisys system for many years. This is a three year renewal for software maintenance and support. Unisys is a Sole Source vendor. Our last contract of three years was in the amount of $112,888.50 1/1/09 through 12/31/11. 8. What efforts have been made or are being made to reduce the Department's reliance on a sole source provider for these goods/services in the future? Do not have many large purchases or contracts. What few we do have are always bid openly. This particular software cannot be replaced without a much greater cost and effect on the remittance function. 9. What efforts were made to get the best possible price? The Treasurer’s Office has had a good relationship with Unisys over the years It has been our practice to go for a three year agreement with Unisys because this provides a 5% or less cap per year increase. This is Unisys' best agreement for us the customer. It would be more costly if we went to a year to year Agreement. 10. Why is the price for this purchase considered to be fair and reasonable? For as long as we have had the Unisys System, they maintain the system and meet our needs. Any other software will not run the equipment/systems. The cost seems reasonable, replacement would be much greater. 11. Price to be paid: $121,272.77__________________ __X__Approve ____Disapprove ____Hold CPB2012-141 Department of Health and Human Services 1. Description of Supplies or Services (If contract amendment, please identify contract term and/or scope change) Adoption Network Cleveland (ANC) for the Adopt Cuyahoga Kids Initiative is a Public-Private partnership. The services provided are mentoring services; child preparation; post adoption services; navigation support; and child centered recruitment (CCR) technical assistance. These services are designed to decrease barriers to permanency for the children in the permanent custody of the DCFS. 2. Estimated Dollar Value and Funding Source(s) including percentage breakdown Adoption Network Cleveland--$315,000.00 3. Rationale Supporting the Use of the Selected Procurement Method Adopt Cuyahoga's Kids was established in 2004 as a public-private venture of the Community Vision Council with Adoption Network Cleveland (ANC) operating as the lead agency. This agency is currently providing Child Centered Recruitment technical assistance that will be in place through June 2012. The initiative, created by the Strong Families= Successful Children Community Vision Council and funded by the Vision Council, United Way and private foundation funding, was designed to decrease barriers to permanency for the youth in the permanent custody of CFS without identified adoptive families. 4. What other available options and/or vendors were evaluated? If none, include the reasons why. No other vendors were evaluated due to the fact ANC has served as the lead agency for the Adopt Cuyahoga's Kids initiative and private foundation and philanthropic funding is in place to support onehalf of all programming. Additionally, United Way funding to support and offset the cost of a portion of programming associated with Child Centered Recruitment technical assistance is in place through June 2012. 5. What ultimately led you to this product or service? Why was the recommended vendor selected? Adopt Cuyahoga's Kids was established in 2004 as a public-private venture of the Community Vision Council with Adoption Network Cleveland (ANC) operating as the lead agency. The initiative was designed to decrease barriers to permanency for the youth in the permanent custody of CFS without identified adoptive families. 6. Provide an explanation of unacceptable delays in fulfilling the County's need that would be incurred if award was made through a competitive bid. There would be a disruption in the continuity of services and technical assistance to the agency in the full transition of child centered recruitment to CFS. Currently there are 50 youth in the agency's permanent custody matched to mentors and receiving mentoring support. These youth have no identified adoptive family and the interruption of services could potentially compound the separation and loss issues experienced by these youth. 7. Describe what future plans, if any, the County can take to permit competition before any subsequent purchases of the required supplies or services. Before any subsequent purchases of the services, Children and Family Services will initiate a RFP with the goal of having the process completed and a signed contract in place by July 1, 2012. This exemption is for a six month extension. __X__Approve ____Disapprove ____Hold CPB2012-142 Court of Appeals 1. What is the product/service that you seek to acquire? Consultant services to provide support and maintenance services for the Court's information technology system including the BUCKEYE case management system. 2. Will this purchase obligate Cuyahoga County to this or any other vendor for future purchases, for example, maintenance, licensing or continuing need? This contract will be in effect from 2/1/12 through 1/31/13 with no obligation to renew at the end of the contract period. However, the need for maintenance and support services will continue after this contract expires. Cost and agency requirements will be reevaluated at that time. 3. Why do you need to acquire these goods or services? The Court requires professional and technical services to maintain its Information Technology. 4. Why are the requested goods/services the only ones that can satisfy your requirements? The Court has determined that InfoPro Computer Solutions has the necessary professional and technical expertise to provide these services and is the sole provider of support services for the BUCKEYE case management system. While most support agreements provide for simply fixing the existing software, this contract also provides for modifications and enhancements performed at the hourly billable rate as part of the not to exceed total, in effect paying for services provided rather than just insurance. 5. Were alternative goods/services evaluated? If yes, what were they and why were they unacceptable? Please be specific with regard to features, characteristics, requirements, capabilities and compatibility. If no, why were alternatives not evaluated? Alternate providers were not evaluated because InfoPro Computer Services has specific knowledge and expertise unique to the BUCKEYE case management system and is the sole provider of support for this system. This vendor provides all services on an as needed basis, providing monthly detailed billing statements for all work completed. The hourly billing rate of $75.00 per hour is well below the industry standard. 6. Identify specific steps taken to negate need for sole source provider. The Court has not sought alternate providers of these services as InfoPro Computer Solutions is the creator and developer of the BUCKEYE case management system with proprietary knowledge of the program and is the sole available provider for support services for the system. 7. Has your department bought these goods/services in the past? □ Yes□ No The Court has contracted with InfoPro Computer Solutions as the sole source for maintenance and support for its' BUCKEYE case management system on a yearly basis since 1990. The most current contract is for the period from 2/1/11 through 1/31/12 at a not to exceed cost of $75,000, billable monthly at a rate of $75.00 per hour. 8.What efforts have been made or are being made to reduce the Department's reliance on a sole source provider for these goods/services in the future? The Court has determined that the necessary support services for its' Information Technology can be provided in the most cost effective manner through consultant services contracts with an outside vendor. Because InfoPro Computer Solutions is the sole provider of maintenance and support for the BUCKEYE case management system, and InfoPro continues to provide these services in a professional, responsive manner at a cost well below industry standards, the Court does not anticipate the ability to reduce its' reliance on this sole source provider in the near future. 9. What efforts were made to get the best possible price? InfoPro Computer Solutions has provided services to the Court at the same hourly rate, $75.00, with no increase since September, 2004. 10. Why is the price for this purchase considered to be fair and reasonable? 12. Amount to be paid: _Not to exceed $75,000., billable @ $75.00 per hour for services rendered __X__Approve ____Disapprove ____Hold D. Consent Agenda i. Scheduled Consent Items CPB2012-143 County Law Library Submitting an agreement among Cuyahoga County Law Library Resources Board and The Cleveland Law Library Association for law library services for the period 12/14/2011 - 12/13/2012. __X__Approve ____Disapprove ____Hold CPB2012-144 Department of Development Submitting an amendment to a grant agreement with State of Ohio, Department of Development for a Clean Ohio Revitalization Fund grant in connection with a Brownfield Redevelopment Fund project located at 4310 Richmond Road, Highland Hills to change the terms effective 8/13/2012. __X__Approve ____Disapprove ____Hold CPB2012-145 Department of Development Submitting an amendment to Contract No. CE0400935- 03 with Manufacturing Advocacy & Growth Network Inc. (MAGNET) for the New Product Development and Entrepreneurship Program for the period 1/1/2005 - 12/31/2011 to extend the time period to 3/31/2013; no additional funds required. __X__Approve ____Disapprove ____Hold CPB2012-146 Department of Development Submitting an amendment to Contract No. CE1000784- 01 with Creative Housing Solutions, Inc. for construction management services for energy conservation measures for the period 11/19/2010 - 12/31/2011 to extend the time period to 3/31/2012; no additional funds required. __X__Approve ____Disapprove ____Hold CPB2012-147 Department of Health and Human Services Submitting amendments to contracts with various providers for intensive case management services for the period 12/1/2010 - 11/30/2011 to extend the time period to 11/30/2012; no additional funds required. a) No. CE1000883-01 with Applewood Centers, Inc. b) No. CE1000884-01 with Specialized Alternatives for Families & Youth of Ohio, Inc. __X__Approve ____Disapprove ____Hold ____Disapprove ____Hold CPB2012-148 Department of Public Safety and Justice Services Submitting an amendment to a grant agreement with Ohio Emergency Management Agency for the FY2009 State Homeland Security Program - Law Enforcement for the period 8/1/2009 - 4/30/2012 to extend the time period to 6/30/2012. __X__Approve ____Disapprove ____Hold CPB2012-149 Department of Public Safety and Justice Services Submitting an amendment to a grant agreement with Ohio Emergency Management Agency for the FY2009 State Homeland Security Program for the period 8/1/2009 - 4/30/2012 to extend the time period to 6/30/2012. __X__Approve ____Disapprove ____Hold CPB2012-150 Department of Public Safety and Justice Services Submitting an agreement with City of Broadview Heights in the amount of $780.34 for reimbursement of eligible training expenses in connection with the FY2008 Urban Area Security Initiative Grant Program for the period 1/6/2011 - 8/1/2011. __X__Approve ____Disapprove ____Hold CPB2012-151 Department of Public Safety and Justice Services Witness/Victim, submitting an amendment to Contract No. CE1000736-01 with MHS, Inc. for the Reducing Disproportionate Minority Contact through Early Intervention Program for the period 1/1/2010 - 9/30/2011 to extend the time period to 6/30/2012; no additional funds required. __X__Approve ____Disapprove ____Hold CPB2012-152 Department of Public Works Requesting authority to seek proposals from various providers on RQ22467 for food service operations at the Justice Center Cafeteria for the period 7/1/2012 - 6/30/2017; requesting authority for the Director of the Office of Procurement & Diversity to advertise for proposals. __X__Approve ____Disapprove ____Hold CPB2012-153 Department of Public Works Requesting authority to seek proposals from various providers on RQ22467 for food service operations at the Justice Center Cafeteria for the period 7/1/2012 - 6/30/2017; requesting authority for the Director of the Office of Procurement & Diversity to advertise for proposals. __X__Approve ____Disapprove ____Hold CPB2012-154 Department of Public Works Submitting an amendment to a revenue generating agreement with AVI Foodsystems, Inc. for food service operations at the Justice Center Cafeteria for the period 12/1/2001 - 2/28/2012 to extend the time period to 6/30/2012. __X__Approve ____Disapprove ____Hold CPB2012-155 Department of Public Works Submitting an LPA agreement with Ohio Department of Transportation for improvement of the East 105th Street/Martin Luther King Drive Intersection in the City of Cleveland. __X__Approve ____Disapprove ____Hold CPB2012-156 Office of Procurement and Diversity submitting specifications and estimate of cost; requesting authority for the Director to advertise for bids: Department of Public Works a) on RQ22647 for 1-heavy duty cab and chassis for an estimated cost in the amount not-to-exceed $90,000.00. __X__Approve ____Disapprove ____Hold CPB2012-157 Office of Procurement and Diversity Submitting specifications and estimate of cost; requesting authority for the Director to advertise for bids: Department of Public Works a) on RQ22570 for chemical supplies for various County buildings for the period 5/1/2012 - 4/30/2012 for an estimated cost in the amount not-to-exceed $300,000.00. __X__Approve ____Disapprove ____Hold CPB2012-158 Office of Procurement and Diversity Submitting specifications and estimate of cost; requesting authority for the Director to advertise for bids: Department of Public Safety and Justice Services a) on RQ22287 for dive equipment for members of Public Safety Dive Team for the County Sheriff's Office for an estimated cost in the amount not-to-exceed $51,889.95. __X__Approve ____Disapprove ____Hold CPB2012-159 Office of Procurement and Diversity Submitting specifications and estimate of cost; requesting authority for the Director to advertise for bids: Department of Public Safety and Justice Services a) on RQ22439 for interoperable radios and vehicle chargers for an estimated cost in the amount of $2,071,650.00. __X__Approve ____Disapprove ____Hold CPB2012-160 Office of Procurement and Diversity Submitting specifications and estimate of cost; a) on RQ22648 for 1-medium duty cab and chassis for the Department of Public Works for an estimated cost in the amount not-to-exceed $45,000.00. __X__Approve ____Disapprove ____Hold CPB2012-161 Office of Procurement and Diversity Presenting BuySpeed purchases for the week of February 20, 2012-February 24, 2012 __X__Approve ____Disapprove ____Hold CPB2012-162 Department of Development Presenting voucher payments between February 20, 2012-February 24, 2012 __X__Approve ____Disapprove ____Hold VI. Other Business Stan Koselesky sat in for Bonnie Teeuwen VII. Public Comment There was no public comment VIII. Adjournment The meeting was adjourned at 12:24 PM Tabled Items CPB2012-128 SUMMARY OF REQUESTED ACTION: Title: The Department of Health and Human Services 2012 Contract for Cuyahoga Health Access Partnership A. Scope of Work Summary The Department of Health and Human Services is requesting approval of a contract with Cuyahoga Health Access Partnership in the amount not-to-exceed $50,000.00 for the administration of a countywide health access plan for the period January 1, 2012 to December 31, 2013. Purpose: Cuyahoga Health Access Partnership (CHAP) is a regional collaborative partnership whose goal is to provide a system of health access for the uninsured adults in Cuyahoga County. CHAP's founding partners are key stakeholders in the health of Cuyahoga County residents, including local government, hospital systems, free clinics; federally qualified health centers (FQHCs), providers, health plans and local foundations. The Partnership's Board of Directors has set forth a timeline of activities to create and sustain the health access program including but not limited to, implementing a web-based financial eligibility Access Plan, expanding primary care provider network and specialty service options, and establishing strategic partnerships with health and human services organizations to connect potential CHAP Members to primary and specialty care. This public- private partnership is collaborating to provide a coordinated system of healthcare access for the county's adult, uninsured residents whose family lives at or below 200% of the federal poverty level (FPL). Registration completed with the Inspector General's Office. B. Procurement The proposed contract received an exemption from the Request for Proposal process December 5, 2012, CPB 2011-322. The approval letter is attached for review. C. Contactor and Project Information Cuyahoga Health Access Partnership 75 Erieview Plaza, Second Floor Cleveland, Ohio 44114 The Administrative Office is located in Council District 07, but enrollment of uninsured residents will cover all districts within Cuyahoga County. The Executive Director is Sarah Hackenbracht. D. Project Status and Planning The project reoccurs annually. The project's term has already begun as of January 1, 2012. The reason there was a delay in this request is as follows: waiting for the annual 2012 appropriation to be loaded, finalizing registration process with the Inspector General's Office, completing the Request for Proposal exemption process, and waiting for organization to get required documents signed. E. Funding The project is 100% Levy funded. The schedule of payments is annually. --------------- CPB2012-138 – See Item Detail Above Scheduled Items CPB2012-163 SUMMARY OF REQUESTED ACTION: Title: County Law Library A. Scope of Work Summary 1. The County Law Library Resources Board is requesting approval of a contract with the Cleveland Public Library/CLEVNET for the anticipated cost of $15,593.23. The anticipated start-completion dates are 2/1/2012-1/31/2013. 2. The primary goals of the contract are to provide the Law Library with an integrated library system, an online catalog, selected library databases, membership in a regional library consortium called CLEVNET, Internet service, and email service. 3. O.R.C. sec. 307.51(F) authorizes the Law Library to contract with other "public agencies for the provision of any services that the county law library resources board considers necessary." The within contract is necessary. The Cuyahoga County Law Library Resources Board has approved this contract (see attached Resolution in Dec. 2011 Minutes). B. Procurement 1. The procurement method for this contract was a government purchase. The total value of the contract is $15,593.23. 2. N/A-this was a government purchase. 3. N/A-there were no bids; there is no sole source letter; the proposed contract is justified on the Justification for Other than Full and Open Competition form attached hereto. C. Contractor and Project Information 1. The address of the vendor is: Cleveland Public Library, 325 Superior Ave., Cleveland, OH 44114 Council District No. 7 2. There is no principal owner because the Cleveland Public Library is a public entity/political subdivision. However, the President of the Cleveland Public Library's Board of Trustees is Thomas D. Corrigan, Esq., and its Executive Director is Felton Thomas. 3. The contract will be performed in Cleveland, OH at the Cuyahoga County Law Library located in the County Courthouse at 1 West Lakeside Ave., Floor 4, Cleveland, OH 44113. Council District No. 7 The vendor is listed above under item C(1). D. Project Status and Planning 1. This is a 1-year contract which re-occurs annually. 2. N/A 3. N/A 4. The contract is slated to begin 2/1/2012. However, the Librarian did not receive the contract from Cleveland Public Library until 2/1/12. Thus, the contract could not have been submitted earlier. 5. The contract needs a signature as soon as possible. E. Funding 1. The contract is funded 100% by the County Law Library Resources Board Special Revenue Fund. No general revenue funds will be used. 2. The schedule of payments is monthly. 3. The contract is a new contract, not an amendment to an existing contract. --------------- CPB2012-164 SUMMARY OF REQUESTED ACTION: Title: Department of Development 2012 BDL General Contracting Inc. Contract Lead Remediation Case 191 Hicks at 5121 Anthony Street Maple Heights RQ 22811 A. Scope of Work Summary 1. Department of Development requesting approval of a contract with BDL General Contracting Inc. for the anticipated cost of $7,520.00. The anticipated start-completion dates are February 27, 2012 – May 31, 2012. 2. The primary goals of the project are removing lead hazards at the home of a low-income family, maintaining the housing stock of Cuyahoga County's inner ring suburbs, and reducing the risk of lead poisoning in young children. B. Procurement 1. The procurement method for this project was competitive bidding administered by the Department of Development. The total value of the winning competitive bid is $7,520.00. 2. The competitive bid was closed on 01/12/2012. 3. There were 7 bids received by the Department of Development, lowest bidder approved. C. Contractor and Project Information 1. The address(es) of all vendors and/or contractors is: BDL General Contracting Inc. P.O. Box 32430 Euclid, Ohio 44132 Council District 11 2. The president for the contractor/vendor is Dawna Rotert. 3.a. The address or location of the project is: Hicks 5121 Anthony Street Maple Heights, Ohio 44137 3.b. The project is located in Council District 08. D. Project Status and Planning 1. This is one of 250 such contracts that will be issued during the three-year grant period. E. Funding 1. The project is funded 100% by the U.S. Department of Housing and Urban Development Lead Hazard Remediation Grant passed through County Board of Health. 2. The schedule of payments is payment upon completion of project. SUMMARY OF REQUESTED ACTION: Title: Department of Development 2012 C.B. Mullins Construction Company, Inc. Contract Lead Remediation Case 119, McCargo at 1254 E. 144th Street (Up) RQ# 22809 A. Scope of Work Summary 1. Department of Development requesting approval of a contract with C.B. Mullins Construction Company, Inc. for the anticipated cost of $10,880.00. The anticipated start-completion dates are February 27, 2012 – May 31, 2012. 2. The primary goals of the project are removing lead hazards at the home of a low-income family, maintaining the housing stock of Cuyahoga County's inner ring suburbs, and reducing the risk of lead poisoning in young children. B. Procurement 1. The procurement method for this project was competitive bidding administered by the Department of Development. The total value of the winning competitive bid is $10,880.00. 2. The competitive bid was closed on 01/16/2012. 3. There were 8 bids received by the Department of Development, lowest bidder approved. C. Contractor and Project Information 1. The address(es) of all vendors and/or contractors is: C.B. Mullins Construction Company Inc. P.O. Box 200 Berea, Ohio 44017 Council District 05 2. The president for the contractor/vendor is Chris Mullins. 3.a. The address or location of the project is: McCargo 1254 East 144th Street (Up) East Cleveland, Ohio 44112 3.b. The project is located in Council District 10. D. Project Status and Planning 1. This is one of 250 such contracts that will be issued during the three-year grant period. E. Funding 1. The project is funded 100% by the U.S. Department of Housing and Urban Development Lead Hazard Remediation Grant passed through County Board of Health. 2. The schedule of payments is payment upon completion of project. --------------- CPB2012-165 SUMMARY OF REQUESTED ACTION: Title: Department of Development A. Scope of Work Summary Department of Development requesting authorization for the County Executive or his designee to accept a partial payment of $23,137 less selling expenses, in full satisfaction of the $33,330 balance due on a housing rehabilitation loan taken out by Helen F. Fernandez, now deceased, in October 2004. The goal of accepting this partial payment is to allow a "short sale" of the house to prevent it from becoming abandoned. The seller will receive nothing from the sale. B. Procurement The County Executive has directed the Contracts Board to review all requests to approve settlements. No other procurement applies. C. Project Information The borrower is deceased. The property is owned by the Estate of Helen Fernandez. 12825 Havana Road Garfield Heights, OH 44125 Council District 8 D. Project Status Requests to accept partial loan payoffs are rare. This request is supported by a current market value appraisal, done by the County's own appraiser, and a sales contract submitted by the borrower's estate. Under the proposed settlement, the County will receive the full amount of the sales proceeds in satisfaction of its housing rehabilitation loan and mortgage. E. Funding The original housing rehabilitation loan was 100% federally funded. --------------- CPB2012-166 SUMMARY OF REQUESTED ACTION: Submitting a contract with Starting Point in the amount not-to-exceed $94,697.00 for the development and administration of the Early Care and Education Center Capacity and Expansion program for the Office of Early Childhood/Invest In Children for the period January 1, 2012 through December 31, 2012. Title: Administrator's Office/Office of Early Childhood 2012 Starting Point contract Early Care and Education Center Capacity Expansion program A. Scope of Work Summary 1. Office of Early Childhood requesting approval of a contract with Starting Point for the anticipated cost of $94,697.00 not-to-exceed. The anticipated start-completion dates are 01/01/2012 - 12/31/2012. 2. The primary goals of the project are to increase the supply of quality child care through the start up and/or expansion of early child care and education programs in neighborhoods where care is needed to meet the needs of low income families. The administration will provide a focal point for planning, system coordination, the provision of training, and technical assistance. B. Procurement 1. Starting Point has been designated by the State of Ohio as Cuyahoga County's child care resource and referral agency and is RFP exempt. See the attached Justification for Other Than Fair and Open Competition form. C. Contractor and Project Information 1. The address of the vendor is: Starting Point 4600 Euclid Avenue, Suite 500 Cleveland, Ohio 44103 Council District 7 2. The Executive Director for the contractor/vendor is Billie Osborne-Fears 3.a Services are provided county-wide 3.b Services are provided in all council districts D. Project Status and Planning 1. The project reoccurs annually. 2. The project's term has already begun. The reason there was a delay in this request is due to the need to ensure that funds were allocated to the Office of Early Childhood budget to cover the expense of the contracts and to negotiate the scope of work. E. Funding 1. The project is funded 100% by the Health and Human Services Levy. 2. The schedule of payments is monthly by invoice. 3. N/A --------------- CPB2012-167 SUMMARY OF REQUESTED ACTION: Title: Department of Public Safety & Justice Services FY2009 Port Security Grant Program (PSGP) agreement. A. Scope of Work Summary: 1. Public Safety & Justice Services requesting approval of agreement with the FY2009 Port Security Grant Program. The agreement was accepted under resolution 094254. The anticipated cost not-to-exceed $48,419.00. The anticipated start-completion dates are 6/1/2009 - 5/31/2012. 2. The primary goals of the project is to purchase equipment that will allow safer and more coordinated dive operations for both divers and surface tending personnel and a stable platform for on water interdictions by local police department or other reginal law enforcement groups. 3.N/A B. Procurement 1. The procurement method for this project was a grant agreement. This agreement is not for goods or services. The total value of the agreement is $48,419.00. The review occurs using the process established by the Federal Maritime Security Coordinator (FMSC), Area Maritime Security Committee (AMSC), Captain of the Port (COTP, all of which has approval authority. The COTP will then score the projects through the Federal Emergency Management Agency (FEMA), United States Coast Guard (USCG), and established process and then the Investment Justification/Applications are submitted to FEMA for final review and approval. Also in order for the Fiduciary Agent to acquire Investment Justifications there had to be a Port Wide Risk Management/Mitigation Plan and optional Business Continuity/Resumption of Trade Plan approved by the USCG. The Risk Management/Mitigation Plan is consistent with the national guidelines and seeks to align relevant National Preparedness objectives with contingency and operational planning and maritime security operations with the North East Ohio Regional Area Maritime Security Subcommittee (NEORAMSS) area of operation. 2. The procurement method is due to close on 5/31/2012. 3. There were Investment Justifications submitted for review apporval, which is explained above. C. Contractor and Project Information 1. City of Lakewood, 12650 Detroit Avenue, Lakewood, OH 44107 N/A 2.N/A 3. N/A D. Project Status and Planning 1. This project will be new to the County. 2. The project has one phase. 3. N/A 4. The agreement term has already begun. The reason there was a delay in the request is because FEMA did not release the funding notification to Public Safety & Justice Services until 10/20/2011. 5. N/A E. Funding 1. The project is funded 75% federal dollars by the Department of Homeland Security FEMA. The subgrantees are responsible for 25% cost share. 2. The schedule of payment is by invoice. 3. N/A --------------- CPB2012-168 SUMMARY OF REQUESTED ACTION: Title: CONFIDENTIAL: Public Safety and Justice Services, 2012, City of Bay Village, CERT Agreement, FY2010 State Homeland Security Program (SHSP) A. Scope of Work Summary 1. Public Safety and Justice Services requesting approval for an agreement with the City of Bay Village for FY10 SHSP in the amount not-to-exceed $1,300.00 for the period 8/1/2010-2/28/2013. 2. The primary goals of the project are: Continue to develop secure local,-regional-,and state level intelligence and information sharing systems with the goal of interconnecting and standardizing these systems so that they may ultimately join the national information sharing environment All jurisdictions will have plans and procedures in place to manage volunteers and donations during an emergency 3. The funding for FY10 SHSP is passed through to Cuyahoga County from the Ohio Emergency Management Agency (OEMA) and the Department of Homeland Security (DHS). B. Procurement 1. The procurement method for this project was a request for applications and a review process conducted by the Urban Area Working Group (Cuyahoga County's Terrorism Advisory Team) and with the oversight of OEMA. Per guidance provided for the FY10 SHSP program, the Terrorism Advisory Team must consist of AT LEAST one member from the following ten disciplines: Fire Services, Emergency Medical Services, EMA, Police Departments, Sheriff's Office, Public Works Departments, Public Health Organizations, Township Trustees, Mayor's Office, and the County Executive's Office. No one person on the team may represent multiple disciplines. Specific names can be provided if necessary, but this group accepted applications for FY10 SHSP and determined awards with OEMA's oversight. 2. The performance period of the agreements ends on February 28, 2013. 3. (The City of Bay Village follows their procurement policy, which must at least be compliant with Cuyahoga County's procurement policy for all equipment procured.) C. Contractor and Project Information The address of the City of Bay Village: 350 Dover Center Road Bay Village, OH 44140 Council District 1 2. N/A 3a. The address or location of the project is same as above 3b. Council District 1 D. Project Status and Planning 1. The SHSP is awarded on a yearly basis provided DHS receives funding from Congress 2. The project is underway and will be completed by February 28, 2013. 3. The project is not on a critical action path. 4. The project's term has begun. The reason for delay in the request was the project was working its way through the application/approval process and the agreement had to be executed by the City of Bay Village. 5. N/A E. Funding 1. The project is funded 100% by the DHS through OEMA. 2. The grant is a reimbursement grant so expenses are submitted for reimbursement as they occur. The City of Bay Village has until February 28, 2013, to request reimbursement for expenses incurred against the FY10 SHSP award. 3. N/A Title: CONFIDENTIAL: Public Safety and Justice Services, 2012, Cleveland State University, CERT Agreement, FY2010 State Homeland Security Grant Program (SHSP) A. Scope of Work Summary 1. Public Safety and Justice Services requesting approval for an agreement with Cleveland State University for FY10 SHSP in the amount not-to-exceed $1,295.66 for the period 8/1/2010-2/28/2013 2. The primary goals of the project are: Continue to develop secure local-, regional-, and state-level intelligence and information sharing systems with the goal of interconnecting and standardizing these systems so that they may ultimately join the national information sharing environment All jurisdictions will have plans and procedures in place to manage vounteers and donations during an emergency. 3. The funding for the FY10 SHSP is passed through to Cuyahoga County from the Ohio Emergency Management Agency (OEMA) and the Department of Homeland Security (DHS). B. Procurement 1. The procurement method for this project was a request for applications and a review process conducted by the Urban Area Working Group (Cuyahoga County's Terrorism Advisory Team) and with the oversight of OEMA. Per guidance provided for the FY10 SHSP program, the Terrorism Advisory Team must consist of AT LEAST one member from the following ten disciplines: Fire Services, Emergency Medical Services, EMA, Police Departments, Sheriff's Office, Public Works Departments, Public Health Organizations, Township Trustees, Mayor's Office, and the County Executive's Office. No one person on the team may represent multiple disciplines. Specific names can be provided if necessary, but this group accepted applications for FY10 SHSP and determined awards with OEMA's oversight. 2. The performance period of the agreements ends on February 28, 2013. 3. (Cleveland State University follows their procurement policy, which must at least be compliant with Cuyahoga County's procurement policy for all equipment procured.) C. Contractor and Project Information 1. The address of Cleveland State University: 2121 Euclid Avenue Cleveland, OH 44115 Council District 7 2. N/A 3a. The address or location of the project is same as above 3b. Council District 7 D. Project Status and Planning 1. The SHSP is awarded on a yearly basis provided DHS receives funding from Congress 2. The project is underway and will be completed by February 28, 2013. 3. The project is not on a critical action path. 4. The project's term has begun. The reason for delay in the request was the project was working its way through the application/approval process and the agreement had to be executed by Cleveland State University. 5. N/A E. Funding 1. The project is funded 100% by the DHS through OEMA. 2. The grant is a reimbursement grant so expenses are submitted for reimbursement as they occur. Cleveland State University has until February 28, 2013, to request reimbursement for expenses incurred against the FY10 SHSP award. 3. N/A Title CONFIDENTIAL: Public Safety and Justice Services, 2012, City of Fairview Park, CERT Agreement, FY2010 State Homeland Security Program (SHSP) A. Scope of Work Summary 1. Public Safety and Justice Services requesting approval for an agreement with the City of Fairview Park for FY10 SHSP in the amount not-to-exceed $1,300.00 for the period 8/1/2010-2/28/2013. 2. The primary goals of the project are: Continue to develop secure local, regional and state level intelligence and information sharing systems with the goal of interconnecting and standardizing these systems so that they may ultimately join the national information sharing environment All jurisdictions will have plans and procedures in place to manage volunteers and donations during an emergency 3. The funding for FY10 SHSP is passed through to Cuyahoga County from the Ohio Emergency Management Agency (OEMA) and the Department of Homeland Security (DHS). B. Procurement 1. The procurement method for this project was a request for applications and a review process conducted by the Urban Area Working Group (Cuyahoga County's Terrorism Advisory Team) and with the oversight of OEMA. Per guidance provided for the FY10 SHSP program, the Terrorism Advisory Team must consist of AT LEAST one member from the following ten disciplines: Fire Services, Emergency Medical Services, EMA, Police Departments, Sheriff's Office, Public Works Departments, Public Health Organizations, Township Trustees, Mayor's Office, and the County Executive's Office. No one person on the team may represent multiple disciplines. Specific names can be provided if necessary, but this group accepted applications for FY10 SHSP and determined awards with OEMA's oversight. 2. The performance period of the agreements ends on February 28, 2013. 3. (The City of Fairview Park follows their procurement policy, which must at least be compliant with Cuyahoga County's procurement policy for all equipment procured.) C. Contractor and Project Information The address of the City of Fairview Park: 20777 Lorain Road Fairview Park, OH 44126 Council District 1 2. N/A 3a. The address or location of the project is same as above 3b. Council District 1 D. Project Status and Planning 1. The SHSP is awarded on a yearly basis provided DHS receives funding from Congress 2. The project is underway and will be completed by February 28, 2013. 3. The project is not on a critical action path. 4. The project's term has begun. The reason for delay in the request was the project was working its way through the application/approval process and the agreement had to be executed by the City of Fairview Park. 5. N/A E. Funding 1. The project is funded 100% by the DHS through OEMA. 2. The grant is a reimbursement grant so expenses are submitted for reimbursement as they occur. The City of Fairview Park has until February 28, 2013, to request reimbursement for expenses incurred against the FY10 SHSP award. 3. N/A Title CONFIDENTIAL: Public Safety and Justice Services, 2012, City of Rocky River, CERT Agreement, FY2010 State Homeland Security Program (SHSP) A. Scope of Work Summary 1. Public Safety and Justice Services requesting approval for an agreement with the City of Rocky Rive3r for FY10 SHSP in the amount not-to-exceed $1,300.00 for the period 8/1/2010-2/28/2013. 2. The primary goals of the project are: Continue to develop secure local,-regional-,and state level intelligence and information sharing systems with the goal of interconnecting and standardizing these systems so that they may ultimately join the national information sharing environment All jurisdictions will have plans and procedures in place to manage volunteers and donations during an emergency 3. The funding for FY10 SHSP is passed through to Cuyahoga County from the Ohio Emergency Management Agency (OEMA) and the Department of Homeland Security (DHS). B. Procurement 1. The procurement method for this project was a request for applications and a review process conducted by the Urban Area Working Group (Cuyahoga County's Terrorism Advisory Team) and with the oversight of OEMA. Per guidance provided for the FY10 SHSP program, the Terrorism Advisory Team must consist of AT LEAST one member from the following ten disciplines: Fire Services, Emergency Medical Services, EMA, Police Departments, Sheriff's Office, Public Works Departments, Public Health Organizations, Township Trustees, Mayor's Office, and the County Executive's Office. No one person on the team may represent multiple disciplines. Specific names can be provided if necessary, but this group accepted applications for FY10 SHSP and determined awards with OEMA's oversight. 2. The performance period of the agreements ends on February 28, 2013. 3. (The City of Rocky River follows their procurement policy, which must at least be compliant with Cuyahoga County's procurement policy for all equipment procured.) C. Contractor and Project Information The address of the City of Rocky River: 21012 Hilliard Blvd. Rocky River, OH 44145 Council District 1 2. N/A 3a. The address or location of the project is same as above 3b. Council District 1 D. Project Status and Planning 1. The SHSP is awarded on a yearly basis provided DHS receives funding from Congress 2. The project is underway and will be completed by February 28, 2013. 3. The project is not on a critical action path. 4. The project's term has begun. The reason for delay in the request was the project was working its way through the application/approval process and the agreement had to be executed by the City of Rocky River. 5. N/A E. Funding 1. The project is funded 100% by the DHS through OEMA. 2. The grant is a reimbursement grant so expenses are submitted for reimbursement as they occur. The City of Rocky River has until February 28, 2013, to request reimbursement for expenses incurred against the FY10 SHSP award. 3. N/A --------------- CPB2012-169 SUMMARY OF REQUESTED ACTION: Title: Department of Public Safety and Justice Services A. Scope of Work Summary 1. Public Safety and Justice Services requesting approval of an agreement with the City of Solon for the cost of $670.58. The start-end date of the agreement is January 6, 2011 through August 1, 2011. 2. The primary goals of the project are; Provide funding for First Responders to prepare for, prevent, respond to and recover from natural and man-made disasters. Provide funding for homeland security related equipment, training, exercises. This agreement reimburses the City of Solon for Overtime and Backfill expenses associated with a FEMA and OEMA-approved full scale exercise. B. Procurement 1. The procurement method for this project was the grant agreement with OEMA. The County is reimbursed by OEMA for all allowable expenses. The full scale exercise was an approved project by OEMA. 2. The grant agreement will close on 2.29.2012. C. Contractor and Project Information 1. City of Solon 34200 Bainbridge Road Solon, Ohio 44139 Council District 6 2. The Mayor of the City of Solon is Susan Drucker D. Project Status and Planning 1. The UASI grant is awarded yearly based on DHS receives funding from Congress and including Cleveland/Cuyahoga County in the list of recipient Urban Areas. 2. The reimbursed expenses for exercises involve an ongoing project to present realistic scenarios exercises awareness to all Cuyahoga County First Responders, as well as the private and volunteer partners. E. Funding 1. The project is funded 100% by DHS through OEMA. 2. The grant is a reimbursement grant. Expenses are submitted for reimbursement as they occur. SUMMARY OF REQUESTED ACTION: Title: Public Safety and Justice Services 2012 City of Solon Training Reimbursement Agreement FY08 UASI Grant A. Scope of Work Summary 1. Public Safety and Justice Services requesting approval of an agreement with the City of Solon for the cost of $4578.42. The start-end date of the agreement is January 6, 2011 through May 15, 2011. 2. The primary goals of the project are: Provide funding for First Responders to prepare for, prevent, respond to and recover from natural and man-made disasters. Provide funding for homeland security related equipment, training, exercises. This agreement reimburses the City of Solon for Overtime and Backfill expenses associated with FEMAapproved training. B. Procurement 1. The procurement method for this project was the grant agreement with OEMA. The County is reimbursed by OEMA for all allowable expenses. The FEMA training was an approved project. 2. The grant agreement will close on 2/29/2012. C. Contractor and Project Information 1. City of Solon 34200 Bainbridge Road Solon, Ohio 44139 Council District 6 2. The Mayor of the City of Solon is Susan Drucker. D. Project Status and Planning 1. The UASI grant is awarded yearly based on DHS receiving funding from Congress and including Cleveland/Cuyahoga County in the list of recipient Urban Areas. 2. The reimbursed expenses for training involve an ongoing project to present awareness-level training to all Cuyahoga County First Responders, as well as the County Bomb Response Plan. E. Funding 1. The project is funded 100% by DHS through OEMA. 2. The grant is a reimbursement grant. Expenses are submitted for reimbursement as they occur SUMMARY OF REQUESTED ACTION: Title: Public Safety & Justice Services 2012 City of Parma and Southwest Council of Governments FY 09 State Homeland Security Program Asset Transfer Agreement A. Scope of Work Summary 1. Public Safety and Justice Services requesting approval to enter into an agreement for a transfer of assets with the City of Parma. The asset transfer is in the amount of $16,587.00. 2. The primary goals of the project are; § Provide funding for First Responder to prepare for, prevent, respond to and recover from natural and man-made disasters. § Funding equips, trains, exercises and evaluates first responders in this goal § Utilizing FY 09 State Homeland Security Program Funds, Cuyahoga County purchased equipment utilized on behalf of the City of Parma SWAT team. § Urban Area Working Group Communications Committee awarded funding for headset equipment to various SWAT Teams throughout Cuyahoga County. B. Procurement 1. The procurement method for this project was the grant agreement with OEMA utilizing FY 09 State Homeland Security Program (SHSP) grant funds. 2. The performance period of the agreement is the grant period from August 1, 2009 – April 30, 2012. There is no termination date for the transfer of equipment as the equipment will remain with the City of Parma unless as noted in the agreement. C. Contractor and Project Information 1. City of Parma 6611 Ridge Rd Parma, OH 44129 Council District: 4 2. The Mayor of the City of Parma is Timothy DeGeeter. D. Project Status and Planning 1. This project is completed one time agreement with the City of Parma for an asset transfer. The agreement is utilizing FY 09 State Homeland Security Program Funds (SHSP) grant funds which have been earmarked for this purpose through the Cuyahoga County Communications Committee under the Urban Area Working Group committees. 2. This is a one-time agreement to transfer the communications equipment to the City of Parma's SWAT team. E. Funding 1. The project is 100% FY 09 State Homeland Security Program funded and is passed through to Cuyahoga County from the Department of Homeland Security (DHS) through Ohio Emergency Management Agency (OEMA). 2. Cuyahoga County procured the equipment in the amount of $16,587.00 for the City of Parma. There is no transfer of funds, just equipment. SUMMARY OF REQUESTED ACTION: Title: CONFIDENTIAL: Public Safety & Justice Services, 2012, City of Rocky River, Agreement, FY09 SHSPLE A. Scope of Work Summary 1. Public Safety & Justice Services requesting approval of an agreement with the City of Rocky River for FY09 State Homeland Security Program-Law Enforcement (SHSP-LE). The amount of the agreement is $14,000.00. The performance period (anticipated start-completion dates) of the agreement is August 1, 2009-March 30, 2012. 2. The primary goals of the project are: Continue to build a Region 2 Regional Automated Fingerprint Identification System (AFIS) that will allow information sharing across a five county region and beyond Incorporate License Plate Readers (LPR) as part of a larger effort to develop information sharing in Region 2 and throughout the State of Ohio 3. The funding for FY09 SHSP-LE is passed through to Cuyahoga County from the Ohio Emergency Management Agency (OEMA) and the Department of Homeland Security (DHS). B. Procurement 1. The procurement method for this project was a request for applications and a review process conducted by the Region 2 Law Enforcement Terrorism Prevention Program Advisory Group with the oversight of OEMA. Per guidance provided for the FY09 SHSP-LE program, the Advisory Group must consist AT A MINIMUM of the following members: three police chiefs, three County Sheriffs, one university law enforcement representative, one representative from a criminal justice services agency, and one representative from a terrorism and early warning group. Specific names can be provided if necessary, but this group accepted applications and determined awards in accordance with OEMA's guidance and oversight. 2. The performance period of the agreement ends on March 30, 2012 3. The City of Rocky River follows their procurement policy, which must at least conform to the procurement policy established by Cuyahoga County. C. Contractor and Project Information 1. The address of the City of Rocky River 21012 Hilliard Blvd. Rocky River, OH 44116 Council District 1 2. N/A 3a. The address or location of the project is: same as above 3b. The project is located in Council District 1 D. Project Status and Planning 1. The SHSP-LE is awarded on a yearly basis provided DHS receives funding from Congress. 2. This is an ongoing project that will be completed by March 30, 2012 3. The project is on a critical action path as the dollars from this award must be expended by the end of March 2012. 4. The project's term has already begun. The reason there was a delay in this request is we were awaiting approval of the agreement from the City of Rocky River 5. N/A E. Funding 1. The project is funded 100% by the DHS through OEMA. 2. The grant is a reimbursement grant so expenses are submitted for reimbursement as they occur. The City of Rocky River has until March 30, 2012, to request reimbursement. 3. N/A Title: CONFIDENTIAL: Public Safety & Justice Services, 2012, Lake County, Agreement, FY09 SHSP-LE A. Scope of Work Summary 1. Public Safety & Justice Services requesting approval of an agreement with the Lake County Board of Commissioners for FY09 State Homeland Security Program-Law Enforcement (SHSP-LE). The amount of the agreement is $14,000.00. The performance period (anticipated start-completion dates) of the agreement is August 1, 2009-March 30, 2012. 2. The primary goals of the project are: Continue to build a Region 2 Regional Automated Fingerprint Identification System (AFIS) that will allow information sharing across a five county region and beyond Incorporate License Plate Readers (LPR) as part of a larger effort to develop information sharing in Region 2 and throughout the State of Ohio 3. The funding for FY09 SHSP-LE is passed through to Cuyahoga County from the Ohio Emergency Management Agency (OEMA) and the Department of Homeland Security (DHS). B. Procurement 1. The procurement method for this project was a request for applications and a review process conducted by the Region 2 Law Enforcement Terrorism Prevention Program Advisory Group with the oversight of OEMA. Per guidance provided for the FY09 SHSP-LE program, the Advisory Group must consist AT A MINIMUM of the following members: three police chiefs, three County Sheriffs, one university law enforcement representative, one representative from a criminal justice services agency, and one representative from a terrorism and early warning group. Specific names can be provided if necessary, but this group accepted applications and determined awards in accordance with OEMA's guidance and oversight. 2. The performance period of the agreement ends on March 30, 2012 3. Lake County Board of Commissioners follows their procurement policy, which must at least conform to the procurement policy established by Cuyahoga County. C. Contractor and Project Information 1. The address of the Lake County Board of Commissioners 105 Main Street Painesville, OH 44077 Council District N/A 2. N/A 3a. The address or location of the project is: 8505 Garfield Rd. Mentor, OH 44060 3b. The project is located in Council District N/A D. Project Status and Planning 1. The SHSP-LE is awarded on a yearly basis provided DHS receives funding from Congress. 2. This is an ongoing project that will be completed by March 30, 2012 3. The project is on a critical action path as the dollars from this award must be expended by the end of March 2012. 4. The project's term has already begun. The reason there was a delay in this request is we were awaiting approval of the agreement from the Lake County Board of Commissioners 5. N/A E. Funding 1. The project is funded 100% by the DHS through OEMA. 2. The grant is a reimbursement grant so expenses are submitted for reimbursement as they occur. The Lake County Board of Commissioners have until March 30, 2012, to request reimbursement. 3. N/A --------------- CPB2012-170 SUMMARY OF REQUESTED ACTION: Title: Public Safety & Justice Services 2012 City of Brooklyn FY 07 Urban Area Security Initiative Asset Transfer Agreement and FY State Homeland Security Program Asset Transfer Agreement A. Scope of Work Summary 1. Public Safety and Justice Services requesting approval to enter into an agreement for a transfer of assets with the City of Brooklyn. The asset transfer is in the amount of $1,825.52. 2. The primary goals of the project are;§ Provide funding for First Responder to prepare for, prevent, respond to and recover from natural and man-made disasters.§ Funding equips, trains, exercises and evaluates first responders in this goal§ Utilizing FY 07 Urban Area Security Initiative (UASI), Cuyahoga County purchased equipment utilized on behalf of the City of Brooklyn Fire Department.§ Urban Area Working Group Communications Committee awarded funding for end user equipment for municipalities throughout Cuyahoga County. B. Procurement 1. The procurement method for this project was the grant agreement with OEMA utilizing FY 07 Urban Area Security Initiative (UASI) grant funds. 2. The performance period of the agreement is the grant period from July 1, 2007 through March 31, 2010. There is no termination date for the transfer of equipment as the equipment will remain with the City of Brooklyn unless as noted in the agreement. C. Contractor and Project Information 1. City of Brooklyn7619 Memphis Ave Brooklyn, OH 44144Council District: 4 2. The Mayor of the City of Brooklyn is Richard Balbier. D. Project Status and Planning 1. This project is completed one time agreement with the City of Brooklyn for an asset transfer. The agreement is utilizing FY 07 Urban Area Security Initiative grant funds which have been earmarked for this purpose through the Cuyahoga County Communications Committee under the Urban Area Working Group committees. 2. This is a one-time agreement to transfer the communications equipment to the City of Brooklyn. E. Funding 1. The project is 100% FY 07 Urban Area Security Initiative funded and is passed through to Cuyahoga County from the Department of Homeland Security (DHS) through Ohio Emergency Management Agency (OEMA). 2. Cuyahoga County procured the equipment in the amount of $1825.52 for the City of Brooklyn. There is no transfer of funds, just equipment. SUMMARY OF REQUESTED ACTION: Title: Public Safety & Justice Services 2012 City of Brooklyn FY 07 State Homeland Security Program Asset Transfer Agreement A. Scope of Work Summary 1. Public Safety and Justice Services requesting approval to enter into an agreement for a transfer of assets with the City of Brooklyn. The asset transfer is in the amount of $11,165.60. 2. The primary goals of the project are; § Provide funding for First Responder to prepare for, prevent, respond to and recover from natural and man-made disasters. § Funding equips, trains, exercises and evaluates first responders in this goal § Utilizing FY 07 State Homeland Security Program, Cuyahoga County purchased equipment utilized on behalf of the City of Brooklyn Fire Department. § Urban Area Working Group Communications Committee awarded funding for end user equipment for municipalities throughout Cuyahoga County. B. Procurement 1. The procurement method for this project was the grant agreement with OEMA utilizing FY 07 State Homeland Security Program (SHSP) grant funds. 2. The performance period of the agreement is the grant period from July 1, 2007 through March 31, 2010. There is no termination date for the transfer of equipment as the equipment will remain with the City of Brooklyn unless as noted in the agreement. C. Contractor and Project Information 1. City of Brooklyn 7619 Memphis Ave Brooklyn, OH 44144 Council District: 4 2. The Mayor of the City of Brooklyn is Richard Balbier. D. Project Status and Planning 1. This project is completed one time agreement with the City of Brooklyn for an asset transfer. The agreement is utilizing FY 07 State Homeland Security Program (SHSP) grant funds which have been earmarked for this purpose through the Cuyahoga County Communications Committee under the Urban Area Working Group committees. 2. This is a one-time agreement to transfer the communications equipment to the City of Brooklyn. E. Funding 1. The project is 100% FY 07 Urban Area Security Initiative funded and is passed through to Cuyahoga County from the Department of Homeland Security (DHS) through Ohio Emergency Management Agency (OEMA). 2. Cuyahoga County procured the equipment in the amount of $11,165.60 for the City of Brooklyn. There is no transfer of funds, just equipment. SUMMARY OF REQUESTED ACTION: Title: Public Safety & Justice Services 2012 City of Cleveland Heights FY 07 Urban Area Security Initiative Asset Transfer Agreement A. Scope of Work Summary 1. Public Safety and Justice Services requesting approval to enter into an agreement for a transfer of assets with the City of Cleveland Heights. The asset transfer is in the amount of $7,230.00. 2. The primary goals of the project are; § Provide funding for First Responder to prepare for, prevent, respond to and recover from natural and man-made disasters. § Funding equips, trains, exercises and evaluates first responders in this goal § Utilizing FY 07 Urban Area Security Initiative Funds, Cuyahoga County purchased equipment utilized on behalf of the City of Cleveland Heights Fire Department. § Urban Area Working Group Communications Committee awarded funding for end user equipment for municipalities throughout Cuyahoga County. B. Procurement 1. The procurement method for this project was the grant agreement with OEMA utilizing FY 07 Urban Area Security Initiative (UASI) grant funds. 2. The performance period of the agreement is the grant period from July 1, 2007 through March 31, 2010. There is no termination date for the transfer of equipment as the equipment will remain with the City of Cleveland Heights unless as noted in the agreement. C. Contractor and Project Information 1. City of Cleveland Heights 40 Severance Circle Cleveland Heights, OH 44118 Council District: 10 2. The Mayor of the City of Cleveland Heights is Edward Kelley. D. Project Status and Planning 1. This project is completed one time agreement with the City of Cleveland Heights for an asset transfer. The agreement is utilizing FY 07 Urban Area Security Initiative Funds (UASI) grant funds which have been earmarked for this purpose through the Cuyahoga County Communications Committee under the Urban Area Working Group committees. 2. This is a one-time agreement to transfer the communications equipment to the City of Cleveland Heights's SWAT team. E. Funding 1. The project is 100% FY 07 Urban Area Security Initiative funded and is passed through to Cuyahoga County from the Department of Homeland Security (DHS) through Ohio Emergency Management Agency (OEMA). 2. Cuyahoga County procured the equipment in the amount of $7,230.00 for the City of Cleveland Heights. There is no transfer of funds, just equipment. --------------- CPB2012-171 SUMMARY OF REQUESTED ACTION: Title: The Apex Paper Box Company - OJT Contract A. Scope of Work Summary 1. The City of Cleveland/Cuyahoga County Workforce Development is requesting approval of an On-theJob Training Program grant with The Apex Paper Box Company for the anticipated cost of not more than $11,700.00. The anticipated start-completion dates are 1/23/2012 to 6/30/2012. 2. The primary goals of the project are to hire and train one trainee under an On-the-Job Training Program. Apex Paper Box Company will be reimbursed 50% of the wages paid for the contract period. 3. The project is mandated by the ORC statute 307.86 (E): Specifically allowable program to assist employers in Workforce Investment Act. B. Procurement 1. The OJT program is specifically authorized under the federal Workforce Investment Act and is exempt from competitive bidding requirements. The Department of Workforce Development follows the guidelines established in the OJT policy which was approved by the Workforce Investment Board. The OJT policy is attached. C. Contractor and Project Information 1. The Apex Paper Box Company, 5601 Walworth Avenue, Cleveland, OH 44102 Council District # 10 2. The Principal Owner is Charles F. Santose, HR Director Apex Paper Box in Cleveland, OH is a private company, a manufacturer of set up jewelry and gift boxes categorized under Wholesale Jewelers Supplies. Current estimates show this company has an annual revenue of $20 to $50 million and employs a staff of approximately 100. D. Project Status and Planning 1. This is a new contract; however the employer has previous OJT contracts with the department, but the previous contracts are still active and will not be evaluated until after February 2012. 2. The OJT Program has already begun. The reason for the delay in this request is the contract negotiations with the employer and the fact that the department has to be responsive to the employer's hiring needs. E. Funding 1. The project is funded 100% by Federal Workforce Investment Act (WIA) Funds. 2. The schedule of payments is by invoice received from the employer on a monthly basis. SUMMARY OF REQUESTED ACTION: Title: Long Term Care Ombudsman - OJT Contract A. Scope of Work Summary 1. The City of Cleveland/Cuyahoga County Workforce Development is requesting approval of an On-theJob Training Program grant with Long Term Care Ombudsman for the anticipated cost of not more than $8,220.00. The anticipated start-completion dates are 1/23/2012 to 6/30/2012. 2. The primary goals of the project are to hire and train 2 trainees under an On-the-Job Training Program. Long Term Care will be reimbursed 50% of the wages paid for the contract period. 3. The project is mandated by the ORC statute 307.86 (E): Specifically allowable program to assist employers in Workforce Investment Act. B. Procurement 1. The OJT program is specifically authorized under the federal Workforce Investment Act and is exempt from competitive bidding requirements. The Department of Workforce Development follows the guidelines established in the OJT policy which was approved by the Workforce Investment Board. The OJT policy is attached. C. Contractor and Project Information 1. Long Term Care Ombudsman 2800 Euclid Ave. Ste. 200 Cleveland, OH 44115 Council District # 8 2. The Principal Owner is Susan Griffin. Long Term Care Ombudsman is a Non-profit organization that advocates for residents rights. It has 16 employees. D. Project Status and Planning 1. This is a new contract. 2. The OJT Program has already begun. The reason for the delay in this request is the contract negotiations with the employer and the fact that the department has to be responsive to the employer's hiring needs. E. Funding 1. The project is funded 100% by Federal Workforce Investment Act (WIA) Funds. 2. The schedule of payments is by invoice received from the employer on a monthly basis. --------------- CPB2012-172 SUMMARY OF REQUESTED ACTION: Title: OPD 2012 MNJ Direct Technologies, Inc. Award Recommendation for ISC -HP Servers with Internal Parts, HP desktops and laptops, RQ22158 A. Scope of Work Summary 1. The Office of Procurement & Diversity is requesting approval of a Recommendation of Award for MNJ Direct Technolgies, Inc. in accordance to ord. #02011-0046 section 4.4 (d) exemption. The cost is $48,429.00 for the purchase of HP Servers with internal parts, HP Desktops and Laptops for the Sanitary Engineering Division. 2. The primary goal of this project is to replace aging equipment that is more than five years old. B. Procurement 1. The procurement method for this project was a State Contract purchase. The total value of this purchase is $48,429.00. 2. State Contract # 533268, expiration 6/30/2013. There was no SBE Goal associated with this project. TAC approval was received on October 26, 2011. The item was advertised for a minimum of five days (Jan. 20-27th), no bids were received lower than state contract. C. Contract and Project Information 1. The address of the contract is: MNJ Technologies Direct, Inc. 1025 Bush Parkway Buffalo Grove, IL 60089 There is no Cuyahoga County Council District assigned, as the vendor is located out of state. 2. The President, and CEO is Susan Kozak. 3. The location of the project is Sanitary Engineering, 6100 West Canal Rd., Valley View OH, 44125. D. Project Status and Planning 1. This equipment is a one-time purchase. 2. The equipment is for the replacement of aging equipment over five years old. This equipment will complete the project. E. Funding 1. This project is funded 100% by Sanitary Engineering General Fund. 2. The schedule of payment is via invoice. Exemption Requests CPB2012-173 to CPB2012-181 See Item Detail Above Consent Agenda – Scheduled Consent Items CPB2012-182 SUMMARY OF REQUESTED ACTION: Department of Public Works- 2012 Risk Management- Tabbatha Cartagena Settlement Agreement. A. Scope of Work Summary 1.Department of Public Works requesting approval of a Settlement Agreement with Tabbatha Cartagena for the anticipated cost of $750.00. 2. The primary goals are settlement of a property damage claim. 3. Not applicable. B. Procurement Not applicable. C. Contractor and Project Information 1. The address(es) of all vendors and/or contractors is : Claimant Tabbatha Cartagena 600 O'Malley Drive Apt 104 Parma, Ohio 44134 D. Project Status and Planning Not a project – one time claim settlement. E. Funding 1. The project is funded 100% by the Self Insurance Fund. 2. The schedule of payments is one time only. 3. Not applicable. --------------- CPB2012-183 SUMMARY OF REQUESTED ACTION: Development/2012/City of North Royalton/Amend Enterprise Zone Agreement/Induction Tooling, Inc & Stuehr Properties, LLC A. Scope of Work 1. Department of Development, submitting an amendment to an urban jobs and enterprise zone agreement between the City of North Royalton and Induction Tooling, Inc. and Stuehr Properties, LLC. In keeping with state requirements for tax abatements under the Ohio Revised Code, this request confirms the consent of the City of North Royalton to amend Enterprise Zone Agreement with Induction Tooling, Inc and Stuehr Properties, LLC (the "Company"). 2. The "Company" has failed to meet goals under the Enterprise Zone Agreement dated September 11, 2007. Therefore, the City of North Royalton desires to decrease tax exemption provided to the "Company" to 52% of the original exemption for the collection years 2012 through 2020. 3.ORC 5709.66 provides for the creation of Enterprise Zone. The City of North Royalton is requesting the County to approve the Amendment which will reduce the Enterprise Zone Agreement tax exemption. B. Procurement Under ORC 5709, the County is required to approve or disapprove Enterprise Zone Agreements submitted by local jurisdictions. C. Project Information City of North Royalton 11545, Royalton Road North Royalton, Ohio 44133 Council District 5 Project Address: Induction Tooling, Inc. 9989 York Theta North Royalton, Ohio 44133 Council District #5, Michael Gallagher The president of Induction Tooling is William I. Stuehr. D. Project Status and Planning Tax exemption property and inventory is a one-time approval with ten years of abatement. Effective at execution of Enterprise Zone Agreement The First Amendment needs a signature in ink. E. Funding This is a local tax abatement agreement and does not require any funding. --------------- CPB2012-184 SUMMARY OF REQUESTED ACTION: A. Scope of Work Summary 1. Department of Development, submitting an urban jobs and enterprise zone agreement between the City of North Royalton and Laszeray Technology, Inc. (" Laszeray") and parent company RGS Management LLC. 2. Plans to expand its existing facility by 19,000 square feet, retain 24 employees and add ten (10) new full-time permanent jobs. 3. ORC 5709.66 provides for the creation of Enterprise Zones. The City of North Royalton is asking the County to approve the Enterprise Zone Agreement and tax abatement and for the County Executive or Director of Development to execute the Enterprise Zone agreement. Tax incentives related to the Enterprise Zone will support the company's decision to expand in the City of North Royalton and create ten (10 ) new jobs. The City of North Royalton has offered personal property tax exemption at a 50% rate for 10 years. The North Royalton School District has been notified and has no objections. The estimated annual payroll amount for ten (10) new employees is $300,000. The curent amount of the annual payroll is $927,938. The market value of the existing facility as determined for property taxation is $2,176,400, the business's total current investment in the facility as of the proposal expansion is $3,202,005. B. Procurement Under ORC 5709, the County is required to approve or disapprove Enterprise Zone Agreements submitted by local jurisdictions. C. Project Information City of North Royalton 11545 Royalton Road North Royalton, OH 44133 The mayor for City of North Royalton is Mr. Robert A. Stefanik Council District 5 Project Address: Laszeray Technology, Inc. 12315 York Delta Drive North Royalton, Ohio 44133 Council District # 5, Michael Gallagher The executive director of the company is Raymond G. Seuffert D. Project Status and Planning Tax Exemption Property and Inventory is a one-time approval with ten years of tax abatement. Effective at execution of Enterprise Zone Agreement The project is on a critical path as it needs to be submitted to State of Ohio. The Enterprise Zone Agreement needs a signature in ink. E. Funding This is a local tax abatement agreement and does not require any funding. --------------- CPB2012-185 SUMMARY OF REQUESTED ACTION: Title: Development/2012/Port Authority/USEPA RLF Subgrant Agreement/Dike 14 Brownfield Cleanup A. Scope of Work Summary 1. Requesting the approval of a United States Environmental Protection Agency (U.S. EPA) Brownfield Revolving Loan Fund (BRLF) Subgrant award between the County of Cuyahoga, on behalf of the Department of Development, and the Cleveland-Cuyahoga County Port Authority for the Dike 14 project located at 8701 Lakeshore Boulevard, Cleveland, Ohio, in the amount not-to-exceed $600,000 for the time period March 1, 2012 through June 30, 2013. Authorizing the Director of the Department of Development to sign all necessary documents in relation to the Brownfield Revolving Loan Fund Subgrant Agreement. 2. The primary goals of this project are to: a) complete the environmental cleanup of a 5-acre portion of Dike 14, b) facilitate the use of the site as a nature preserve, and c) protect the habitat for the migrating wildlife and the public. B. Procurement 1. This is a subgrant agreement between the County and the Port Authority. 2. DBE Participation, per County's Cooperative Agreement with U.S. EPA, is 4.6% C. Contractor and Project Information 1. The address of the Subgrantee is: Cleveland-Cuyahoga County Port Authority 1375 East 9th Street, Suite 2300 Cleveland, Ohio 44114 Council District 7 2. A list of the Board of Directors for the Port Authority is attached. 3. The location of the project is: Dike 14 8701 Lakeshore Boulevard Cleveland, Ohio 44108 Council District 7 D. Project Status and Planning 1. This project is funded through the County's U.S. EPA Brownfield Revolving Loan Fund Program, which is funded by U.S. EPA. E. Funding 1. The project is funded 100% with Federal Funds. 2. The schedule of payments is monthly. --------------- CPB2012-186 SUMMARY OF REQUESTED ACTION: Title: Department of Human Resources recommending an award on RQ21414 to Body Sculpting by Exterior Designs, Inc and Cathleen Donovan in the amount of zero $0.00 for the period January 1, 2012 through 12-31-2012 with the option to renew for a second year, January 1, 2013 through December 31, 2013 (Resolution No.21414- authority to seek proposals.) A. Scope of Work Summary 1. Department of Human Resources requesting approval of an agreement with Body Sculpting by Exterior Designs, Inc. and Cathleen Donovan for the anticipated cost of $0.00. The anticipated startcompletion dates are January 1, 2011 thru December 31, 2011 with a one year option to include January 1, 2013 thru December 31, 2013. 2. The primary goals of the project is to provide Wellness classes for exercise and weight management that will assist our new Wellness IQ program. B. Procurement 1. The procurement method for this project was RFQ#21414. The total value of the RFQ is $0.00. 2.The RFQ was closed on November 7, 2011. 3.There were #2 bids/proposals pulled from OPD, #2 bids/proposals submitted for review, #2 bids/proposals approved. C. Contractor and Project Information 1. The addresses of all vendors and/or contractors is:Body Sculpting by Exterior Designs, Inc.8395 Mayfield Road, Suite A3Council District N/ACathleen Donovan1458 Woodward AvenueLakewood, Ohio 44107Council District #2 2. The Principal Owners for Body Sculpting by Exterior Designs, Inc. is Deborah Montesanto, President and for Cathleen Donovan, Cathleen Donovan, Owner. 3.The address or location of the project is: Department of Human Resources/Benefits Division:1255 Euclid AvenueCleveland, Ohio 44115 3.bThe project is located in Council District #7 D. Project Status and Planning The project is a new to the County. E. Funding The project does not require any funding by the County. --------------- CPB2012-187 SUMMARY OF REQUESTED ACTION: The Department of Senior & Adult Services, submitting an amendment to Contract No. CE 1000508-01 with Absolute Home Health Care, Agency Inc. for Options for Elders program for the period July 01, 2010 through June 30, 2012 for decrease in funds in the amount of ($58,200.00). A. Scope of Work Summary 1. The Department of Senior and Adult Services is requesting approval of an amendment with Absolute Home Health Care Agency, Inc. for the OPTIONS For Elders Program for ($58,200) for the period July 1, 2010 – June 30, 2012. 2. The primary goal of the Options program is to promote self-determination by providing subsidized services to clients so they can remain safe and comfortable in the community. Direct services are delivered to clients age 60 and older who met a Protective Level of Care and have incomes less than $2,500 per month and assets less than $25,000. A goal of the Options program to extend the amount of time a client is able to reside at home before requiring more intensive services. 3. The Options program is a non-mandated service offered to Cuyahoga County residents. B. Procurement 1. The procurement method for this project was requested as an RFP. The total value of the project is $5,199,523.00. 2. The RFP closed on March 26, 20103. In response to the RFP, the County received 66 service proposals from 47 vendors. Awards were recommended for 34 vendors. C. Contractor and Project Information 1. The address of the provider is:Absolute Home Health Care Agency, Inc. 5082 Warrensville Center Rd.Maple Hts., Ohio 44137 2. The owner for the provider is as follows: Mark KarnaukhAdministrator 3. OPTIONS for Elders Program services will be delivered to residents throughout Cuyahoga county. D. Project Status and Planning 1. DSAS awards contracts for Options services every two years. 2. The current contracts for the Options for Elders Program ends on June 30, 2012. 3. To avoid an interruption of client services, it is important this contract amendment keeps moving forward. 4. Not applicable. 5. Not applicable. E. Funding 1. The project is funded 100% by the Health & Human Services Levy. 2. The schedule of payments to the provider is monthly by invoice. 3. The project is an amendment to a contract. This contract amendment changes the value of the original contract and is the (1st) amendment of the contract. The history of the amendment can be located in the attachment section and labeled as Contract History. --------------- CPB2012-188 SUMMARY OF REQUESTED ACTION: Title: (The Department of Children and Family Services) (2012) The Cuyahoga County Board of Developmental Disabilities. A. Scope of Work Summary 1. The Division of Children and Family Services (CFS) is requesting authorization from the Cuyahoga County of Ohio to contract with Cuyahoga County Board of Developmental Disabilities. The anticipated start-completion dates are January 1, 2012 through December 31, 2012. During an individual's enrollment in the IO Waiver program and under County custody, The County shall reimburse the CCBDD the actual cost paid by the CCBDD for HCBS services provided to the individual.The CCBDD shall be responsible for the cost of any service or support, including residential or placement, arranged for by the CCBDD and provided to a youth covered under this MOU. The CCBDD shall also pay the non federal share of any Medicaid services provided to the youth. 2. The Cuyahoga County Board of Developmental Disabilities has been informed that a backlog exists for the assignment of guardians for youth who are involved with the CCBDD and their programs. The impact of this backlog is that there is a delay in providing guardians to youth who will transition from CCDCFS to CCBDD. The County entities have addressed this challenge by working together on behalf of the impacted youth. The Memorandum of Understanding provides for the best interest of the impacted youth until a guardian is assigned or the age of 21 whichever comes first. 3. CCBDD was exempt from the competitive bidding process per the following statement whereas, in accordance with an order issued pursuant to Ohio Revised Code 2151.353, the Juvenile Court may permit CCDCFS to retain. B. Procurement 1. The procurement method for this project was exempt from competitive bid: Historically, CCBDD were exempt from the competitive bidding process per the following statement whereas, in accordance with an order issued pursuant to Ohio Revised Code 2151.353, the Juvenile Court may permit CCDCFS to retain custody of such a youth until the youth attains the age of twenty-one. There is no formal procurement method for inclusion in Cuyahoga County Board of Developmental Disabilities. 2. NA 3. NA C. Contractor and Project Information The address(es) of all vendors and/or contractors is (provide the full address in the following format): Cuyahoga County Board of Developmental Disabilities1275 Lakeside Avenue, Cleveland, Ohio 44114 CouncilDistrict-3 D. Project Status and Planning 1. The project reoccurs annually. 2. The project is on a critical action path because The Cuyahoga County Board of Developmental Disabilities has been informed that a backlog exists for the assignment of guardians for youth who are involved with the CCBDD and their programs. 3. The impact of this backlog is that there is a delay in providing guardians to youth who will transition from CCDCFS to CCBDD. The County entities have addressed this challenge by working together on behalf of the impacted youth. The Memorandum of Understanding provides for the best interest of the impacted youth until a guardian is assigned or the age of 21 whichever comes first. 4. The project's term has already begun. The impact of this backlog is that there is a delay in providing guardians to youth who will transition from CCDCFS to CCBDD. The reason there was a delay in this request is because the County may have custody of individuals with developmental disabilities that are eligible for and receiving services and supports from the CCBDD. The individuals are enrolled on a Medicaid Individual Option (IO) Waiver and are eligible to receive Medicaid Home and Communitybased Services. Through the IO Waiver, the CCBDD is responsible for payment of the local Medicaid match for the individual's HCBS service's clams. E. Funding 1. The project is funded (100% by the General Fund). 2. The schedule of payments is by invoice. During an individual's enrollment in the IO Waiver program and under County custody, The County shall reimburse the CCBDD the actual cost paid by the CCBDD for HCBS services provided to the individual. The CCBDD shall be responsible for the cost of any service or support, including residential or placement, arranged for by the CCBDD and provided to a youth covered under this MOU. The CCBDD shall also pay the non federal share of any Medicaid services provided to the youth. --------------- CPB2012-189 SUMMARY OF REQUESTED ACTION Title: Department of Health and Human Services, Community Initiatives Division/Office of Homeless Services A. Scope of Work Summary 1. Community Initiatives Division/Office of Homeless Services, submitting a grant application to the Ohio Department of Development in the amount of $ 360,900.00 responding to an RFP for the Housing Stability Program Grant for the period March 15, 2012 through December 31, 2012. Requesting authority to submit the Grant Application, and authorize the Director of Human Services to sign the Grant Agreement if awarded funding; and to make recommendations for contract(s) approval to the Director of Human Services. 2. The Housing Stability Program (HSP) goal is to prevent individuals and families from becoming homeless and, where homelessness does occur, to rapidly move persons from emergency shelter or homelessness into permanent housing. The HSP will function similarly to the Homeless prevention and Rapid re-Housing Program (HPRP) in terms of program guidelines and reporting requirements. The HSP will provide bridge funding to communities to continue HPRP activities until federal funds are available to maintain activity funding. 3. The intent of the state is to target HSP funding to communities that have demonstrated capacity to implement HPRP activities, and which have expended State pass through HPRP dollars by March 31, 2012. Cuyahoga County meets these qualifying criteria. --------------- CPB2012-190 SUMMARY OF REQUESTED ACTION Title: Department of Health and Human Services, Community Initiatives/Family and Children First Council A. Scope of Work Summary 1. Family and Children First Council requesting approval to accept a grant from the Ohio Department of Jobs and Family Services on behalf of the Ohio Children's Trust Fund for the anticipated cost of $431,772.74. The anticipated start-completion dates are 07/01/2011-06/30/2012 2. The primary goals of the project are: -Reduce the occurrence of child abuse and neglect in Cuyahoga County -Funding must be directed to primary and secondary prevention strategies. -Primary prevention strategies are defined as activities and services provided to the public designed to prevent or reduce the prevalence of child abuse and neglect before signs of abuse or neglect can be observed. -Secondary prevention strategies are defined as activities that are provided to a specific population identified as having risk factors for child abuse and neglect and are designed to intervene at the earliest warning signs of child abuse or child neglect, or whenever a child can be identified at being at risk of abuse or neglect. -Funds will be used to support secondary prevention strategies to prevent child abuse and neglect. 3. The project is mandated by the Ohio Revised Code 3109.13-18 to reduce the occurrence of child abuse and neglect. B. Procurement 1.The procurement method for this project was a grant agreement. Providers were approved through the application process. 2. The grant agreement was closed on 10/27/2011. N/A 3. The proposed grant agreement received an exemption letter on 11/25/2011. The approval letter is attached for review. C. Contractor and Project Information 1. The address of all vendors and/or contractors is: Vendor #1 Education Service Center of Cuyahoga County c/o Help Me Grow 5811 Canal Road Valley View, Ohio 44125 Vendor #2 Department of Children and Family Services c/o Cuyahoga Tapestry System of Care 3955 Euclid Avenue, Room 320E Cleveland, Ohio 44115 Vendor #3 Providence House Inc., 2037 West 32nd Street Cleveland, Ohio 44113 2. Vendor #1 - The Superintendent is Dr. Robert Mengerink. Vendor #2 - The Administrator is Patricia Rideout. Vendor #3 - The CEO and President is Natalie A. Leek-Nelson. 3. a. The address or location of the project is: Vendor #1 Education Service Center of Cuyahoga County c/o Help Me Grow 5811 Canal Road Valley View, Ohio 44125 Vendor #2 Department of Children and Family Services c/o Cuyahoga Tapestry System of Care 3955 Euclid Avenue, Room 320E Cleveland, Ohio 44115 Vendor #3 Providence House Inc., 2037 West 32nd Street Cleveland, Ohio 44113 b. All 11 council districts D. Project Status and Planning 1. The project reoccurs annually. 2. The project term began on July 1, 2011. The reason for the delay in this request is due to the state requiring the FCFC office to revise the application. The office requested formal approval letters from the state regarding the amendments. 3. The project is on a critical action path because an approval waiver application was needed as well as the receipt of the NOSA letter. 4. The project's term has already begun. The reason for the delay in the request is waiting for the approved waiver application and NOSA letter. 5. The agreement needs a signature by 10/27/2011. E. Funding 1. The project is funded 100% state. 2. The schedule of payments is monthly. 3. N/A --------------- CPB2012-191 SUMMARY OF REQUESTED ACTION Title: Department of Health and Human Services, Community Initiatives/Family and Children First Council requesting authority to seek proposals on RQ22655 for Youth Advisory Committee of Cuyahoga County for the period beginning May 1, 2012 and ending April 30, 2014; requesting authority for the Director of the Office of Procurement & Diversity to advertise for proposals. A. Scope of Work Summary 1. The Cuyahoga County Family and Children First Council is seeking an organization to coordinate and facilitate the Youth Advisory Committee of Cuyahoga County (YAC). The Youth Advisory Committee is a continuation of the Cuyahoga County Youth Council, a concept recommended by the former Youth Services Coordinating Council (YSCC) as a development and prevention strategy for youth. The YSCC recognized that youth need a venue to discuss issues important to them and leadership training to effectively engage with their community leaders. Currently, the Youth Advisory Committee has over 300 active members who are learning how to facilitate meetings and workshops, plan events, multimedia skills, and ways to live a healthy lifestyle, while participating in learning activities and connecting with caring adults. 2. The Youth Advisory Committee is designed to promote youth to attend college or work, become emotionally and physically healthy and engaged in political or community life. The Family and Children First Council will award 1 contract to the provider who meets specific criteria and agree to work nontraditional hours, the evaluation process, have proven track record in youth engagement, and who have connections to educators and other providers that provide family-centered services. B. Procurement RFP (Request for Proposal) C. Contractor and Project Information D. Project Status and Planning E. Funding 1. Funding Source – HHS Levy 2. Total Amount Requested: 250,000.00 --------------- CPB2012-192 County Law Department See Detail Above --------------- CPB2012-193 SUMMARY OF REQUESTED ACTION Title: Office of Procurement & Diversity, submitting specifications and estimate of cost; requesting authority for the Director to advertise for bids: A. Scope of Work Summary 1. Office of Procurement & Diversity, submitting specifications and estimate of cost; requesting authority for the Director to advertise for bids RQ22634, Database Training for Employees of the Cuyahoga County Information Services Center, in the estimated amount of $37,050.00. 2. To obtain the best possible pricing for Database Training for Employees of the Cuyahoga County Information Services Center. B. Procurement Competitive Bid C. Contract and Project Information D. Project Status and Planning E. Funding 1. Funding Source – General Fund 2. Total Amount Requested: $37,050.00 Office of Procurement and Diversity --------------- Cuyahoga County Contracts and Purchasing Board Purchase Order Approvals (2-27-12) \| Department/Location Key: \| \| \| \| \| \|---\|---\|---\|---\|---\| \| AU: Auditor (Fiscal Officer) \| CE: County Engineer (Public Works) \| CT: Central Services (Public Works) \| JA: Cuyahoga County Public Safety and Justice Services \| SA: Senior & Adult Svs. \| \| BE: Board of Elections \| CF: Children & Family Svs. \| DV: Development \| JC: Juvenile Court \| SE: Support Enforcement Agency \| \| CA: Court of Appeals \| CL: Clerk of Courts \| EC: Early Childhood \| LLOO: Law library \| \| \| CC-010: County Administration \| CO: Common Pleas \| HS: Health & Human Svs. \| MI: HIV/AIDS Services \| \| Direct Open Market Purchases (Purchases between $500.- $25,000 unless requiring assistance from Procurement & Diversity Dept - see below) \| AU-12-23131 \| \| 2/22/2012 \| \| purchase of printer cartridges \| \| AU \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| CR-12-22955 \| \| 2/7/2012 \| \| \| Cleaning Products - \| CR / CR00 \| \| \| \| \| \| \| \| \| Autopsy \| \| \| \| \| \| CR-12-23074 \| \| 2/15/2012 \| \| Autopsy Supplies \| \| CR / CR00 \| $7,964.96 \| \| CR-12-23075 \| CR-12-23075 \| 2/15/2012 \| 2/15/2012 \| \| Drug Calibrators & \| CR / CR00 \| CR / CR00 \| $946.70 \| \| \| \| \| \| \| Standards - Toxicology \| \| \| \| \| \| CR-12-23079 \| \| 2/15/2012 \| \| GC/MS #5973 Parts \| \| CR / CR00 \| $1,286.97 \| \| CR-12-23081 \| CR-12-23081 \| 2/15/2012 \| 2/15/2012 \| \| Formalin Solution - \| CR / CR00 \| CR / CR00 \| $586.80 \| \| \| \| \| \| \| Autopsy \| \| \| \| \| \| CR-12-23089 \| \| 2/15/2012 \| \| HP Toners \| \| CR / CR00 \| $1,982.80 \| \| CT-12-22917 \| \| 2/3/2012 \| \| MARION BLDG AWNING REPLACEMENT \| \| CT / CT01 \| \| \| \| CT-12-23035 \| \| 2/10/2012 \| \| HAINES CRISS CROSS RENEWAL \| \| CT / CT12 \| \| \| \| CT-12-23070 \| \| 2/15/2012 \| \| MOTOR FOR #2 CHILLER @ VEB \| \| CT / CT01 \| \| \| \| CT-12-23124 \| 2/22/2012 \| \| REPAIR 2008 FORD TAURUS SHERIFF DEPT \| \| CT / CT01 \| \| $1,704.28 \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| CT-12-23125 \| 2/22/2012 \| \| RED RECORD JACKETS \| \| CT / CT09 \| \| $830.00 \| \| \| CT-12-23128 \| 2/22/2012 \| \| BINDERY FOR EFS APPLICATION \| \| CT / CT09 \| \| $1,350.00 \| \| \| CT-12-23129 \| 2/22/2012 \| \| TRI-FOLD MAILER \| \| CT / CT09 \| \| $5,500.00 \| \| \| CT-12-23132 \| 2/22/2012 \| \| PINK RECORD JACKETS \| \| CT / CT09 \| \| $547.00 \| \| \| CT-12-23138 \| 2/22/2012 \| \| REGULAR CHILLER HEAVY \| \| CT / CT13 \| \| $972.00 \| \| \| CT-12-23141 \| 2/23/2012 \| \| JC DOOR REPLACEMENT P2 ENTRANCE \| \| CT / CT01 \| \| $1,950.00 \| \| \| DV-12-23115 \| 2/21/2012 \| \| \| Inspect & repair diesel \| DV / DV01 \| \| $671.80 \| \| \| \| \| \| \| fuel tank. \| \| \| \| \| \| IS-12-23066 \| \| 2/14/2012 \| \| C.P.P.B. Prep Books \| \| IS / IS01 \| \| $660.00 \| \| IS-12-23076 \| 2/15/2012 \| 2/15/2012 \| \| ADOBE ACROBAT \| IS / IS01 \| IS / IS01 \| $2,180.00 \| $2,180.00 \| \| \| \| \| \| SOFTWARE \| \| \| \| \| \| IS-12-23077 \| \| 2/15/2012 \| \| CISCO \| \| IS / IS01 \| \| $5,680.00 \| \| IS-12-23109 \| 2/17/2012 \| 2/17/2012 \| \| Earning & Deduction \| IS / IS01 \| IS / IS01 \| $1,158.30 \| $1,158.30 \| \| \| \| \| \| Register Paper \| \| \| \| \| \| IS-12-23110 \| 2/17/2012 \| \| \| APC Matrix 5000EU \| IS / IS01 \| \| $760.64 \| \| \| \| \| \| \| UPS Replacement \| \| \| \| \| \| \| \| \| \| Battery \| \| \| \| \| \| SH-12-23118 \| \| 2/21/2012 \| \| Security Service Call \| \| SH / SH01 \| \| $1,063.50 \| \| WT-12-23119 \| 2/22/2012 \| \| Myrs Cobx invce 75100 \| \| WT / WT01 \| \| $994.50 \| \| \| WT-12-23142 \| 2/23/2012 \| \| towliftsjs1100 \| \| WT / WT01 \| \| $938.00 \| \| Open Market Purchases (Over $25,000 or requiring assistance from Procurement & Diversity Dept) Source: BuySpeed Approval cue for POs. \| Purchase Order # \| \| Purchase Order Date \| \| Description \| \| Dept/Loc \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 1107889 \| \| 2/10/2012 \| \| \| Legal/RFP Operating a \| JC/JC01 \| \| \| \| \| \| \| \| \| Vehicle \| \| \| \| \| \| \| \| \| \| Intoxicated/Driver \| \| \| \| \| \| \| \| \| \| Intervention & \| \| \| \| \| \| \| \| \| \| Counseling \| \| \| \| \| \| 1107938 \| \| 2/16/2012 \| \| Advt RFQ \| \| CE/CE01 \| $299.40 \| \| \| 1107939 \| \| 2/16/2012 \| \| Advt Noble Rd Project \| \| CE/CE01 \| $1,027.94 \| \| 1207886 \| 1207886 \| 2/9/2012 \| 2/9/2012 \| \| 2012 Advertising for \| CF/CF01 \| CF/CF01 \| $244.51 \| \| \| \| \| \| \| RFP - Wraparound \| \| \| \| \| \| \| \| \| \| Care Coordination and \| \| \| \| \| \| \| \| \| \| Family/Youth Advocacy \| \| \| \| \| \| 1207890 \| \| 2/10/2012 \| \| QRS Invoices 2011 \| \| SE/SE01 \| $1,217.72 \| \| 1207945 \| 1207945 \| 2/21/2012 \| 2/21/2012 \| Notice of Explanation \| Notice of Explanation \| \| CC010/OP \| $168.74 \| \| \| \| \| \| \| \| \| D \| \| \| 1207961 \| \| 2/22/2012 \| \| \| MARCH BULK \| SH/SHFS \| SH/SHFS \| \| \| \| \| \| \| \| CEREAL \| \| \| \| \| \| 1207962 \| \| 2/22/2012 \| \| MARCH DONUTS \| \| SH/SHFS \| $3,650.82 \| \| 1207963 \| 1207963 \| 2/22/2012 \| 2/22/2012 \| \| MARCH JELLY / \| SH/SHFS \| SH/SHFS \| $2,367.89 \| \| \| \| \| \| \| SYRUP \| \| \| \| \| \| 1207964 \| \| 2/22/2012 \| \| MARCH CAKE MIX \| \| SH/SHFS \| $5,155.40 \| \| \| 1207965 \| \| 2/22/2012 \| \| MARCH FRANKS \| \| SH/SHFS \| $3,255.00 \| \| \| 1207966 \| \| 2/22/2012 \| \| MARCH FRESH FRUIT \| \| SH/SHFS \| $17,558.00 \| \| \| 1207967 \| \| 2/22/2012 \| \| MARCH FISH \| \| SH/SHFS \| $4,255.00 \| \| 1207968 \| 1207968 \| 2/22/2012 \| 2/22/2012 \| \| MARCH SUGAR, \| SH/SHFS \| SH/SHFS \| $3,779.60 \| \| \| \| \| \| \| FLOUR \| \| \| \| \| \| \| \| \| \| MARCH PASTA \| \| \| \| \| 1207970 \| \| 2/22/2012 \| \| MARCH \| SH/SHFS \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| CRACKERS/CHIPS \| \| \| \| \| 1207971 \| \| 2/22/2012 \| \| MARCH SAUCE & \| SH/SHFS \| \| \| \| \| \| \| \| DRESSINGS \| \| \| \| \| \| 1207972 \| \| 2/22/2012 \| MARCH SAUSAGE \| \| SH/SHFS \| $8,812.40 \| \| \| 1207973 \| \| 2/22/2012 \| MARCH CHICKEN \| \| SH/SHFS \| $11,020.00 \| \| 1207974 \| 1207974 \| 2/22/2012 \| 2/22/2012 \| MARCH FRESH \| SH/SHFS \| SH/SHFS \| $11,240.50 \| \| \| \| \| \| VEGETABLES \| \| \| \| \| 1207975 \| \| 2/22/2012 \| \| MARCH BEEF \| SH/SHFS \| \| \| \| \| \| \| \| PATTIES \| \| \| \| \| \| 1207976 \| \| 2/22/2012 \| MARCH BAGELS \| \| SH/SHFS \| $1,215.20 \| \| \| 1207977 \| \| 2/22/2012 \| MARCH BEANS \| \| SH/SHFS \| $2,337.00 \| \| \| 1207978 \| \| 2/22/2012 \| MARCH BEANS \| \| SH/SHFS \| $1,981.50 \| \| \| 1207979 \| \| 2/22/2012 \| MARCH BREAD \| \| SH/SHFS \| $14,827.00 \| \| 1207980 \| 1207980 \| 2/22/2012 \| 2/22/2012 \| MARCH \| SH/SHFS \| SH/SHFS \| $1,639.50 \| \| \| \| \| \| POT/MILK/OATS \| \| \| \| \| 1207981 \| \| 2/22/2012 \| \| MARCH \| SH/SHFS \| \| \| \| \| \| \| \| POT/MILK/OATS \| \| \| \| \| \| 1207985 \| \| 2/22/2012 \| MARCH SOUP \| \| SH/SHFS \| $2,908.68 \| \| \| 1207986 \| \| 2/22/2012 \| MARCH MILK \| \| SH/SHFS \| $19,331.40 \| \| \| 1207987 \| \| 2/22/2012 \| MARCH TURKEY \| \| SH/SHFS \| $1,800.00 \| \| 1207989 \| 1207989 \| 2/22/2012 \| 2/22/2012 \| MARCH GROUND \| SH/SHFS \| SH/SHFS \| $5,385.00 \| \| \| \| \| \| BEEF \| \| \| \| \| 1207992 \| \| 2/22/2012 \| \| MARCH MIXED VEG., \| SH/SHFS \| \| \| \| \| \| \| \| ETC. \| \| \| \| \| \| 1207994 \| \| 2/22/2012 \| MARCH SPICES \| \| SH/SHFS \| $1,158.95 \| \| 1207996 \| 1207996 \| 2/22/2012 \| 2/22/2012 \| MARCH CAN \| SH/SHFS \| SH/SHFS \| $9,154.50 \| \| \| \| \| \| VEGETABLES \| \| \| \| \| \| 1207998 \| \| 2/22/2012 \| MARCH TURKEY HAM \| \| SH/SHFS \| $6,775.50 \| \| \| 1207999 \| \| 2/22/2012 \| MARCH DAIRY \| \| SH/SHFS \| $6,472.52 \| \| 1208000 \| 1208000 \| 2/22/2012 \| 2/22/2012 \| Applied Biosystems- \| CR/CR00 \| CR/CR00 \| $24,165.90 \| \| \| \| \| \| DNA/Parentage \| \| \| \| Time Sensitive Mission Critical Items (Items authorized for purchase due to time sensitivemission critical nature) \| Requistion # (if available) \| Purchase Order Date \| Description \| Dept/Loc \| \|---\|---\|---\|---\| \| Not available \| 2-22-12 (10:14am) \| Emergency furnishings for caregiver for children taken into county custody. \| CF/CF01 \| \| VOUCHER NO. \| PAYEE \| AMOUNT \| FUNDING SOURCE \| \|---\|---\|---\|---\| \| DV1280086 \| Berry Insulation Co. \| $6,771.83 \| ARRA HWAP Grant \| \| DV1280087 \| Lake Erie Heating & Cooling \| $4,757.89 \| ARRA HWAP Grant \| \| DV1280088 \| BDL General Contracting, Ltd. \| $1,825.00 \| ARRA HWAP Grant \| \| DV1280089 \| Conserve-Air Co. Inc. \| $5,567.37 \| ARRA HWAP Grant \| \| DV1280090 \| Central Heating Air Conditioning, Inc. \| $5,551.75 \| ARRA HWAP Grant \| \| DV1280091 \| R.J. Heating Cooling \| $4,534.25 \| ARRA HWAP Grant \| \| DV1280092 \| Conserve-Air Co. Inc. \| $4,087.17 \| ARRA HWAP Grant \| \| DV1280093 \| Aviles Construction \| $12,146.79 \| ARRA HWAP Grant \| \| DV1280094 \| R.J. Heating Cooling \| $4,926.75 \| ARRA HWAP Grant \| \| DV1280095 \| Aviles Construction \| $9,272.60 \| ARRA HWAP Grant \| \| DV1240032 \| MAE Construction LLC \| $4,740.00 \| Federal HOME Grant \| \| DV1240033 \| Cartecor Management LLC \| $1,950.00 \| Federal HOME Grant \| \| DV1240034 \| Window World Cleveland \| $6,407.00 \| Federal HOME Grant \|
St Marie's School, A Catholic Voluntary Academy Attendance Policy 'Each child has a divine beginning and an eternal destiny. We help him/her on that journey.' (St Marie's Mission Statement) 1. POLICY STATEMENT During the years that children attend St Marie's School, we aim to educate the whole child, preparing them to enter secondary school with a positive self-esteem, a sound foundation of learning and an eagerness to develop further their intellectual and moral faculties. The school works hard in partnership with parents and the Sheffield Young People and Families Directorate to recognise and value individuals' needs and to respond to these needs. These aims can only be fulfilled by commitment from all interested parties and is dependent upon children's regular and punctual attendance. 1.1. Aims and targets 1.1.1. To encourage all pupils to attend school and achieve their maximum potential 1.1.2. To monitor individual and whole school attendance and measure against agreed targets 1.1.3. To ensure that pupils and their parents understand and support the procedures in place to record and monitor attendance 1.1.4. To ensure that all staff and governors understand and support the policy 1.1.5. To ensure attendance data to inform policy 2. THE LAW The following legal requirements are placed upon parents, the Sheffield Young People and Families Directorate and the school under the Education Act: 2.1. Parents must ensure that children of compulsory school age receive a suitable fulltime education by regular attendance at school or otherwise 2.2. The Sheffield Young People and Families Directorate must provide school places to parents who wish their children to be educated at school 2.3. The school must complete attendance registers at the beginning of the morning session and during the afternoon session. 2.4. The school must report to the Sheffield Young People and Families Directorate pupils who fail to attend regularly or are absent for more than 10 days without explanation 2.5. The Sheffield Young People and Families Directorate has a duty to ensure that parents fulfil their legal responsibilities 2.6. Failure by parents to ensure regular attendance at school of a registered pupil is an offence punishable by law 2.7. Fixed penalty notices can be issued by the Sheffield Young People and Families Directorate under certain circumstances including unauthorised leave in term-time (See policy attached). 3. PARTNERSHIP – RIGHTS AND RESPONSIBILITIES 3.1. What the school expects of its pupils: 3.1.1. to attend school regularly, on time and in a fit condition to learn 3.1.2. be prepared to work by bringing suitable equipment 3.1.3. co-operate with attendance procedures and inform staff if there are issues which prevent attendance 3.2. What the school expects of parents: 3.2.1. to fulfil their legal responsibility to encourage pupils to attend regularly and on time 3.2.2. to inform school on the first day of the reason for absence. 3.2.3. to ensure pupils are adequately prepared for the school day – including having the appropriate equipment 3.2.4. to inform school of problems preventing attendance 3.2.5. to arrange holidays out of term time. If this is unavoidable, permission should be requested from the Head teacher by completing an absence request form. The Head teacher will decide whether or not the holiday can be authorised (See Term Time Leave Policy) 3.2.6. to arrange non-urgent medical and dental appointments out of school hours. If this is unavoidable, school should be informed, and an authorised absence pass obtained. 3.3. What parents and pupils can expect of the school: 3.3.1. to encourage good attendance 3.3.2. to set a good example in matters of attendance and punctuality 3.3.3. to make efficient and accurate recording and monitoring of attendance and punctuality 3.3.4. to make first day contact with patents where absenteeism is unexplained 3.3.5. to promptly investigate all absenteeism and lateness when problems arise 3.3.6. to liaise on a regular basis with the Attendance and Inclusion Service to support parents and pupils where needed. 4. PROCEDURES 4.1. Registration procedures 4.1.1. Morning Registration is at 8.55am. Any pupils arriving after 8.55am will receive a late mark. Please note, the pupil must be in their classroom at this time. 4.1.2. Registers will be closed at 9.25am. Pupils arriving after this time will be marked absent for the morning session. (Pupils travelling on the School buses will not be marked late if the bus is late) 4.1.3. Afternoon registers are taken at 1.05pm for all pupils. Registers will close at 1.10pm. Any pupil arriving after this time will be marked absent for the afternoon session. 4.1.4. Class teachers must ensure the registers are completed at the correct times. Registers are to be completed electronically and saved to the school management system, so that they can be accessed by the school office after each registration. 4.2. Responding to Lateness 4.2.1. Pupils arriving after 8.55am must report to the office and sign in the late bookgiving a reason for their lateness. 4.2.2. Where a pupil is frequently late, parents will be contacted and where appropriate the Attendance and Inclusion Office notified. 4.3. Responding to Absence Unless authorised by the school, absence will be classed as unauthorised. A letter or explanation from the parents does not of itself authorise an absence: only the school's acceptance of the explanation offered authorises the absence. 4.3.1. Parents are requested to contact school on the first day of absence giving a reason – this can be by phone call, note or calling in to the office. A verbal message from a sibling will not be accepted. 4.3.2. If no contact has been made by a parent/carer the school will initiate, contact on the first day of absence if verbal contact could not be made a letter will be sent out to parents. 4.3.3. Where the absence is accepted, the absence will be authorised using the appropriate symbol as indicated on the register code sheet attached to each register. Acceptable reasons would include illness, unavoidable medical/dental problems, agreed religious observance, bereavement and exceptional circumstances. The school may request medical evidence if there are frequent absences due to illness 4.3.4. If there are any doubts about the legitimacy of any notes or reasons given for absence this should be reported immediately to the Head teacher who will contact home and may inform the Attendance and Inclusion Office. 4.3.5. Absences will not usually be authorised for circumstances such as: (a) staying at home because someone else is sick (b) day trips, (c) shopping (d) haircuts (e) missed bus (f) slept late (g) birthdays 4.3.6. If an explanation of absence is not provided or accepted by the school as a valid reason, the child will receive an unauthorised absence mark. If this becomes a persistent problem, parents may be contacted by the Head Teacher and a referral may be made to the Attendance and Inclusion Service resulting in contact from the Educational Welfare Officer. 4.3.7. Telephone messages from parents are received in the Office and recorded at the bottom the register for the week of any absences. Messages may be passed on to the class teacher in note form. 4.3.8. Requests for absence should be made by filling in the Request for Absence Form, which is available form the Office. This must be filled in prior to the visit and, where possible, in good time to enable the office to process the form appropriately. 5. HOLIDAYS 5.1. What the regulations say. The Education (Pupil Registration) (England) Regulations 2006 Amendments remove references to family holiday and extended leave, as well as the statutory threshold of ten school days. The amendments make clear that headteachers may not grant any leave of absence during term time, unless there are exceptional circumstances. Headteachers should determine the number of school days a child can be away from school if the leave is granted. 5.2. Parents are strongly encouraged not to book a holiday in term time. Parents do not have the right to take their child out of school for holidays during term time. DfE guidance states holidays should only be taken outside term time. It is stressed that any application for leave "must be in exceptional circumstances", and that more detail must be sought to be satisfied that exceptional circumstances exist before authorisation can take place. Parents and carers are therefore strongly advised not to book holidays before seeking permission from the school for exceptional leave, as there is now a greater risk of unauthorised leave leading to fines being applied. 5.3. In exceptional circumstances, parents must apply to the school for permission in advance of the holiday. An Application for Absence form must be completed and authorised by the school. If this is not done the holiday will be classed as unauthorised and the Attendance and Inclusion Service may be informed. The school will not normally supply work for any pupil taking holidays in term time. 5.4. Holidays will not be authorised for any reason for the first two weeks of any school year (i.e. the first two weeks when the pupils start in September) or for the first week of any half term (i.e. the first week after any half term holiday). This is because new topics are introduced, and new routines set up at these times and it is especially important that pupils are present in school. 5.5. Extended Term Time Leave is leave considered in exceptional circumstances for pupils visiting families in their home land, but this can only be used once during the pupils' time at Primary School. (See Extended Leave in Term Time Policy) 6. RESPONDING TO POOR ATTENDANCE 6.1. The school will always attempt to resolve any problems relating to attendance as early as possible 6.2. Parents will be contacted where there are attendance problems 6.3. Ongoing attendance problems will be monitored by the school and in consultation with the Attendance and Inclusion Officer 6.4. A referral may be made to the Attendance and Inclusion Service requesting a home visit by an Education Welfare Officer. This will always be considered for those pupils with attendance less than 90% during the previous half-term, which is the threshold for persistent absence. 6.5. A referral to the Attendance and Inclusion Service requesting a home visit by an Education Welfare Officer may also be considered for pupils with higher attendance but where there are patterns of absence or issues that need to be discussed. 6.6. Where attendance improves to an acceptable level the pupil will be removed from the concerns list. 7. RESPONDING TO GOOD ATTENDANCE 7.1. The school will endeavour to encourage good attendance and punctuality throughout the year, e.g. through 'Punctuality Week' or class competition, as is appropriate. 7.2. At the end of the Year any pupil who has achieved 100% attendance for the year will receive a special Attendance award voucher. 8. COLLECTING AND ANALYSING ATTENDANCE DATA 8.1. Whole school and individual computerised attendance is produced regularly by the school office. 8.2. The Head Teacher, Business Support Manager and Learning Mentor agrees a list of pupils whose attendance and / or punctuality is of concern and will be monitored. Pupils with poor attendance will usually have less than 90% attendance. 9. ATTENDANCE TARGETS The Attendance Target for the year is 97.2% 10. ROLES AND RESPONSIBILITIES 10.1. Head teacher 10.1.1. Will monitor attendance data 10.1.2. Will follow up any cause for concern 10.1.3. Will report to governors on attendance percentages at an annual Full Governing Body meeting through the Head Teacher's report. 10.2. Governors 10.2.1. Will support the school policy 10.3. Class teachers 10.3.1. Will accurately complete attendance register at the appropriate times 10.3.2. Will pass on to the head teacher any individual causes for concern 10.4. Clerical Staff 10.4.1. Will register any pupil who arrives late 10.4.2. Will maintain the SIMS system 10.4.3. Will pass on to the Head Teacher any cause for concern 10.5. Learning Mentor 10.5.1. Will support the school to develop policies and whole school strategies for improving attendance 10.5.2. Will offer support to analyse school data and identify targets and formulate an attendance plan 10.5.3. Will work with families where there are complex issue, which might prevent good attendance. 10.6. Education Welfare Officer 10.6.1. Will receive referrals from the school 10.6.2. Will visit parents at home where there are concerns regarding attendance or excessive lateness. This will include an assessment of the situation and implementation of strategies to achieve an improvement in attendance 10.6.3. Initiate appropriate action from other agencies when necessary.
SENATE SENATE COMMITTEE ON COMMITTEE ON COMMITTEE ON PUBLIC SAFETY PUBLIC SAFETY PUBLIC SAFETY Senator Loni Hancock, Chair 2015 - 2016 Regular Bill No: SB 1134 Hearing Date: April 5, 2016 Author: Leno Version: February 18, 2016 Urgency: No Fiscal: Yes Consultant: MK Subject: Habeas Corpus: New Evidence: Motion to Vacate Judgment: Indemnity HISTORY Source: California Innocence Project Northern California Innocence Project Loyola Project for the Innocent American Civil Liberties Union Prior Legislation: SB 694 (Leno) held in Assembly Appropriations 2015 SB 1058 (Leno) Chapter 623, Stats. 2014 SB 618 (Leno) Chapter 800, Stats. 2013 AB 1593(Ma) Chapter 809, Stats. 2012 Support: A New Path; A New Way of Life Re-Entry Project; California Attorneys for Criminal Justice; California Catholic Conference; California Civil Liberties Advocacy; Friends Committee on Legislation of California; John Van de Kamp, former California Attorney General; Judge Ladoris H. Cordell (Ret.); Lawyers' Committee for Civil Rights of the San Francisco Bay Area; Ella Baker Center for Human Rights; Legal Services for Prisoners with Children Opposition: None known PURPOSE The purpose of this bill is to allow the granting of a habeas corpus petition based on new evidence which "is credible, material and presented without substantial delay, and of such decisive force and value that it would have more likely than not changed the outcome at trial." Existing law provides that every person unlawfully imprisoned or restrained of his or her liberty, under any pretense, may prosecute a writ of habeas corpus to inquire into the cause of such imprisonment or restraint. (Penal Code § 1473(a).) Existing law states that a writ of habeas corpus may be prosecuted for, but not limited to, the following reasons: * False evidence that is substantially material or probative on the issue of guilt, or punishment was introduced against a person at any hearing or trial relating to his incarceration; or * False physical evidence believed by a person to be factual, material or probative on the issue of guilt, which was known by the person at the time of entering a plea of guilty and which was a material factor directly related to the plea of guilty by the person. (Penal Code § 1473 (b)) Existing law provides that any allegation that the prosecution knew or should have known of the false nature of the evidence is immaterial to the prosecution of a writ of habeas corpus. (Penal Code § 1473(c).) Existing law states that nothing in this section shall be construed as limiting the grounds for which a writ of habeas corpus may be prosecuted or as precluding the use of any other remedies. (Penal Code § 1473(d).) This bill would add, as grounds for a writ of habeas corpus, when new evidence exists that is credible, material, presented without substantial delay, and of such decisive force and value that it would have more likely than not changed the outcome at trial. This bill provides that for purposes of this section "new evidence" means evidence that has been discovered after trial, that could not have been discovered prior to trial but the exercise of due diligence, and is admissible and not merely cumulative, corroborative, collateral, or impeaching. Existing law provides that if the district attorney or Attorney General stipulates to or does not contest the factual allegations underlying one or more of the grounds for granting a writ of habeas corpus or a motion to vacate a judgment, the facts underlying the bases for the court's ruling or order shall be binding on the attorney General, the factfinder and the California Victim Compensation and Government Claims Board. (Penal Code § 1485.5 (a)) Existing law provides that the express factual findings made by the court, including credibility determinations, in considering a petition for a habeas corpus, a motion to vacate or an application for a certificate of factual innocence shall be binding on the Attorney General, the factfinder, and the California Victim Compensation and Government Claims board. (Penal Code § 1485.5 (c)) This bill clarifies that the above is true in both contested and uncontested proceedings. Existing law provides that in a contested proceeding, if a court grants a writ of habeas corpus concerning a person who is unlawfully imprisoned or restrained, the court vacates a judgment on the basis of new evidence concerning a person who is no longer unlawfully imprisoned or restrained and if the court finds that the new evidence on the petition points unerringly to innocence, that finding shall be binding on the California Crime Victims Compensation and Government Claims board for acclaim presented to the board, and upon application by the person, the board shall, without a hearing, recommend to the Legislature that an appropriation be made and a claim paid. (Penal Code § 148.55(a)) This bill provides instead that in a contested proceeding, if the court has granted a writ of habeas corpus, or when, the court vacates a judgement, and if the court has found the that the person is factually innocent, that finding shall be binding on the California Victim Compensation and Government Claims Board for a claim presented to the board, and upon application by the person, the board shall, without a hearing, recommend to the Legislature that an appropriation be made and a claim paid. Existing law if the court grants a writ of habeas corpus concerning a person who is unlawfully imprisoned or restrained on any ground other than new evidence that points unerringly to innocence or actual innocence, the petitioner may move for a finding of innocence by a preponderance of evidence that the crime with which he or she was charged was either not committed at all, or if committed, was not by him or her. (Penal Code § 148.55(b)) This bill instead provides that in a contested or uncontested proceeding, if the court grants a writ of habeas corpus and did not find the person factually innocent in the habeas corpus proceedings, the petition may move for a finding of innocence by a preponderance of the evidence that the crime with which he or she was charged was either not committed at all, or if committed, was not by him or her. Existing law provides that for the purposes of this section, "new evidence" means evidence that is not available or known at the time of trial that completely undermines the prosecution case and points unerringly to innocence. (Penal Code § 148.55(g)) This bill deletes the above provision. RECEIVERSHIP/OVERCROWDING CRISIS AGGRAVATION For the past several years this Committee has scrutinized legislation referred to its jurisdiction for any potential impact on prison overcrowding. Mindful of the United States Supreme Court ruling and federal court orders relating to the state's ability to provide a constitutional level of health care to its inmate population and the related issue of prison overcrowding, this Committee has applied its "ROCA" policy as a content-neutral, provisional measure necessary to ensure that the Legislature does not erode progress in reducing prison overcrowding. On February 10, 2014, the federal court ordered California to reduce its in-state adult institution population to 137.5% of design capacity by February 28, 2016, as follows: * 143% of design bed capacity by June 30, 2014; * 137.5% of design bed capacity by February 28, 2016. * 141.5% of design bed capacity by February 28, 2015; and, In December of 2015 the administration reported that as "of December 9, 2015, 112,510 inmates were housed in the State's 34 adult institutions, which amounts to 136.0% of design bed capacity, and 5,264 inmates were housed in out-of-state facilities. The current population is 1,212 inmates below the final court-ordered population benchmark of 137.5% of design bed capacity, and has been under that benchmark since February 2015." (Defendants' December 2015 Status Report in Response to February 10, 2014 Order, 2:90-cv-00520 KJM DAD PC, 3Judge Court, Coleman v. Brown, Plata v. Brown (fn. omitted).) One year ago, 115,826 inmates were housed in the State's 34 adult institutions, which amounted to 140.0% of design bed capacity, and 8,864 inmates were housed in out-of-state facilities. (Defendants' December 2014 Status Report in Response to February 10, 2014 Order, 2:90-cv-00520 KJM DAD PC, 3-Judge Court, Coleman v. Brown, Plata v. Brown (fn. omitted).) While significant gains have been made in reducing the prison population, the state must stabilize these advances and demonstrate to the federal court that California has in place the "durable solution" to prison overcrowding "consistently demanded" by the court. (Opinion Re: Order Granting in Part and Denying in Part Defendants' Request For Extension of December 31, 2013 Deadline, NO. 2:90-cv-0520 LKK DAD (PC), 3-Judge Court, Coleman v. Brown, Plata v. Brown (2-10-14). The Committee's consideration of bills that may impact the prison population therefore will be informed by the following questions: * Whether a proposal erodes a measure which has contributed to reducing the prison population; * Whether a proposal addresses a crime which is directly dangerous to the physical safety of others for which there is no other reasonably appropriate sanction; * Whether a proposal addresses a major area of public safety or criminal activity for which there is no other reasonable, appropriate remedy; * Whether a proposal corrects a constitutional problem or legislative drafting error; and * Whether a proposal proposes penalties which are proportionate, and cannot be achieved through any other reasonably appropriate remedy. COMMENTS 1. Need for This Bill According to the author: Under existing California law, an inmate who has been convicted of committing a crime for which he or she claims that s/he has new evidence that points to innocence may file a petition for writ of habeas corpus. The burden for proving that newly discovered evidence entitles an individual to a new trial is not currently defined by statute, but has evolved from appellate court and California Supreme Court opinions. In order to prevail on a new evidence claim, a petitioner must undermine the prosecution's entire case and "point unerringly to innocence with evidence no reasonable jury could reject" (In re Lawley (2008) 42 Cal.4th 1231, 1239). The California Supreme Court has stated that this standard is very high, much higher than the preponderance of the evidence standard that governs other habeas claims. (Ibid.) In fact, this standard is so high that it is nearly impossible to meet absent DNA evidence, which exists only in a tiny portion of prosecutions and exonerations. For example, if a petitioner has newly discovered evidence that completely undermines all evidence of guilt— in other words, if the evidence completely disproves every piece of evidence in the prosecution's original case—and shows that the original jury would therefore definitely not have convicted, but the new evidence does not "point unerringly to innocence," the petitioner will not have met the standard and will have no chance at a new trial. Thus, someone who would likely never have been convicted if the newly discovered evidence had been available in their original trial is almost guaranteed to remain in prison under the status quo in California. The proposed new standard in SB 1134 addresses this anomaly. Our criminal justice system was built on the understanding that even innocent people cannot always affirmatively prove innocence, which is why the burden is on the prosecution to prove guilt when a charge is brought to trial, and absent evidence of guilt beyond a reasonable doubt, innocence is presumed. The new standard contained in this bill ensures that innocent men and women do not remain in prison even after new evidence shows that a conviction would not have occurred had it been available. SB 1134 seeks to bring California's innocence standard into line with the vast majority of other states' standards, forty-three in total, and to bring it closer in line with other postconviction standards for relief such as ineffective assistance of counsel, or prosecutorial misconduct, and not so unreasonably high. As a result of the onerously high standard governing new evidence claims, individuals often choose to re-package evidence of innocence into other types of claims, such as infective assistance of counsel for example. The impact of this is not just a dearth in case law on new evidence claims but it also means that some exonerees may never receive legal recognition of their innocence. To illustrate, consider the case of Maurice Caldwell. Caldwell was convicted of murder in 1991 based on the mistaken identification of a single eyewitness. Investigators later established that it was scientifically impossible for the witness to have identified the perpetrator from her vantage point, thus rendering his conviction invalid. It was not for the fact that there was new evidence available, however, that the conviction was overturned. It was a claim of ineffective assistance of counsel that ultimately ended Caldwell's wrongful incarceration. This misleading and often farcical repackaging of legitimate claims of innocence into other unrelated claims, such as ineffective assistance of counsel, is the direct result of the impossibly high standard for new evidence as it currently stands. California judges are forced to determine not whether the person's new evidence shows that he is innocent, but whether the new evidence shows his attorney was ineffective, even when the attorney could not have known about the evidence, as in the case of DNA. The effect of the law is that courts must decide whether a person's conviction should be reversed based on something other than their claim of innocence, and innocent people are often denied because their claims (understandably) do not fit into a category they were not intended to. 2. Habeas Corpus Habeas corpus, also known as "the Great Writ", is a process guaranteed by both the federal and state Constitutions to obtain prompt judicial relief from illegal restraint. The functions of the writ is set forth in Penal Code section 1473(a): "Every person unlawfully imprisoned or restrained of his or her liberty, under any pretense whatever, may prosecute a writ of habeas corpus, to inquire into the cause of such imprisonment or restraint." A writ of habeas corpus may be prosecuted for, but not limited to, the following reasons: * False evidence that is substantially material or probative on the issue of guilt, or punishment was introduced against a person at any hearing or trial relating to his incarceration; * Any allegation that the prosecution knew or should have known of the false nature of the evidence is immaterial to the prosecution of a writ of habeas corpus. * False physical evidence believed by a person to be factual, material or probative on the issue of guilt, which was known by the person at the time of entering a plea of guilty and which was a material factor directly related to the plea of guilty by the person; and, 3. Standard In California, there is no codified standard of proof for a writ of habeas corpus brought on the basis of new evidence. The current standard is based on case law. In re Lawley (2008) 42 Cal. 4 th 1231, 1239 found that newly discovered evidence "must undermine the entire prosecution case and point unerringly to innocence or reduced culpability;" and "if 'a reasonable jury could have rejected the evidence presented, a petition has not satisfied his burden." This bill would instead set the standard for the granting of a writ of habeas corpus as " new evidence exists that is credible, material, presented without substantial delay, and of such decisive force and value that it would have more likely than not changed the outcome at trial." As noted in the author's statement, this standard will make California's postconviction standard consistent with 43 other states. According to the February 3, 2016 report of National Registry of Exonerations at the University of Michigan Law School there were 149 exonerations nationwide in 2015, five of which were in California. That was five exonerations under a standard that is higher than the standard in most other states, it is unclear how many others were denied a hearing because they did not meet the standard who would be eligible under this standard to have their habeas corpus petition heard. 4. Victims Compensation Board This bill also makes conforming changes, making it clear if there is a finding of factual innocence by a court then the Victim Compensation and Government Claims Board shall make a recommendation for an appropriation to the Legislature. 5. Support In support former Attorney General John Van de Kamp states: To win a claim of factual innocence under current California case law, an individual must "undermine the entire prosecution case and point unerringly to innocence" with evidence that no "reasonable jury would reject." This standard is the most difficult in the country and is so impossibly high that it functions as a barrier to wrongfully convicted individuals seeking justice in our criminal justice system. SB 1334 amends California Penal Code to incorporate a standard of proof in line with the standards in 43 other states. SB 1134 will allow courts to grant relief to innocent people who have new evidence that is so strong that it "would likely than not changed the outcome at trial." The "more likely that not" standard proposed by the bill is clear and is a standard familiar to the courts. It is still a very high standard, but a fair one. To prevail with a claim of factual innocence under the bill, an individual must still have new evidence that "is credible, material, presented without substantial delay," and "admissible" and that "could not have been discovered prior to the trial by the exercise of due diligence." The bill provides a vital claim to innocent individuals who do not have another recourse under other habeas claims such as false testimony, Brady violations or ineffective assistance of counsel. Under the current standard, those innocent individuals have little chance of proving their innocence, so remain wrongfully imprisoned. SB 1134 gives these individuals a fair chance to prove their innocence and the criminal justice system a chance to rectify the wrongful imprisonment of innocent individuals.
NEW METHODOLOGY AGRICULTURAL POLICIES IN OECD COUNTRIES MONITORING AND EVALUATION OECD, 1999. Software: 1987-1996, Acrobat is a trademark of ADOBE. All rights reserved. OECD grants you the right to use one copy of this Program for your personal use only. Unauthorised reproduction, lending, hiring, transmission or distribution of any data or software is prohibited. You must treat the Program and associated materials and any elements thereof like any other copyrighted material. All requests should be made to: Head of Publications Service, OECD Publications Service, 2, rue André-Pascal, 75775 Paris Cedex 16, France. AGRICULTURAL POLICIES IN OECD COUNTRIES MONITORING AND EVALUATION Box 1.1. ORGANISATION FOR ECONOMIC CO-OPERATION AND DEVELOPMENT Pursuant to Article 1 of the Convention signed in Paris on 14th December 1960, and which came into force on 30th September 1961, the Organisation for Economic Co-operation and Development (OECD) shall promote policies designed: – to achieve the highest sustainable economic growth and employment and a rising standard of living in Member countries, while maintaining ﬁnancial stability, and thus to contribute to the development of the world economy; – to contribute to the expansion of world trade on a multilateral, non-discriminatory basis in accordance with international obligations. – to contribute to sound economic expansion in Member as well as non-member countries in the process of economic development; and The original Member countries of the OECD are Austria, Belgium, Canada, Denmark, France, Germany, Greece, Iceland, Ireland, Italy, Luxembourg, the Netherlands, Norway, Portugal, Spain, Sweden, Switzerland, Turkey, the United Kingdom and the United States. The following countries became Members subsequently through accession at the dates indicated hereafter: Japan (28th April 1964), Finland (28th January 1969), Australia (7th June 1971), New Zealand (29th May 1973), Mexico (18th May 1994), the Czech Republic (21st December 1995), Hungary (7th May 1996), Poland (22nd November 1996) and Korea (12th December 1996). The Commission of the European Communities takes part in the work of the OECD (Article 13 of the OECD Convention). Publi´e en fran¸cais sous le titre : POLITIQUES AGRICOLES DES PAYS DE L'OCDE 1999 SUIVI ET ´ EVALUATION OECD 1999 Permission to reproduce a portion of this work for non-commercial purposes or classroom use should be obtained through the Centre fran¸cais d'exploitation du droit de copie (CFC), 20, rue des Grands-Augustins, 75006 Paris, France, Tel. (33-1) 44 07 47 70, Fax (33-1) 46 34 67 19, for every country except the United States. In the United States permission should be obtained through the Copyright Clearance Center, Customer Service, (508)750-8400, 222 Rosewood Drive, Danvers, MA 01923 USA, or CCC Online: http://www.copyright.com/. All other applications for permission to reproduce or translate all or part of this book should be made to OECD Publications, 2, rue Andr´e-Pascal, 75775 Paris Cedex 16, France. TABLE OF CONTENTS Notes........................................................................................................................................................................ 67 LIST OF TABLES EXECUTIVE SUMMARY Over-supply in response to recent high prices combined with depressed economic conditions in the main emerging markets resulted in falling commodity prices. Responding to pressure on farm incomes, agricultural policies in 1998 were marked in many OECD countries by a resort to additional measures of support and protection, which were not always consistent with the longer-term directions of reform. Policy-makers gave higher priority to addressing public concerns over food safety and quality, through regulatory measures and information programmes. The trend over the last decade has been towards lower support, fewer trade distortions and greater market orientation, but developments in 1998 suggest that agricultural policy reform and trade liberalisation risk being stalled or reversed when market pressures emerge. Agriculture Ministers set common goals: OECD Agriculture Ministers in March 1998 outlined a set of shared goals for the agro-food sector and agreed to a set of policy principles and operational criteria. Ministers stressed that agro-food policies should seek to strengthen the intrinsic complementarities between the shared goals, thereby allowing agriculture to manifest its multifunctional character in a transparent, targeted and efficient manner. The challenge is to use a range of well-targeted policy measures and approaches which can ensure that the growing concerns regarding food safety, food security, environmental protection and the viability of rural areas are met in ways that maximise benefits, are most costeffective and avoid distortion of production and trade. Progress has been made on agricultural policy reform: there have been significant efforts to liberalise trade, in particular through the Uruguay Round Agreement on Agriculture, with its disciplines on market access, export subsidies and domestic support and through the SPS, TBT and TRIPS Agreements. Resolution of some trade conflicts through dispute settlement procedures, and new bilateral and multilateral trade initiatives in 1998 should help further integrate agriculture into the multilateral trading system, although trade distortions remain. There has been greater attention to environmental and rural development objectives and to facilitating structural adjustment and enhancing the efficiency of the agro-food sector as a whole. But it is not evident, due to the complexity of many new measures, that efficiency, targeting and transparency are improving. The level of support to agriculture in 1998 increased: total support to agriculture was estimated at US$362 billion, 1.4 per cent of GDP for the OECD in 1998. Support to producers, as measured by the share of the Producer Support Estimate (PSE) in total gross farm receipts, increased from 32 per cent in 1997 to 37 per cent in 1998, largely due to falling world prices not matched by a reduction in domestic prices, which was also reflected in the higher implicit tax on consumers. On average across the OECD, total farm gross receipts were 59 per cent higher than at world prices, as measured by the Producer Nominal Assistance Coefficient. But the OECD averages conceal wide variations in levels of support to producers among countries, from 1 per cent to over 70 per cent of total gross farm receipts in 1998. In some countries, levels of support were over 80 per cent for some commodities, with the highest levels of support generally recorded for sugar, milk and rice. Market price support and output-related payments still dominant: the new OECD classification of agricultural support shows that market price support still accounts for over 65 per cent of support to producers, while commodity-linked budgetary payments accounted for a further 15 per cent in 1998. Consumers paid for two-thirds of total support to agriculture through market price support measures, with taxpayers financing the rest through budgetary payments. General services provided collectively to agriculture, decoupled from production and primarily in the form of marketing and promotion and infrastructure, represented about 20 per cent of total support. Several policy developments in 1998 shielded agriculture from market signals: a number of additional income support measures were introduced. Although some at least partially respect the operational criteria of transparency, targeting and flexibility adopted by OECD Agriculture Ministers, such measures could generate expectations of continued support. In response to low commodity prices and weak demand in many non-OECD countries, selected tariffs were raised in some countries and there was a greater use of export subsidies and credits. Publicly held stocks of farm commodities increased, despite the continued use of quantitative measures to control production. The sharp increase in the level of producer support over 1997 reflected that, for many countries, trade barriers still prevent world price changes from being fully transmitted to domestic markets. MONITORING AND EVALUATION MONITORING AND EVALUATION 1. ECONOMIC AND AGRICULTURAL MARKET BACKGROUND Macroeconomic environment The pace of world economic growth slowed dramatically in 1998. A sequence of adverse developments which began with the financial tensions and devaluation of the Thailand baht more than a year ago quickly spread to other countries, hitting Indonesia, Malaysia, the Philippines and Korea especially hard. Meanwhile, the economic and political situation in Russia continued to worsen. By year's end the crisis had spread to Latin America culminating, most recently, with the problems in Brazilian financial markets and the devaluation of the real. To varying degrees, almost every country in the world, including some of those in the OECD, has been affected. The average rate of economic growth in OECD countries overall fell by nearly half between 1997 and 1998 (Table I.1). However, it is the stark contrasts in the composition of that average which has had the greatest implications for agricultural markets. In Japan, the largest importer of agricultural commodities in the OECD, GDP declined by nearly 3 per cent. In Korea, also an important importer of farm commodities, the decline was even greater at nearly 7 per cent. In contrast, in North America, the strong economic performances registered in 1997 by the three NAFTA countries – Canada, Mexico and the United States – continued through most of 1998 and it is expected that the final outcome will indicate only a slight weakening for the region overall. Moreover, the average rates of growth in European countries were fractionally higher in 1998 than in 1997. The robust performance of these economies was accompanied by further moderation in already historically low rates of price inflation. And, although rates of unemployment are significantly higher in Europe than in North America, unemployment went down in both regions last year. The Australian economy grew by nearly 4 per cent in 1998 while registering a rate of price inflation below 2 per cent. This outpaced economic performance of most other OECD economies and came despite the economic weakness in Asian economies which are important destinations for Australia's commodity exports. The New Zealand economy did not fare so well. The relatively rapid economic expansion which had been underway there since 1992 was brought to an abrupt halt by the effects of the Asian crisis compounded by a severe drought. Non-OECD economies Latin American economies, which had grown on average by over 5 per cent in 1997, slipped to an average of just over 1 per cent in 1998. There were, however, exceptions in this region. Argentina's economy posted a gain of nearly 5 per cent, with an accompanying rate of price inflation of just over 1 per cent. The high growth rates witnessed in 1997 in countries across the whole of the non-OECD region fell abruptly in 1998 (Table I.2). The estimated average for 1998 is under 1 per cent. Accompanying the economic slowdowns in many countries have been sharp increases in rates of price inflation, attributable largely to currency devaluations. The Russian economy for example contracted by 6 per cent amid continuing devaluations of the rouble. China, however, seemingly unscathed by the recessions in neighbouring Asian countries, once again posted a gain in economic output of near 9 per cent and a stable currency. Table I.1. Key macroeconomic indicators 1. GDP deﬂator. 2. Japan: 3-month Credit Deposits; Europe area: 3-month interbank rates. Source: OECD Economic Outlook, December 1998. Table I.2. Macroeconomic indicators for selected non-member countries 1. Real GDP corresponds to the percentage change relative to the previous year. For China it is the GNP change. 2. Annual percentage change in the consumer price index, except for China where it is measured by the retail price change. Source: OECD Economic Outlook, December 1998. Agricultural markets Market prices of both agricultural and of non-agricultural commodities also fell sharply in 1998. 1 Wheat prices for the 1998/99 crop year, for example, are expected to be down one third from their levels of 1996/97, and a fall of nearly 15 per cent from the previous year's level. Similar price falls have occurred in world coarse grain and oilseeds markets, leading to lower feed costs and ultimately to lower meat prices. The economic slowdown is part of the explanation. Consumers in countries where economies were contracting had less to spend and consumers in countries where the exchange rate was devalued saw prices in domestic currencies of most goods rise, reducing quantities demanded. However, contraction in demand due to the economic crisis tells only part of the story as to why farm commodity prices fell so precipitously last year. Since the mid 1990s, world wheat production has increased by 13 per cent, maize production by 13 per cent and soybean production by 25 per cent. The combination of high farm prices of cereals and oilseeds and low input prices of earlier years constitute the main explanation for this increased production. Growers around the world responded to those attractive incentives, expanding plantings, while Governments responded by reducing or eliminating land set-asides. Demand for this increased output, especially demand weakened by poor economic performance in many food importing countries of the world, was not sufficiently robust to avoid the inevitable falls in commodity prices. Current estimates put world production of milk, beef, pig and poultrymeat for 1998 at close to record levels. This has been reflected in generally weaker prices for all these commodities, especially for pork, while dairy product prices have held up relatively well on world and domestic markets. Farm incomes Falling farm commodity prices since 1996 reduced significantly the value of farm production in both 1997 and 1998. Though mitigated to some degree by coincident falls in prices of some farm inputs – fuel, fertilisers and interest in particular – net farm incomes in most OECD countries declined. Table I.3 shows the evolution of net farm incomes in a selection of OECD countries from 1996, a year in which farm incomes were generally at or near historical peaks in most OECD countries. Table I.3. Farm income developments in selected OECD countries 1996-1998 Note: Year over year per cent change in net farm income. 1. All 1997 ﬁgures are preliminary estimates. 2. All 1998 ﬁgures are forecasts made by the respective national agencies. For Japan the estimate is based on monthly data through September. Source: Figures were taken from the following sources: Australia: Australian Commodities, Vol. 5, No. 4, December 1998, ABARE. Canada: Farm Income, Financial Conditions and Government Assistance, Data Book, Agriculture and Agri-Food Canada, Policy Branch, 1998. European Union: Statistics in Brief, Eurostat, 11 December 1998. Japan: Monthly Statistics of Agriculture Forestry and Fisheries, 12 December 1998. Statistics and Information Department, Ministry of Agriculture, Forestry and Fisheries. United States: US Department of Agriculture, Economic Research Service, November 1998. The numbers in the table reveal downturns, some quite significant, in the levels of net farm income in both 1997 and 1998 and for all the countries shown. Of course, incomes of farm households depend not only on what happens to the farm component of their earnings but what happens to off farm income as well. Data are not available to get a full picture on what happened in 1998. Typically, more than half of net farm household income is earned off the farm. In some cases, farm families may react to falling incomes from farming by shifting work time from farm to off-farm work. Although the poor economic situation in some OECD Countries may have reduced opportunities for off farm employment, this is not the case for others. Thus a crisis in farm commodity prices need not imply a crisis of equal proportion in the economic well-being of people who farm. In examining the agricultural policy developments in OECD countries, it is useful to place such changes in the context of the relative importance of the agro-food sector versus the economy as a whole. Table I.4 shows key indicators on the relative economic importance of agriculture and food processing in OECD countries. Total economic output has grown faster than agro-food output in OECD countries, leading to a decline in agriculture's share. OECD wide, agriculture and food processing together account for only around 4 per cent of total GDP. The decline in the agro-food sector's share of total output is typically associated with declines in both the share of total employment and in the absolute number of people Table I.4. Main agricultural indicators n.a.: not available. The ﬁrst row of data for each country provides the latest available year, either 1996 or 1997. Note: For deﬁnitions and sources, see following page. a) Table I.4. Main agricultural indicators (cont.) Deﬁnitions and sources % of agriculture in GDP: National accounts gross value added for agriculture forestry and hunting as a percentage of Total Gross Domestic product for most countries. For a few, like Switzerland, Gross Value Added (GVA) at market prices (corresponding to Agricultural Gross Domestic Product) as a percentge of Total Gross Domestic Product (GDP) GVA at market prices is obtained by subtracting intermediate consumption from the value of output. Intermediate consumption, which is to measure all goods and services consumed in the production process, comprises the same items as in Eurostat's accounts database, plus one line for adjustment (e.g. to accommodate VAT under-compensation). GVA can therefore be considered as a residual, showing the contribution of agriculture to a country's Gross Domestic Product (GDP). Data taken from OECD, Economic Accounts for Agriculture database. b) % of food processing in GDP: STAN database for Industrial Analysis. Industry S3112 (Food). Value as a percentage of Total Gross Domestic Product (GDP). Data taken from OECD, STAN database. c) % of agricultural employment in total civilian employment: Civilian employment according to the International Standard Industrial Classiﬁcation (ISIC) division agriculture, hunting, forestry, and ﬁshing expressed as a percentage of total civilian employment. Latest year 1997. Deﬁnitions and data taken from OECD, Labour Force Statistics database. d) % of food processing in total civilian employment: STAN database for Industrial Analysis. Industry S3100 (Including food, beverages, tobacco and ﬁsheries products). Number engaged as a percentage of Civilian employment according to the International Standard Industrial Classiﬁcation (ISIC). Data taken from OECD, STAN database. e) % of agricultural trade in total merchandise trade: Trade data taken from the OECD Foreign Trade Statistics, Paris, January 1999, using the Standard International Trade Classiﬁcation (SITC) (Revision 2) codes. The categorisation of commodities is in accordance with the OECD Secretariat deﬁnition of Agricultural trade, which includes: Agricultural commodities: 00 + 01 (including live animals) + 02 (excluding 025 eggs) + 041 to 045 + 054.1 + 054.2 + 054.4 + 054.5 + 054.81 + 057 + 06 + 08 (excluding 081.42 ﬁshmeal) + 22; Agricultural processed products: 091 (animal oils and fats) + 4 (vegetable oils and fats) excluding 411.1 (ﬁsh oils) + 046 to 048 + 054.6 to 056 + 058 (excluding 054.81 manioc) + 025 + 098 + 07 + 11; and Agriculural raw materials: 261 + 263 + 268 + 232 + 264 + 265 + 12 + 21 + 29. Latest available year is 1997 for all countries except the US for which it is 1996. % of food in total consumer expenditure: Final Consumption Expenditure of Resident Households for Food as a percentage of total Final Consumption Expenditure. Data taken from OECD, National Accounts. g) OECD Secretariat estimates based on national sources. h) EU-15. i) Excluding Denmark, Greece, Ireland, Luxembourg, Netherlands, Portugal, Sweden. j) Excluding Ireland, Italy and Luxembourg. k) Excluding Ireland and Luxembourg. l) Excluding Denmark, Greece, Luxembourg, Portugal and Spain. m) 1992-94 = 1991. n) 1989-91 = 1989, from a national source. o) Excluding Hungary and Poland. p) Excluding Czech Republic, Hungary and Poland. q) Excluding Czech Republic, Hungary, Korea, Poland, Switzerland and Turkey. r) Excluding Korea, Mexico and United States. s) Excluding Czech Republic, Korea, Mexico, Poland and Hungary. employed in agriculture. The average share of the workforce employed in agriculture and food processing has declined in all OECD countries for which data are available. The importance of agricultural trade varies among OECD countries. Exports of agricultural commodities and processed products, as a percentage of total exports range from less than 5 per cent in Japan, Korea, Norway and Switzerland to over 20 per cent in Australia and New Zealand. In many OECD countries, the relative importance of processed product exports has remained stable or increased, while declining for agricultural commodities. Imports of agricultural commodities and processed products represent less than 10 per cent of total imports in all OECD countries. The relative importance of agricultural commodity imports has declined in contrast to processed product imports which have increased. Food continues to account for a significant but declining share of total consumer expenditures, at 11 per cent in 1996 for the OECD as a whole, compared to 13 per cent a decade earlier. The Czech Republic, Mexico and Poland report the highest proportion of consumer expenditures on food at over 20 per cent. f) 2. EVOLUTION OF AGRICULTURAL SUPPORT Long-term trends in agricultural support Within wide variations in the levels, composition and trends in all forms of support to agriculture among OECD countries and across commodities, the major trends in agricultural support in OECD area since 1986-88 include: * a slow downward trend in the level of support to producers, as measured by the percentage PSE (Producer Support Estimate) in most OECD countries, but more markedly in countries with low overall levels of support; * stability in the support to general services provided to agriculture, as measured by the percentage GSSE (General Services Support Estimate), at below 20 per cent of total support to agriculture (TSE); * a slow long-run decline in total support to agriculture, as measured by the percentage TSE, and a shift in financing support from consumers to taxpayers; * despite reductions in market price support, it is still the main source of support and, together with commodity-linked payments, represents over 80 per cent of support to producers, although constraints are increasingly attached to the levels of output, area or animal numbers that are supported; support based on overall farm returns, which is the form of support least linked to commodities, remains marginal. Measurement of support to agriculture The measurement of support to agriculture using the Producer and Consumer Subsidy Equivalent (PSE/CSE) method was adopted by the OECD in implementing the 1982 Ministerial Trade Mandate. 2 The purpose was to estimate the level and composition of support to agriculture, and to evaluate the impact of a progressive and balanced reduction of support using an economic model. The indicator incorporated the monetary value of transfers associated with all policy measures affecting agriculture grouped into four main categories: i) Market Price Support; ii) Direct Payments; iii) Reduction of Input Costs; and iv) General Services. At that time, market price support measures were predominant, with a relatively small number of policy measures within each of the other categories. Other transfers associated with agricultural policies, but not covered in these categories, were included in the calculation of Total Transfers. 3 The "subsidy equivalent" was initially defined as "the monetary value that would be required to compensate farmers or consumers for the loss of income resulting from the removal of a given policy measure" based on work by Professor T. Josling in the 1970s, building on early work by Professor W. Corden. 4 However, the OECD indicators were defined more broadly as transfers from taxpayers and consumers to producers arising from policies. While the initial definition is an estimate of support in terms of equivalent farm income loss to producers, the OECD indicators have always been an estimate of support in terms of transfers to producers (PSE) and overall transfers associated with policies which support agriculture (Total Transfers). Therefore, although both PSE and Total Transfers as defined in the OECD work include the "subsidy element", they do not separately identify it. In order to reflect as closely as possible the underlying definitions, it was agreed in 1998 to replace "subsidy equivalent" by "support estimate" in the names of the indicators, and to use the following nomenclature: Producer Support Estimate (PSE), Consumer Support Estimate (CSE), General Services Support Estimate (GSSE) and Total Support Estimate (TSE). In addition, a number of changes were made in the coverage and classification of measures, as well as the methods of calculation of each indicator in percentage terms and in the producer and consumer Nominal Assistance Coefficients (NAC) – Box I.1. The objective of these changes was to make the indicators more consistent (across countries, policy measures, and over time), transparent (providing as much information as possible), useful and timely (for policy purposes), and more pragmatic (simple to understand and calculate). 5 Box I.1. Definitions of the OECD indicators of support Producer Support Estimate (PSE): an indicator of the annual monetary value of gross transfers from consumers and taxpayers to agricultural producers, measured at the farm gate level, arising from policy measures which support agriculture, regardless of their nature, objectives or impacts on farm production or income. The PSE can be expressed in monetary terms; as a ratio to the value of gross farm receipts valued at farm gate prices, including budgetary support (percentage PSE); or as a ratio to the value of gross farm receipts valued at world market prices, without budgetary support (producer NAC). Consumer Support Estimate (CSE): an indicator of the annual monetary value of gross transfers to (from) consumers of agricultural commodities, measured at the farm gate level, arising from policy measures which support agriculture, regardless of their nature, objectives or impacts on consumption of farm products. The CSE can be expressed in monetary terms; as a ratio to the value of consumption expenditure valued at farm gate prices, including budgetary support to consumers (percentage CSE); or as a ratio to the value of consumption expenditure valued at world market prices, without budgetary support to consumers (consumer NAC). General Services Support Estimate (GSSE): an indicator of the annual monetary value of gross transfers to general services provided to agriculture collectively, arising from policy measures which support agriculture, regardless of their nature, objectives and impacts on farm production, income, or consumption of farm products. The GSSE can be expressed in monetary terms or as a percentage of the total support to agriculture (percentage GSSE). Total Support Estimate (TSE): an indicator of the annual monetary value of all gross transfers from taxpayers and consumers arising from policy measures which support agriculture, net of the associated budgetary receipts, regardless of their objectives and impacts on farm production and income, or consumption of farm products. The TSE can be expressed in monetary terms or as a percentage of the Gross Domestic Product (percentage TSE). With the reform of agricultural policies in OECD countries, the number and complexity of policy measures has increased significantly, limiting the usefulness of the original PSE categories for the analysis of policies. This was particularly the case of the Direct Payments category, which increasingly embraced a wider range of measures providing support to farmers to achieve a variety of different objectives, all with different eligibility conditions and implemented in different ways. It is the implementation criteria (and not the objectives or effects of policies), highlighting the nature of the initial incidence of a measure, that provide the basis of the new OECD classification presented in Box I.2. In turn, this classification by implementation criteria allows the PSE to become the starting point for analysis of the impacts of policy measures on production, consumption, trade, income, or the environment as, for example, in the Policy Evaluation Matrix currently under development. Estimates of indicators of support based on this classification, together with the changes designed to clarify the coverage and interpretation of the indicators, are being presented and used for the first time in the present report. These estimates cover the period 1986-1998. While only the general outline of the new classification and definitions of the main support indicators are given here, a detailed description and analysis of the new methodology, coverage, definitions, and classification criteria is contained in Part II.2. The new classification has been implemented as consistently as possible for all OECD countries over the period since 1986. It might be noted that, in general, the value of the TSE is essentially the same as the calculation of Total Transfers under the previous classification. Although both the percentage PSE and CSE are in general lower than before, 6 the relative levels of support across countries, and the long-run trends in the various indicators are similar. However, the breakdown of measures in the new classification provides more detailed and consistent information for policy analysis. Box I.2. Classification of policy measures included in the OECD indicators of support I. Producer Support Estimate (PSE) [Sum of A to H] A. Market Price Support B. Payments based on output C. Payments based on area planted/animal numbers D. Payments based on historical entitlements E. Payments based on input use F. Payments based on input constraints G. Payments based on overall farming income H. Miscellaneous payments II. General Services Support Estimate (GSSE) [Sum of I to O] I. Research and development J. Agricultural schools K. Inspection services L. Infrastructure M. Marketing and promotion N. Public stockholding O. Miscellaneous III. Consumer Support Estimate (CSE) [Sum of P to S] P. Transfers to producers from consumers Q. Other transfers from consumers R. Transfers to consumers from taxpayers S. Excess Feed Cost IV. Total Support Estimate (TSE) [I + II + R] T. Transfers from consumers U. Transfers from taxpayers V. Budget revenues Overall level of support Long-run decline in OECD support levels, but a large rise in 1998. The overall level of support to agriculture for the OECD area, as measured by the percentage TSE (support associated with agricultural policies as a percentage of GDP), fell from about 2.1 per cent in 1986-88 to 1.3 per cent in 199698. 7 It decreased in all countries, except Turkey and Poland (Graph I.1). The TSE reached about US$350 (ECU 300) billion in 1996-98 (Table I.5). The shares of the PSE and the GSSE in the TSE remained relatively stable over the decade at about 75 per cent and 20 per cent respectively, the remainder being budgetary subsidies to NSconsumers. Over the last decade, the consumer contribution to the financing of total support to agriculture, as measured by the TSE, decreased by about 10 percentage points to 53 per cent, the remainder being financed from budgetary sources. However, significant differences in the sources of financing as well as in the level and composition of support to agriculture persist across countries. In 1996-98, the TSE per capita ranged from about US$40 in New Zealand to US$900 in Switzerland (Graph I.2). The overall level of support to producers in OECD countries as measured by the percentage PSE (which expresses the total value of support to producers as a percentage of the total value of gross farm receipts, including budgetary support), 8 has been on a slow downward trend, declining from Notes: Countries are ranked according to 1996-98 levels. Notes: 1. For the Czech Republic, Hungary, Mexico and Poland, 1986-88 is replaced by 1991-93. 1. For the Czech Republic, Hungary, Mexico and Poland, 1986-88 is replaced by 1991-93. 1. For the Czech Republic, Hungary, Mexico and Poland, 1986-88 is replaced by 1991-93. For more detail, see Table III.16. 2. For 1986-88, the Czech Republic, Hungary and Poland are excluded. Source: OECD, PSE/CSE database. 2. For 1986-88, the Czech Republic, Hungary and Poland are excluded. Source: OECD, PSE/CSE database. 2. For 1986-88, the Czech Republic, Hungary and Poland are excluded. Source: OECD, PSE/CSE database. 41 per cent in 1986-88 to 33 per cent in 1996-98. This can be expressed as support to producers being about one third of total gross farm receipts, including budgetary support. In other words, as measured by the producer NAC of 1.50 in 1996-98, total gross receipts were 50 per cent higher than at world market prices without budgetary support. The PSE was 32 per cent in 1997, but increased to 37 per cent in 1998, due to a sharp fall in world market prices, which was not matched by a fall in supported producer prices on average (Table I.5). The decrease in the percentage PSE over the last decade was largely due to a decline in market price support and payments based on output, although most other types of payments increased, especially those based on area planted or animal numbers, as well as support based on historical entitlements. The long-run decline in market price support has been caused largely by an upward trend in world market prices, and to a lesser extent to a downward trend in supported prices The composition of support to producers, as measured by the PSE, has also changed over the last decade (Table I.6). The share of market price support fell from 77 per cent in 1986-88 to 67 per cent in 1996-98, and the share of payments based on output halved to 3 per cent. But the share of payments based on area or animal numbers doubled to 13 per cent. The share of payments based on input use (for example, interest concessions, capital grants) have been consistently around 9 per cent. Although payments based on constraints on the use of fixed and variable inputs (including environmental constraints) have increased nearly three fold, they represent only about 3 per cent of support. The share of payments based on overall farming income remain very low, representing less than 1 per cent of support. Overall, although with wide variations across countries, around 80 per cent of support to producers in OECD is still based on output, area or animal numbers, although Table I.5. OECD: Estimates of support to agriculture p: provisional. See Part II for deﬁnitions. 1. The denominators of the indicators in percentage are: PSE – the total farm receipts (including budgetary support); GSSE – the total value of support to agriculture as measured by the TSE; CSE – the total value of consumption expenditure on commodities domestically produced (measured at farm gate), including budgetary payments to consumers; and TSE – the total GDP. 2. TSE is the sum of PSE, GSSE and transfers from taxpayers to consumers in the CSE. Note that the TSE is not the addition of PSE, GSSE and CSE, as the transfers from consumers to producers appear with opposite signs in both the PSE and the CSE. 3. Excluding the Czech Republic, Hungary and Poland for which consistent GDP data is not available for 1986-88. Source: OECD, PSE/CSE database. some of the payments are based on limited output, area or animal numbers, or associated with environmental cross-compliance conditions. Reflecting the shift to budgetary payments, the percentage CSE, which measures the share of consumption expenditure due to policies affecting agriculture (the implicit tax on consumers), fell from 36 per cent in 1986-88 to 25 per cent in 1996-98. Thus, the contribution of consumers to finance support to producers is about a quarter of the value of consumption expenditure (at farm gate prices, and including consumption subsidies) on domestically produced commodities. In other words, as measured by the consumer NAC, consumption expenditure was 34 per cent higher than at world market prices without any budgetary payments. The percentage CSE increased by 5 percentage points to 29 per cent in 1998, mainly reflecting the increase in market price support to farmers (Table I.5). Level of support by country Wide variations in the long-run trend among OECD countries. There are wide variations in the level and composition of support for individual countries and commodities among OECD countries, as there are also wide variations in farm structures, natural, social and economic conditions, and trade positions. In 1996-98, the share of GDP to support agriculture, as measured by the percentage TSE, ranged from below 1 per cent in Australia and New Zealand to 5 per cent in Korea, and over 10 per cent in Turkey (Graph I.1). The share of TSE for general services provided to agriculture, as measured by the percentage GSSE, ranged from less than 10 per cent in the European Union, Mexico, Norway and Switzerland, to about 30 per cent in Australia, Canada, Turkey and the United States, and to 45 per cent in New Zealand (Graph I.3). In 1998, support to producers, as measured by the percentage PSE and the producer NAC, increased in all countries, except Korea and New Zealand. However, over the last decade support to producers has tended to decrease in all countries. But, while it has remained below the OECD average in North America Note: For more detail, see Table III.17. Source: OECD, Labour Force Statistics, Paris, 1998; OECD PSE/CSE database. and Oceania, it has remained higher in most European countries and Asian OECD countries. Countries within these groups present some similarities not only in their levels of support, but also in production conditions and trade positions. The Czech Republic, Hungary, Mexico, Poland, and Turkey are countries marked by ongoing major structural adjustments and similar macroeconomic developments, and generally recorded levels of support lower than the OECD average (Graphs I.4 and I.5). Although with some minor differences, the PSE per farmer and per hectare give essentially the same picture. The PSE per fulltime farmer ranged from about US$500 in Mexico to US$34 000 in Switzerland, and the PSE per hectare ranged from about US$2 in Australia to US$9 500 in Japan (Graphs I.6 and I.7). Support below the OECD average in North America and Oceania. Over the last decade, Australia, Canada, New Zealand and the United States have had levels of support to producers lower than the OECD average, as measured by the percentage PSE and producer NAC (Graphs I.4 and I.5). All of them are net exporters of major agricultural commodities, have a predominance of large farms, and a relatively low share of the civilian population in agriculture. With a percentage GSSE of around 30 per cent, the share of support to general services in total support to agriculture is the highest in the OECD area (Graph I.3). The share of market price support tended to increase and is more than half of the support to producers in 1996-98 in all these countries (Table I.6). However, this form of support is only applied to a small number of main commodities in an overall context of relatively low levels of support. Domestic prices in these countries are in general closely aligned with world market prices as shown by relatively low levels of the CSE and the consumer NAC (Graphs I.8 and I.9). In the case of the United States, the low level of implicit tax on consumption is accentuated by consumer subsidies, in particular food stamps. In 1996-98, the CSE was positive and the consumer NAC was below 1 reflecting a subsidy on food consumption in the United States. In Canada, support to producers over the last decade more than halved to 15 per cent in 1996-98. While the share of market price support increased, the share of all other payments decreased, except for Table I.6. Composition of Producer Support Estimate % of PSE Note: n.c.: not calculated. Source: OECD, PSE/CSE database. payments based on overall farming income. In 1998, the PSE increased by 2 percentage points to 16 per cent, mainly due to higher market price support for milk and to higher crop insurance payments. In the United States, the PSE decreased to 17 per cent in 1996-98, in particular due to a marked decrease in payments based on output and area planted. Market price support (mainly for milk and sugar) accounts for about half of support, most of the remainder is based on historical support entitlements for crops, and input use. Payments based on input constraints (including environmental constraints) increased three fold and now represent over 5 per cent of support to producers. In 1998, the PSE increased by 8 percentage points to 22 per cent, due to high ad hoc and ex post payments mainly for crops, and to market price support for milk, due to the combined effect of a rise in the domestic milk price and a fall in the world market price. With a PSE of about 7 per cent over the last decade, Australia has the second-lowest level of support in the OECD area. Apart from market price support mainly provided to the milk sector, the other main Notes: Countries are ranked according to 1996-98 levels. Notes: Countries are ranked according to 1996-98 levels. Notes: Countries are ranked according to 1996-98 levels. For more detail, see Table III.10. 1. For the Czech Republic, Hungary, Mexico and Poland, 1986-88 is replaced by 1991-93. Source: OECD, PSE/CSE database. 1. For the Czech Republic, Hungary, Mexico and Poland, 1986-88 is replaced by 1991-93. Source: OECD, PSE/CSE database. 1. For the Czech Republic, Hungary, Mexico and Poland, 1986-88 is replaced by 1991-93. Source: OECD, PSE/CSE database. For more detail, see Table III.10. forms of support to producers are based on input use, and on overall farm income. In 1998, the percentage PSE remained at 7 per cent, but with a rise in producer prices and a reduction in world market prices for milk, which more than offset the reduction in payments based on input use, the PSE in monetary terms increased. New Zealand, with a PSE of 2 per cent since 1991, provides the lowest level of support to producers of all OECD countries. In 1996-98, about three-quarters of support to producers was from market price support resulting from sanitary restrictions on imports of poultry and eggs, with the rest in the form of payments based on input use, mainly on-farm animal health services. In 1998, the percentage PSE fell to 1 per cent, due to a fall in market price support for poultry resulting from a rise in the world market price. Support above the OECD average in most European countries and Asian OECD countries. Consistently over the last decade, support to producers has been above the OECD average in the European Union, Iceland, Norway and Switzerland, as well as in Japan and Korea. These Member countries present certain similarities in their production conditions and trade positions. All of them, including most of the EU member countries, are net importers of agricultural commodities, with a predominance of small farms and a relatively high share of the civilian population in agriculture. However, the EU as a whole is a net exporter of major agricultural commodities. While the level of support to producers in the EU is just above the OECD average, it is significantly above the OECD average in the other countries of this group (Graphs I.4 and I.5). The percentage GSSE is significantly below the OECD average in the European countries, but around the OECD average in Japan and Korea (Graph I.3). Apart from Norway, countries in this group grant market price support for most major commodities, and have the highest share of market price support in overall support to producers amongst Member countries. This share has been significantly reduced to around Notes: Countries are ranked according to 1996-98 levels. Notes: Countries are ranked according to 1996-98 levels. Notes: Countries are ranked according to 1996-98 levels. For more detail, see Table III.5. 1. For the Czech Republic, Hungary, Mexico and Poland, 1986-88 is replaced by 1991-93. Source: OECD, PSE/CSE database. For more detail, see Table III.5. 1. For the Czech Republic, Hungary, Mexico and Poland, 1986-88 is replaced by 1991-93. Source: OECD, PSE/CSE database. For more detail, see Table III.5. 1. For the Czech Republic, Hungary, Mexico and Poland, 1986-88 is replaced by 1991-93. Source: OECD, PSE/CSE database. Notes: Countries are ranked according to 1996-98 levels. For more detail, see Table III.5. 1. For the Czech Republic, Hungary, Mexico and Poland, 1986-88 is replaced by 1991-93. Source: OECD, PSE/CSE database. Notes: Countries are ranked according to 1996-98 levels. For more detail, see Table III.5. 1. For the Czech Republic, Hungary, Mexico and Poland, 1986-88 is replaced by 1991-93. Source: OECD, PSE/CSE database. Notes: Countries are ranked according to 1996-98 levels. For more detail, see Table III.5. 1. For the Czech Republic, Hungary, Mexico and Poland, 1986-88 is replaced by 1991-93. Source: OECD, PSE/CSE database. Notes: PSE per Full-time Farmer Equivalent (FFE). All forms of labour – farmers, hired employees and unpaid family workers – are included in the calculation of FFEs. For the definition of FFE, see Part II.2. Notes: PSE per Full-time Farmer Equivalent (FFE). All forms of labour – farmers, hired employees and unpaid family workers – are included in the calculation of FFEs. For the definition of FFE, see Part II.2. Notes: PSE per Full-time Farmer Equivalent (FFE). All forms of labour – farmers, hired employees and unpaid family workers – are included in the calculation of FFEs. For the definition of FFE, see Part II.2. For more detail, see Table III.7. Source: OECD PSE/CSE database. For more detail, see Table III.7. Source: OECD PSE/CSE database. For more detail, see Table III.7. Source: OECD PSE/CSE database. Not calculated for Poland and Turkey. Notes: PSE per hectare of agricultural land (arable land, permanent crops and permanent meadows and pastures). For more detail, see Table III.8. Notes: PSE per hectare of agricultural land (arable land, permanent crops and permanent meadows and pastures). For more detail, see Table III.8. Notes: PSE per hectare of agricultural land (arable land, permanent crops and permanent meadows and pastures). For more detail, see Table III.8. Source: OECD PSE/CSE database. Source: Notes: Negative values indicate an implicit tax on consumption. Countries are ranked according to 1996-98 levels. For more detail, see Table III.12. 1. For the Czech Republic, Hungary, Mexico and Poland, 1986-88 is replaced by 1991-93. Source: OECD, PSE/CSE database. Countries are ranked according to 1996-98 levels. For more detail, see Table III.12. 1. For the Czech Republic, Hungary, Mexico and Poland, 1986-88 is replaced by 1991-93. Source: OECD, PSE/CSE database. Countries are ranked according to 1996-98 levels. For more detail, see Table III.12. 1. For the Czech Republic, Hungary, Mexico and Poland, 1986-88 is replaced by 1991-93. Source: OECD, PSE/CSE database. Notes: Negative values indicate an implicit tax on consumption. Notes: Negative values indicate an implicit tax on consumption. Graph I.9. Consumer Nominal Assistance Coefficient by country Graph I.9. Consumer Nominal Assistance Coefficient by country Graph I.9. Consumer Nominal Assistance Coefficient by country 3.5 3.5 Notes: Countries are ranked according to 1996-98 levels. Notes: Countries are ranked according to 1996-98 levels. Notes: Countries are ranked according to 1996-98 levels. 1. For the Czech Republic, Hungary, Mexico and Poland, 1986-88 is replaced by 1991-93. For more detail, see Table III.13. Source: OECD, PSE/CSE database. 50 per cent in the European countries, but remains above 90 per cent in Japan and Korea (Table I.6). The relative importance of market price support in these countries is mirrored in the levels and changes in the CSE and consumer NAC (Graphs I.8 and I.9). As measured by the percentage PSE, support to producers in the European Union fell from 46 per cent in 1986-88 to 39 per cent in 1996-98. While the share of market price support fell, there was a substantial increase in the share of payments based on area planted and animal numbers. Payments based on input constraints (including environmental constraints) increased six fold, but only accounted for 4 per cent of support to producers at the end of the period. In 1998, the PSE increased by 7 percentage points to 45 per cent, due to an increase in market price support (due mainly to a fall in world market prices), as overall budgetary payments remained stable. Support to producers in Iceland, as measured by the percentage PSE, declined by 15 percentage points over the last decade – to 60 per cent in 1996-98. The significant reduction in the share of market price support was more than compensated for by an increase in the share of payments based on output. In 1998, the PSE increased by 11 percentage points to 69 per cent, mainly the effect of an increase in market price support, due to an increase in domestic prices and a fall in world market prices for livestock. Support to producers in Norway declined by 1 percentage point over the last decade – to 66 per cent PSE in 1996-98, the second highest PSE in the OECD area. Norway has traditionally recorded a low and falling share of market price support in the PSE, together with a high share of payments based on output and on input use. In 1998, the PSE increased by 5 percentage points to 70 per cent, the effect of an increase in market price support, mainly due to a fall in world market prices together with an increase in producer prices, and in payments based on area planted or animal numbers. Support to producers in Switzerland declined by 5 percentage points over the last decade – to 69 per cent PSE, the highest in the OECD area in 1996-98. The share of market price support in the PSE decreased significantly together with an increase in the share of payments based on area or animal numbers and historical support entitlements. Payments based on input constraints (including environmental constraints) increased significantly, but those that are not commodity specific represent only 2 per cent of the support to producers. In 1998, the PSE increased by 5 percentage points to 73 per cent, mainly due to a fall in world market prices. Support to producers in Japan, as measured by the percentage PSE, declined to 63 per cent in 199698, a fall of 2 percentage points since 1986-88. The share of market price support has remained stable, at around 90 per cent of support to producers. In 1998, the PSE increased by 2 percentage points to 63 per cent, which was due to an increase in market price support, resulting from a decrease in world market prices that was greater than the fall in domestic prices. Support to producers in Korea decreased by 6 percentage points over the last decade to a 65 per cent PSE in 1996-98. Market price support decreased, but still represents 94 per cent of support to producers. In 1998, the PSE fell by 7 percentage points to 59 per cent, which was largely due to the sharp depreciation of the won which more than offset the fall in world market prices in dollar terms. Support in countries marked by major structural problems and macroeconomic developments has remained below the OECD average (Graphs I.4 and I.5). The Czech Republic, Hungary, Mexico, Poland and Turkey have generally experienced high inflation 9 and volatile exchange rates over the last decade. The Central European countries and Mexico have in addition been undergoing a process of fundamental economic reform involving deregulation and trade liberalisation, the former in the context of transition from centrally planned to market economies, the latter in the context of NAFTA. With respect to agriculture, all countries in this group have severe structural problems leading to relatively low productivity, including in the upstream and downstream sectors. Despite the structural and productivity problems in the agricultural sector, the share of support to general services provided to agriculture, as measured by the percentage GSSE, is below the OECD average in all these countries, except in Turkey due to high financial costs associated with the price premium paid to cotton producers in 1993 (Graph I.3). In the Czech Republic, since the economic reform initiated at the beginning of the 1990s, the PSE fell from 37 per cent to 13 per cent in 1996-98. Two-thirds of the support is in the form of market price support and 28 per cent is based on input use. In 1998, the PSE increased by 7 percentage points to 17 per Notes: Products are ranked according to 1996-98 levels. For more detail, see Table III.6. Source: OECD, PSE/CSE database. For more detail, see Table III.6. Source: OECD, PSE/CSE database. For more detail, see Table III.6. Source: OECD, PSE/CSE database. % Notes: Negative values indicate an implicit tax on consumption. Products are ranked according to 1996-98 levels. For more detail, see Table III.13. Source: OECD, PSE/CSE database. Notes: Negative values indicate an implicit tax on consumption. Products are ranked according to 1996-98 levels. For more detail, see Table III.13. Source: OECD, PSE/CSE database. Notes: Negative values indicate an implicit tax on consumption. Products are ranked according to 1996-98 levels. For more detail, see Table III.13. Source: OECD, PSE/CSE database. cent, the combined effect of increases in market price support (mainly for grains and milk) and in payments based on area planted or animal numbers. In Hungary, since the economic reform initiated at the beginning of the 1990s, the PSE fell from 17 per cent to 10 per cent in 1996-98. While the share of market price support in support to producers fell to 45 per cent, the share of payments based on input use increased significantly to 42 per cent. In 1998, the PSE increased by 4 percentage points to 12 per cent, essentially the effect of an increase in market price support (mainly for milk) and to a limited extent in payments based on input use. In Poland, support to producers, as measured by the PSE, initially fell significantly with the economic reform at the beginning of the 1990s, but has since doubled to reach 23 per cent in 1996-98. This increase has been the result of a significant rise in market price support, which now accounts for 87 per cent of the PSE. At the same time, the share of support based on input use halved to 13 per cent. In 1998, the PSE increased by 4 percentage points to 25 per cent, due to an increase in market price support, essentially the combined effect of a rise in producer prices and a decline in world market prices. In Mexico, with the economic reform initiated at the beginning of the 1990s, the PSE decreased by 20 percentage points to 14 per cent in 1996-98. Market price support and support based on input use have fallen significantly to respectively 56 and 17 per cent of support to producers, and a quarter is now in the form of support based on historical entitlements (PROCAMPO). In 1998, the PSE increased by 3 percentage points to 19 per cent, essentially due to a rise in producer prices, as the fall in world market prices was more than offset by the depreciation of the Mexican peso. In Turkey, support to producers, as measured by the PSE, has been below the OECD average but has increased in each of the last three years to reach 29 per cent in 1996-98. The main source of support remained market price support accounting for 82 per cent of the PSE, while payments based on input use account for 17 per cent. In 1998, the PSE increased by 8 percentage points to 39 per cent, due to an increase in market price support, essentially due a rise in producer prices as the depreciation of the Turkish Lira more than offset the fall in world market prices in dollar terms. Level of support by commodity Wide variations also in support among commodities. As with countries, there are also wide variations in the levels of support to producers for the major agricultural commodities. 10 Since 1986-88, the percentage PSE declined for all commodities, except for beef and veal, and wool (Graph I.10). Despite a fall of 7 percentage points, at 74 per cent, the PSE for rice remained the highest in 1996-98. The PSE for wheat and sugar fell by over 10 percentage points, but together with rice, milk and sheepmeat were above the OECD average. Rice, sugar and milk are commodities for which market price support continues to be the main source of support in all OECD countries. 11 Consequently, these commodities are those with the highest levels of implicit tax on consumption as measured by the CSE. On the other hand, maize consumption has been generally subsidised, mainly due to relatively high consumption subsidies on maize used for food in Mexico (Graph I.11). The percentage PSE for crops overall is below the OECD average, having fallen by over 20 percentage points for maize and by over 10 percentage points for oilseeds over the last decade. The shift from market price support to payments based on area planted and animal numbers has, in general, been accompanied by a reduction in support for crops, but an increase for beef and veal. However, in 1998, percentage PSE increased for all commodities, except poultry. This was mainly the result of the fall in world market prices not matched by declines in domestic support prices. 3. EVALUATION OF AGRICULTURAL POLICY DEVELOPMENTS The previous section reviewed the main trends in the level and composition of support to agriculture, and the incidence of that support on taxpayers and consumers, as measured by a number of OECD indicators. This section evaluates the broad directions in agricultural policy reform in Member countries over the last decade, followed by the main policy developments in 1998 and a review of new framework laws for agricultural policy reforms in the EU, France, Japan, Korea and Switzerland. An in-depth evaluation of long-term trends in agricultural policy reform was undertaken in 1998 for the March meeting of the OECD Committee for Agriculture at Ministerial level, updated for the 1998 monitoring and evaluation report and is reproduced in part below. 12 The 1998 assessment presented here is complemented by special policy features in Part I.4 of this report on food safety, the environment, the EU single currency and trade with non-member countries. Policy developments are assessed against the principles for agricultural policy reform adopted by the OECD Ministerial Council in 1987, re-affirmed in subsequent years, and most recently by Agriculture Ministers in 1998. The relevant text from Ministerial Communiqués is reprinted in Part II.1 of this report. Long-term trends in agricultural policy reform The context for policy reform changed significantly over the last ten years, suggesting a changing frame of reference for policy makers. Membership in the OECD has been enlarged since 1994 to include five additional countries (Czech Republic, Hungary, Korea, Mexico, Poland), thus widening the spectrum of economic and social conditions across the OECD. Population and, until recently, strong economic growth in South East Asia, combined with political upheavals in Central and Eastern Europe and the former Soviet Union, shifted trade patterns, while trade in processed products took on increased economic importance. The large surpluses, low prices and extensive use of export subsidies which characterised world cereal markets in the late 1980s gave away to strong demand, high prices and historically low stock-to use ratios by the mid-1990s, but surpluses and low prices re-emerged towards the end of 1997 and during 1998. Vertical integration and co-ordination, greater concentration, increased foreign ownership and new technologies have fundamentally altered the structure of the agro-food sector. Agriculture has become more specialised with bulk commodity markets and auction systems declining with the emergence of more differentiated products regulated by contracts. As the agro-food sector has become more integrated, many primary producers and processors have witnessed a decline in market power and, in some cases, a redistribution of risks and returns. At the other end of the food chain, consumers have become more vocal with the result that concerns, such as food safety, environment and animal welfare, have a higher profile on the policy agenda. Shifting government priorities, budgetary pressures and the expansion of multilateral, regional and bilateral trade agreements have brought many changes to agricultural policy in Member countries, ranging from limited reinstrumentation to comprehensive reforms. From the domestic perspective, policy makers are seeking to balance a wider range of objectives and mediate amongst a broader range of interest groups. This has created a need for greater flexibility and adaptability in agricultural policies, consistency with broader policy frameworks and a shift in focus from the farmgate to the entire agro-food sector and rural economy. Progress has been made towards the OECD Ministerial principles for agricultural policy reform, in particular, following implementation of the Uruguay Round Agreement on Agriculture (URAA) from 1995. The main highlights have been: * greater transparency in border protection and increased exposure of domestic markets to international competition, but overall barriers to trade remain high; * reduced levels of support to agriculture and increased market orientation, but progress has been uneven across countries and commodities; * significant shift from market price support to budgetary payments, although most payments remain linked by different degrees to commodities or inputs and supply controls persist; * decreased use of subsidies for purchased inputs such as fertilisers and pesticides, with enhanced support for farm investment and diversification; * growing emphasis on agri-environmental payments and cost-sharing measures, but the transparency, targeting and cost-effectiveness of these measures need to be improved; * greater emphasis on continued structural adjustment and support to disadvantaged areas, with more attention to sector-wide policy impacts and policy coherence with rural development objectives; * increased focus on domestic regulatory measures, especially in the areas of food safety/quality, leading to international disputes where such measures are perceived as constituting non-tariff trade barriers. Reducing trade distortions The tariffication that took place as a result of the URAA resulted in the elimination of virtually all quantitative restrictions on imports and their replacement by bound tariffs, although a number of tariff rate quotas have been created. 13 In the short run, however, the tariffs that have replaced non-tariff barriers are, in some cases, so high that they deter potential imports and continue to shield producers from world markets. Nonetheless, some hitherto closed markets have been opened and new trade opportunities have been created under the minimum access commitments. Many OECD countries have been able to take advantage of these newly created export opportunities, although a significant number of the tariff-rate quotas have not been filled. In some cases this is due to high in-quota tariffs but also because changes in domestic and international prices have reduced import demand or have made exports under quota arrangements less attractive. In addition, some questions have arisen concerning quota administration, in particular the allocation of import licences. The high tariff levels for agricultural products stand out against the more modest levels achieved over successive GATT Rounds for manufactured goods in most industrial countries and an increasing number of middle and low income nations. Many manufacturing tariffs are of the order of 5-10 per cent, and several countries have average tariffs for the manufacturing sector of considerably less than 10 per cent. Agricultural tariffs by contrast average above 40 per cent, with tariff peaks of over 300 per cent. 14 However, applied rates within tariff rate quotas (TRQs) for those products are generally much lower. The constraints on the value and volume of export subsidies are one of the more effective measures of the URAA, although the high world prices prior to 1998 made the export subsidy limits less constraining, especially for grains. Indeed, some governments implemented export taxes and quantitative export restrictions during peak-price periods in order to slow down or limit the outflow of grains and to prevent domestic prices from rising to world market levels. Export taxes and restrictions make goods more expensive for importers, and export restrictions also prevent supplies from reaching international markets, and may therefore increase concern over price fluctuations and the availability of food in countries that are heavily dependent on food imports. More recently, export subsidy constraints have been binding in a large number of cases, reducing the distortion of trade that would otherwise have occurred. There has also been a move to a more liberal trade regime for processed food products, which will have substantial benefits for consumers and the agro-food sector, especially as trade has grown more rapidly for processed than for primary agricultural products (Graph I.12). A 1997 OECD study, The Uruguay Round Agreement on Agriculture and Processed Agricultural Products, identified significant tariff reductions for some products in some countries which were expected to stimulate trade. 15 The report also noted that tariff escalation was reduced in some cases although still evident in a number of product chains. However, as in the case of primary agricultural products, the current protection levels for processed food products remain high and the immediate gains from trade liberalisation are likely to be small. In general, tariffs Notes: For the definition of agricultural commodities and processed products, see the notes to Table I.4. OECD exports include new Members as of year of accession: Czech Republic (1995), Hungary (1996), Korea (1996), Mexico (1994) and Poland (1996). Intra-EU trade has been excluded. Source: OECD, Foreign Trade Statistics, 1999. Notes: For the definition of agricultural commodities and processed products, see the notes to Table I.4. OECD exports include new Members as of year of accession: Czech Republic (1995), Hungary (1996), Korea (1996), Mexico (1994) and Poland (1996). Intra-EU trade has been excluded. Source: OECD, Foreign Trade Statistics, 1999. Notes: For the definition of agricultural commodities and processed products, see the notes to Table I.4. OECD exports include new Members as of year of accession: Czech Republic (1995), Hungary (1996), Korea (1996), Mexico (1994) and Poland (1996). Intra-EU trade has been excluded. Source: OECD, Foreign Trade Statistics, 1999. have not been reduced more for processed than for primary agricultural products under the URAA, and the reductions are less in many cases. Tariffication has been used less frequently for processed products and where it has been applied, the high tariffs established for the agricultural primary products carry through to the processed goods. The tendency to concentrate tariff reductions on products with relatively low protection levels, and to minimise reductions on sensitive items, such as dairy and sugar products, applies to basic and processed products alike. Consequently, sensitive processed products that have been tariffied are unlikely to benefit significantly from tariff reductions in the short or medium term; it can be expected that the disparities in protection levels between product categories will remain. Tariff escalation, even though it has been reduced still prevails in some important product chains, notably impeding imports of processed products from less developed countries where these products are not covered by preferential trade agreements. Export subsidies have been less important for processed than for basic agricultural products in the past. Nevertheless, the export subsidy commitments under the URAA constrain exports of food products containing subsidised agricultural raw materials. Products likely to be most affected are those incorporating dairy components, sugar and cereals. Some countries have resorted to greater use of arrangements allowing duty-free entry of agricultural raw materials for processing if the final products are re-exported. In parallel with multilateral trade liberalisation, bilateral and regional agreements continue to be developed, most of which include some provisions for agricultural commodities and processed products. 16 There has been an expansion of regional and other trade arrangements (e.g. NAFTA, CEFTA, AFTA) involving OECD and non-OECD countries in recent years. Many trading groups are set to expand in the future and, in contrast to the past, agricultural trade is often included in these arrangements. The Singapore WTO Ministerial Declaration noted that regional agreements can promote further liberalisation and may assist least-developed, developing and transition economies in integrating into the international trading system. Regional trade agreements may divert trade and investment to the extent that they discriminate against third parties and restrict membership but contribute to the development of agricultural trade in cases where they allow countries to liberalise faster and more comprehensively than might have been possible through multilateral negotiations alone. Increasing market orientation A key reform principle is to allow market signals to influence the orientation of agricultural production. Greater market orientation has been achieved by reducing support and by delivering support through less distortionary measures, as evidenced by a decline in the producer and consumer Nominal Assistance Coefficients over the last decade for most OECD countries. The level of support can be reduced through reductions in administered prices and related interventions in domestic markets, or through reductions in budget outlays for the sector. But unless border protection is also lowered or modified to allow for the transmission of price changes, domestic markets continue to be sheltered from world markets and producers will not become more responsive to world market signals. In carrying out reforms, some countries have put the emphasis on reducing the constraints on agriculture imposed by support policies with the aim of creating a competitive industry that can take advantage of emerging market opportunities. Others have primarily responded to internal and external pressures for reform, including those related to the implementation of the URAA. To achieve these objectives, many countries have frozen or lowered their administered prices over the last decade and these changes have often been accompanied by reductions in public purchases of agricultural commodities and some easing of supply controls (i.e. production quotas, land set-asides). As long as high levels of support remain in place, supply controls serve to reduce production and trade distortions, and to limit programme expenditures but they are usually associated with higher consumer costs and significant rigidities at the farm and downstream levels. In some countries, supply controls are also used to contribute to regional, environmental and social objectives. Such measures have tended to be used for those commodities with the highest levels of protection. The dairy and sugar sectors, for example, continue under tight supply management in many countries and generally less progress has been made in reducing support to these products. Shifting to budgetary payments In their principles for policy reform, OECD Ministers advocated a shift away from production-linked measures and towards budgetary payments in providing support to farmers. They suggested that direct income payments, for example, would be particularly well suited to meeting the needs of, amongst others, low income farmers, those in particularly disadvantaged regions, or those affected by structural adjustment in agriculture. Budgetary payments can also provide a means of addressing certain objectives in agriculture that cannot be achieved by relying on the market mechanism alone, such as environmental or rural development objectives, without unduly distorting agricultural markets and trade. 17 Taxpayer-financed budgetary payments to producers are more transparent and impose a smaller burden on low-income households than market price support. They can channel support more effectively to the intended beneficiaries and have smaller side-effects for other market participants. If the payments are targeted to specific problems they will be less distorting of production and trade and should allow policy objectives to be achieved with a lower overall level of support. Nonetheless, the government administrative costs associated with budgetary payments can be quite high initially, especially in countries with a large number of small farms, if there is a need for information as a payment base to be established for each eligible farm. Once this base is established, however, the administrative costs of a budgetary payment may be reduced and compare favourably with similar costs for other forms of support. 18 Judging by the increasing share in total support provided to the agricultural sector, it appears that the OECD countries are favouring the use of budgetary payments (Graph 1.13). In fact a greater use of budgetary payments has been the predominant characteristic of agricultural policy reforms in almost all Member countries during the last decade. Nevertheless, the shift to budgetary payments has not been comprehensive and most countries still rely more heavily on price support than on budgetary payments to assist the sector. Notes: Countries are ranked according to 1996-98 levels. Notes: Countries are ranked according to 1996-98 levels. Notes: Countries are ranked according to 1996-98 levels. 1. For the Czech Republic, Hungary, Mexico and Poland, 1986-88 is replaced by 1991-93. For more detail, see estimates of support to agriculture tables for each country in Part III. Source: OECD, PSE/CSE database. 1. For the Czech Republic, Hungary, Mexico and Poland, 1986-88 is replaced by 1991-93. Source: OECD, PSE/CSE database. 1. For the Czech Republic, Hungary, Mexico and Poland, 1986-88 is replaced by 1991-93. Source: OECD, PSE/CSE database. While virtually all budgetary payment measures introduced in recent years have been implemented in the context of a decline in output-related price support and have therefore improved market orientation, they have not always reduced the dependency of the agricultural sector on support. In many cases they have been provided to compensate farmers for reductions in administered prices, leaving the overall level of support unchanged, or even increasing it if compensation was based on the assumption of lower producer prices that did not materialise. Compensation that is open-ended in time reduces the incentive for farmers to make those structural adjustments that are necessary because of reform and prolongs the burden on the taxpayer. In terms of their influence on resource allocation, most of the programmes achieve a certain degree of dissociation from production by relating area and headage payments to fixed, historical parameters such as area planted to a crop or group of crops, or animals registered at a point of time in the past. Although such programmes weaken or eliminate the policy incentive to increase agricultural production at the margin, they usually require that the resources be kept in production and that the farmers stay in the industry. Some programmes contain payment ceilings per holding or are restricted to farms in disadvantaged areas, but many are proportional to farm size and benefit predominantly the bigger producers in the more prosperous farming areas. However, the shift to budgetary payments has made it more transparent as to who are the beneficiaries of support. Declining use of input subsidies Subsidies for yield-enhancing variable inputs can increase unwanted surpluses and encourage excessive use of purchased inputs at the expense of land and labour, while their net effects on farm incomes are relatively small. Excessive use of fertilisers and pesticides, and water abstraction for irrigation at unsustainable rates, can also have detrimental consequences for the environment. General subsidies for farm equipment, buildings and structures, by increasing farm investment and attracting capital into the sector, also influence the allocation of productive resources. Trends in types of input subsidies have generally been mixed (Graph 1.14). Over the last decade, there has been a general reduction or elimination of subsidies for fertilisers in many OECD countries. Many OECD countries continue to exempt farmers from taxes paid on transport fuels, particularly diesel. These tax exemptions typically result in farmers paying prices that are less than half of those charged to motorists. In much of the OECD area, subsidised water remains a major element of support for crops, though there have been reforms in some countries in the last decade, reducing or eliminating subsidies and imposing charges on water withdrawals by farmers. 19 % Notes: Countries are ranked according to 1996-98 levels. For more detail, see estimates of support to agriculture tables for each country in Part III. 1. For the Czech Republic, Hungary, Mexico and Poland, 1986-88 is replaced by 1991-93. Source: OECD, PSE/CSE database. For more detail, see estimates of support to agriculture tables for each country in Part III. 1. For the Czech Republic, Hungary, Mexico and Poland, 1986-88 is replaced by 1991-93. Source: OECD, PSE/CSE database. For more detail, see estimates of support to agriculture tables for each country in Part III. 1. For the Czech Republic, Hungary, Mexico and Poland, 1986-88 is replaced by 1991-93. Source: OECD, PSE/CSE database. Notes: Countries are ranked according to 1996-98 levels. Notes: Countries are ranked according to 1996-98 levels. In general, investment aid is provided in a targeted fashion to facilitate structural adjustment and farm modernisation, or encourage adoption of less polluting technologies. A few countries have reduced or eliminated capital grants and interest concessions to farmers in recent years, but for some new Member countries (e.g. Czech Republic, Hungary, Mexico, Poland) subsidies for farm investments have been one of the primary means of modernising and restructuring the sector. Some of these countries have recently shifted away from providing capital grants and interest-free loans towards interest subsidies, which are not as completely disconnected from financial market conditions. Improving environmental performance Over the last ten years agricultural policy has increasingly addressed environmental issues and the sustainable use of resources in agriculture. 20 Agriculture influences the environment – soils, water, air, biodiversity, wildlife habitat and agricultural landscapes – in both beneficial and harmful ways. The specific impacts depend, among other factors, on the type and quantity of crops or livestock produced, the farming practices employed, the level and mix of chemicals applied, and site-specific environmental conditions. Farmers will enhance the environmental performance of the sector if they are faced with proper incentives to include the environmental costs and benefits of their activities in their production decisions (Box I.3). But markets do not always provide the right signals because many environmental costs and benefits are not accounted for in market prices, and, in some cases, agricultural support policies further distort production incentives. Current efforts by Member countries to reform their agricultural policies are seen both as an opportunity and a risk for the environment. Policy reform that reduces market price support and input subsidies will contribute to achieving sustainable resource use. However, this will not necessarily be sufficient unless account is also taken of the provision by farmers of any non-renumerated environmental benefits and that farmers are held responsible for meeting the required level of environmental protection, including through input taxes and regulations (polluter-pays-principle). 21 Environmental measures in agriculture should be transparent, targeted to the objective and tailored to the environmental situation, and subject to regular monitoring and evaluation to ensure that they are effective and cost-efficient and do not distort production and trade. The environmental performance of agriculture in the OECD area has improved in several respects over the last decade. The reductions in production-related support in recent years have in many cases generated a double benefit: they have resulted in a more efficient allocation of resources, while mitigating some of the negative effects of agriculture on the environment. In particular, reductions in price support and input subsidies have lowered the demand for chemical and mechanical inputs as well as for irrigation water. Reforms in the livestock sector have in most cases resulted in lower livestock densities, thereby reducing grazing pressure and manure surpluses and, as a consequence, the risk of soil erosion and nutrient leaching. Policy reforms have also slowed down the conversion of environmentally fragile land to agricultural uses, and in some areas have led to a shift of land from crop production to grass-based uses. The changes have sometimes been aided by land diversion schemes, which have paid farmers for idling land or for replacing arable crops by less intensive forms of production. Shifts in the location of agricultural production as a result of policy reform, which improve environmental performance in a particular country or region, may be offset by reduced performance in others. Box I.3. Examples of agricultural practices that help sustainability Rotation: alternating two or more crops on the same piece of land. Intercropping: growing two or more crops simultaneously on the same piece of land. Conservation tillage: seeding directly in the soil with little or no preparatory cultivation. Agroforestry: growing of annual crops along with perennial trees or shrubs. Silvipasture: Combining trees with grassland on which livestock graze. Integrated pest management: using natural predators and pest control thresholds to control pests. Adequate nutrient management: more targeted fertiliser use and reduction of emissions. Semi-natural habitat management: providing hedges, low-level marshes and extensive grazing. Source: OECD (1998), Agriculture and the Environment Issues and Policies, Paris. However, there have been concerns that some of the positive environmental effects of agriculture could be reduced if reform causes agricultural activity to shrink, especially in areas where agriculture has historically supported a rich variety of flora and fauna and created scenic landscapes, or where it has been associated with land conservation, including landslide and flood prevention. In some regions land that is taken out of agriculture will revert back to nature and enrich the environment, but in others it may degrade and erode, causing damage to wildlife habitat and biodiversity, and a loss of the flood controlling function of the land. To prevent such damage but also to respond to the demand for environmental quality, many countries have implemented environmental measures in parallel with policy reform. These measures often involve payments aimed at reducing soil erosion, improving water quality, preserving or creating wildlife habitat and maintaining the landscape. However, most of these measures have been implemented through payments per hectare or per head of livestock rather than on the basis of specific environmental outcomes. Moreover, many of these payments have been provided in the context of high levels of overall agricultural support. There has been some resort to regulatory measures but little emphasis on levying financial charges on farmers to reduce environmental harm (polluter-pays-principle), which reflects a distribution of property rights over environmental resources that tends to favour farmers. Monitoring and assessment of the programmes have, in many cases, been insufficient. Facilitating structural adjustment and rural development The agricultural sectors in OECD countries continue to face pressure to adjust to economic, demographic and social forces, and to the changing economic environment created by agricultural policy reform. Structural adjustment in agriculture usually involves a decrease in farm labour (Graph I.15), an increase in the average farm size, mechanisation, greater concentration of production and, increasingly, diversification of the sources of farm household income. The pressure for structural adjustment can impose a degree of hardship on certain segments of the farming population, particularly in the short run. The problems are often aggravated by over-regulated land markets, tax exemptions and other restrictions that discourage the conversion of farm assets to alternative economic uses. Reducing such impediments to factor mobility is one way OECD countries have attempted to facilitate adjustment of the sector and permit a better allocation of resources. Improving factor mobility can also help increase the opportunities for farm households to mitigate the income losses and reduce the social costs associated with structural adjustment. In the last ten years, virtually all OECD countries have implemented measures to promote structural adjustment in agriculture. Labour market measures, including education and retraining, are important elements in many structural adjustment policies. Other measures that have been used include early retirement schemes for farmers, installation and set-up assistance for new entrants into the sector, and incentives to ensure that land released in the restructuring process is taken up by viable farm units. While the majority of structural adjustment measures are sector-specific, some OECD Member countries have made efforts to embed their social security nets, retraining programmes and other employment measures for farmers in their national policy framework, which allows them to address social problems created by structural adjustment in agriculture in the same way as is done for other sectors. It has been recognised by policy makers that rural development with its multiple objectives such as halting or reversing the decline in rural populations, reducing rural poverty, stimulating employment, fostering the development of small and medium-sized enterprises, protecting or enhancing rural amenities, maintaining a sufficient infrastructure and improving social facilities can not rely on agriculture and agricultural policy alone, but requires a broad range of economic activities and cross-sectoral policies. 22 Agricultural policy, with its emphasis on output-related support, has contributed to inflated land prices and rents, and may make rural areas less attractive to non-farm industries. Moreover, production-linked support has tended to increase rather than reduce inter-regional differences in income levels, as the largest benefits have often gone to farmers in the more affluent rural areas. At the same time, the decline in farm employment has continued. One area where advances have been made in recent years is the promotion of regional quality produce. Some countries have begun to implement product certification and labelling schemes, which provide better information to consumers about food attributes, such as quality and geographic origin, thereby offering them a wider range of products and permitting producers of high-quality foods to benefit Notes: As measured by Full-time Farmer Equivalent (FFE). All forms of labour – farmers, hired employees and unpaid family workers – are included in the calculation of FFEs. For more detail, see definition of FFE in Part II.2. Historical data for Mexico, Poland and Turkey are not available. Notes: As measured by Full-time Farmer Equivalent (FFE). All forms of labour – farmers, hired employees and unpaid family workers – are included in the calculation of FFEs. For more detail, see definition of FFE in Part II.2. Historical data for Mexico, Poland and Turkey are not available. Notes: As measured by Full-time Farmer Equivalent (FFE). All forms of labour – farmers, hired employees and unpaid family workers – are included in the calculation of FFEs. For more detail, see definition of FFE in Part II.2. Historical data for Mexico, Poland and Turkey are not available. For comparison purposes, Austria, Finland and Sweden have been added to the European Union in 1986-88. Source: OECD, PSE/CSE database. For comparison purposes, Austria, Finland and Sweden have been added to the European Union in 1986-88. Source: OECD, PSE/CSE database. For comparison purposes, Austria, Finland and Sweden have been added to the European Union in 1986-88. Source: OECD, PSE/CSE database. from a price premium. Promoting quality labels and labels of origin enables regional producers to specialise in certain quality segments and opens up niches for farmers who cannot be competitive on the basis of production costs alone, and can potentially stimulate economic activity in disadvantaged rural areas. In rural regions where the prospects for economic diversification are limited, a fall in agricultural incomes could trigger a further outflow of agricultural labour and lead to economic and social problems. In such cases, social measures for low-income farm households, including direct income payments, can play an important part in easing the adjustment pressure and mitigating the degree of hardship. However, unless factor mobility is encouraged and productive outlets for labour, capital and land are provided, these measures will not help rural economies to become more viable in the long run. While most recent initiatives in rural development have been away from output-related agricultural support towards broader inter-sectoral and regional approaches, some major programmes for problem areas continue to be heavily centred on agriculture, especially in regions with few alternatives to agriculture. Greater focus on regulatory reforms Regulations are widespread in the agro-food sector. They are an integral part of agricultural support policies in the form of, for instance, administrative prices, supply controls and import licensing, but they are also common in the food processing industries, where many exemptions from competition laws have been granted, and where regulatory measures have been implemented to maintain competition in markets in which a group of producers, food manufacturers or retailers exercises a dominant influence. At the same time, new regulatory issues have emerged in connection with changing consumer concerns regarding food safety and quality, the way food is produced, the environment, biotechnology and animal welfare. Regulations can be necessary and may enhance competition where markets do not ensure full transmission of economic signals and in meeting consumer concerns (e.g. food safety, animal welfare), but they can have adverse effects on economic performance if they are ill-adapted or have become unnecessary because market conditions have changed. 23 Regulatory measures that benefit certain groups of farmers or food manufacturers can have negative effects on the structure and performance of related industries, and exemptions from competition law can insulate inefficient firms from market forces, restrict innovation and hinder expansion into value-adding activities. Where regulations are used, they should be limited to areas of demonstrated market failure, to the extent possible be subjected to cost-benefit analysis, and their administrative and compliance burdens should be minimised by ensuring sufficient flexibility and clear definitions of responsibilities within the regulatory framework. There is also a risk that regulatory responses to legitimate public concerns can act as non-tariff barriers to trade, as evidenced by a number of international disputes involving domestic food safety and quality regulations. The agricultural policy reforms of the past decade have permitted some relaxation of distorting regulations in OECD countries, although progress has been limited and restricted to a few commodity markets. Among the achievements that have been made in the regulatory field in recent years are a series of bilateral agreements on veterinary and health standards, some limited regional harmonisation of standards, and a greater recognition of the importance of transparent and science-based risk analysis. Greater international efforts in mutual recognition and, where appropriate, harmonisation of regulations are necessary to reap the full benefits of policy reform. Alignment and simplification of regulations within countries would facilitate these efforts and some of the new regulatory issues could also be addressed through industry-led quality schemes. Agricultural policy developments in 1998 A detailed description of agricultural policy developments in each OECD country is contained in Part II.3 of this report. This section provides an overview of the main policy developments in 1998, evaluated with respect to the OECD Ministerial principles for agricultural policy reform. It was a difficult year for agricultural policy makers in 1998. Poor global economic performance, including in some OECD countries, and the continuing Asian financial crisis led to reductions in demand for food and other commodities (discussed in Part I.1 of this report). 24 Market prices of most agricultural commodities fell sharply, especially for grains and pigs, causing farm cash receipts to fall dramatically in many countries. The relatively high commodity and strong trade growth prices of recent years had eased the pressure for government intervention in the sector, but governments once again faced strong farmlevel demands for increased support and protection. In addition, a number of food-related concerns [e.g. BSE, E Coli 0157, salmonella, listeria, as well as increased public attention on the growing use of genetically modified organisms (GMOs)] raised consumer unease and led to demands for tougher regulation and stricter enforcement in many OECD countries. As a result, the focus shifted somewhat away from longer term policy objectives towards short-term, emergency measures that were not always consistent with the OECD Ministerial principles for agricultural policy reform. The key points of the evaluation of agricultural and related trade policy developments in 1998 include: * increases in selected tariffs by a few Member countries and greater use of export subsidies (within UR disciplines) and export credits served to restrict market access and maintain agricultural trade distortions; * resolution of some long-standing trade conflicts through various dispute settlement procedures combined with several new bilateral and multilateral trade initiatives contributed to longer term trade liberalisation; * support to producers, as measured by the percentage PSE and the producer NAC, increased in all countries except Korea and New Zealand; * market price support increased by 14 per cent from 1997 for OECD countries, as world prices fell and some countries increased administered prices, indicating no or only weak transmission of price changes to domestic markets; * budgetary payments increased by 6 per cent from 1997 due to higher expenditures under existing compensatory payment schemes triggered by falling prices and emergency assistance programmes introduced in response to falling farm incomes; * emergency income assistance programmes were generally transparent and temporary, but masked market signals and may renew expectations of continued support (moral hazard); * OECD countries seeking EU membership continued to align agricultural institutions with the EU and appeared to move closer to the EU system of support to agriculture, although their levels of support are lower; * agri-environmental measures to reduce environmental harm and to improve environmental performance continue to favour producer payments for altering practices (which are not always consistent with PPP) and there was more emphasis on setting specific objectives, targeting and evaluation; * regulatory reform was the main means used to address food safety and quality concerns, which improved consumer confidence, but raised concerns about non-tariff barriers to trade, with increased attention to GMOs and animal welfare issues; * agricultural policy and rural development programmes continued to merge with a focus on sectorwide structural adjustment aimed at increased competitiveness and industry-led business plans developed at the regional or sub-regional level Trade measures There was a mixed assortment of trade measures in 1998 – some aimed at reducing barriers and others in the direction of increased support and protection. Japan replaced the quantitative restriction on the import of rice with tariffs from 1 April 1999 (US$2 680 per tonne for fiscal 1999) pursuant to the UR Agreement on Agriculture. The EU reduced the tariff on the extra autonomous quota for bananas, while announcing a tax on imports of US corn gluten used in animal feed to take effect in June 2001 in response to US actions to impose a quota on wheat gluten imports. Australia converted all remaining quantitative restrictions to tariffs and removed export subsidies on cheese, sugar and tobacco. In Mexico, some milk import quotas were transferred to private importers for the first time and Switzerland dismantled its state monopoly on foreign trade in dairy products, enabling cheese and butter producers to trade directly with partners abroad. However, the Czech Republic and Poland took initiatives to further protect domestic markets, including actions to limit preferential imports from other Central European Free Trade Agreement (CEFTA) countries, resulting in trade disputes among the members. Poland also introduced a system of additional import levies, under the UR Special Safeguards Clause, which are triggered if prices fall below a threshold price, affecting most crops and livestock products. A number of Member countries expanded the use of export subsidies and export credits in 1998. Canada, the Czech Republic and the US increased activity under existing export credit programmes. Similarly, the US rolled-over unused export subsidy commitments for skim milk powder. The EU reached its UR limit on subsidised exports for fruits, vegetables and some dairy products while rolling-over its export subsidy commitments from previous years for some other commodities. The Czech Republic, Hungary and Turkey also increased the use of export subsidies although, in the case of Hungary, reforms were introduced to increase transparency and reduce expenditures in future years. Several bilateral and multilateral negotiations to liberalise trade were completed or underway in 1998. The EU reached a sanitary agreement with Canada covering trade in live animals and animal products. Negotiations between the EU and South Africa on a Trade and Co-operative Agreement, including agricultural products, reached final agreement in March 1999 while the EU took initial steps towards future trade negotiations with Mexico, MERCOSUR members and a Transatlantic Economic Partnership with the US. Canada and the US agreed to a number of measures to improve bilateral trade in agricultural products, including greater harmonisation of health and safety regulations. Turkey is negotiating with the EU and with EFTA countries to extend existing trade agreements to agricultural commodities. Table I.7. Summary of WTO and NAFTA dispute settlement procedures (1998 and early 1999) Multilateral dispute settlement mechanisms helped to resolve trade conflicts involving agricultural products. (WTO and NAFTA trade dispute developments involving agricultural products are discussed in Part II.4 of this report. Through the World Trade Organisation (WTO) dispute settlement procedures, OECD countries were party to a number of consultations and panels (Table 1.7). These trade disputes covered a broad range of policy measures seen by the requesting country to violate various Articles of GATT 1994 or related agreements [e.g. Agriculture Agreement, Sanitary and Phytosanitary (SPS) Agreement, Technical Barriers to Trade (TBT) Agreement, Trade-Related Aspects of Intellectual Property Rights (TRIPS) Agreement]. In several cases, consultations or the panel processes are still proceeding. With respect to the EU ban on beef raised with growth hormones, the panel's findings that the EU import prohibition was inconsistent with Article 5.1 of the SPS Agreement was upheld under appeal while other findings were reversed, and the EU has to comply with the recommendations by May 1999. Japan notified its intention to appeal a panel finding that certain quarantine measures were inconsistent with SPS provisions. However, in February 1999, the basic findings of the panel report were upheld. In addition, both Canada and Mexico made requests under the dispute settlement procedures of the North American Free Trade Agreement (NAFTA). One request by Mexico regarding sugar exports to the US remains outstanding. Market price support Market price support increased in most OECD countries in 1998 as world commodity prices fell and many domestic, administered prices were raised. UR disciplines were not a constraint for most OECD countries contemplating increased support since, for most countries, the current Total Aggregate Measure of Support (AMS) was well below UR commitment levels (Graph I.16). In the Czech Republic, state guaranteed prices were increased for milk and bread wheat, in contrast to the fall in world prices for these commodities. With high purchase prices and no export subsidy schemes for grains, government stocks reached record high levels. Similarly, the market support for high quality wheat was extended to lower qualities in Hungary despite accumulating government stocks. Korea raised the government purchase price for rice in response to increased farm input costs associated with the devalued Won and announced its intention to develop a calf breeding stabilisation programme with deficiency payments for beef producers. In Norway, virtually all administered prices were increased, although the increases were generally small, while in Turkey, in a high inflation context and with domestic prices generally well above world levels, support prices for cereals, sugar and tobacco were raised significantly. Note: New Zealand total AMS = 0, Hungary and Turkey AMS below de minimis level. (Support amounting to less than 5% of the value of production.) The date corresponds to the latest available year for each country. Source: WTO Secretariat. Note: New Zealand total AMS = 0, Hungary and Turkey AMS below de minimis level. (Support amounting to less than 5% of the value of production.) The date corresponds to the latest available year for each country. Source: WTO Secretariat. Note: New Zealand total AMS = 0, Hungary and Turkey AMS below de minimis level. (Support amounting to less than 5% of the value of production.) The date corresponds to the latest available year for each country. Source: WTO Secretariat. There were also some important measures designed to move away from price guarantees and other support linked to production. Dairy support is being phased-out in Australia. Fresh milk markets were deregulated in New South Wales and Queensland with other States reviewing farm gate price and production control arrangements and expected to follow suit. Iceland abolished the administered price for sheepmeat and wool at the producer and wholesale level. In Japan, the government purchase price for domestic rice was reduced. Mexico reduced the amount of intervention buying of maize, opening the market to the private sector, and substantially lowered consumer subsidies, with the tortilla subsidy to be eliminated in 1999. Administered prices for several Swiss agricultural products were reduced and, with the implementation of the AP 2002 policy reforms (described in the section on Framework Laws), all price guarantees are planned to be suppressed. Intervention prices did not change significantly in the EU while the mandatory level of land set-aside was increased by 10 per cent for the 1999/2000 season and the requirement that land must be cropped for two years prior to eligibility was abolished, the result of an expected near doubling of grain intervention stocks. Budgetary payments Total budgetary payments to producers for OECD as a whole increased about 7 per cent in 1998, to an estimated US$82 billion. The increase was primarily due to higher payments under existing compensatory payment schemes, triggered by falling commodity prices, and emergency assistance programmes introduced in response to falling farm incomes. While increasing the level of support and isolating producers from world prices masks market signals and can hinder long-term structural adjustment, many of the new policy measures at least partially reflected the agreed operational criteria set down by OECD Agricultural Ministers at their meeting in March 1998 in that they are to some degree transparent, targeted, tailored, flexible and equitable (Box I.4). However, there have also been some exceptions. Temporary assistance measures calculated by reference to production and prices of specific commodities are clearly neither targeted nor tailored adequately in the sense that they may overcompensate for actual income losses at the farm level. Neither are they likely to meet the operational criterion of equity, unless appropriate ceilings or limits are incorporated that take other income and wealth into account. Temporary assistance programmes in general may create a kind of "moral hazard" that encourages farmers to take greater risks in their production decisions than warranted by market conditions, on the assumption that government will absorb losses should they arise. Finally, long-term reform efforts could be undermined if a series of "temporary assistance measures" lead farmers to the conclusion that reductions in support and protection are reversible. Box I.4. Operational criteria At their March 1998 meeting, OECD Agriculture Ministers agreed that policy measures should seek to meet a number of operational criteria, which would apply in both the domestic and the international context, and should be: * transparent: having easily identifiable policy objectives, costs, benefits and beneficiaries; * targeted: to specific outcomes and as far as possible decoupled; * tailored: providing transfers no greater than necessary to achieve clearly identified outcomes; * flexible: reflecting the diversity of agricultural situations, be able to respond to changing objectives and priorities, and applicable to the time period needed for the specific outcome to be achieved; * equitable: taking into account the effects of the distribution of support between sectors, farmers and regions. Source: OECD,News Release,6 March 1998. Administered prices or support levels for a wide variety of agricultural commodities were raised under existing programmes in Iceland, Korea, Mexico and Norway, although in the case of Korea total budgetary outlays declined. In Hungary, income related budgetary payments declined as additional eligibility criteria (economic, social and employment) were added to the programme. A new Canadian supplemental income assistance programme is related to farm net income, not tied to any specific commodities and temporary in duration (two years). Several EU member states, including Austria, France and the UK, also introduced disaster assistance for farms in financial difficulty with fixed, shortterm payments often linked to specific regions. US Production Flexibility Contract payments for contract crops declined in 1998 and will continue to be progressively reduced until 2002 as scheduled under the 1996 FAIR Act. The minimum prices for milk and dairy products were also reduced and will be eliminated after 1999. Also in the US, emergency measures for crop producers amounting to over US$5 billion were temporary and flexible with payments addressing market losses, natural disasters and "multiple-year" crop losses. As much of the new emergency income assistance in OECD countries was for 1998 and announced ex post, the impacts on short-term production decisions should be minimal. In the Czech Republic, budgetary payments for least favoured areas and promotion of extensive livestock production were extended to more general payments supporting production, with total area and headage payments more than doubling in 1998. Agri-environmental concerns. There was less new policy development in this area in 1998 although all of the existing programmes continued, and for several of these expenditures increased. The approach to agri-environmental measures varies across Member countries depending on the relative diversity and urgency of environmental problems, budgetary resources, and style of governance. For some countries, Mexico, Poland and Turkey, where the more immediate challenges of low farm incomes, structural adjustment and trade development are priorities, agri-environmental policies have played a relatively minor role. For Australia, Canada and New Zealand, where environmental problems generally relate to soil erosion, for example, and are largely contained on farms, the emphasis is on training, community or group projects and horizontal government initiatives, such as Australia's Natural Heritage Trust and Canada's National Soil and Water Conservation Programme. The EU, Japan and Korea tend to focus more on regulations and budgetary payments to encourage producers to reduce environmental damage associated with intensive farming practices spilling over to the rest of the population, for example, water pollution, and to compensate for environmental services provided by agriculture. Japan's New Agricultural Basic Law is described in the section on Framework Laws. In a number of countries environmental measures are increasingly a component of all agricultural policies through mandatory environmental assessments, cross-compliance and budgetary payments with specific environmental objectives, often to generate environmental amenities such as through maintaining farming in mountainous areas or promoting extensive farming practices. The Netherlands, for example, introduced producer compensation measures to reduce the pig herd by 25 per cent, while Switzerland introduced new cross-compliance criteria for producers seeking budgetary payments. Sweden introduced new support programmes to reduce nutrient leaching and chemical use on farms, and to conserve local animal breeds threatened by extinction. In Norway, funds were made available for the development of local action plans that identify environmental protection needs and a requirement for farmers to draw up fertiliser and manure plans was introduced. Denmark introduced a differentiated tax on the use of antibiotics and growth hormones in feedstuffs, and doubled a tax on pesticide use, which was introduced in 1996. In previous years, the OECD monitoring and evaluation report has observed that agri-environmental measures have had unclear objectives, been poorly targeted and lacked any overall evaluation. OECD countries have begun to address these shortcomings. (OECD work on environmental indicators is discussed in the feature on Measuring the environmental impacts of agriculture in Part I.4 of this report.) Austria replaced an existing agri-environmental programme with one more targeted to farm size and land use, and with stricter limits on fertiliser use. In Norway, to better target agri-environmental measures, farmers and municipalities were encouraged to co-operatively develop local plans that would identify environmental protection needs and propose suitable actions. Sustainable agriculture became a top priority of the new Korean government which identified specific measures to promote sustainable agriculture under the Sustainable Agriculture Promotion Act. France announced a new framework law for agriculture with the preservation and renewal of natural resources a central theme. Policy developments to encourage organic farming were common to a number of OECD countries in 1998. To promote organic farming, the Czech Republic introduced direct producer payments and France launched a five-year development plan with plans to create a national "agro-bio" institute and an office for organic agriculture. In the UK, where consumer interest in organic products appears to be growing rapidly, budgetary payments to encourage organic farming under the Organic Aid Scheme are expected to reach £4.5 million (US$7.5 million) in 1999. Similarly, budgetary payments farming in Korea are targeted towards organic farmers in "water preservation areas" in which the use of chemicals and animal waste are restricted in order to preserve the quality of drinking water. While the acreage devoted to organic farming is still very small (e.g. less than 1.3 per cent of EU farmland), growth in commercial food sales is forecast at over 40 per cent annually. 25 Major retail chains have entered the organic market in earnest, with Sainsbury in the UK, for example, reporting sales worth £1 million (US$1.7 million) per week. This market growth has tremendous potential for revenue enhancement and diversification (e.g. prices for organic products are 10-15 per cent higher than equivalent products produced from "conventional" farming methods), while offering new opportunities for smaller farms and for disadvantaged and environmentally-fragile areas. However, there are also a number regulatory problems (e.g. definitions, labelling, inspection, international harmonisation) associated with the production, processing and trade of organic products. Food safety and quality. There was a considerable amount of regulatory reform in the agro-food sector in 1998, primarily aimed at greater regulatory efficiency and increased protection and information for consumers. The EU continued a BSE-related ban on UK exports of beef and certain derived products which was extended to Portugal towards the end of the year. Canada began modernising and consolidating regulations related to food inspection, agricultural inputs and animal and plant health. Korea and New Zealand centralised various food-safety related responsibilities while plans for a single, independent food agency were announced in the UK. The Czech parliament approved a new food law restricting State intervention to the setting of standards and testing while the EU and Sweden introduced new food labelling schemes. In the US, a new food safety system was introduced, raising increasing standards and requiring all federally and state inspected meat and poultry plants to adopt Hazard Analysis Critical Control Points (HACCP) schemes to improve food safety. There has also been considerable attention paid to the use of genetically modified organisms (GMOs) in food, with approaches ranging from testing and labelling to outright bans in some countries. Probably the biggest emerging food issue is the use of bio-technology, in particular genetic engineering. For some consumers, scientific uncertainty about the long-term effects on the environment and human health of GMOs is the major concern. For others, the use of GMOs is more of an ethical issue about the way food is produced. While these new regulatory measures related to food safety have been generally well received by domestic consumers, in a number of cases such regulations can act as non-tariff barriers to trade and have given rise to international disputes. A number of countries including Australia and New Zealand maintained strict sanitary requirements on imported livestock and meat products, while an outright ban in Turkey allowed no livestock and meat product imports in 1998. Rural development. All OECD countries recognise the linkages between agriculture and the rural economy and are increasing the coherence between the two policy domains. While opportunities for growth and diversification of agriculture are limited in many disadvantaged regions, there is a common approach in that structural adjustment within the agro-food sector is seen as essential to the economic growth of the sector and, therefore, it's contribution to the economic viability of rural areas. In this context, Australia introduced a scheme to assist low income, pension-aged farmers to transfer their farms to the next generation. EU expenditures on regions lagging behind in economic development remained about the same in 1998 and included payments to farmers in mountainous areas, investment aid, aid to young farmers and support for processing and marketing of agricultural products. Expenditures in Japan to improve rural infrastructure, such as roads and sewage, and to help establish industries in rural areas remained high but declined from 1997 levels as part of a general reduction in budgetary expenditures. France, Italy and Norway provided additional assistance to young farmers in the form of low interest rate loans, tax concessions and installation grants. A number of Member countries, such as Australia, Canada and Hungary, funded agriculture and rural initiatives developed at the regional or sub-regional level, aimed at improving innovation, diversification and marketing. In several Member countries, including Ireland, Poland and the US, sector-wide, industry-led initiatives with a focus on improving international competitiveness were reported. Framework laws In 1998, France, Korea and Switzerland announced new agricultural laws which set out the general framework and direction for future agricultural policy reform. The New Agricultural Basic Law in Japan was submitted to the 1999 Ordinary Session of the Diet. These new "strategic plans" for the sector range from a very broad identification of goals with little specific policy content to detailed programme and budgetary details, as in the case of Switzerland. While there are differences in priorities and approaches, it would appear on the basis of available information that the policy directions suggested in these framework laws attempt to address at least some of the shared goals adopted by OECD Agricultural Ministers at their March 1998 meeting (Box I.5). In March 1999, EU member states reached agreement on "Agenda 2000" which contains a number of elements related to agriculture, including reforms to the EU Common Agricultural Policy (the predominant framework for the new French agricultural law). Box I.5. OECD shared goals for the agro-food sector At their March 1998 meeting, OECD Agricultural Ministers outlined a set of shared goals, stressing that the goals should be viewed as an integrated and complementary whole. There was a broad consensus that OECD Member governments should provide the appropriate framework to ensure that the agro-food sector: * is responsive to market signals; * is efficient, sustainable, viable and innovative, so as to provide opportunities to improve standards of living for producers; * is further integrated into the multilateral trading system; * provides consumers with access to adequate and reliable supplies of food, which meets their concerns, in particular with regard to safety and quality; * contributes to the sustainable management of natural resources and the quality of the environment; * contributes to the socio-economic development of rural areas, including the generation of employment opportunities through its multifunctional characteristics, the policies for which must be transparent; * contributes to food security at the national and global levels. Ministers stressed that agro-food policies should seek to strengthen the intrinsic complementarities between the shared goals, thereby allowing agriculture to fulfil its multifunctional character in a transparent, targeted and efficient manner. The challenge in pursuing the shared goals is to use a range of well-targeted policy measures and approaches which can ensure that the growing concerns regarding food safety, food security, environmental protection, and the viability of rural areas are met in ways that maximise benefits, are most cost-efficient, and avoid distortion of production and trade. Source: OECD, News Release, 6 March 1998. EU: CAP Reform – AGENDA 2000 agreement The EU Heads of States reached a global agreement at the European Summit in Berlin, March 1999 on the so called "Agenda 2000" negotiation package, which contains a reform of the EU Common Agricultural Policy (CAP). The other elements of the Agenda 2000 package deal mainly with a framework for new quinquennial structural programmes, specific measures for candidate countries to EC accession and budgetary discipline. The agreement is based on proposals by the European Commission put forward in March 1998. The proposals related to agriculture were prompted by a combination of factors, including the impact of the new disciplines agreed at the Uruguay Round, the preparation of the eastward enlargement of the EU, the anticipation of the new multilateral agricultural trade negotiations due to start by the end of 1999, domestic concerns about the preservation of the European model of agriculture, and, more generally, increasing budgetary constraints. Heads of States declared, in particular, that "the content of CAP reform will ensure that European agriculture is multifunctional, sustainable, competitive and spread throughout Europe, including regions with specific problems, that it is capable of maintaining the countryside, conserving nature and making a key contribution to the vitality of rural life, and that it responds to consumer concerns and demands as regards food quality and safety, environmental protection and the safeguarding of animal welfare". The main elements of the agreement on agriculture are described below. a) Arable sector: cereals, oilseeds and protein crops Intervention price. The cereals intervention price will be reduced from its present level of euro 119.19 per tonne by 15 per cent in two equal steps in the years 2000/2001 and 2001/2002. A decision upon possible further reduction in the intervention price to be applied from 2002/2003-onwards will be taken in the light of market developments. The monthly increment system used for seasonal price corrections is to be maintained. Compensatory payments. The decrease in institutional prices will be compensated by direct payments, but only partially (at around 50 per cent), in a way similar to the direct payments instituted by the 1992 CAP reform. In the calculation of direct payments, historic reference yields are to be multiplied by an amount per tonne. For marketing years 2000/2001 and 2001/2002, area payments will be increased from euro 54 per tonne to euro 58.5 and to euro 63 per tonne. Any consequent increase in area payments will bear the same proportion to the price reduction as those applicable in 2000/2001 and 2001/2002. A special concession was granted to Italy and Spain and a supplementary higher amount of euro 19 per tonne (drying premium) will be payable in Finland and in the northern regions of Sweden. For oilseeds, including linseeds, the area payment per hectare will be reduced in three annual steps to align it with the cereals payment, although specific measures could be proposed if production potential deteriorates seriously. In the above calculation of area payments, the rate will fall from current rates to euro 63 per tonne for 2002/2003. As of 2002, these per tonne payments will be multiplied by the historic reference yield for cereals. The reference price and advance payment systems for oilseeds will be abolished as of 2000/2001. Protein crops will receive a supplementary premium. Durum wheat continues to receive, in addition to the cereals direct payment, a per hectare payment of euro 344.5 in traditional production zones and euro 138.9 elsewhere. For Portugal, maximum guarantee areas for durum wheat will be doubled from 59 000 hectares to 118 000 hectares. Set-aside. Compulsory set-aside is retained, with the rate set at 10 per cent for all the 2000-2006 period; voluntary set-aside is maintained and extraordinary set-aside is abolished. Compensation for set-aside is set at the same rate as for arable crops. Silage cereals. EU member states where maize silage is not a traditional crop will have the option of making grass silage eligible for the arable crops area payment and defining specific sub-base areas for grass silage. The total national base area, however, cannot be changed. The basic cereals reference yield will apply to these payments. b) Beef and veal Intervention price. The intervention price will be reduced from its present level of euro 2 780 per tonne to euro 2 224 per tonne by 20 per cent in three steps over the period 2000-2002. The intervention price at the end of the transition period (euro 2 224 per tonne) will be the basis for a new system of private storage. Private storage aid could be granted when – as in the pig sector- the average Community market price is less than 103 per cent of the basic price for beef. A safety net intervention system (buyingin tenders) will be set up to a level of euro 1 560 per tonne as of 1 July 2002. In addition, there is a clause that exceptional measures could be taken, including ad hoc intervention buying-in, before reaching the safety net level. Premia. The basic special premium for male animals will be increased in three steps up to 2002, to euro 210 for bulls and euro 150 for steers. The annual suckler cow premium will be increased to euro 200 and will continue to be based on individual ceilings. Payments will be one-off for bulls and twice in a lifetime for steers. The premium for bulls takes into account the benefit of retaining the arable crop payment for silage maize. The milk production eligibility limit for suckler cow premium of 120 000 litres is to become optional for EU member states, as well as the 90 head per farm ceiling on special premia within the total ceiling per member state. A slaughter premium of euro 80 is introduced for bulls, steers, dairy cows, suckler cows and heifers over the age of eight months, and of euro 50 for calves (more than one month and less than seven months, and less than 160 kg carcass weight). In addition, the so-called "Herod Premium", designed to encourage a cut in beef production by paying a premium for culled calves, will continue on a voluntary member state basis. Payments will be assessed through the EU state aid procedure and financed fully from national budgets. Ceilings. The national ceiling for suckler cow premia is set at the highest level of utilisation of premium payments for the years 1995, 1996 and 1997, plus 3 per cent. The only exceptions are Austria, Finland and Sweden, for which the ceilings are fixed at the levels foreseen in the accession treaty. The national premium, additional to the suckler cow premium, is increased from euro 30.19 per head to euro 50 per head. A maximum 20 per cent of the suckler cow premium rights can be claimed for heifers. EU member states where more than 60 per cent of suckler cows and heifers are kept in mountainous areas may decide to manage the payment of the suckler cow premium to heifers by allocating a part of the maximum 20 per cent of the suckler cow national ceiling to a separate national ceiling. Regional ceilings for the special male premium are fixed on the basis of the 1996 premia applications; for Austria, Finland and Sweden the levels are set out in the accession treaty. The two payments for the special beef premium for steers are payable at ages nine months and twenty-one months, respectively. Two ceilings for the new slaughter premium would be introduced on a per EU member state basis, one for adult animals (bulls, steers, cows and heifers) and one for calves. This will be calculated based on the number of animals slaughtered in 1995 plus exports to third countries in the same year. Extensification. The total number of animals qualifying for the special premium and the suckler cow premium will continue to be limited to two livestock units (LU) per hectare of forage area. EU member states may choose between two formulae for granting additional extensification premia on suckler cow and special beef payments. With the first formula, the extensification premium is increased as follows: In 2000 and 2001, the premium is set at euro 33 between 2.0 and 1.6 LU per hectare and euro 66 if less than 1.6 LU per hectare; from 2002, the premium is set at euro 40 between 1.8 and 1.4 LU per hectare and euro 80 if less than 1.4 LU per hectare. With the second formula, EU member states may apply for a simple supplement of euro 100 per livestock unit where the stocking density on a holding is less than 1.4 LU per hectare. Pasture land should represent at least 50 per cent of the total forage area declared. The definition of "pasture land" is left to each EU member state. In EU member states where more than 50 per cent of the milk is produced in mountainous areas, the extensification premium is also applicable in the case of dairy cows kept on holdings situated in these areas. c) Dairy sector Intervention prices for butter and skimmed milk powder will be reduced by 15 per cent. Quotas. The Council agreed to extend the milk quota regime for a further period and to hold a midterm review with the aim of allowing the present quota arrangements to run out. Specific quota increases totalling 1.39 million tonnes are to be implemented for Greece, Spain, Ireland, Northern Ireland and Italy in 2000/2001 and 2001/2002. In all other EU member states, quotas will be increased by 1.5 per cent from 2005/2006. This amounts to an overall increase of 2.4 per cent in quotas. A series of changes to quota management were agreed, although they are optional at member state level. It is understood that these measures will come into force as of 1 April 2000. Compensation. A system of payments per tonne of quota in a given reference year will be introduced to compensate for the price cuts. Compensatory payments per tonne would be supplemented by a payment from the EU financial envelope allocated to EU member states. d) National envelopes Two financial envelopes in the beef and milk sectors respectively which can be used for funding additional direct payments will be introduced at the individual EU member state level. e) Wine A new Common Market Organisation for Wine has been established and the present 23 regulations dealing with wine will be replaced with a single regulation. Intervention schemes are reduced and subsequent budgetary savings will be used for helping structural adjustment. New planting rights for EU member states have been doubled to a total of 68 000 hectares. For unlicensed plantings, a 50 per cent penalty fee per hectare has been agreed upon. A ban on new vineyard plantings – i.e. without planting rights – has been extended to the year 2010. f) Rural development and agri-environmental policy There has been agreement on an overhaul of the rural development regulations which aims at simplifying and supplementing existing schemes for investment, training, early retirement, less favoured areas, agri-environmental programmes, afforestation and the establishment of young farmers. Outside the Objective 1 regions, rural development measures will be financed from a single source: the EAGGF – Guarantee Section. The agreement foresees that EU member states must define appropriate environmental measures to be applied by farmers as well as penalties for environmental infringement involving the reduction of direct payments. In addition, the agreement foresees allowing EU member states to modulate direct payments per farm, within certain limits, in relation to employment on the farm or overall prosperity of the holding. Savings from cross-compliance and modulation measures can be re-channelled into agri-environmental measures, early retirement schemes, afforestation and less favoured areas. g) Structural funds The current seven priority Objectives will be reduced to three: two regional Objectives and a horizontal Objective for human resources. The number of Community initiatives will be reduced from thirteen to three, one of which will be rural development. h) Budgetary implications The financial cost of the reform is estimated at euro 40.5 billion a year on average over the coming period up to 2006, excluding euro 14 billion for rural development and veterinary and plant health measures over the period. France: Framework Act for French Agriculture A framework bill for agriculture went before the National Assembly in October 1998. The legislation will break new ground compared with previous acts, in particular that of 1960/62. If all goes as planned, it should be passed by the National Assembly and the Senate by the end of the first semester 1999. The implementing orders will then be issued, in particular on "territorial farming contracts". Details of how these contracts will actually work in the départements are currently being drawn up. The new Act stems from the need to define a new framework for the development of agriculture to meet the broad expectations of the public at large. Its purpose is to redefine agriculture's role in society, and hence the goals of French agricultural policy, and to modernise the way in which that policy is implemented. It should however be noted that France, as a member of the European Union, applies the Common Agricultural Policy and that the new framework act fleshes out the broad outline laid down by the CAP. In the new act, farm policy takes into account the multifunctional nature of agriculture and should enable the sector to fulfil three functions: * the economic function of producing goods for the food and processing sectors; * the social and territorial function of helping to create and preserve jobs in rural areas and ensure balanced land use; * the function of conserving and renewing natural resources. The main provisions of the act relate to these three functions. With regard to agricultural production, interprofessional agreements will play a greater role in the economic organisation of the sector and a dynamic co-operative sector will be encouraged. Policies to identify and enhance the quality of food products will also be made more coherent. The innovative "territorial farming contracts" are also in line with the three functions listed above. They are individual contracts between a farmer and the authorities (the prefect of each département) setting out the rights and duties of each party for a period of several years, the approach being a collective one, and co-ordinated across the whole département. Under the terms of the contract, the farmer will receive support in return for goods or services that meet public expectations. Contracts are a way of modernising the allocation of government support and making it more transparent. They should also assist in decoupling support and improve patterns of government funding across the country. For 1999, FF 300 million (US$50.9 million) have already been allocated to these contracts by redeploying existing resources, in particular the EU's agri-environmental funds. With regard to the social function of agriculture, employment will be a farm policy priority. To that end, structural controls will be redirected and stepped up to prevent the dismantling of farms that could be taken over by young people. Social security contributions will be lower for young farmers setting up in business. Formalities for hiring salaried workers will be simplified, and the status of workers and spouses working on the farm will be enhanced. This aspect will be an integral part of the territorial farming contracts. With regard to farming's contribution to environmental protection and land use, the Act allows for the designation of protected areas on peri-urban land, making any changes in land use subject to a number of procedures. Agricultural education and research will see their mandates and organisation brought into line with the new thrust of farm policy. Finally, territorial farming contracts will take into account the contribution made by farming to the conservation and renewal of natural resources. Preliminary evaluation. By stressing the multifunctional role of agriculture and the sustainability of natural resources, the new French framework law reflects some of the "shared goals" adopted by OECD Agriculture Ministers in 1998. Little detail is available as to which policy instruments, or overall levels of support, will be used to achieve the various objectives or anticipated levels of assistance, but references to decoupled support and the use of budgetary payments as economic incentives for the provision of positive externalities (e.g. environmental and rural amenities) are consistent with the long-term principles of agricultural policy reform. Of course, expected reforms to the EU Common Agricultural Policy would have a significant influence on the overall policy framework influencing the French agro-food sector. Japan: New Agricultural Basic Law In Japan, a series of reforms have been implemented in the agricultural sector since the beginning of 1990's. The Uruguay Round Agreement of Agriculture brought an acknowledgement from government and farmers of the need for fundamental changes in agricultural policies in Japan. The government launched a process of agricultural policy reform by establishing the Investigative Council on Basic Problems Concerning Food, Agriculture and Rural Areas in 1997 to review current policies and to establish a new law replacing the Agricultural Basic Law, a constitutional law that has been part of Japan's agricultural legislation for over 35 years. The Council, whose members were drawn from many different backgrounds including historians, economists, farmers, journalists, representatives of consumer and other industry, presented a final report to the Prime Minister in September 1998. Based on that report, the government and the ruling Liberal Democratic Party announced a more detailed action plan for the reform, scheduled to be completed in 2003. The action plan contains general principles and ideas as well as time schedules for policy reforms in various areas. The government is expected to elaborate concrete proposals for policy measures and implement them following the plan. It will therefore be several years before a complete, concrete image of reformed agricultural policies in Japan will emerge. The New Agricultural Basic Law, however, is scheduled to be submitted to the Diet immediately in early 1999 and the reform in the rice sector announced in 1997, including an introduction of new direct payment to rice farmers [Rice Farming Income Stabilisation Program (JRIS)], has been already implemented taking the initiative in the reform. The action plan suggests reviewing almost all the agricultural policy measures in the process of the reform. Ten subjects or themes are to be examined: * basic rational for agricultural policy reform; * securing a stable food supply based mainly on domestic production; * developing food policies focusing on consumer's viewpoint; * improving infrastructure for production, such as agricultural land and irrigation; * fostering self-reliance of farmers; * stabilising the farm economy; * developing technology; * enhancing environmental cyclic nature of agriculture; * enhancing multifunctionality of agriculture and developing rural area; * reviewing agricultural organisations. Concerning food security, domestic agricultural production is regarded as a principal source of food supply together with stable imports and stockholding. The government intends to set a target level of domestic agricultural production. The target level will be calculated based on the assumption that domestic agricultural production can become more efficient by reducing cost, enhancing quality. A target self sufficiency ratio will also be set by the government. Administered price policies will be re-examined with a view to improving market orientation and policy measures to stabilise the farm economy are to be introduced. The first step will be to revise each price policy by commodity basis and the second step will be to investigate the possibility of introducing measures which are not based on specific commodities, but on farm income. Agri-environmental measures are also regarded as important. The action plan suggests introducing various measures, both to enhance the positive effects of agriculture and to reduce the negative effects of agriculture. With regard to the multifunctionality of agriculture and rural area, the plan stresses that it is necessary to identify and properly evaluate the multiple roles of agriculture. Well-planned land use in rural areas is regarded as one of the most important conditions for enhancing their multifunctionality. A direct payment for farmers living in hilly and mountainous areas will be introduced in this context from the fiscal year 2000. The specific conditions for farmers to receive this payment will be decided by that date. Preliminary evaluation. While it is not clear whether the total level of support, including border measures, will be reduced, these general directions have the potential to lead to results along the lines of the policy principles adopted in the OECD Agricultural Ministerial meeting in 1998. Considering the high level of support for the agricultural sector in Japan, reforms need to improve the exposure of the sector to market forces. Simplification and integration of policy measures also seems important because they should make policies more cost-effective, transparent, tailored and flexible. Korea: Agricultural and Rural Basic Law To cope with the agricultural market opening that is expected to accelerate as a result of the upcoming WTO negotiations on agriculture, remaining protective policy measures such as market price support and import restrictions need to be replaced by market-oriented policy measures. 26 It has also been increasingly recognised that agriculture has multiple functions, such as food safety, rural amenity and environment conservation, in addition to its primary function of producing food and fibre, and that the concept of the agricultural industry must be broadened beyond primary production to include marketing and processing. To keep up with these internal and external changes, the Korean government has drawn up a new Agricultural and Rural Basic Law to replace the Agricultural Basic Law of 1967. This new law will be put into effect from January 2000. Reflection on a new framework law was launched in June 1997 and intensified under the new government formed in February 1998. The Committee for Agricultural Policy Reforms, which was set up to recommend the direction in which agricultural policies should evolve, played a major role in the process of reviewing and examining the draft Law. It was approved by the National Assembly in December 1998. The Law is basically a general declaration or statement of policy principles presenting the main directions of future agricultural policies to the central and local governments, farmers and consumers. A number of agriculture-related domestic laws are scheduled to be changed to conform to the basic underlying ideas contained in the new Law. Market principles together with the recognition of the agriculture sector's multifunctionality will influence the process of agricultural policy design and implementation. Direct payments will be emphasised. The main policy developments are: * a stable food supply and maintenance of an appropriate level of food stockholding are stipulated as one of the most important policy objectives; * environment-friendly farming practices are stressed and co-operation in the area of agriculture between south Korea and north Korea is encouraged in preparation for unification; * the conservation of farmland to ensure the domestic food supply is also stipulated as one of the most important policy objectives. In addition, support to venture enterprises for the development of scientific technology and protection of intellectual property rights are ensured; * a basis for the development of a system of geographical "labels of origin" is stipulated in order to encourage the production of local and regional food products and to provide accurate information concerning agricultural products to consumers; * international co-operation in the field of human and technological resources and overseas direct investments are stressed. The promotion of agricultural exports is identified as a national priority; * support for farm tourism is provided in pursuit of rural development. Market price support will be reduced while targeted and tailored direct payments will be expanded. Preliminary evaluation. The Agricultural and Rural Basic Law provides the general framework for the development of Korean agricultural policies in the 21st century. The Law has special significance because it provides the general framework and basic criteria on which all acts and laws relating to agriculture are based. The directions reflect to some degree the policy principles adopted in the 1998 OECD Agricultural Ministerial meeting. In particular, it is notable that Korean agricultural policies are set to move towards direct payments and environment-friendly farming, and away from market price support. Switzerland: Agricultural Policy 2002 Programme The process of agricultural policy reform in Switzerland is scheduled to continue with the implementation of the Agricultural Policy 2002 (AP 2002) programme. This policy reform is intended to abolish all state price guarantees and further reduce market price support for agricultural producers, establish stronger links between direct payments and environmental performance criteria, and change the allocation method for concessionary credits. The reform package is thereby intended to improve the international competitiveness of Swiss agro-food producers, respond to increased concern for the state of the environment, and facilitate structural adjustment. The Swiss government first proposed AP 2002 in June 1996 and subsequently submitted the reform programme to Parliament. After intense debate, the legislature adopted the proposal in April 1998. A competing policy reform proposition, which called for an increase in direct payments in combination with strict farm size-based eligibility criteria, was rejected by the Swiss people in a referendum in September 1998. The transition towards AP 2002 started on 1 January 1999 (1 May 1999 for milk and dairy products) and is scheduled to be completed by 2002. AP 2002 involves a deregulation of the agro-food sector. Producer prices and processing margins are no longer guaranteed by the government and agro-food producers are not obliged any more to deliver their output to particular collection centres (as used to be the case for milk) or purchase a certain share of their raw materials domestically (as under the previous grain milling arrangements). The state sanctioned foreign trade monopolies for certain cheeses (Union Suisse du Commerce de Fromage) and butter (Centrale Suisse du Ravitaillement en Beurre – BUTYRA) are to be dissolved during 1999 after having disposed of remaining stocks. Afterwards, private companies will engage in all dairy product trade. The milk quota system will be retained, but quotas have for the first time become transferable among producers within the mountainous and lowland zones, respectively. Border protection for agro-food producers will be adjusted in accordance with WTO commitments, but will otherwise remain unchanged. Direct payments will be increased and more strongly linked to environmental criteria. The price supplement for milk delivered to cheese producers will increase from SF 120 (US$83) per tonne in 1999 to SF 200 (US$138) per tonne in 2002. The payment goes to farmers in order to compensate them for prospective reductions in milk revenues. Moreover, direct payments for cows whose milk is not marketed are extended to all roughage consuming animals (excluding milk cows). With respect to so called complementary direct payments, the previously existing farm and area based payments, which were crop specific, are consolidated into a uniform area payment. Farmers in mountainous areas will continue to receive additional support payments. However, farmers have to satisfy a set of environmental minimum standards (corresponding to the previously existing "integrated production" programme) in order to be eligible for any of these direct payments under AP 2002. On the other hand, if they provide additional ecological services, such as refraining from the use of synthetic chemicals, they can receive supplementary payments. A third central element of AP 2002 besides deregulation of the domestic market and cross-compliance of direct payments concerns subsidised credits for investments in farm buildings or improvements. The budgetary funds available for concessionary credits will be increased and their allocation method changed. Interest-free credits will no longer be available to cover the share of investment costs that can not be financed from farmer's own funds. Instead, investments will henceforth be fostered through fixed amounts of subsidised credit per unit of investment, which are independent of construction costs, and hence do not encourage over-investment to the same extent as the previous method. AP 2002 will lead to an increase of budgetary expenditure in 1999, in particular to finance the dissolution of the foreign trade monopolies for cheese and butter. But according to a financial envelope submitted to the Parliament in November 1998, the agricultural budget for 2000-2002 will be held stable at its 1998-level of about SF 3.5 billion (US$2.4 billion). Preliminary evaluation. While border protection remains high in Switzerland, AP 2002 is intended to improve the market orientation of agro-food producers by removing minimum guarantee prices, fixed processing margins and other state regulations, thereby allowing for a freer interaction of supply and demand in domestic agro-food markets. Similarly, the extension of direct payments for cows whose milk is not marketed to all roughage consuming animals, as well as the consolidation of various complementary direct payments into a uniform area payment leaves more room for farmers to make production decisions based on market signals rate than governmental payment rates. With respect to the agrienvironmental element in AP 2002, cross compliance will probably only have a modest environmental impact, since about three-quarter of Swiss farmers have been using integrated production methods already before 1999. Moreover, payments for particular agri-environmental production methods, such as organic farming, have been granted for several years, so that AP 2002 does not introduce anything fundamentally new. Overall, support for agricultural producers in Switzerland continues to be considerably above the OECD average, not least because of high import barriers. But AP 2002 introduces increased competition and market orientation into the domestic agro-food sector. This will help to prepare Swiss agro-food producers for a stronger exposure to international markets that could result from possible future steps of trade liberalisation and European integration. 4. POLICY FEATURES Food safety and quality issues Public demands for increased food safety have gained momentum across OECD countries in recent years due to a number of highly-publicised outbreaks of food-borne diseases (e.g. BSE, E Coli 0157, salmonella, listeria). The ban imposed by the European Union on exports of beef and certain derived products from the UK continues, limited bans on beef and live animal exports from Portugal were set to be imposed due to a rising incidence of BSE, and new cases had been reported by the Dutch authorities. With a constant stream of critical media reports about such issues as food irradiation, growth hormones and animal feed antibiotics, governments have come under intense pressure to ensure safe food at a minimum cost to consumers and industry. In fact, consumer concerns go well beyond basic food safety. The quality of food and how it is produced, animal welfare, cultural preferences, resource sustainability and protection of the environment have all become issues in the public debate over regulation of the food industry. New production and processing methods driven by technology (e.g. the use of biotechnology, genetically modified organisms (GMOs), hormones and other growth promoters) have added to consumer unease. The issues are complex with the appropriate policy response especially difficult to ascertain in cases where there are persuasive consumer advocates and/or inconclusive scientific evidence of health risk. Labelling is often recommended as an appropriate solution as it allows for consumer choice while not constraining producers, but problems of establishing standards, measurement, traceability (of components) and enforcement can reduce the effectiveness as well as increase the costs involved. Governments have responded to public pressures for more effective regulation (Box I.6). In recent years, Canada, France and Ireland have established new food agencies with varying mandates for health, safety and inspection responsibilities while plans for new food agencies in New Zealand and the UK are under consideration. In 1998, the EU Farm Ministers agreed to establish common standards for animal welfare (to apply in the year 2000) and a food safety campaign across all 15 EU member states was launched, aimed at improving awareness of food hygiene and food labelling. The EU also introduced new labels for Protected Designation of Origin (food produced, processed and prepared in a given region) and Protected Geographical Indication (at least one stage of production in a given region) certificates to improve marketing and consumer information. Such labels have been granted to around 500 food products since 1992. The US announced a new initiative to address health risks associated with food involving several federal agencies with related responsibilities and the authority of the USDA in this area has been enhanced. Mandatory Hazard Analysis Critical Control Points (HACCP) schemes to improve food safety are a key part of the US initiative. However, consumer acceptance of risk and government approaches to food safety and quality regulation vary significantly between countries. The dispute between the European Union and the United States/ Canada on the use of growth hormones in cattle has been going on for ten years. National regulations on authorised pesticide residues differ widely. Food safety and quality control systems have different specifications and may not be recognised by trading partners. Cheese made from unpasteurised milk is widespread in France, Switzerland and Italy, where the risks have been given considerable media coverage, but consumers in other countries are less willing to accept the same level of risk. Irradiation is used on some products (e.g. spices, onions) and in some countries (e.g. Belgium), but not others. New animal welfare regulations (e.g. leghold traps, dolphin-safe fishing nets, size of battery cages for poultry), which could affect the export competitiveness of the producers concerned, have been established in several countries. Box I.6. Regulating biotechnology Perhaps the biggest emerging issue surrounding food safety and quality is the use of modern biotechnology, in particular genetic engineering. Genetic engineering is being developed with the objectives of increasing the food supply, reducing environmental damage and enhancing the healthful properties of food; and its commercial use is expanding rapidly. Total area of major, genetically modified crops was estimated at 28 million hectares in 1998 – roughly equivalent to the agricultural land area of Austria, Ireland and Japan combined. Yet attitudes towards GMOs are widely diverse, among and between farmers, consumers and governments. While the North American approach is relatively open and a 1998 Swiss referendum rejected a ban, GMOs are heavily restricted by the European Union and banned in Austria and Luxembourg. Other OECD countries such as France and the UK have imposed bans or planting restrictions on specific GM crops. GMO labelling regulations are under consideration in most OECD countries. New EU legislation will require food products to indicate GM soya or maize ingredients while Germany introduced regulations for voluntary labelling of GM-free foods. The commercialisation of modern biotechnology has challenged the capacity of regulatory frameworks and led to the creation of trade barriers for GMOs in some countries. Trade disputes have prompted countries to look to international agreements for solutions and discussions of international harmonisation have been undertaken within the Codex Alimentarius, the International Organization for Epizootics, the OECD Working Group on Harmonization of Regulatory Oversight in Biotechnology, Asia Pacific Economic Co-operation Experts Group on Agricultural Technical Cooperation and the UN Environmental Programme. Harmonization addresses potential market access barriers by streamlining regulatory approval processes, which in turn can increase consumer awareness of, and confidence in, the safety and efficacy of GMOs. Estimated Area of Genetically Modified Crops (million ha) 1 1. C. James, "Global Review of Commercialised Transgenic Crops: 1998", IAAA Briefs, No. 8-1998. As part of the 1994 Uruguay Round Agreement, the Sanitary and Phytosanitary (SPS) and Technical Barriers to Trade (TBT) Agreements guard against regulatory protectionism while encouraging the use of international standards (Box I.7). A number of disputes involving several OECD countries have already been brought before the WTO since the dispute settlement procedure was established in 1995, though a number of conflicts have been resolved on a bilateral basis in the desire to avoid establishment of a formal panel process. Only three panel reports have been released to date in the context of the SPS Agreement (EU/US/Canada hormone treated beef, Canada/Australia salmon imports, US/Japan quarantine regulations) but these WTO cases have helped to clarify some provisions of the SPS Agreement and, to a certain extent, they have provided some guidance to governments for the conception and implementation of their SPS policy. However, these judgements do not exhaust the various questions and problems that can arise from the implementation of the SPS Agreement nor are they necessarily applicable to other conflicts, each of which must be arbitrated by the WTO on a case-by-case basis. The economic stakes are high and such disputes are likely to remain a priority in the future trade agenda. There are problems associated with the implementation of these international standards. The SPS Agreement explicitly requires Members to base their SPS measures on risk assessment as appropriate to the circumstances of the risk to human, animal and plant health in those cases where a country adopts measures different from international standards. However, there is no agreement on what constitutes "acceptable risk" and there are ongoing debates over methodological issues. Within the OECD, approaches can differ widely with some countries preferring to eliminate risk (i.e. sterilisation, irradiation, outright bans), while others emphasise risk control (i.e. HACCP). In addition, the standards accepted by scientists do not always have an indisputable scientific foundation (in the past some standards have had to be completely revised) and scientific unanimity is seldom achievable. The SPS Agreement (Article 5.7) allows the adoption of provisional measures (precautionary principle) where relevant scientific evidence is insufficient. Moreover, a country may introduce regulations that are more stringent than international standards on cultural, moral or religious grounds only under limited conditions. The SPS Agreement does not recognise the validity of consumer concerns on these ethical grounds (although the TBT Agreement refers to other legitimate objectives (Article 2.2) where such considerations may be taken into consideration by authorising different labelling). As expected, the mere existence of the SPS Agreements and the binding dispute settlement procedure has led to some unilateral reforms and bilateral resolutions of disagreements which will reduce trade barriers. 27 The US recently introduced new regulations and standards which allow the restricted import of Mexican avocados and Argentinean beef. Japan lifted a 46-year ban on US tomatoes. Regulatory reforms also resulted in acceptance of Canadian salmon by New Zealand and Australian acceptance of imported cooked poultry meats from Denmark, Thailand and the US. Many developed and developing countries are also negotiating bilateral or multilateral agreements on mutual recognition of animal and plant health legislation, inspection procedures, risk assessment procedures and test data. Canada, the Czech Republic and New Zealand have recently signed veterinary equivalence agreements with the EU and similar agreements are under discussion with Australia and the US, as well as Argentina, Uruguay and Chile. The Norwegian government has proposed to adopt EU veterinary legislation, thereby removing the need for border controls for meat, live animals and fish. Box I.7. Food safety and international agreements The Sanitary and Phytosanitary Agreement asserts the right of governments to introduce measures which exceed international standards where deemed necessary to protect human, animal or plant health. However, such measures must be transparent and based on scientific risk assessment. There must be equal treatment for all nations and between imports and domestic products. The SPS Agreement also encourages mutual recognition of national regulations (equivalence principle). With respect to food, it covers health risks (food safety) arising from additives, contaminants, toxins and pathogens contained in food products. The Technical Barriers to Trade Agreement is much broader, covering all technical regulations, voluntary standards, conformity assessment procedures and any other measures not covered by the SPS Agreement. It seeks to ensure that national measures are transparent, non-discriminatory, have a legitimate aim and minimise restrictions on trade. Compliance with relevant international standards is encouraged. In terms of food, the TBT Agreement covers packaging, composition and labelling as well as quality requirements (i.e. production and processing methods as well as final product characteristics). As traditional barriers to trade come down, regulations and standards can take on a more important role in trade. Standards and procedures can facilitate trade, but in some cases they may also reduce international competition, distort trade and prevent firms, notably foreign firms, from entering the market. With the strengthening of international rules, increased trade in consumer food products and the growing use of biotechnology, trade conflicts over food regulatory issues and their reform are likely to become more common. However, ignoring legitimate consumer food safety concerns would result in a falling away of their support for the process of trade liberalisation. The challenge for governments is to find the right balance between consumer protection and reducing technical barriers to trade. Measuring the environmental impacts of agriculture Improving environmental performance in agriculture is a key objective in agricultural policy reform programmes underway in many OECD countries. Environmental policies and regulations are increasingly impacting on the agro-food sector, while international environmental agreements, such as the Kyoto Protocol commitments to reduce greenhouse gases, could have implications for agriculture in the future. The importance of these issues was highlighted at meetings in 1998 of OECD Agriculture Ministers and Environment Ministers. The Agriculture Ministers agreed that governments should ensure that the agro-food sector contributes to the sustainable management of natural resources and the quality of the environment. Actions are needed so that farmers take both environmental costs and benefits into account in their decisions. This requires, first, better knowledge of the magnitude and trends in the environmental effects of agriculture. Second, improved understanding of the impact of agricultural policies on the environment, and third, the development of tools to monitor and evaluate policies to help facilitate their effectiveness in promoting sustainable agriculture. To help improve information on the current impacts and trends in the environmental effects of agriculture, the OECD is developing a set of agri-environmental indicators within the Driving force-State-Response framework (Box I.8). Box I.8. The OECD framework to develop agri-environmental indicators Driving force – State – Response (DSR) framework addresses a set of questions related to causes, effects and actions of agriculture on the environment: * What is causing environmental conditions in agriculture to change, e.g. changes in pesticide use (Driving forces)? * What are the effects of agriculture on the environment, e.g. impacts on soil, water, and natural habitats (State)? * What actions are being taken to respond to the changes in the state of the environment by farmers, consumers, industry and governments, e.g. promoting sustainable agriculture by community based approaches (Responses)? The OECD is developing indicators to cover primary agriculture's: * use of natural resources and farm inputs: nutrients, pesticides, water and land; * environmental impact on: soil and water quality, land conservation; greenhouse gases, biodiversity, wildlife habitats and landscape; and, * interaction between the environment, economic and social factors: farm management practices; farm financial resources; and socio-cultural aspects. Source: OECD (1997), Environmental Indicators for Agriculture, OECD Publications, Paris. Preliminary results Progress in establishing indicators across different areas is variable, in particular, because research on issues such as agricultural biodiversity is relatively recent compared to, for example, farm nutrient use. Some preliminary results of the OECD agri-environmental indicator work, however, reveal that the environmental performance in agriculture has generally tended to improve over the past 10-15 years for many OECD countries, although the magnitude of improvement varies among countries (Box I.9). The potential nitrogen loading on the environment from agriculture, for example, as measured by the nitrogen soil surface balance indicator, has declined for most countries. 28 For certain countries, such as Hungary and Poland, this reduction in nitrogen surplus has been particularly large, affected by the collapse in agricultural support levels, the elimination of input subsidies and increasing debt levels in the farm sector following the transition toward a market economy. 29 The quantities of pesticides used by agriculture (measured in active ingredients) have also decreased for many OECD countries. However, a change in pesticide use may not reflect a change in environmental damage from pesticides because of the variable environmental risk associated with different pesticides. Even so, research in Denmark and Sweden, for example, has revealed a close correlation between declining pesticide use and environmental risk. Box I.9. Preliminary OECD agri-environmental indicators Box I.9. Preliminary OECD agri-environmental indicators Box I.9. Preliminary OECD agri-environmental indicators Agricultural nitrogen balance 1986-88 and 1994-96, kg nitrogen/ha Agricultural nitrogen balance 1986-88 and 1994-96, kg nitrogen/ha Agricultural nitrogen balance 1986-88 and 1994-96, kg nitrogen/ha Pesticide use in agriculture % change 1986-88 to 1994-96 Pesticide use in agriculture % change 1986-88 to 1994-96 Pesticide use in agriculture % change 1986-88 to 1994-96 Notes: Nitrogen (N) balance in kg per hectare of total agricultural land = N inputs (fertiliser, manure, etc.) minus N plant uptake, which if > 0 = N surplus; if < 0 = N deficit. Notes: Nitrogen (N) balance in kg per hectare of total agricultural land = N inputs (fertiliser, manure, etc.) minus N plant uptake, which if > 0 = N surplus; if < 0 = N deficit. Notes: Nitrogen (N) balance in kg per hectare of total agricultural land = N inputs (fertiliser, manure, etc.) minus N plant uptake, which if > 0 = N surplus; if < 0 = N deficit. Data are preliminary estimates. * 1986-88 to 1993-95. Source: OECD Agri-environmental Indicator Database. Source: OECD Agri-environmental Indicator Database. Source: OECD Agri-environmental Indicator Database. Data are preliminary estimates. Gross emissions of greenhouse gases from agriculture Gross emissions of greenhouse gases from agriculture Gross emissions of greenhouse gases from agriculture Notes: Gross greenhouse gas (GHG) emission data (excluding GHG sinks) covers the main agricultural GHG gases – carbon dioxide (CO2), methane, nitrous oxide – converted to CO2 equivalent using Global Warming Potentials for 100 years. Notes: Gross greenhouse gas (GHG) emission data (excluding GHG sinks) covers the main agricultural GHG gases – carbon dioxide (CO2), methane, nitrous oxide – converted to CO2 equivalent using Global Warming Potentials for 100 years. Notes: Gross greenhouse gas (GHG) emission data (excluding GHG sinks) covers the main agricultural GHG gases – carbon dioxide (CO2), methane, nitrous oxide – converted to CO2 equivalent using Global Warming Potentials for 100 years. Source: OECD Agri-environmental Indicator Database. Source: OECD Agri-environmental Indicator Database. Source: OECD Agri-environmental Indicator Database. (..) Share of agricultural gross emissions in total gross emissions 1993-95. (..) Share of agricultural gross emissions in total gross emissions 1993-95. (..) Share of agricultural gross emissions in total gross emissions 1993-95. % Notes: 1994-96 time series are not available for Australia, Belgium, Iceland, Japan, Luxembourg, Mexico and United States. Notes: 1994-96 time series are not available for Australia, Belgium, Iceland, Japan, Luxembourg, Mexico and United States. Notes: 1994-96 time series are not available for Australia, Belgium, Iceland, Japan, Luxembourg, Mexico and United States. * Total use of pesticides in tonnes of active ingredients 1994-95. Source: OECD, Environmental Database. * Total use of pesticides in tonnes of active ingredients 1994-95. Source: OECD, Environmental Database. * Total use of pesticides in tonnes of active ingredients 1994-95. Source: OECD, Environmental Database. (..) Total use of pesticides in tonnes of active ingredients 1994-96, except Canada 1994. (..) Total use of pesticides in tonnes of active ingredients 1994-96, except Canada 1994. (..) Total use of pesticides in tonnes of active ingredients 1994-96, except Canada 1994. Irrigated agricultural land area % change 1980-82 to 1994-96 Irrigated agricultural land area % change 1980-82 to 1994-96 Irrigated agricultural land area % change 1980-82 to 1994-96 % Notes: (..) % of irrigation water for agriculture in total abstractions 1995, except Greece and Italy 1980, Australia 1985, Portugal and United States 1990. Notes: (..) % of irrigation water for agriculture in total abstractions 1995, except Greece and Italy 1980, Australia 1985, Portugal and United States 1990. Notes: (..) % of irrigation water for agriculture in total abstractions 1995, except Greece and Italy 1980, Australia 1985, Portugal and United States 1990. Source: OECD, Environmental Database. There has generally been a small reduction in emissions of greenhouse gases from agriculture during the past six years. The contribution of agriculture in helping towards meeting national commitments under the Kyoto Climate Change Protocol might be important in the new millennium, especially for countries where the share of agricultural greenhouse gas emissions in total emissions is significant, notably for Australia, Denmark, Ireland, and New Zealand, although overall greenhouse gas emissions are low in these countries. In the area of agricultural water use, there has been a substantial expansion of agricultural land under irrigation in a number of OECD countries over the last two decades. This underlines the potential future risks in view of competing and growing demands for water from farmers, industry, households and other water users. 30 Next steps An OECD Workshop, held in York, United Kingdom, in September 1998, led to considerable progress in both the identification and specification of policy relevant indicators which will provide a solid basis for future OECD work (Box I.10). The OECD is now moving the work into a more intensive data collection and indicator measurement phase, recognising that the process of developing indicators will be one of evolution and refinement, and that some indicators will evolve more rapidly than others. As different indicators are developed the linkages between them will be analysed to help better interpret trends in specific indicators. For example, changes in indicators of nutrient use (driving force), can be linked to variations in water quality (state) and related to the alteration in farm management practices (responses). Box I.10. The way forward: the results of the York Workshop Some key results of the OECD Workshop on agri-environmental indicators include: * Developing a set of indicators for the short and long term, which command broad consensus in terms of feasibility and policy relevance. * Recognising that indicator development is a process of evolution and refinement, and that indicators should convey the diversity in agri-environmental conditions at the sub-national level. * Establishing some "contextual data sets", such as farm financial viability, which will be valuable in interpreting trends in agricultural sustainability. * Continuing to draw on work underway on indicators in OECD Member countries and other international fora, as a basis to ensure that a common indicator methodology is applicable to all OECD countries. * Emphasising the need for flexibility in using indicators for policy analysis and developing an iterative process between indicator construction, policy modelling and policy decision making. * Stressing the importance of indicator transparency so that all "stakeholders" can understand the indicators and the policy implications based on them. Source: OECD (1999), Measuring the Environmental Impacts of Agriculture: The York Workshop, Paris. As more indicators become operational they will enrich the information in the OECD monitoring and policy analysis work. The indicators can provide essential data to measure the environmental impacts of changes in different agricultural policies, such as market price support measures and direct payments. Also the use of indicators in commodity projection work is being investigated through the OECD model for medium term agricultural commodity markets and trade (AGLINK), such as examining the implications for agricultural markets and trade of reducing agricultural greenhouse gas emissions. 31 The OECD agri-environmental indicators are also providing a building block in developing a set of OECD sustainable development indicators, which is part of the OECD horizontal project on sustainable development. 32 The final report from this project, which is planned as an input to the UN Conference on Environment and Development in 2002, will contribute to developing a policy strategy to help achieve sustainable development with emphasis on the economic, social and environmental dimensions. Agricultural trade developments with non-OECD economies Over the past decade, a number of factors have contributed to closer trade links with non-member economies. High economic growth in emerging markets in conjunction with domestic policy reform as well as commitments taken in regional and multilateral trade negotiations contributed to higher world prices for many agricultural commodities during the mid 1990s. This high price environment was conducive to the creation of new trade agreements, and the deepening of existing ones, with non-OECD countries. These conditions have fundamentally changed with the financial and economic crises in 1997/98 and have given rise to concerns that momentum for future trade liberalisation could weaken. Market developments In 1998, trade relations with non-member countries were strongly affected by the financial and economic crises in Asia, Russia and emerging economies in Latin America. Some non-member economies were directly affected by the crisis and experienced sharp currency devaluations, capital outflows, a squeeze in the domestic credit markets, contractions in GDP and lower disposable consumer incomes. Where countries managed to escape the direct effects of the crisis, high real interest rates necessary to defend the domestic currency placed a heavy burden on domestic producers and also contributed to an overall slowdown in economic growth. In general, the effects of lower GDP and devalued exchange rates reduced imports by non-member economies and put a brake on farm exports from OECD countries. There were, however, important differences in the exposure to the crisis; a few examples may help to illustrate the differences in the impacts on agricultural trade with OECD economies. Agricultural trade with Russia was heavily affected by the crisis. In 1997, with agro-food imports of US$12.7 billion, Russia was one of the major agro-food importers in the world. About 55 per cent of imports originated from OECD countries and Russia's share in total OECD agro-food exports to countries outside the OECD area increased from 6 to 17 per cent between 1992 and 1997. The acute financial crisis that erupted mid-August resulted in a strong reduction in food imports into Russia. The decline in real incomes induced a squeeze in demand for income elastic products such as meat and milk; the strong devaluation of the rouble made imports much less competitive; the collapse of the banking sector in Russia exacerbated payment problems for imports; and price and mark-up controls at the regional level made sales of imported products unprofitable. The crises spilled-over into Brazil's agriculture. Brazil is a major agricultural exporter and an important trading partner for many OECD countries. It is the most important source for OECD imports of citrus, tropical beverages and soybeans, while it imports temperate zone commodities from OECD countries. The crises in Asia and Russia had largely indirect impact on Brazil's agricultural trade. High interest rates to defend the exchange rate of the "Real" vis-à-vis the US dollar brought about sharply rising production costs for largescale, capital intensive producers. To offset – at least a part of – these extra costs for producers the government launched a package of measures to support agricultural exports. This included increased funds for export credits and an Export Credit Advance mechanism (ACC). These measures helped to offset the effects of the over-valued "Real" and resulted in largely unchanged agricultural trade volumes for 1998. China, however, remained largely immune. OECD countries have become the most important export destination for China, absorbing more than 50 per cent of China's agricultural exports. Japan alone accounts for 30 per cent of China's agricultural exports, followed by Europe with about 19 per cent. At the same time, about 30 per cent of China's agricultural imports originate from OECD countries. So far, China has managed to remain immune to contagion from the crises in Asia and Russia. The Government maintains a managed exchange rate system, insulates China's currency from market forces and speculative pressure, and exercises full control over foreign trade. While these measures have helped to minimise the immediate and direct effects of the crises, there are growing concerns that China's agricultural exports may become less competitive vis-à-vis other Asian suppliers, who have benefited from exchange rate devaluations. Trade agreements with non-member economies Despite the financial and economic crises in 1997/98, a number of new efforts towards freer trade with non-member economies were launched or intensified in 1998. This included negotiations with non-members on a regional basis as well as new bilateral trade agreements. The most important events in 1998 were the launch of formal negotiations for a Free Trade Area of the Americas (FTAA), a free trade agreement between Chile and Canada, the continuation of the EU-MERCOSUR trade talks and continuing developments in a number of trade agreements involving central and eastern European countries. The launch of the FTAA Formal negotiations for a Free Trade Area of the Americas were launched in April 1998. The draft agreement stipulates the creation of a free trade area of 34 countries of the Americas by 2005. The trade ministers of the participating countries called for the FTAA negotiations to be consistent with commitments taken in parallel in multilateral negotiations, which essentially require that free trade areas cover all trade among members and that trade barriers vis-à-vis outsiders not be increased. Discussions for the FTAA will proceed in nine negotiating groups, including a separate group on agriculture. Chile's Free Trade Agreement with Canada Chile's Congress ratified the Free Trade Agreement with Canada in July 1998. About 92 per cent of Chile's exports to Canada will face zero duty from the effective date of the agreement, including fruits, wine, fishmeal, salmon and other fish products. By 2003, almost all agricultural exports to Canada will be duty-free. As regards Canada's agricultural exports to Chile, only 45 per cent will have zero duty from the effective date onward. Among sensitive agricultural products are beef and pork, vegetable oils, peas, corn and corn products and sugar. All other products will have phase-out periods of 2 to 18 years. Continuation of EU-MERCOSUR trade talks in 1998 In 1994 the European Commission established a two step strategy to strengthen its trade links with MERCOSUR countries. The first step was successfully concluded with the interregional framework agreement, signed in December 1995. The second step foresees the creation of an interregional association agreement, envisaged to include: partnership on political and security issues, an enhanced process of co-operation on economic and social matters, and a free trade area (FTA) for goods and services. A comprehensive review of recent trade developments and possible implications of an FTA was undertaken in 1998. While the review underlined that substantial progress has been made towards freer trade between the two regions (e.g. 63 per cent of EU imports are already duty free), it also revealed that agricultural trade – accounting for 80 per cent of total sensitive EU imports – could become the main stumbling block towards a successful conclusion of the FTA. With depressed prices and farm incomes in the European Union, there are growing concerns that future negotiations towards an FTA of the two blocs may become increasingly difficult. Depending on the authorisation by the EC Council, these negotiations are scheduled to commence in 1999. Central and Eastern European Trade Agreements An important regional trading agreement, which provides some liberalisation of agricultural products, is the Central European Free Trade Agreement (CEFTA), founded by Hungary, Poland and the Czech and Slovak Republics in 1992. Slovenia became a member in 1996, Romania in 1997 and Bulgaria joined in 1998. The main goal of the agreement is for a gradual reduction in impediments to trade in agro-food products leading to free trade by 2000. Depressed market conditions for agricultural and food products in the CEEC region in 1998 led to several CEFTA members raising import tariffs and introducing quotas on certain agricultural imports from the other CEFTA members. In 1998, Bulgaria completed the abolition of price controls and the liberalisation of trade in line with its obligations under the CEFTA Agreement. In January 1997, the Baltic Free Trade Agreement (BAFTA) on agricultural and food products came into force. This agreement allows for comprehensive free trade between Estonia, Latvia and Lithuania on agricultural products of domestic origin. Since the implementation of the Agreement, trade in agricultural and food products between the three Baltic countries has increased substantially, albeit from a low level. Implementation of the agreement has also led to some convergence in farmgate and retail prices across the region, and to some extent domestic policies. The harmonisation of veterinary controls between the three countries in 1998 should further enhance the growth in trade of agro-food products between the countries. All three countries have started to implement domestic agricultural policies in line with those of the EU, with Estonia being more advanced in this respect. Economic implications of the single European currency (euro) for the agro-food sector With the advent of European Economic and Monetary Union (EMU) on 1 January 1999, the single European currency, euro, was introduced. On this date, the EU participating countries irrevocably fixed their exchange rates against the euro and lost sovereignty over monetary and exchange rate policies. The Euro area comprises 11 countries which account for approximately 16 per cent of global GDP, has a total population of 290 million; intra-EU trade is more important than extra-EU trade, with imports from non-EU countries accounting for about 15 per cent of GDP. Given the economic importance of the Euro area, the introduction of the single currency will have widespread effects on all EU member states as well as on countries outside of the EU. The economic debate behind EMU centres to a large extent on judging the balance between micro-economic gains to the EU against macro-economic risks. The main potential gain is to improve the efficiency of the single market by reducing exchange rate uncertainty, improving price transparency and reducing the transaction costs of converting currencies associated with intra-EU trade. The adoption of the euro has important implications for the functioning of the EU Common Agricultural Policy (CAP) and for the competitiveness of the agro-food sector in general. 33 It provides opportunities to the agro-food sector but it also poses important challenges. The agri-monetary system will be completely phased out in three years for the participating countries. The launch of the euro creates a single currency area whose economy is comparable to that of the US (Graph I.17). Notes: Agricultural trade comprises primary and processed agricultural products. Euro area: Austria, Belgium, Finland, France, Germany, Ireland, Italy, Luxembourg, Netherlands, Portugal and Spain. Non-Euro area: Denmark, Greece, Sweden and the United Kingdom. For the categorisation of commodities, see notes to Table I.4. Source: OECD, Foreign Trade Statistics. Notes: Agricultural trade comprises primary and processed agricultural products. Euro area: Austria, Belgium, Finland, France, Germany, Ireland, Italy, Luxembourg, Netherlands, Portugal and Spain. Non-Euro area: Denmark, Greece, Sweden and the United Kingdom. For the categorisation of commodities, see notes to Table I.4. Source: OECD, Foreign Trade Statistics. Notes: Agricultural trade comprises primary and processed agricultural products. Euro area: Austria, Belgium, Finland, France, Germany, Ireland, Italy, Luxembourg, Netherlands, Portugal and Spain. Non-Euro area: Denmark, Greece, Sweden and the United Kingdom. For the categorisation of commodities, see notes to Table I.4. Source: OECD, Foreign Trade Statistics. Agri-monetary system: at the farm level, the most immediate effects stem from changes to the agri-monetary regime. Under the agri-monetary system which was in place until the end of 1998, the ECU was used as a unit of account for setting prices, while payments were made in national currencies using the agricultural conversion rates, the so-called "green ECU". The agricultural conversion rates followed the evolution of the daily exchange rate. Whenever a revaluation gave rise to a significant decrease in the agricultural conversion rate, and hence in the level of prices and payments expressed in national currency, temporary financial support was granted to compensate farmers for revenue losses. The system reduced volatility in the conversion rate applied to CAP support prices and payments. However, it was complex to administer and it had the potential to distort trade when there have been very large gaps over long periods between the value of green rates and market rates in different member States. Moreover, it has generated substantial additional costs to the EU budget amounting to ECU 1.3 billion (US$1.1 billion), or 3.2 per cent of EAGGF Guarantee Fund spending in 1997. The majority of these effects can be attributed to a few key features of the regime, in particular, the asymmetry of the system, with its bias against revaluations. The euro required an overhaul of the agri-monetary regime and new, simpler arrangements were implemented. Green rates were abolished and replaced by the market exchange rate. Frozen green rates were removed, although compensation will be paid degressively over three years. Exchange rate risk: agro-food sector is one of the most traded sectors in OECD countries and thus is particularly sensitive to exchange rate movements. If EU member states are pursuing different monetary policies or economic conditions are different, their exchange rates will fluctuate. Uncertainty about currency values can undermine the operation of the single market. The economies of a number of EU member countries, for example, were beset by the turmoil of the exchange rates between the European currencies which took place between September 1992 and May 1995. One of the main advantages of the euro is that it eliminates exchange rate risk and uncertainty, potentially contributing to a more stable economic environment for the participating countries. Lower exchange rate risk also implies that interest rate risk premia should be small, and therefore borrowing costs lower. The elimination of the exchange rate risk will particularly benefit companies which operate in several countries of the Euro zone. Small and medium size enterprises in the food processing sector who are less sophisticated in exchange rate management will benefit to a lesser extent than multinational food companies. However, participating countries will still be at risk from the movements of the euro in trade with countries outside the Euro area. Moreover, country or region-specific, asymmetric economic shocks could pose major challenges due to the loss of sovereign monetary policy. This is particularly relevant for those regions whose economies are not diversified and are heavily dependent on one exportable sector. Nevertheless, the economic performance of the Euro area will be less sensitive to exchange-rate fluctuations than before. Non-participating EU members might be at a competitive disadvantage in trading with the other EU countries within the Euro zone, as they have to cover both the costs of currency exchange and currency hedging. Non-participating EU member states may also face more volatile exchange rates. As external trade represents a relatively small proportion of total output for both the EU and the US, it can be argued that the exchange rate between the US dollar and the euro will be of relatively low priority to policy makers. In fact, mechanically, the creation of the euro reduces the share of "imports" for EU countries insofar as the trade between EU member states of the Euro zone is no longer paid in foreign currencies. In this situation, the currencies of the non participating EU countries could become more volatile, affected by both the dollar and the euro. However, the ultimate effect will largely depend on the specific currency in which the underlying market operates. Intra-EU trade: one of the principal motivations of the EMU is to facilitate intra-EU trade. The euro makes it possible to improve price transparency and stability within the single market, to eliminate significant transaction costs and to generate economies of scale. Different national currencies make it more difficult for consumers to compare prices across national boundaries and make it easier for suppliers to practice price discrimination by charging different prices to customers in different EU member states. Moreover, bank charges for currency conversions, which represent an additional overhead for intra-EU trade, will be eliminated. Notwithstanding, the one-off costs of changes to administration and hardware and software systems necessary with the switch to the euro, greater competition in the services, in particular in banking and insurance, will allow reductions of charges and costs. The relative competitive position of the upstream and downstream agro-food sectors is likely to change. With more transparent prices and no exchange rate risk, cross-border competition is expected to intensify. The increased competition that the euro will unleash may accelerate the process of rationalisation and concentration in the food processing and retail sectors. Further, distribution and purchasing arrangements in the food sector may become simpler and cheaper inside the Euro zone due to the elimination of exchange rate risk. The euro will have differential impacts on the upstream agro-food sector, depending on the degree of tradeability of the goods in question. For those agricultural inputs which are already extensively traded within the EU such as fertilisers, it is expected that the single currency will provide opportunities for farmers to search for the cheapest sources over a wider economic area. For those inputs such as veterinary and chemical products which are tradeable within the EU but for which barriers to trade prevail, often attributable to national legislation on licensing or differences in tax regimes, completion of the single market in these inputs may also require significant regulatory harmonisation. Different legal and fiscal systems can also thwart trade in property rights to land. However, the creation of a single currency may in itself give impetus to this development by highlighting price differences. Concerning labour, it is unlikely that agricultural workers will move in significant numbers across the EU. The expectation is that agricultural labour will continue to move out of the sector into other economic activities. The single currency may induce geographical shifts in agro-food production. In general, the incidence of country or region-specific economic disturbances is lower the more the regions are integrated with each other and diversified within themselves. 34 Some economists, however, have argued that closer economic integration could result in greater regional specialisation and thus greater vulnerability in regions of the monetary area to asymmetric shocks. 35 It is argued that regional specialisation has been limited by national obstacles to trade and high transportation costs. As the single market makes prices more transparent, the incentive to reap scale economies and agglomeration benefits may rise and production could thus be concentrated in the regions closest to largest markets. Extra-EU trade: The creation of a single currency will also have implications for extra-EU trade. The main transmission mechanism of international trade of the euro to non-EU countries include the impact of higher growth in the Euro area, the spillover effects from the higher synchronisation of economic cycles in the EU and the use of the euro in trade invoicing. Economic growth in the EU could follow from the completion of the EMU, thereby stimulating international trade. However, this trade creation effect may be offset to a certain extent by a trade diversion effect resulting from the increased competitiveness of the Euro area countries. Furthermore, economic growth in the Euro area will increasingly affect other regions in the world due to spillover effects from higher synchronisation of business cycles within the Euro area. As a result of the higher trade interdependencies, increasing financial market integration and increasing policy convergence of economic policies within the EU, business cycles have tended to become more synchronised within the EU. In such a case cyclical fluctuations within the Euro area will increasingly affect non-EU countries. The impact of euro on non-EU countries will depend crucially on the share of these countries' trade with the countries of the Euro area in their total external trade, and on the trade elasticity of the countries' economic growth. The potential use of the euro as a vehicle currency may induce that certain countries, particularly those which trade with the EU is important, like Eastern Europe, the Mediterranean basin and countries in Africa, could choose to limit the fluctuations of their rates of exchange by using the euro as an exchange rate anchor. Moreover, they could choose commercial contracts made out in euros, including for agricultural produce. However, it can be expected that international trade implications of the euro will be felt gradually over time. The long-term trend of the euro depends on both domestic and international development and economic policies. While the current macroeconomic conditions are fairly favourable, there is a potential risk either of exchange rate instability between the euro and other major currencies (US dollar, yen), or of a deviations of the level of the value of the euro away from what is considered appropriate. A tight monetary policy stance, for example, would result in higher interest rates than would otherwise be justified. This would result in an inflow of capital and associated pressure on the exchange rate. This could hamper EU's export competitiveness, including agricultural trade. NOTES 1. A detailed analysis of agricultural markets and related policy issues is presented in OECD, The OECD Agricultural Outlook 1999-2004, Paris, 1999. 2. OECD, National Policies and Agricultural Trade, Paris, 1987. 3. OECD, Agricultural Policies in OECD Countries, 1998; and OECD, Modelling the Effects of Agricultural Policies, OECD Economic Studies, Special Issue, No.13/Winter 1989-1990. 4. Corden, W.M., The Theory of Protection. Oxford University Press, 1971; FAO, Agricultural Protection: Domestic Policy and International Trade. 1973; and FAO, Agricultural Protection and Stabilisation Policies: A Framework of Measurement in the Context of Agricultural Adjustment, 1975. 5. All these indicators by country now cover all agricultural production, while formerly the PSE (including General Services) only covered a share of total production (corresponding to a set of common commodities indicated in Graphs I.10 and I.11) ranging from 50 per cent in Turkey to 86 per cent in Switzerland in 1998. Currently the MPS calculated for the common set of commodities is increased to all production according to the share of the common set of commodities in the total value of agricultural production, regardless of the differences of the level of market price support between the common set of commodities and other commodities. The average MPS for all commodities is thus considered as being equal to the average MPS calculated for the common set of commodities. This was the method formerly used to calculate the former "Total Transfers". 6. The value of the Producer Support Estimate (PSE) has been estimated to cover all production (and not only the common set of commodities), but excludes some measures formerly in the General Services category in the formerly titled Producer Subsidy Equivalent and now included in the GSSE (for example, research and development, marketing and promotion). The denominator of the percentage PSE includes all payments to producers. The value of the CSE covers all consumption of domestically produced commodities, but does not include the amount of the intra-sectoral transfers associated with market price support on the quantities of domestic crop production used as feed. The denominator of the percentage CSE includes the amount of budgetary transfers to consumers. The GSSE corresponds to the former General Services in the former PSE, minus the payments associated with on-farm services (for example, extension services) now included in the PSE, plus the payments formerly included only under Total Transfers (see Part II.2). 7. Changes in the percentage TSE reflect trends in the level of support to agriculture as well as in the performance of the growth of the general economy, as measured by the GDP. 8. Gross farm receipts are measured by the value of total production at domestic producer prices (cash receipts), adjusted to include budgetary transfers to producers. 9. In 1998, the rate of inflation is estimated at 8 percent in Czech Republic, 12 per cent in Poland, 15 per cent in Hungary and Mexico, and 84 per cent in Turkey (OECD Economic Outlook, December 1998). While the evolution of support over time in nominal terms needs to be interpreted with caution, due to the effects of inflation, the evolution in percentage terms nets out the inflation effects. 10. Although some of the PSE transfers are specific to a commodity or a specific group of commodities, other are not, but influence overall farming receipts and are related to all commodities, and have been allocated among commodities. This allocation is made in a case by case basis according to the specific implementation criteria of the policy measure in question (Part I.2). 11. See footnote 5. "Other commodities" are all commodities produced in OECD countries but not in the common set of commodities. 12. More in-depth evaluations of past policy developments are available in the background document for the 5-6 March, 1998 meeting of the Committee of Agriculture at Ministerial level, Agricultural Policy Reform: Stocktaking of Achievements, Paris, 1998 and the OECD publication, Agricultural Policies in OECD Countries: Monitoring and Evaluation 1998, Paris, 1998. 13. The impact of the Uruguay Round Agreement of Agriculture on agriculture in OECD countries is examined in (OECD), The Uruguay Round: A preliminary Evaluation of the Impacts of the Agreement on Agriculture in the OECD Countries, Paris, 1995. 14. For more in-depth discussion, see Tim Josling, The Uruguay Round Agreement on Agriculture: A Forward Looking Assessment; a consultant's report presented to the OECD Workshop on Emerging Trade Issues in Agriculture, 26-27 October 1998, Paris (workshop papers are available at www.oecd.org/agr/trade). 15. The impact of the URAA on trade in processed food products is examined in (OECD), The Uruguay Round Agreement on Agriculture and Processed Agricultural Products, Paris, 1997. 16. The issue of regional integration and the international trading system is examined in (OECD), Regional Integration and the Multilateral Trading System: Synergy and Diversion, Paris, 1995. 17. The characteristics of direct payments in agriculture, analysed on the basis of the 1987 OECD Ministerial principles, have been examined in (OECD), Agricultural Policy Reform: New Approaches – The Role of Direct Income Payments, Paris, 1994. 18. There can also be significant administrative costs associated with market price support and related supply controls. Administration costs are not included in the OECD Producer Support Estimate (PSE) which measures the monetary value of transfers to agricultural producers. Nor are they included under the General Services Support Estimate, which does, however, include the administrative costs associated with research, education, inspection and other general services provided to agriculture. 19. For a discussion of agriculture and water issues, see (OECD), Sustainable Management of Water in Agriculture: Issues and Policies – The Athens Workshop, Paris, 1998. 20. Recent OECD studies concerning agriculture and the environment include: Environmental Indicators for Agriculture, Paris, 1997; The Environmental Effects of Land Diversion Schemes, Paris, 1997; Environmental Benefits of Agriculture: Issues and Policies – The Helsinki Seminar, Paris, 1997; Agriculture, Pesticides and the Environment: Policy Options, Paris, 1997; The Environmental Effects of Reforming Agricultural Policies, Paris, 1998; Co-operative Approaches to Sustainable Agriculture, Paris, 1998; Agriculture and the Environment: Issues and Policies, Paris, 1998. 21. The polluter-pays-principle (PPP), as endorsed by OECD Member countries in 1974, states that the polluter should bear the cost of meeting the level of environmental protection decided upon by government. Consistency with the PPP implies that direct payments to farmers should not normally be used to compensate farmers for the cost of reducing pollution to permitted levels. 22. The relationship between agricultural policy and rural development is examined in (OECD), Agricultural Policy Reform and the Rural Economy in OECD Countries, Paris, 1998. 23. Regulatory reform in the economy, including the agro-food sector, is examined in (OECD), The OECD Report on Regulatory Reform, Paris, 1997. 24. A detailed analysis of agricultural markets and related policy issues is presented in (OECD), The OECD Agricultural Outlook 1999-2004, Paris,1999. 25. As reported in, The Organic Food and Farming Report, Soil Association, Bristol, 1998. 26. For a detailed assessment of Korean agriculture and related policy reforms, see (OECD), Review of Agricultural Policies in Korea, Paris, 1999. 27. For a discussion of the SPS Agreement as a catalyst for regulatory reform, see Donna Roberts, "Preliminary Assessment of the Effects of the WTO Agreement on Sanitary and Phytosanitary Trade Regulations" in Journal of International Economic Law, Oxford University Press, December, 1998. 28. The agricultural nitrogen soil surface balance indicator involves calculating the difference between all nitrogen inputs (mainly chemical fertilisers, livestock manure, nitrogen in rainfall and legume crops) and nitrogen uptake by agricultural crops (largely annual arable crops, such as cereals, and pasture used for livestock grazing). In all OECD countries this calculation shows a national nitrogen surplus (inputs of nitrogen are greater than uptake), but a nitrogen surplus only reveals the "potential" nitrogen loading on the environment (i.e. in the air, soil, water), as the "actual" loading or pollution will depend on a number of factors, such as local soil and climatic conditions, how and when livestock manure is spread on the soil. 29. OECD (1998), The Environmental Effects of Reforming Agricultural Policies, Paris. 30. OECD (1998), Sustainable Management of Water in Agriculture: Issues and Policies, Paris. 31. OECD (1999), The Agricultural Outlook 1999-2004, Paris. 32. OECD (1998), Work on Sustainable Development, OECD website: htttp://www.oecd.org. 33. OECD (Forthcoming 1999), The Economic Consequences of the Implementation of the Euro for the Agro-Food Sector, Paris. 34. There is a growing literature on the macroeconomic effects of EMU. For a comprehensive discussion of the issues involved, see (OECD), EMU: Effects, Challenges and Policies, Paris, 1999. 35. Krugman, P. (1991), Geography and Trade, MIT Press.
Here is a collection of items that Lori has posted on facebook . . . . January 4 Hi, everything is ﬁ ne. We get only skpye on our computer, we are still at the hotel and have found nice take home lunches for about $1.50 each! Looks like the barge will come Saturday. Every day we go to the house and work some more. Its half painted, the electricity is close to being installed and more than half has been cleaned. New Years was a blessing. Wilson preached Sunday night at church since the woman who was going to preach was sick. Then on New Year´s we went to a larger meeting place where all the church congregations gathered together from 9-midnight. Each pastor of each congregation gave a special verse and introduced their choreography group for a special time of praise and adoration and then Wilson gave the message before midnight. We were invited to a couple´s house after church along with around 30 others. The weather has been rainy mostly at night and sunny during the day. We have not been able to see any e-mail yet... the internet of the hotel is pretty slow. I can only get facebook on the hotel computer and sometimes we can send messages through skpye. I can't wait till we get our own at the house. I´m sure it will be better than this. The other day I was going up the stairs to our room and a big rat was on his way down! We have gone back and forth from the house to the hotel on the back of a motorcycle dozens of times. Getting to be an ole pro already. We have met some of the teachers at the university, a nurse here in town and a few others that we may be able to partner with to serve and minister to the people in this area. Thank you so much for your prayers. Even though we have been working very hard, been some in the rain, eating food here and there where we can ﬁ nd it... God has given us strength and good health! There will be no ofﬁ cial update this month until we can get better internet and e-mail. God Bless and a belated Happy New Year to you. January 10 We are at the house now still working with the electricity and none of the rooms have been painted yet. We are sleeping on a mattress on the ﬂ oor and eating out back. We hope to put beds in the house next week or maybe this weekend. We went to Tuesday night church and tonight we are going to the mayor´s house for her birthday which was a very unexpected surprise. During this month the Indians are having Bible training, and we are going to try and meet them next week at their seminary (6 ethnic groups present). We hope soon to give them classes too. January 12 Hi everyone! I am once again at a place to do internet. Its super rainy here but nice and last night we were cold. We dont know many people but the other night we went to the new mayor's house to celebrate her birthday! She was instrumental in helping get out container off the barge. We are almost ready to ﬁ nish painting the house. The electricity should be done by today, not quite sure when the water inside the house will be turned on. Still sleeping on the ﬂ oor and eating simple take home meals, bread and granola, of course. Its been so hard not to be able to communicate. We cannot make calls as yet outside of Brazil but you can call us if need be. Our email must be so stopped up not sure if we will ever be able to download all the messages some day. God is good. It was awesome to talk to Jessica a couple of times and keep praying that soon we will have internet at home. It's very slow, but we will go with the ﬂ ow. God has allowed us to meet several people in town and church and next week we will be doing a ﬂ ight with the Indain leader to go to an Indian church for a special celebration after their month of seminary training with over 150 indians of 6 ethnic groups. Thank you all for your prayers. We love you and would love to get a message via facebook. Have had contact with only 5 people so far. A big thanks to John and Janet Certalic for making our Christmas so special by giving us a call. We keep you all in our prayers. Just know we are in great health, anticipating being able to actually move into the house and start getting settled soon. January 15 Today is HOT and with no fan yet at the house and no air, its actually nice to be at an internet house. We are starting to clean cupboards and move a few things into the house. Today all the electricity should be done. YEAH! Had a great time at church yesterday. God is good all the time but we are so thankful to Him for the cooler rainy weather we have had up till now to work hard on the house and not feel like we are in a sauna! The new pastor here will be coming the 9th of Feb. when we will have a welcome service. We may be housing them or church leaders in our home. Keep praying for strength. Today mine is already all used up! God Bless and hugs for all. January 17 Hi everyone. Today its so hot. That's a good thing. We were able to clean up the furniture, wash the couch after it fell in the mud on moving day, dry it out and start setting up house! What a tremendous relief. We are still waiting for our bedroom window to get ﬁ xed (wood) but have a screen and its like sleeping in a cabin. we wake up to a symphony of birds and are encouraged that the end is in sight. The house is being painted on the outside today (it had a paint that washed off as soon as you passed a rag over it and got dirty very easy). So even that is drying in record time. Sunday we will ﬂ y to the Indian village where Wilson will give a message at the end of their month of seminary training. We are doing great although when its time to go to bed we fall asleep immediately. We havent had internet at home or TV for a month now and wont be having a home phone just cell phones. Still unable to cook but although our meals are simple they are good and adequate. Sending love and hugs to you all and now I can look on facebook and see the messages you left us and pictures you have sent... whooohooo. January 25 We actually have internet at our home now. Wilson said it is very slow. I may have to send letters and pictures during the night or early morning before anyone else wakes up... that is if they don't turn off the internet signal during the night! The house still feels like a hurricane went through it with suitcases and boxes strewn about, workers painting, installing internet, working on electricity, laying bricks and Wilson spraying bug poison in all the rooms where I am not (I've been sick). Some things needed to be ﬁ xed, and I guess better now than later. It's exciting every little thing that gets done like installing a bathroom mirror or a towel rack or shower curtain, glass window/ bricks in the front of the house so we can actually see inside the house at night when the lights are off. Amazing what a blessing these little things can be! We have been sleeping just with a screen in our window. The people who lived here before must have had their bed against the window. The bed was probably higher than the window and they wanted the window open at night so to solve their problem they sliced off the lower part of the window right above their bed so it would open! None of the lights were in the middle of the rooms (extremely off center) so Wilson had to drill holes in each room, move the lights and cover up all the holes left behind! We are supposed to house a pastor and church leadership around the 7th or so and not sure how that will go but still working on it. Got out two new comforters for the guest beds since the other ones were done in and left behind. Found out they are too huge for our little Brazilian beds and since I have no energy anyway, spent the morning taking them apart, cutting one side and the corners and the ends so they don't hang all over the ﬂ oor and Wilson helped me take them to a sewing lady to sew the border back on and ﬁ nish them off. (My sewing machine bit the dust for good too and we left that behind.) We are still looking for cushion covers for our couch and a ton of other items. They are here somewhere! What ever you do... think twice about moving! At least we have awesome Christian music on Wilson's phone to uplift and encourage us. No TV as yet so no news of how the world goes round. Some days it's cold and clammy and very rainy like yesterday. Today is hot, bright blue skies and so bright it's almost blinding... good to put the mattresses and pillows all outside today since they got sort of moldy smelly after being on the barge a month and another month here in the back of the house. Yes, we have been busy with a lot of ﬁ xing and cleaning but have also been very involved at church on Sundays and Tuesdays and had an amazing time at "Sabonete", an Indian village a 7 minute ﬂ ight away. Sabonete means soap in Portuguese and I guess that means an internal cleansing of the Holy Spirit for them since this is the Indian Conference center. We ﬂ ew the Indian Christian Leader and an older Indian couple in for their Sunday service and training. There are 150 Christian Indian young people gathered there for their yearly one month of intensive seminary training and discipleship. They study in modules and some are already in their third module. Some of them talked with us, some cried of homesickness and others showed their fear and concerns about returning to their respective tribes to be witnesses and testimonies of a living God and wondering how they will answer to their families, the tribal witch doctor and those who accuse them of following the white person's God. Wilson had the joy (as well as shedding tears of awe) to minister to them that morning and taught and preached on how they can know that this God they are following is the right God. We had a lunch with them and headed for home. Wilson has also met with other Christian missionaries and businessmen along with the Indian Christian Leader Atos to discuss needs and strategies for reaching the Javarí River Valley and its tribes and river villages for Christ... to ﬁ nd out ways in which we can help the best. It was a complete surprise to head for Tabatinga (half hour by speed boat) with Wilson for our 29th anniversary. We had a list of things we really needed and that doesn't exist in Benjamin Constant like certain kinds of outlets, material for recovering chairs (the seat of our dining room chairs were done in after this move but needed redoing anyway), shower extension bars, etc. You name it, we looked for it and carried it walking in the rain with umbrellas and loving the fresh air and different kind of day. We stayed over night, went out for dinner and enjoyed the sights and sounds of someplace different. I got a stomach virus of some sort before we left and have been sick ever since but even so we thoroughly enjoyed our time away and out and about. I lost a little more weight than I cared to and am pretty weak, but looks like today I am on the mend. Still not cooking yet since the little kitchen out back is covered in gunk and workers coming and going but God is providing and our meals have been good and cheap and last night Wilson even found some delicious chicken vegetable soup to bring home after the meeting he had. We have so appreciated your prayers for strength, good health and wisdom. I usually don't have much resistance but even though I was pretty sick, I only felt mildly uncomfortable and just closed myself in a room and slept for hours. God knows I needed that. Wilson could use more of that for sure! Smile emoticon God is good... ALL the time and we are thrilled to now have internet so we can share once again with you all that He is doing here and how He is caring for us and showing us how we can serve. Wilson Phone: 011-55-92-3236-2100 Email: email@example.com or firstname.lastname@example.org Birthday: 08/10/55 Lori Phone: 011-55-92-3236-2100 Email: email@example.com Birthday: 03/25/58 Wilson and Lori Kannenberg Caixa Postal 41 Benjamin Constant AM 69.630 MONTHLY SUPPORT GIFTS may be sent in our name to: Mission Aviation Fellowship P.O. Box 47 Nampa, ID 83653 For more information to learn how you can support Lori and Wilson Kannenberg or if you need any information call: 1-800-359-7623 (donor department at MAF) Any personal gifts can be sent in our name to Les Bluhm, W197 S7544 Ridge Rd., Muskego, WI 53150-9231. He will deposit them into our personal account. We will not be able to send tax deductible receipts for personal money gifts.
Terms and Conditions Company information Tavu Cloud / Multim Oy Business ID: 2119522-2 Isolinnankatu 24 28100 Pori Finland www.tavu.io 1. Scope and validity of the terms and conditions These terms and conditions shall be applied to all products, services, and solutions (hereafter Service) supplied by Multim Oy (hereafter Service Provider) to a customer under different product names (e.g. Tavu Cloud) and that belong to Tavu family of products and services. These terms shall come into effect on May 1, 2017 and shall remain effective indefinitely, replacing all previous terms and conditions related to the Services mentioned above. A currently valid version of the terms and conditions shall be available to be read on the Service Provider's web site. The Service Provider may also provide the terms and conditions to the customer using other means, for example, by email. 2. Taking effect and transferring the contract The contract shall come to effect when the customer signs up to the service. The sign-up process is executed by the customer. The Service Provider may at any time block the customer from using the Service if there exists any vagueness or any other form of obscurity with the information provided by the customer or with the actions conducted by the customer. Signing up to the Service does not require any orders. Instead it is possible to get to know the Service without any payments, although considering any restrictions in the Service. After the possible demo period the customer will be automatically billed according the current price list. The customer does not have the right to transfer the contract to a third party without prior written consent from the Service Provider. Terms and conditions concerning the termination of Service and rescinding the contract can be found in paragraph 3. The Service Provider has the right to transfer the contract and/or Service to a third party and change the contents of the contract and/or Service without the customer's approval. In this case, the Customer has the right to terminate the service, effective immediately, within 2 weeks following a notification of such changes by the Service Provider if the service is changed significantly. 3. Length of the contract period and rescinding the contract All contracts are valid indefinitely. The contract may be terminated at any time by terminating all the resources the Customer has reserved in the Service. By default, there is no separate termination period but instead the contract is always valid for at least an hour. In case the product or service description mentions a separate minimum contract period this condition does not apply. The contract is in effect and billing continues normally as long as any resources reserved by the Customer have been terminated and possible outstanding balance has been paid. The Service Provider retains the right to terminate the Service and/or suspend delivery without a termination period if the Customer breaches the provisions of the contract or producing the Service cannot be continued due to an external factor (e.g. regulatory provisions or some other force majeure situation). In this case, the Service Provider may refrain from reimbursing fees collected from the Customer, for example, service charges for unused time. If the Service Provider suspends the delivery of Service due to reasons attributable to the Customer, the Service Provider shall have the right to charge the customer a reopening fee for the Service in accordance with the currently valid price list at the time. The Service Provider shall also have the right to suspend the delivery of all the services connected to the Customer's customer ID in a situation where suspending the Services is required due to reasons attributable to the customer. The Service Provider shall have the right to terminate the service immediately when the Customer's outstanding payments have fallen due. The Service Provider retains the right to destroy Customer's data 7 days after the service has been closed if the Service has been closed by the Service Provider e.g. due to unpaid invoices. The information can not necessarily be recovered. If the Customer destroys the data, it will be automatically deleted after a time period defined by Service Provider's systems. 4. Delivery of Service The Service Provider shall supply the Service after the order has been paid, unless otherwise agreed. The delivery of some service-related components (e.g. domain name registration or transfer) may be delayed for reasons outside the Service Provider's control. The Service Provider shall endeavor to notify the customer of any delays where possible. The customer specifically accepts that the delivery of Service shall begin immediately after the order has been paid for and the customer shall have no right of cancellation otherwise belonging to consumers based on the Consumer Protection Act (38/1978) Chapter 6 section 14, even if the Consumer Protection Act was otherwise applicable to the delivery of Service. 5. Content and production of the Service The Service Provider may produce the Service under the contract as they see fit. The Service Provider retains the right to change the content of the Service providing prior notice thereof. Changes made as per customer's request shall be charged in accordance with the currently valid price list at the time. The Service Provider shall have the right to the change the content of the Service, also without prior notice, when necessary for, for example, data security or other reasons. In this case, the Service Provider shall endeavor to give notice of the change as soon as possible afterwards. The content of Service shall be determined according to the service description and any potential appendices included with it. The Service Provider shall not be responsible for any issues or data loss caused by running out of disk space. The Service Provider is not responsible for any materials the customer has access to through the Service. The customer is responsible for maintaining data security and, for example, keeping their software up to date. For example, for problems caused by neglecting data security or using old software versions, the customer is solely responsible for all investigation, correction, and other expenses and reimbursements to the Service Provider and any potential third parties. The Service Provider is not responsible for any files, information, software, licenses or other things added to the service by the Customer. If the customer has, for example, used a license of a commercial software incorrectly, the sole responsibility lies with the Customer and not the Service Provider. By default, the Service Provider does not have access to the Customer's service, unless otherwise agreed or when the service in question is a maintained service, such as the web hotel service. In the interest of clarity, the customer recognizes that, also in maintenance cases, sole responsibility for, for example, breaches lie with the Customer. The customer shall be wholly responsible for any materials delivered through the Service and their site to other users, on the Service Provider's or third parties' servers. Any potential malware and investigation related to them is also the customer's responsibility. The customer is responsible for the material not producing interference with network traffic or infringing on third parties' copyrights, breaking any laws or regulatory provisions or transgress good taste or public decency. The Service Provider retains the right to remove all materials which are in breach of the terms and conditions of the contract. The customer stores all materials in to the Service at their own risk. The customer must reimburse the Service Provider or third parties for any investigation, correction, and/or other expenses due to any potential negligence. The customer relieves the Service Provider and its employees of responsibility for any potential consequences caused by the customer's actions and operation. The customer is obligated to consider the Service Provider and its employees faultless for any consequences potentially caused by the customer's actions and activities and to reimburse any damages and expenses (including any potential liability to third parties) caused to the Service Provider or its employees by the customer's action or negligence. The customer is responsible for their activities in the network abiding by laws and public decency. The illegal use or attempt thereof of the Service Provider's or third parties' servers and services is prohibited. Searching for security flaws and exploiting them by the customer is strictly prohibited and shall lead to the immediate termination of the contract and potentially collecting reimbursements from the customer. The customer is not allowed to use the Service for direct marketing by email in a way that transgresses good taste and public decency. The customer is responsible for keeping up-to-date back-up copies of any materials stored in the Service. The Service Provider does not guarantee the safekeeping of information in the Service. The Service Provider is also not liable for failures related to back-up copies. If the customer's amount of internet traffic or use of server resources substantially deviates from the norm or the service description specifications, the Service Provider has the right to revise the pricing of the Service to correspond to use. This is always agreed case-specifically with the customer. The Service Provider retains the right to prioritize traffic or server resources in these cases. The Service Provider retains the right to prevent activities in breach of the contract by technical means without prior notice. In these cases, the Service Provider does undertake to notify the customer of the prevention as soon as possible afterwards. The customer may not hand over their user IDs to a third party without a written, case-specific consent from the Service Provider. The customer is responsible for all actions performed using their IDs as if they were their own and is liable to reimburse any expenses caused by misuse of the IDs, such as investigation and correction expenses. The customer is obligated to read any notifications and announcements concerning the Service and any potential changes to it provided by the Service Provider and act accordingly. Notifications and announcements may be released on the Service Provider's web site or delivered to the customer by other means, for example, using email. 6. Service errors and their detection, error correction and potential reimbursements The Service is considered to be erroneous if it substantially deviates from the features specified in the service description and the deviation substantially impedes the use of the Service. The customer is obligated to report any errors immediately after noticing them and to give notice of the defects in writing within seven (7) days from when the error was noticed. Otherwise, the customer shall forfeit their right to enforce their claim of an error. The Service Provider monitors the functionality of the Services and any potential errors shall be fixed as soon as possible, observing, however, the special conditions potentially specified in the service description or other factors affecting the correction. Urgent repairs outside office hours shall always be agreed separately on case-by-case basis. The Service Provider may also refrain from correcting an error if the correction is considered to incur unreasonable expenses or damages. The Service Provider retains the right to suspend production of Service temporarily if this is necessary for repairs, maintenance or other work. A data security threat against the Service Provider or the Customer also justifies the temporary suspension of Service production. The Service Provider shall endeavor to minimize the duration of the outage and notify the customer in advance when possible. The Service Provider retains the right to refrain from correcting an error which has been caused by the customer's actions, for example, misuse or wrongful use of the Service. The Service Provider is not responsible for problems or other errors occurring in third parties' networks, even if they impede the use of the Service. The Service Provider is not responsible for consultant errors or problems or other errors occurring in third parties' software. The Service Provider is not responsible for outages or errors which are caused by events of force majeure, denial of service attacks or other third party actions. The Service Provider is not responsible for any damage caused by closing the Customer's services if Customer's credit card cannot be charged or if the Customer does not increase the credit balance on time. Reimbursements by the Service Provider have been explained in greater detail in chapter 11 SLA. The Service Provider is not responsible for any indirect damages. This contract exhaustively regulates the Service Provider's liability for damages and errors and liability due to other contractual breaches. 7. User IDs and passwords The Service Provider retains the right to change the user IDs or passwords when necessary, notifying the customer of this. The customer is responsible for preventing third parties getting access to the password and user ID without a case-specific written consent from the Service Provider. The customer recognizes that they may be liable for damages and potentially be guilty of a crime if the user IDs have been handed over or leaked, for example, through malware to criminals. The customer is responsible for maintaining adequate data security and notify the Service Provider of any issues without delay. 8. Customer information It is the customer's obligation to provide correct information to the Service Provider during the sign-up process. The Service Provider retains the right to refrain from delivering the Service if the information is incorrect or incomplete. The customer must notify of any potential changes to the user information as soon as possible. Notification of changes must be performed using the route indicated by the Service Provider (for example, using the control panel). The Customer accepts the Service Provider is allowed to handle any information provided in order to produce the Service. 9. Billing The customer pays the Service Provider for the Service in accordance with the billing period agreed during the ordering process. By default, invoices are sent by email to the email address specified by the customer, unless otherwise agreed. The customer is responsible for payment of the invoices by their due date. The customer is responsible for the validity of customer and billing information and potential invoicing problems caused by incorrect information. The Service Provider constantly gathers usage information related to the Service and reduced the Customer's balance accordingly. The Service Provider charges the Customer's credit card automatically after a time period defined by the Service Provider or when the Customer has reached a credit limit. Alternatively, the Customer may preorder credits to the Service. Billing is based on hourly prices that are valid at the time the Service is being used. If the Service Provider is unable to charge the Customer for the service, the Service Provider retains the right to automatically terminate the Service. Any material stored in the Service shall be destroyed automatically after a time period defined by the Service provider and they cannot be recovered. 10. Suspension of Service The usage of the Service can be terminated by freeing all the reserved resources. The Customer will be billed for the Service as long as all the resources have been destroyed. Only closing the Service does not stop billing from taking place. The last invoice for the Service shall be sent at the latest 60 days after the resources have been deleted. Closing the account from the Service destroys all the resources and conducts the final billing immediately. By default, there are no termination periods unless otherwise mentioned but instead the Service can be terminated at any time. Billing is only conducted based on the real resource usage. 11. SLA The Service Provider guarantees 99 % availability for the Service concerning the servers and networking. If the guaranteed availability level cannot be delivered, the Customer is entitled to a reimbursement worth a maximum of 50 % of the payments related to the specific service during the month of the issue. The Customer shall apply for the reimbursement within 7 days after the month of the availability issue has ended. The availability of the Service is calculated monthly for one minute intervals. Any maintenance breaks or other activities independent of the Service provider are not considered to count as unavailability time and hence they do not reduce the availability percentage. Any reimbursements are paid by increasing Customer's account balance in the Service and they are not paid e.g. in cash or to Customer's bank account. If there did not exists a notification for the service break, the Customer shall notify the Service provider about the unavailability period in order to get a possible reimbursement. Reimbursement are not paid if at least one of the following conditions are met: * Maintenance breaks * Force majeure situations * Problems related to Customer's own server, network configuration, software or others * Problems with third party systems * Outages caused by third parties, e.g. denial of service attacks * Customer's using the Service with free balance * Customer has breached the terms and conditions of the Service * The problem lies within services of software not subject to SLA * Outages caused by failed payments, unpaid invoices or other problems charging the Customer * Other outages caused by the Customer 12. Other terms and conditions The contract is drawn between the Service Provider and the customer. The customer undertakes to maintain secrecy concerning all information related to the contract, the Service, and/or pricing thereof. The customer is responsible for their employees, subcontractors or other parties covered by the Service adhering to these terms and conditions. The Service Provider shall have the right to refrain from handing over the customer's possible domain names before all outstanding payments have been made by the customer. This contract is subject to Finnish law. Any disputes shall primarily be resolved by negotiation. If a resolution cannot be reached, the place of jurisdiction shall be the District Court of Satakunta. If translated versions of these terms and conditions are found to be in conflict, the Finnish version takes precedence over the others.
DESERT TORTOISE COUNCIL 4654 East Avenue S #257B Palmdale, California 93552 www.deserttortoise.org firstname.lastname@example.org 20 July 2017 Via email only Ms. Linda Mawby, Senior Planner County of San Bernardino, Land Use Services Department, Planning Division 385 North Arrowhead Ave. First Floor San Bernardino, CA 92415 email@example.com RE: San Bernardino County General Plan Renewable Energy and Conservation Element Dear Ms. Mawby, The Desert Tortoise Council (Council) is a non-profit organization comprised of hundreds of professionals and laypersons who share a common concern for wild desert tortoises and a commitment to advancing the public's understanding of this species. Established in 1975 to promote conservation of tortoises in the deserts of the southwestern United States and Mexico, the Council regularly provides information to individuals, organizations and regulatory agencies on matters potentially affecting the desert tortoise within its geographic range. The Council appreciates this opportunity to comment on the April 2017 Draft Plan. The comments we submitted on 1 November 2016 are still pertinent and have been provided again as an attachment to this new comment letter. The intent of the current comment letter is to provide new, additional information relative to our comments last November. In that letter, we documented that the 40 square-mile± area located north of Kramer Junction, comprised of both private and public lands regulated by San Bernardino County and managed by the Bureau of Land Management (BLM), respectively, fail to satisfy nine of the 11 criteria identified in the Desert Renewable Energy Conservation Plan (GRECP) for Development Focus Areas (DFAs) and in the Draft Plan on page 36. The only criterion that is fully met is that the area, often referred to as "North Edwards," "North of Kramer," and herein "Bowling Alley," is located near existing transmission facilities. A team of 22 biologists led by Council Board member, Ed LaRue, trapped 11 Mohave ground squirrel (MGS) grids in the Bowling Alley between March 8 and June 22, 2016. During that 55day volunteer trapping effort, the biologists live-trapped and released 13 MGS, including four adults and nine juveniles, on six of the 11 grids trapped. Evidence of desert tortoise was found on 7 of 11 grids, and 9 other special status plant, bird, and mammal species were identified. A copy of the technical report (LaRue 2016) is attached for your consideration. The results of this trapping effort were presented to the California Department of Fish and Wildlife (CDFW) and BLM at the Mohave Ground Squirrel Technical Advisory Group (MGS TAG) meeting on 26 October 2016. During that meeting, MGS TAG Chairperson, Dr. Scott Osborn, who is the Statewide Coordinator for Small Mammal Conservation with CDFW indicated that "…the 2016 results support a determination that this [Bowling Alley] should be considered more as a Key Population Area than a linkage area" (taken from the minutes of the MGS TAG meeting on 10/26/2016; available upon request). Dr. Osborn indicated that the Bowling Alley will be identified as a Key Population Center for MGS in its Final Conservation Strategy for the Mohave Ground Squirrel, which is expected to be released later in 2017. Amy Fesnock, representing the BLM at the MGS TAG, acknowledged that BLM is looking for recommendations given in the CDFW's MGS conservation strategy to determine the final DRECP-designation of the region encompassing the Bowling Alley, which we interpret to mean that the region will not be designated as a DRECP-DFA. Based on the results of the LaRue (2016) study and other information given above, we consider the BLM's intent to exclude this area from focused energy development to be a new incentive for the county to follow suit and exclude private lands within the Bowling Alley from further consideration as a focused development area. We believe that this recommendation is supported by the Draft Plan, as follows. On page 4 of the Draft Plan, we note that one of the CORE (community-oriented renewable energy) values of the Countywide Vision is the "Conservation of Natural and Cultural Resources: Stewardship that conserves and responsibly uses environmental, scenic, recreational, and cultural assets, ensures healthy habitats for sensitive plants and wildlife, enhances air quality and makes the county a great place for residents and visitors alike [emphasis added]." Protection of the threatened resources that occur in the Bowling Alley, particularly the desert tortoise and MGS, will promote the Countywide Vision. One of the Guiding Principles of the Draft Plan (page 6) is to locate renewable energy development in previously disturbed areas (reiterated in Point 1 on page 10 and Siting Policy 1 on page 34 of the Draft Plan). With the exception of a single, abandoned facility near the center of the Bowling Alley and the Air Force facility to the south, there are no existing residential or commercial developments in the Bowling Alley. With the exception of sheep grazing on two BLM ephemeral allotments, the entire Bowling Alley is relatively undisturbed. On 7 of the 11 grids where human impacts were tallied [see Table 15, page 38 in LaRue (2016)], biologists found 50 off-highway vehicle tracks, 23 roads, 17 mine pits (on southernmost grids), 4 pieces of litter, 1 rifle shell, 1 shooting target, 1 old tire, and 1 paved road. The report concluded, "Excluding sheep grazing, these impact levels are NOT considered to be high or prevalent. Based on 27 years of tallying human disturbances in the Mojave Desert, LaRue concludes that these disturbance levels are much lower than most regions in the West Mojave." Another of the Guiding Principals in the Draft Plan (page 6) is to "Conserve and sustain sensitive natural resources and habitats" (reiterated in Point 3 on page 10 of the Draft Plan). The only two MGS studies conducted in the Bowling Alley detected three MGS at the three camera stations established in 2011 and the 13 animals captured in 2016 [see Figure 18 on page 38 of LaRue (2016)]. The Bowling Alley was identified as part of the Mohave Ground Squirrel Conservation Area in the West Mojave Plan (BLM 2006), and in spite of public disapproval and in the absence of any new data, was withdrawn from the conservation area in the DRECP, pending additional input within five years following DRECP adoption. As tabulated on page 9 and mapped in Figures 4 through 14 of LaRue (2016), nine different special status species and one special status resource (creosote rings larger than 10 feet in diameter) were either observed or detected along the 11 trapping grids between March 9 and June 22, 2016. Some of these species including desert tortoise, burrowing owl, LeConte's thrasher, loggerhead shrike, and American badger are resident animals that could have been observed or detected throughout the survey effort. Other rare species, including desert cymopterus, Swainson's hawk, Vaux's swift, and northern harrier are only detectable at certain times of year. For these species, and especially the birds, they would be expected to occur throughout the Bowling Alley and not just the few sites where they were incidentally observed during their migration or germination periods. One of the Guiding Principals in the Draft Plan (page 6) is to "Prohibit renewable energy production in areas identified as critical habitat or as a wildlife corridor for species of special concern as defined in the Conservation Element, without comprehensive and feasible mitigation or avoidance of potential impacts." As documented in the MGS TAG minutes of October 2016, we note that the Final MGS Conservation Strategy will identify the Bowling Alley as a Key Population Center (the State does not designate critical habitat and MGS is not federally listed), the protection of which is considered essential to persisting MGS populations. We note in Section V, page 35 of the Draft Plan that the County "…encourages utility-oriented RE [Renewable Energy] development on federal land in DRECP Development Focus Areas (DFAs)." As per the DRECP management prescriptions DFA-BIO-IFS-4 and DFA-BIO-IFS-5 in the Final DRECP, San Bernardino County, Kern County, and CDFW were given five years to determine the ecological importance of the Bowling Alley (therein "North of Edwards" Mohave ground squirrel key population center). The focused MGS trapping effort of 2016 was fully intended to provide this new information. Having received the results, CDFW indicated during the MGS TAG that it would formally designate the Bowling Alley as a key population center in the Final MGS Conservation Strategy, which will include the recommendation that the Bowling Alley not be designated as a DRECP DFA. As such, we ask that County Supervisors acknowledge this new biological information and not designate DFAs relative to private lands in the Bowling Alley. In this same section also on page 35, the Draft Plan refers to the Supervisor's 16 February 2016 Resolution, which identifies five County development focus areas, including Site 2, which is the "North Edwards" area herein referred to synonymously as the "Bowling Alley." Given the new scientific data presented herein, we strongly recommend that the Draft Plan clearly specify that the North Edwards area identified in the Supervisor's 2016 Resolution be withdrawn from consideration as it fails to meet the County's CORE standards, Guiding Principles, and Siting Policies described in the Draft Plan. As written, the Draft Plan expresses the County's intent to adopt the Supervisor's 2016 Resolution, which is incorporated by reference, but does not include maps of those areas in the Draft Plan. In the spirit of full transparency (see the last CORE value on page 4), we feel that the Draft Plan must include maps of the regions where it intends to focus renewable energy development, excluding Site 2 for reasons given herein. Failure to include these maps in the Draft, assumes that the readers know how to access the Supervisor's resolution and renders the Draft Plan a somewhat less-informative document. With regards to Policy 5.5, page 37: "Coordinate with the Department of Defense on the siting of RE generation facilities in a manner that will not significantly impact military operations in the unincorporated county," it is particularly important that the County planners communicate with Edwards Air Force Base about development in the Bowling Alley. It is our understanding that lands within the Bowling Alley were identified for retention and consolidation rather than disposal to compliment the flight program at Edwards and that some of the lands may have been acquired under the 1990 Land Tenure Adjustment Project. With regards to 6.1.4, page 39: "Establish procedures and standards in the Development Code for new RE project applications that clearly identify the environmental review process, design standards, and permit requirements," it is particularly important that the County continue to require and enforce requisite studies to ascertain impacts to rare species. There are specific survey protocols for desert tortoise (USFWS 2010), MGS (CDFG 2003 revised 2010), and burrowing owl (CDFW 2012), among others, that must be implemented to ensure that the County is reviewing reports employing the latest standards from qualified consultants for proposed energy projects that may affect these and other rare species. We support alternatives to reduce the need for additional solar energy projects in the Mojave Desert. That alternative is rooftop solar. The City of Los Angeles has implemented a rooftop solar Feed-in Tariff (FiT) program, the largest of its kind in America. The FiT program enables the owners of large buildings (e.g., Wal-Mart Distribution Center) to install solar panels on their roofs, and sell the power they generate back to utilities for distribution into the power grid [https://www.lamayor.org/mayor-garcetti-announces-completion-world%E2%80%99s-mostpowerful-rooftop-solar-project]. This approach puts the generation of electricity where the demand is greatest, in populated areas. It may also reduce transmission costs, the number of affected resources that must be analyzed under CEQA and NEPA, and mitigation costs. The County of San Bernardino should consider adding a program similar to the FiT program to its general plan. Thank you for your time. Please be sure that the Desert Tortoise Council is on your distribution list(s) for this and other projects that may adversely affect or benefit the desert tortoise. Regards, Edward L. LaRue, Jr., M.S. Desert Tortoise Council, Ecosystems Advisory Committee, Chairperson California Department of Fish and Wildlife. 2012. Staff report on burrowing owl mitigation. The 7 March 2012 memo replacing 1995 staff report, State of California Natural resources Agency, Department of Fish and Wildlife. Sacramento, CA. California Department of Fish and Game. 2003 (revised 2010). Mohave ground squirrel survey guidelines. Unpublished guidelines produced by CDFG (currently CDFW = California Department of Fish and Wildlife). Sacramento, CA. U.S. Fish and Wildlife Service. 2010. Preparing for any action that may occur within the range of the Mojave desert tortoise (Gopherus agassizii). USFWS Desert Tortoise Recovery Office. Reno, NV.
Research Report 38 The Voluntary Assisted Return and Reintegration Programme (VARRP) 2005: a process and impact assessment Transparency Research, Olga Evans and Laura Powlton (UK Border Agency) Aims Method The report presents findings of a process and impact assessment of the Voluntary Assisted Return and Reintegration Programme for the 2005 programme year (VARRP 2005), conducted to provide recommendations for programme development and to fulfil European Union funding requirements. Context VARRP 2005 ran from 1 August 2005 to 31 July 2006. VARRP is intended as a cost-effective 1 and dignified alternative to enforced removal/deportation for people whose asylum applications have failed. Assistance available under VARRP includes facilitation of travel to the home country and optional reintegration assistance. VARRP is delivered by the International Organization for Migration (IOM). A key change between the VARRP 2004 and VARRP 2005 programmes was the increase on 1January 2006 (five months into the VARRP 2005 programme year) of the value of the reintegration assistance offered from £1,000 to £3,000. 1 National Audit Office (2005) Removing failed asylum applicants. National Audit Office: London. http://www.nao.org.uk/ publications/0506/returning_failed_asylum_applic.aspx A qualitative assessment of the VARRP 2005 programme, comprising 105 semi-structured interviews with diverse VARRP stakeholder groups, was conducted between May and September 2007. The groups included 48 VARRP and 19 non-VARRP returnees to Pakistan and Zimbabwe; all were interviewed in the return country. Findings from quantitative analysis of IOM management information are included to provide context. Findings Effectiveness of VARRP outreach, information and advice * ● The IOM marketing team increased its activities during the programme year. These included: holding 656 outreach meetings; production and distribution to ethnic community, and other organisations and VARRP applicants of various printed media in a variety of languages, including booklets telling 'Stories of Return'; and communications through ethnic community media. Tailoring of communication strategies to different community needs was advocated. * ● Principal sources of initial information about VARRP were 'word-of-mouth', ethnic community media, and the UK Border Agency. Use of ethnic community Keywords Assisted voluntary return Asylum Asylum seekers Immigration Return Voluntary return Reintegration The views expressed in this report are those of the authors, not necessarily those of the Home Office (nor do they reflect Government policy). The Research, Development and Statistics Directorate exists to improve policy making, decision taking and practice in support of the Home Office purpose and aims, to provide the public and Parliament with information necessary for informed debate and to publish information for future use. media to optimise communication was supported by people eligible for VARRP. A few would have liked more information than was given. * ● IOM advisers were positively regarded. Pakistani returnees particularly emphasised the respectful approach and use of their mother tongue by the advisers. Zimbabwean returnees were impressed by the honesty of advisers and the level of information they provided. Decision to return * ● More than half of those eligible for VARRP reported that return was negatively viewed by their community, and comments suggested that this was possibly linked to the shame of having failed to make a success of their time away or to a desire to conceal that the individual had applied for asylum. * ● While many VARRP returnees commented on their dire prospects and limited options in the UK, the IOM emphasis on ensuring that VARRP uptake is voluntary appeared to be fairly effective. More than half of the VARRP returnees considered that they had had a choice when deciding to return under VARRP. * ● One-third of VARRP returnees (16 people) expected to have left the UK voluntarily anyway, and oneseventh (seven people) to have been deported, 2 if they had not returned when they did. * ● For around half of the VARRP returnees, positive marketing and communication encouraged a decision to return (the remainder were unaffected by the information received). * ● The enhanced reintegration package itself was not so high in value that it eclipsed consideration of other 'push' or 'pull' factors. Uptake of VARRP * ● During VARRP 2005, 8,742 individuals applied and 5,002 people returned to their country of origin. These were increases of 101 per cent and 92 per cent respectively on the VARRP 2004 figures of 4,348 applicants and 2,599 returnees. * ● Many VARRP providers considered the introduction of a much higher level of reintegration assistance (£3,000) than had previously been available (£1,000) 2 The term 'deported' was used by interviewees but may be a generic colloquialism for various categories of enforced removal. to have been important in generating the increase in VARRP uptake. Increased marketing efforts, making explicit the assistance value, were also thought to have played a part. * ● However, it should be noted that 60 per cent of the increase in VARRP returns between VARRP 2004 and VARRP 2005 could be accounted for by the increase in the number of Iraqi returnees. This in turn was associated with clearance of a backlog of would-be Iraqi VARRP returnees as charter flights to northern Iraq became possible. A special concession to this group, allowing them to defer return for up to six months from VARRP application, may also have encouraged uptake. * ● A causal link cannot be proven but the attractiveness of the enhanced reintegration package was supported by the dramatic increase, after its introduction, in the proportion of VARRP applicants who also applied for reintegration assistance. Withdrawing from VARRP * ● Around one-third of VARRP 2005 applicants (2,312 out of 7,608 people) withdrew from 3 the programme. * ● People eligible for VARRP and the IOM partner agencies perceived fears about security and other conditions in the return country, an insufficient level of reintegration assistance on offer and suspicion of the authorities in the UK and about VARRP as key factors in withdrawal. * ● Abuse of the process (to buy time in the UK or access state support) was also suggested to be a factor by some VARRP providers. * ● Hope of obtaining legal status in the UK was also suggested to be a factor. * ● Strategies to combat withdrawal most frequently suggested by VARRP providers were: increasing support to VARRP clients and ensuring they wished to return; tightening up controls around access to state support; providing better information on return countries; providing more financial assistance; and sending a stronger message about enforced return as the alternative to VARRP. 3 The term 'withdrawal' as used here refers to those applicants who cancelled their application, lost contact with IOM, or were known to have travelled independently. Uptake of reintegration assistance * ● Applications for reintegration assistance increased from 44 per cent of all VARRP applicants during VARRP 2004 to 91 per cent of all VARRP applicants during VARRP 2005; and the increase coincided with the introduction of the higher value reintegration package and marketing making explicit the package value. Experience of return * ● Most VARRP returnees identified some positive consequences of the return home; around half mentioned family reunion. Others mentioned relief from the hardships of the UK, better quality of life, and cultural sensitivity. * ● All VARRP returnees interviewed had received reintegration assistance; and for one-third the VARRP advice and assistance had a bigger impact on getting established on their return home than any other factor. * ● Of those VARRP returnees interviewed, 43 had found a paid occupation since returning and 20 of these were set up in business within three months of return. Thirty-eight VARRP interviewees reported having permanent accommodation. * ● The majority of VARRP returnees thought that the reintegration assistance they received provided them with a good start but not an adequate basis for long-term reintegration. Most did not see their income as sustainable. * ● The situation was most difficult for returnees to Zimbabwe because of the particular economic circumstances there. * ● The majority had not experienced harassment or violence since return; however, such difficulties were more prevalent among VARRP returnees to Pakistan, especially women. * ● Only one-third of VARRP returnees expected to still be in the return country in five years' time; however the realism of this expectation could not be tested. Satisfaction with reintegration assistance * ● The majority of VARRP returnees (37 out of 48) rated the reintegration assistance they received as at least acceptable. * ● The £500 cash relocation allowance (paid on departure) and the 'in-kind' assistance delivered on return were regarded as the best elements of reintegration assistance by half of the VARRP returnees. * ● Other aspects which were valued were the indirect benefits, such as opportunity for a new start and family reunion, and these could be emphasised in marketing. * ● A range of suggestions for improving reintegration assistance uptake (within current funding levels) were provided by both VARRP returnees and VARRP providers. Many of these concerned the following: more flexibility and tailoring of assistance; more marketing and awareness raising emphasising the 'positives' of VARRP; or extending training opportunities (including prior to departure). Strengths of VARRP and suggestions for improvements * ● Reintegration assistance, return with dignity, and quick decisions and processing were most frequently cited as the best elements of the VARRP process by VARRP providers. * ● Increasing the information provided to applicants was the most frequent suggestion for improving VARRP. Others included: better targeting; more positive advertising; improving internal communication between partners; and increasing the cash element of assistance. Differences between VARRP and non-VARRP returnees * ● Compared with VARRP returnees, the people who made their own arrangements to return appeared to be less pressured into returning by circumstances in the UK, and more settled and less dependent on state or NGO support upon return. The Voluntary Assisted Return and Reintegration Programme (VARRP) 2005: a process and impact assessment Transparency Research, Olga Evans and Laura Powlton (UK Border Agency) 1 Introduction Aims towards vocational training, job placements, or small business start-up for adults and education for children. The nature of this support can vary depending on the needs of the applicant and the specific situation and opportunities in the country of return. This report presents findings of a process and impact assessment of the UK Border Agency Voluntary Assisted Return and Reintegration Programme (VARRP) for the 2005 programme year (1August 2005 to 31 July 2006). It looked specifically at: VARRP outreach and information activities; withdrawal rates; uptake of reintegration assistance; and experiences of returnees to Pakistan and Zimbabwe. It sought to provide recommendations for programme development and contributes to fulfilling European Union (EU) funding requirements. These research findings were shared with UK Border Agency staff as they became available. Context The Voluntary Assisted Return and Reintegration Programme (VARRP) has been jointly funded by the UK Border Agency and European Refugee Fund (ERF) since 2000. VARRP exists to provide asylum seekers in the UK with the means to return permanently to their country of origin (or habitual residence) in a dignified and sustainable 4 manner. (Eligibility criteria for VARRP are set out in Appendix 1.) Support available under VARRP includes travel costs, arranging travel, help with documentation (passports or other travel documents), and support at departure and arrival. Since 2002 the package has also included optional reintegration assistance 5 in the form of financial support 4 The UK Border Agency takes absence of re-migration to the UK as its key measure of the sustainability of return. 5 The UK has operated an assisted voluntary return scheme for asylum applicants since 1999. Prior to the addition of optional reintegration assistance, the package was known as the Voluntary Assisted Return Programme (VARP). The value of reintegration assistance available during the VARRP 2005 programme year increased after the first five months. Between 1 August 2005 and 31 December 2005 reintegration assistance to the value of £1,000 was available; this was also the maximum available during the VARRP 2004 programme. From 1 January 2006 to 31 October 2006, an enhanced package of reintegration support was piloted. 6 For the duration of the pilot period, the value of the 'in-kind' 7 reintegration assistance available increased to £3,000, including a £500 cash relocation grant on departure. In 2005, the International Organization for Migration (IOM) implemented VARRP with five partner agencies: Refugee Action; North of England Refugee Service (NERS); Safehaven Yorkshire (SHY); Wolverhampton Asylum and Refugee Service (WARS); YMCA Glasgow; and over 30 UK non-governmental organisations (NGOs). All VARRP applications are directed to IOM and eligibility is assessed by the UK Border Agency. The partner agencies ensure access to VARRP, provide impartial, confidential advice and support for asylum seekers and are involved with raising awareness of VARRP through outreach activities. Reintegration support is delivered by IOM's overseas missions, which monitor returnees' progress and liaise with IOM London. 6 The pilot was initially intended to run between 1 January 2006 and 30 June 2006 but was extended. 7 VARRP reintegration assistance is normally given 'in kind', i.e. payment is made by IOM to suppliers of approved goods and services (e.g. for business set-up) to VARRP returnees. Exceptionally reintegration assistance is given as staged cash payments. VARRP 2005 directly contributed to the UK Government's 2005 five-year strategy: 'Controlling Our Borders: Making Migration Work for Britain - Five-Year Strategy for Asylum and Immigration', and Home Office Public Service Agreement target 5 (PSA5) for 2004 and 2005. PSA5 specifically aimed to: "reduce unfounded asylum claims as part of a wider strategy to tackle abuse of the immigration laws and promote controlled legal migration". 8 The 2005 five-year strategy included a commitment to enforce immigration laws more effectively by removing greater proportions of failed asylum seekers in comparison to the number of unfounded applications. VARRP is regarded as a positive and cost-effective alternative to enforced removals (Home Office, 2002 and 2005; National Audit Office, 2005). 2 Method A qualitative assessment of the VARRP 2005 programme was carried out between May and September 2007. Semi-structured interviews were carried out with people involved in delivering VARRP (i.e. IOM officers, staff in IOM partner NGOs, UK Border Agency representatives) and with actual and potential VARRP users (i.e. people who had returned under VARRP 2005, people who had applied to VARRP but then withdrawn, and people eligible for but not taking up VARRP). Details of the target and achieved interviews are given in Table A1. A total of 105 interviews were conducted: * ● 26 with individuals involved in delivery of VARRP; * ● 28 with VARRP returnees to Pakistan (six women and 22 men) and 20 with VARRP returnees to Zimbabwe (ten women and ten men); * ● 26 with people eligible for but not using VARRP (including nine people (one woman and eight men) who had returned to Pakistan and ten people (three women and seven men) who had returned to Zimbabwe without VARRP assistance); and five with people who had applied for but then withdrawn from VARRP (see Table A2). 8 Home Office SR 2004 PSA TARGETS, 29 July 2004, 27 July 2005. At least two-thirds of the VARRP returnees and almost all of the non-VARRP returnees had returned to their country as lone individuals (not with any family) (see Table A3). Those involved in delivering VARRP were interviewed in the UK, Pakistan and Zimbabwe. VARRP returnees were interviewed in Pakistan and Zimbabwe. Those eligible for but not using VARRP were interviewed in the UK, Pakistan and Zimbabwe. Those interviewed in Pakistan and Zimbabwe had returned of their own initiative and were designated 'non-VARRP' returnees for the purposes of this report. People who had withdrawn from VARRP were interviewed in the UK. The aim had been to also interview VARRP returnees who had not taken up reintegration assistance; but neither the one identified in Pakistan nor any of the 15 in Zimbabwe could be contacted. To capture different perspectives on key issues (such as the VARRP processes and the impact of reintegration assistance) the same broad topics were covered with each group of interviewees, and some questions were asked of all respondents. However, specific questions were also tailored to different respondent groups. Interviews with VARRP users and potential users were conducted face to face. Those in Pakistan and Zimbabwe were conducted by local researchers in the native languages of the interviewees. People involved in delivering VARRP completed an online survey followed by a telephone interview. Findings from a quantitative review of IOM management information, undertaken by researchers at the UK Border Agency (Gillan and Larsen, 2006), have also been used to provide contextual information for this report. A more detailed account of the method is provided in Appendix 2. 3 Findings This chapter provides the results of the analysis of the interviews, online survey and the quantitative report as they related to the main areas of enquiry about VARRP 2005: * ● effectiveness of VARRP outreach, information and advice activities; * ● uptake of VARRP; * ● decision to return; * ● Withdrawal from VARRP; * ● uptake of reintegration assistance; * ● experience of assisted return; * ● satisfaction with reintegration assistance; * ● strengths of VARRP and suggestions for improvements; and * ● differences between VARRP and non-VARRP returnees. Effectiveness of VARRP outreach, information and advice Outreach activities The IOM VARRP communications team came into existence in 2003. During VARRP 2005, IOM and its partners continued to increase efforts to raise awareness about voluntary return. This included arranging 656 outreach meetings. Through these, IOM met 2,912 different agencies, and a total of 7,406 individuals. Additionally, VARRP was promoted via leaflets in a variety of languages, newsletters and information packs. Two booklets ('Stories of Return' and 'Mini Stories of Return') were distributed to community organisations and potential applicants. Local media, including ethnic community press, radio and television, were also used to raise awareness. Partner agencies and IOM reflected that different groups of potential returnees had to be approached in different ways. Some communities could be reached via their embassies in the UK; others would not have one or would not approach that body. Other groups could be targeted through the "ethnic media", via refugee community organisations (RCOs) and community leaders, and some through statutory services. Information received about VARRP VARRP 2005 returnees and potential returnees in the UK (60 people in total) were most likely to have first heard of VARRP through word of mouth (12 people), advertising in community media (12 people), and letters from the UK Border Agency (11 people). Other initial information sources reported were: the internet, immigration removal centres, solicitors and other advisers. Seventeen people gave no response. The importance of 'word of mouth' may be an indirect indicator of the effectiveness of the VARRP marketing and outreach activities. It suggests a climate of awareness among the VARRP eligible community. Thirty-eight of the (60) VARRP returnees and potential returnees in the UK had suggestions for communication channels that would optimise the accessibility of information about VARRP and most of these (20) pointed to further use of ethnic-group-specific, and occasionally mainstream, media channels. Other suggestions referred to use of community groups and venues. Conversely, a few recommended leaving the matter in the hands of specialist agencies or official channels. VARRP returnees to Pakistan and Zimbabwe (48 people in total) were generally satisfied with the information they received about VARRP through advisers and other means (for example, printed materials and internet sites). Most rated the information received about the VARRP programme as 'very good' (25 people) or 'acceptable' (14 people). Among those (seven people) who were dissatisfied, half (four people) gave insufficient information as the reason; the remainder gave no reason or had suspicions about the underlying motives of the VARRP providers. Advice about VARRP from IOM advisers Most of the 48 VARRP returnees to Pakistan and Zimbabwe had a positive view of the advice they received, with 21 rating it as 'acceptable' and 16 as 'very good'. (Only one returnee stated they were not happy with the advice they received.) The reasons given for this level of satisfaction included: the respectful and friendly approach of the advisers; information in the mother tongue; fulfilment of promises; and the provision of clear and objective information about the process. A returnee to Pakistan said: "They [IOM] tell all the things straightforward. It means that they do not play with the words and inform all about the positive and negative aspects." There were differences between the Pakistani and Zimbabwean returnees in the elements of advice most valued. The 13 returnees who mentioned the respectful and friendly approach of the IOM adviser, and the five who mentioned advice in the mother tongue, were all Pakistani. The four who mentioned honesty and fulfilment of promises, and the 12 who valued the information they were given, were all Zimbabwean. These findings may reflect cultural differences, or variation between IOM advisers. In conclusion: * ● The impact of IOM's VARRP marketing activities was reflected in the importance of ethnic community media and 'word of mouth' as initial sources of information about VARRP 2005 among people eligible for VARRP. * ● The IOM strategy of using ethnic community media channels to raise awareness of VARRP was encouraged by people eligible for VARRP. * ● The majority of VARRP returnees were satisfied with the information they had received about VARRP, with dissatisfaction linked to a desire for more information. * ● IOM advisers were positively viewed by VARRP returnees. Pakistani returnees particularly valued their respectful and friendly approach, and their ability to communicate in their mother tongue. Zimbabwean returnees emphasised the level of information they were given and the honesty of their IOM advisers. These findings point to the importance of culturally sensitive and specific approaches to communication with potential VARRP returnees. Decision to return Perceptions of voluntary return While the number of VARRP applicants and returnees has been increasing, when interviewees who were eligible for VARRP (79 people in total) were asked how voluntary return was viewed by their community more than half (39 out of the 67 people who responded) reported that it was viewed 'very negatively'. Sixteen respondents reported mixed views about voluntary return in their communities, and 12 people reported that it was viewed 'very positively and encouraged'. All but one of those reporting a positive perception of voluntary return was a VARRP returnee. Nine out of the ten people who had returned to Zimbabwe without VARRP assistance did not answer the questions directly but reported that they had concealed the real circumstances of their stay in the UK from their community back home. Their comments suggested that in some cases it may be the shame of return after a failed attempt to settle or advance oneself, or the desire to conceal the true circumstances of their stay in the UK that is the problem rather than VARRP itself. Voluntariness of return At the time of applying for VARRP, around half of those who returned to Pakistan (12 out of 28 people) and Zimbabwe (nine out of 20 people) said they had had at least one appeal against their asylum decision refused and five of these VARRP returnees (three to Pakistan and two to Zimbabwe) reported having reached the stage of having appeal rights exhausted. Most other VARRP returnees applied when their asylum claim had been refused and they had appealed against the decision. One returnee to each country reported having been granted discretionary leave to remain. The asylum status at the time of return of nonVARRP returnees was not recorded. IOM is keen to stress the 'voluntariness' of decisions to return home with VARRP. Almost half (23 out of 48) VARRP 2005 returnees interviewed felt they had complete choice about accessing VARRP services and deciding whether to return to their country of origin. A further six felt they had some constraints around deciding to return, but felt that the decision to return was their own. Nineteen VARRP returnees stated that they had no choice in deciding whether to return. Notably these were 12 out of 20 returnees to Zimbabwe, compared with seven out of 28 to Pakistan. Most of those who reported not having a choice about return gave reasons to do with the fear or threat of enforcement or the authorities (mentioned by 14 people), not having legal status in the UK (mentioned by eight people), and the destitution arising from their status in the UK (mentioned by seven people). People who made their own arrangements to return, predictably, felt they had more choice when making decisions to return; only two out of 19 felt that they had no choice. One of these two was returning from a sense of family duty and one felt there was no other option. VARRP returnees (48 in total) were also asked what they thought would have happened to them had they tried to stay in the UK. Answers were diverse but 16 people thought they would have returned to their country of origin anyway; seven thought they would have been deported; 9 and 12 indicated that they would have remained in the UK (presumably illegally). 9 The term 'deported' was used by interviewees but may be a generic colloquialism for various categories of enforced removal. The attractiveness of VARRP Around half (22) of the 48 VARRP 2005 returnees reported that advice and information they received about VARRP had encouraged them to return. The reported influences included learning about the benefits of VARRP, promise of help in starting a new life, feeling motivated by success stories, learning about the option to go home, help in finalising the decision to return and making return a more positive proposition. The remainder of the returnees felt their decision was not influenced by such information. For a few of the VARRP 2005 returnees interviewed, application for VARRP reflected a positive decision to take advantage of help in fulfilling aspirations (for employment, business, or family reunion) tied with returning to their country. For most, however, the decision to apply for VARRP appeared to come from a combination of pessimism or desperation about their situation and prospects in the UK with awareness of the possibility of a more positive outcome and dignified departure from the UK that VARRP could offer. Six of the Pakistani, but no Zimbabwean, returnees commented that the VARRP package value was good. One woman returnee to Pakistan reported: "My lawyer told me that I should go back. He said that after some time they will stop the financial help that they provide me now. Without the help from the UK government I was not able to survive there i.e. to feed my baby and myself. Another thing he told me that the Home Office will arrest me and deport me. The IOM package became attractive for me in the above mentioned circumstances. So I decided to take the assistance under VARRP." Another returnee to Pakistan, a man, said: "The police had arrested me and I was put in a detention centre. I was not able to do some job there. I felt they would deport me [in] an unrespectful manner. The offer given by the IOM, in the mean time attracted me .Certainly, it was a good chance for me to return home with something in my hand. I plan to start my business here in Pakistan." For the five people who applied but withdrew from VARRP the decision to apply appeared linked with the possibility of accessing support when facing destitution. The evidence suggests that even the enhanced package on its own was not a sufficient incentive for people to return and that their decision was influenced by one or several other 'push' or 'pull' factors . In conclusion: * ● Returning home after a failed attempt to gain asylum in the UK may be perceived as shameful or risky by returnees and their communities. Negative perceptions of return under such circumstances will impact on attitudes to VARRP. * ● However, half of the VARRP returnees expected to have left the UK voluntarily anyway or to have been deported, if they had not returned when they did. * ● While many VARRP applications are made by people whose prospects in the UK are dire and options limited, the IOM emphasis on ensuring that VARRP uptake is voluntary appeared to be fairly effective. More than half of the VARRP returnees considered they had some volition in returning under VARRP. * ● For around half of the VARRP returnees, positive marketing encouraged a decision to return. * ● The enhanced reintegration package was not so high in value that it eclipsed consideration of other 'push' or 'pull' factors. * ● Marketing should continue to highlight the possibility for VARRP to lead to a more positive return scenario than would otherwise be possible. Uptake of VARRP The number of applications had increased steadily year on year between VARRP 2001 and VARRP 2004 and continued to do so during VARRP 2005. During VARRP 2005, there were 7,608 applications, covering 8,742 individuals. This was an increase of 101 per cent on the 4,348 individuals covered by applications during VARRP 2004. VARRP 2005 assisted 5,002 people to return to their countries of origin, an increase of 92 per cent on the 2,599 people who departed under VARRP 2004. More than half of the VARRP providers interviewed (16 out of 26) thought that the introduction of the 'enhanced VARRP package' on 1 January 2006, with its offer of a much higher level of reintegration assistance than previously available, had an important impact on the increase in the number of VARRP applications. This is supported by the dramatic increase in the percentage of VARRP 2005 applicants also applying for reintegration assistance during the 'enhanced VARRP' period (93% compared with 59% of the 'pre-enhancement' VARRP 2005 applicants and 44% of VARRP 2004 applicants). However, a causal link between the increased value of the reintegration package and the increase in VARRP applications cannot be proven, and other factors (internal and external to VARRP) may also have had an impact. Most notably, political changes and the introduction of regular charter flights to northern Iraq, made large-scale returns to that country feasible during VARRP 2005. Along with a special concession for Iraqis allowing departure to be deferred for up to six months, this contributed to the clearance of a backlog of Iraqi VARRP cases. Between VARRP 2004 and VARRP 2005, returns to Iraq increased by over 300 per cent (from 397 people to 1,848 people). Effectively, 60 per cent of the increase in total returns between VARRP 2004 and VARRP 2005 could be accounted for by the increased number of Iraqis returning. The implementation of the enhanced package also coincided with the increased marketing efforts by IOM, VARRP partners and the UK Border Agency AVR team. Six of the VARRP providers interviewed suggested VARRP 2005 advertising campaigns were a key factor in increasing the number of applications and the uptake of reintegration assistance. In conclusion: * ● The introduction, during the VARRP 2005 programme year, of a much higher level of reintegration assistance than had previously been available was considered by many providers to have been important in generating the huge increase in uptake of VARRP. Increased marketing efforts, making explicit the assistance value were also thought to have played a part. * ● However, it should be noted that 60 per cent of the increase in VARRP returns between VARRP 2004 and VARRP 2005 could be accounted for by the increase in the number of Iraqi returnees. This in turn was associated with clearance of a backlog of would-be Iraqi VARRP returnees as charter flights to northern Iraq became possible. A special concession to this group, allowing them to defer return for up to six months from VARRP application, may also have encouraged uptake. * ● While a causal link cannot be proven, the attractiveness of the enhanced reintegration package was supported by the dramatic increase, after its introduction, in the proportion of VARRP applicants who also applied for reintegration assistance. Withdrawal from VARRP IOM data show that under VARRP 2005, as under VARRP 2004, around one-third of applicants (2,312 out of 7,608 people) cancelled their VARRP applications, lost contact with IOM or made their own arrangements to return. 10 It is possible that a number of those who cancelled their application or lost contact with IOM may have chosen to apply again later or make their own arrangements to return. Only five people who had applied for and then withdrew from VARRP participated in the research, and all were in the UK at the time of interview. Two of these reported that they changed their mind about return after receiving information from relatives or friends in the country of return. All five reported having applied for VARRP when their asylum claim appeal rights had been exhausted. All interviewees, except those returnees who made their own arrangements to return, were asked why they thought people withdrew from VARRP. Sixty-three out of the 86 people asked provided at least one, and sometimes several, suggestions. Most of the reasons given could be categorised as follows: perceived security risks and other unacceptable conditions in the country of return (mentioned by 27 people); insufficient level of reintegration assistance on offer (12 mentions); suspicion of the authorities in the UK and about VARRP (11 mentions); abuse of the process e.g. to 'buy' time in the UK or access Section 4 support (ten mentions); and hope of obtaining a legal status in the UK (seven mentions) (see Table A4). Other influences included a change in family circumstances in the return country. Responses from the IOM partner agencies, VARRP returnees, and potential VARRP returnees tended to focus on fears about conditions in the country of return, the package value, and suspicion of the authorities. For example, an adviser from a partner agency reported: "Making a decision about voluntary return is never an easy one. So, people may have a change of heart. Sometimes they may feel coerced through destitution to sign for voluntary return. Sometimes there may be change in situation in country of origin. More often people talk to friends and family back home and they do not encourage them to return." Suspicion was thought to focus on a lack of trust that VARRP returnees would get what they were promised. 10 These people are referred to collectively as VARRP 'withdrawals' in this report. Potential abuse of the process was also suggested in some responses from VARRP providers. One VARRP returnee to Pakistan also suggested: "People apply for the VARRP assistance. In [a] few days they get the documentation saying that they are being registered with IOM. Now if police ask them [for] the papers they show these documents. It means these documents provide legal status in UK to the concerned person at least for six months. They work in these six months to earn little more money so that they could do well at home." 11 The interviewees from IOM, the partner agencies and the UK Border Agency (26 people; 22 responding) suggested a range of measures for reducing the withdrawal rates from VARRP. The most frequently suggested were: to provide better support to clients and make sure the client genuinely wants to return (seven mentions); to remove the potential that a VARRP application is used for 'other purposes', specifically Section 4 support (five mentions); produce better information on the country of return (four mentions); provide more financial assistance (four mentions); and to send a stronger message about an enforced return as the only other option to VARRP (four mentions) (see Table A5). In conclusion: * ● Comments of the few VARRP 'withdrawals' interviewed provided some support for the speculation by some VARRP providers that for this group, access to the limited state benefits (Section 4 support), which VARRP application conferred, may have been a stimulus to application. Tightening of access to support was suggested. * ● Fears about security and other conditions in the return country, and suspicion of the authorities in the UK and about VARRP were seen as key factors in withdrawal. Increasing support to VARRP clients and providing better information on return countries might help to counter these. More contact between IOM advisers and applicants, and development of the 'Stories of Return' concept might assist. * ● VARRP applicants may be influenced by information and advice from diverse networks, including their friends and family in the return country. IOM work on mapping networks for different ethnic communities should be encouraged in order to identify and, where possible, use trusted networks to communicate about VARRP. 11 This comment reflects the perception of a VARRP user but does not reflect the true situation. Acceptance onto the VARRP programme does not confer legal status or right to work for failed asylum applicants. * ● Surprisingly, few VARRP returnees seemed to think that they would have been deported if they had stayed in the UK. If the UK Border Agency were to raise awareness of enforcement among the asylumseeking community, this could discourage withdrawal. * ● While some interviewees suggested that higher value reintegration packages could reduce withdrawal, the enhanced package did not appear to have impacted on withdrawal rates. However, tailoring reintegration assistance deals with the specific issues affecting different countries (e.g. hyperinflation in Zimbabwe) might make VARRP more convincing. Uptake of reintegration assistance As noted, applications for reintegration assistance were far higher during VARRP 2005 (91% of all applicants) than under VARRP 2004 (44% of all applicants), and the increase in applications for reintegration assistance coincided with the availability of the higher value, 'enhanced' VARRP package. It was also noted earlier that the increases in applications for both VARRP and reintegration assistance, while likely to have been encouraged by the introduction of the higher value, 'enhanced', VARRP reintegration package, may also have been due to the increased marketing of VARRP which made explicit the details of the reintegration package on offer. In conclusion: * ● Both the increased value of the enhanced reintegration package and marketing of this enhancement are likely to have increased uptake of reintegration assistance. * ● Any further enhancements should be well advertised by IOM. Experience of return Most VARRP returnees (39 out of 48 people) and nonVARRP returnees (17 out of 19 people) could identify some positive consequences of having returned home. Three-quarters of both groups mentioned family reunion and commitments; and around one-fifth of each group mentioned business or educational opportunities. A better quality of life and cultural sensitivity were mentioned by a few people in each group. Relief from hardship in the UK was also important for VARRP returnees, but not for nonVARRP returnees (see Table A6). All VARRP returnees interviewed for the evaluation had received reintegration assistance. In general, the majority of VARRP returnees thought that reintegration assistance provided them with a good start. Around one-third (18 out of 48) of the VARRP returnees interviewed reported that the assistance and advice from VARRP made more difference to getting established when they returned home than family, friends or any other factor (21 returnees did not answer the question). On return the majority of returnees, but especially the VARRP returnees, had set up their own business (17 VARRP returnees to Pakistan; 19 VARRP returnees to Zimbabwe; three non-VARRP returnees to Pakistan; and four non-VARRP returnees to Zimbabwe) or joined an existing business (six VARRP returnees to Pakistan; two non-VARRP returnees to Zimbabwe). In Pakistan women had invested in businesses run by others (e.g. buying a car to be leased for rental); in Zimbabwe women had set up their own businesses. The majority of VARRP returnees' businesses had been set up within three months of return (12 out of 17 in Pakistan, and eight out of 19 in Zimbabwe); and most of the remainder within six months of return (three out of 17 in Pakistan and ten out of 19 in Zimbabwe). Time to set-up in the remaining VARRP cases was not known. Three of the businesses in Pakistan had failed but in one case an alternative source of income had been found. Time to business set-up for non-VARRP returnees to Pakistan was not known; however, it is worth noting that in all six cases where a non-VARRP returnee to Zimbabwe set up or joined a business, the business had already been organised prior to their return. Those five VARRP returnees to Pakistan who had not set up or invested in business included two mothers who were caring for their children or dependants. One of these noted that her husband had invested her reintegration assistance in a family business; the other indicated no source of income but had returned with family. One VARRP returnee to Pakistan had found a 'high-level' job, and two were still planning what to do. The six corresponding non-VARRP returnees to Pakistan were employed (two people), job hunting (two people), retired and living with family (one person), or a housewife (one person). The one VARRP returnee to Zimbabwe who had not set up a business had opted for full-time training. Three of the four corresponding non-VARRP returnees to Zimbabwe were still deciding what to do and circumstances were not known in the case of the fourth person. Most VARRP returnees (21 out of 28 in Pakistan and 17 out of 20 in Zimbabwe) and non-VARRP returnees (all nine in Pakistan and nine out of ten in Zimbabwe) reported having a permanent 12 place to live. The majority of all returnees (37 out of 48 VARRP returnees and 18 out of 19 non-VARRP returnees) considered their accommodation as at least acceptable as compared with that of other people around them. Non-VARRP returnees to Zimbabwe were especially positive, with seven out of ten people rating their accommodation as very good in comparison with that of their neighbours (as compared with six out of 20 VARRP returnees to Zimbabwe). There was, however, frustration among VARRP returnees that the assistance provided did not go far enough in providing a basis for long-term reintegration. Over two-thirds of VARRP returnees (35 out of 48 people) stated that their income was not sustainable and that they believed it did not provide a basis for long-term reintegration. In contrast, under half of the non-VARRP returnees (seven out of 19) were of this view. Perceptions of the sustainability of incomes also varied between countries of return. Almost all (18 out of 20) VARRP returnees to Zimbabwe, compared with two-thirds (18 out of 28) of the VARRP returnees to Pakistan saw their income as 'not sustainable'. The economic situation of hyperinflation in Zimbabwe could account for this difference. The difference between nationalities was, however, less marked among non-VARRP returnees (three out of nine and four out of ten non-VARRP returnees to Pakistan and Zimbabwe respectively saw their income as not sustainable). Harassment and violence were not reported to affect the majority of returnees (VARRP and non-VARRP). The quarter of returnees (12 out of 48 VARRP returnees and four out of 19 non-VARRP returnees) who said they had experienced harassment or violence since returning reported incidents such as: questioning by authorities (e.g. immigration and police); verbal threats and questions from political opponents; fear of crime because they were perceived as rich; and, in one instance, sexual harassment. 12 This was as designated 'permanent' by the interviewee. More of the returnees to Pakistan than to Zimbabwe reported experiencing such incidents; 13 (comprising ten VARRP and three non-VARRP returnees) out of 38 people compared with three (two VARRP and one nonVARRP returnee) out of 30 people. Women were more likely than men to have experienced problems in Pakistan (four out of seven female returnees compared with nine out of 30 male returnees), and less likely than men to have experienced problems in Zimbabwe (none out of 13 women and three out of 17 men). Interviewees were also asked about experience of discrimination. The pattern of responses was very similar, with Pakistani returnees being more affected than returnees to Zimbabwe. But it should be noted that the respondents did not appear to make a clear distinction between harassment and discrimination. Uncertainty about longer-term reintegration in the country of return was confirmed by VARRP returnees' views on where they thought they would be in five years' time. Only one-third (16 out of 48 people) believed that they would stay in the country of return. Almost half (22) thought they would be in another country, and nine of these expected to be in the UK. The remainder did not know where they would be. In contrast, among the nonVARRP returnees most (seven out of ten) Zimbabweans expected to remain in their country. Pakistani nonVARRP returnees were generally unsure of where they would be, but none stated that they would still be in Pakistan. (See Table A7) In conclusion: * ● VARRP returnees were more likely than non-VARRP returnees to have found a paid occupation/source of income soon after return; and returnees in general favoured setting up or investing in businesses. * ● The majority of all returnees had found permanent accommodation of a standard they considered acceptable. * ● The majority of all returnees had not experienced harassment or violence since return. However, such difficulties were more prevalent among returnees to Pakistan, and particularly among women. * ● The majority of VARRP returnees thought that the reintegration assistance they received provided them with a good start but not an adequate basis for long-term reintegration. Although most VARRP returnees had started the reintegration activity aimed at providing an income (a business or a job) within three months of return, most did not see their income as sustainable. * ● The situation was most difficult for VARRP returnees to Zimbabwe, perhaps because of the particular economic circumstances there. Increased flexibility and tailoring of reintegration assistance to individual needs might increase the effectiveness of assistance, even at a set monetary level. Only one-third of VARRP returnees expected to still be in the return country in five years' time. Satisfaction with reintegration assistance Reintegration assistance was generally well received by the VARRP returnees interviewed; three-quarters (37 out of 48 people) thought this had a positive impact and rated it as 'acceptable' (27 people) or 'very good' (ten people); and 11 people rated it as 'poor' or 'not acceptable'. When asked what had been the best thing about the reintegration assistance they had received, more than half (28) of the VARRP returnees mentioned the cash payment and in-kind support as key benefits. Seven valued the opportunity for a new start, and others commented on family reunion, education, and the efficiency of the process. Three people felt there was no particularly good thing (see Table A8). Perceptions of little or no benefit were largely associated with the view that financial support was inadequate, sometimes, particularly in Zimbabwe, because of the devaluing effects of inflation. Half of the VARRP returnees interviewed (24 people) thought that there should be more money for reintegration assistance. When asked how the uptake of reintegration assistance could be improved (within existing funding levels) VARRP returnees gave a variety of suggestions. The most common response was to make changes in the payment methods currently operated by IOM (nine people). The majority of these responses (eight people) were from returnees to Zimbabwe, where hyperinflation was running at between 60 to 100 per cent per week, and quotes for goods were valid for about 24 hours. IOM's procurement procedure could take two weeks to complete and this made purchasing very difficult. Other suggestions from returnees were: increased business training for returnees; more advertising; focusing on success stories; assistance at the airport in the country of return to deal with corrupt officials; more follow-up on return; and loans to be made available later on in the process for business development. VARRP providers' suggestions were for more advertising and more awareness raising about the VARRP programme; increased reintegration package flexibility and tailoring to returnees' circumstances; and making additional training opportunities available. Examples were provided from other countries where potential returnees were given skills training prior to return (for example, in welding). In conclusion: * ● The financial benefits of reintegration assistance were especially valued by VARRP returnees; while these were generally well received, many sought more financial support. * ● Other aspects which were valued were the indirect benefits, such as the opportunity for a new start and family reunion, and these could be emphasised in marketing. * ● A range of suggestions for improving reintegration assistance were provided by both VARRP returnees and VARRP providers. Many of these were around more flexibility and tailoring of assistance or more, positive, marketing and awareness raising. Strengths of VARRP and suggestions for improvements VARRP providers (26 people) were asked to state the best element of the VARRP process for them. Choices included the following: reintegration assistance (mentioned by eight people); return with dignity (six people); quick decisions and processing (five people); individual approach to advice (three people); and the voluntary nature of return (two people). Suggestions for improvements from VARRP providers were as follows: more information to applicants on various aspects of return (e.g. country of return information) (mentioned by six people); better targeting (two mentions); more positive advertising (two mentions); and better internal communication (two mentions). There was also one mention in each case for the following: increase in the cash element; more advertising; consideration of human rights; better quality of advice; and more success stories. In conclusion: * ● The strengths of the VARRP process, identified by VARRP providers, and the positive consequences of returning home under VARRP, identified by the VARRP returnees, provided useful ideas for inclusion in the increased and improved communication activities that VARRP providers recommended to improve the VARRP process. Differences between VARRP and non- VARRP returnees Although the number of interviewees who made their own arrangements to return (non-VARRP returnees) was small (19), there appeared to be differences between this group of interviewees and those who returned through VARRP. Family reunion was a pre-eminent perceived benefit of return for both groups. Business opportunities were also relatively important to both groups. However, fewer of those who made their own arrangements to return mentioned relief from hardship in the UK as a main benefit of return (see Table A6). The impression of being more settled was suggested by thoughts about their future. While almost half of VARRP returnees did not see themselves in their country of return in five years' time, only one-quarter of those who made their own arrangements to return did not anticipate staying in their country (see Table A7). Non-VARRP returnees also appeared to be more financially independent than those who returned through VARRP. Presumably non-VARRP returnees had self-funded return. Many of the non-VARRP returnees to Zimbabwe had managed to set up or arrange businesses before they left the UK. More non-VARRP than VARRP returnees lived off subsistence farming or were employed, and none of them were financially dependent on their families, the state or any other support. Eight of the VARRP returnees' main source of income was the VARRP reintegration assistance and one person depended upon their family (see Table A9). When it came to difficulties experienced on return, both VARRP returnees and those who returned on their own reported similar experiences. They all faced the difficulties associated with a lack of law and order, relatively poor facilities, lack of opportunities for employment, corruption, family problems, lack of personal safety, and discrimination against women. The only demographic details gathered about the two groups of returnees were nationality, sex and whether they returned alone or with family. It may be that the observed differences reflect some self-selection for VARRP as opposed to independent return. Those asylum applicants who are able to plan and fund independent return presumably have access to greater financial or other resources (e.g. higher levels of education or skills, family networks, other social connections) in the home country than VARRP applicants. Pull factors (such as perceived business or employment opportunities in the home country) may be more influential for this group than for many VARRP returnees. The 'word-of-mouth'/snowballing process of recruitment of the non-VARRP returnees also means that those interviewed may have been an unrepresentative, perhaps more settled, subset of all non-VARRP returnees. In conclusion: * ● Compared with VARRP returnees, the people who made their own arrangements to return appeared to be less pressured into returning by circumstances in the UK, and more settled and less dependent on state or NGO support upon return. * ● Further investigation would be needed to confirm whether this reflected differential opting in to VARRP by subsets of asylum applicants with different resource sets, or simply a sampling artefact. * ● More detailed and systematic profiling of the resources of VARRP applicants by IOM could inform tailoring of marketing and of reintegration assistance. Appendix 1: VARRP eligibility criteria VARRP is open to any asylum seeker who: * ● is waiting for a Home Office decision on his/her asylum application; or * ● has had his/her asylum application refused by the Home Office; or * ● is appealing against a refusal; or * ● has exceptional leave to remain; or * ● has been granted humanitarian protection. 13 VARRP is not available to any asylum seeker who: * ● has been granted indefinite leave to remain and/or refugee status; or * ● is a convicted prisoner subject to a deportation order; or * ● is a short-term immigration detainee for whom removal directions have been set; or * ● has been convicted of a serious immigration offence; or * ● prior to IOM receiving the application, has received one or more custodial sentences in the UK, totalling in excess of 12 months. Appendix 2: Method Overall research design The evaluation of the VARRP 2005 programme was carried out between May and September 2007 in Zimbabwe, Pakistan and the United Kingdom. It was a qualitative study into the process and impact of VARRP 2005 (which ran from 1 August 2005 to 31 July 2006). The study involved interviews and an online survey with asylum seekers, returnees, IOM, implementing partners and the UK Border Agency. Zimbabwe and Pakistan were chosen as case study countries as they were in the top ten countries of return in the VARRP 2005 year. The selection of the study countries was also influenced by practicalities of conducting research such as safety of participants, feasibility of achieving the required sample and the availability of a good network of contacts on the ground. 13 People granted humanitarian protection are no longer eligible for VARRP, although they were during the 2005 programme. Participants The Home Office provided a draft sampling guide for the qualitative survey work which included the following categories: a. VARRP providers * ● Partner agencies * ● IOM officers * ● Partner NGOs * ● Other NGOs * ● UK Border Agency b. VARRP returnees * ● With reintegration assistance * ● Without reintegration assistance c. Eligible for VARRP but non-users * ● Applied but withdrew * ● Never applied and still in the UK * ● Never applied and returned to home country independently The sampling framework was discussed with the UK Border Agency and IOM before the evaluation and the initial targets for interviews were revised to be more realistic. To help with the sampling of VARRP returnees, IOM London provided anonymised lists of VARRP 2005 returnees to Pakistan and Zimbabwe. Returnees taking up reintegration assistance were randomly selected (45 out of 75 people in Pakistan and 60 out of 74 people in Zimbabwe). This was done on the basis that 15 interviewees were required in Pakistan and 20 in Zimbabwe, and the expectation that one in three would be contactable, available, and willing to be interviewed. As there were few VARRP returnees who did not receive reintegration assistance (one in Zimbabwe and 15 in Pakistan), all of these were included in the potential sample. People eligible for VARRP but still in the UK were identified through IOM's partner agencies and other contacts in the refugee sector (e.g. refugee community organisations). The category of returnee expected to be most difficult to reach were people who did not use VARRP services and made their own arrangements to return. These were identified by other interviewees during the fieldwork. A final sample of 93 interviewees was agreed with the understanding that the team would seek to identify further interviewees during the fieldwork and arrange interviews with them. The revised target and achieved samples are shown in Table A1. Response Overall, the research team carried out 105 interviews. Achieved samples were close in size to or greatly exceeded targets for most categories of respondent. The exception was the sample of VARRP returnees not taking up reintegration assistance; none of the 16 potential participants was contactable during the fieldwork. The success in contacting returnees to Pakistan and Zimbabwe who had made their own return arrangements was most noteworthy. Nineteen such people were interviewed against a target of ten. Factors which helped in the recruitment of this hard-to-reach group were, first, local researchers in the team spoke local languages and were able to ask sensitively about others who returned. Second, interviewers were referred (hence 'vetted') by a trusted person (family member, friend or a neighbour). Third, the process of approaching and interviewing people offered choice of location, language and time for interviews, paid compensation for their time and gave guarantees of confidentiality. Research instruments Distinct sets of questions were devised for each category of interviewee, but all contained some common questions and common themes. These provided different perspectives on the majority of key issues such as the VARRP process and the impact of the reintegration assistance. The questions are available on request from the UK Border Agency, Analysis, Research and Knowledge Management team. All the responses from the interviews and online surveys were entered into a database, which was accessible online to authorised parties. Although the fieldwork was conducted across three continents, the online database provided early access to interview records, and allowed the external and UK Border Agency research teams to monitor the quality of interviews and overall progress. Piloting of research instruments Prior to the main fieldwork, six pilot interviews were conducted; one with a member of each VARRP user and potential user subgroup and one with a VARRP provider. Pilot interviews were conducted in the UK, Pakistan and Zimbabwe and were used to test and refine the questionnaires. Minor adjustments were made to some of the questions as a result. The pilot interviews were included in the final analysis. However, following the pilot interviews, a more fundamental change was made to the way interviews with IOM, partner agency and UK Border Agency staff were conducted. Instead of face-toface interviews, a combination of online questionnaires and follow-up telephone interviews was used as a more effective way of collecting data. Data collection The research team consisted of three core members (senior managers at Transparency Research) and four local researchers (two in each of Pakistan and Zimbabwe).The local researchers were recruited, inducted, briefed and managed by a member of the core research team. The use of local researchers improved the reach to relevant communities and provided a local perspective within the team. The local researchers spoke at least two relevant languages, which eliminated the need for recruiting and managing interpreters and minimised the amount of information 'lost' in translation. All the interviews in the UK were conducted by two members of the core team. The clients who used reintegration assistance were first approached by IOM to introduce the research and confirm their willingness to be interviewed. A member of the research team then made all other arrangements. IOM and local researchers received an introduction brief on confidentiality, data protection, general discussion topics and other logistical arrangements. All interviews with people eligible for or using VARRP were conducted face–to face. The relevant staff within organisations involved in delivering VARRP were identified in consultation with the UK Border Agency, IOM and the partner agencies, and were approached directly by a member of the core team. All staff were also informed by IOM about the evaluation and received an introduction brief similar to that mentioned above. Staff of VARRP provider organisations first completed an online survey. For this they received detailed instructions and their personal log-in details for a secure access to the relevant questionnaire. After a week they took part in a telephone interview to further explore their responses and fill any gaps in the information provided in the survey. Those eligible for VARRP but still in the UK were identified and approached through the partner agencies and other contacts in the refugee sector (e.g. refugee community organisations). Prior to the interview, they received the same information as former asylum applicants interviewed in the case study countries. The hard-to-reach returnees, who did not use VARRP services and made their own arrangements to return, were identified and recruited by snowballing from contacts with other interviewees. These non-VARRP returnees identified themselves as former asylum seekers in the UK. This proved a very successful technique for the reasons described previously. Prior to the interview, these respondents received the same information as VARRP returnees interviewed in the case study countries. Where possible and where consent was granted, interviews were audio recorded for quality auditing purposes. All interviewees in Zimbabwe and half of returnees in Pakistan declined to be recorded, and a few more interviews were not recorded due to technical failures. Two face-to-face interviews conducted in the UK with UK Border Agency representatives were also not recorded due to lack of facilities. Analytical framework Manipulation of and sampling from the anonymised list of IOM clients was done using a MySQL database and Microsoft Excel. The questionnaire responses were entered into a website-accessible MySQL database for analysis, with custom-built analysis tools using PHP. Data were also downloaded into Excel spreadsheets for further analysis for more specific answers. The website was access protected with two log-ins required to access data for either data entry or analysis. Access was restricted to the external and specific UK Border Agency researchers. Appendix 3: Tables Table A1 Target (T) and sample achieved (A) * These included people who had returned to their country without VARRP assistance (nine to Pakistan and ten to Zimbabwe). Table A2 Sex of interviewees using or eligible for VARRP Table A3 Whether returnees went alone or with family members Table A4 'What are the reasons for people dropping out of VARRP?' * Non-VARRP returnees were the 19 people eligible for but never having applied for VARRP who had returned to Pakistan and Zimbabwe. Table A5 'How do you think the number of people dropping out of VARRP can be reduced?' Table A6 'What were the positive things about coming back?' \| \| Number of times mentioned by VARRP returnees \| \|---\|---\| \| Family reunion and commitments \| 38 \| \| Business or education opportunity \| 13 \| \| Relief from hardship in the UK \| 9 \| \| Better quality of life or cultural sensitivity \| 3 \| \| Nothing positive \| 4 \| \| No answer at all \| 1 \| \| Total number of responses \| 67 \| \| Total number of respondents \| 48 \| Table A7 'Where do you see yourself in five years' time (e.g. plans to remigrate, move within the country, etc.)?' \| Number of VARRP returnees \| \| \| \| \| \|---\|---\|---\|---\|---\| \| Zimbabwe \| Pakistan \| Total \| Zimbabwe \| Pakistan \| \| 6 \| 10 \| 16 \| 7 \| 0 \| \| 1 \| 8 \| 9 \| 2 \| 0 \| \| 7 \| 6 \| 13 \| 0 \| 3 \| \| 6 \| 4 \| 10 \| 0 \| 6 \| \| 0 \| 0 \| 0 \| 1 \| 0 \| Table A8 'What was the best thing about the reintegration assistance you received?' Table A9 'What is the main source of your income?' Acknowledgements We are grateful to the staff of IOM London, IOM Pakistan and IOM Zimbabwe for their facilitation of the research. We would also like to thank all those VARRP stakeholders who participated in interviews in the UK, Pakistan and Zimbabwe: staff of IOM, IOM partner organisations, and of the UK Border Agency; and people eligible for or having used VARRP. The authors would also like to thank the following for their useful comments: our two external academic reviewers of this report, staff of the UK Border Agency Analysis, Research and Knowledge Management team; staff of the UK Border Agency Assisted Voluntary Return team; and again IOM London. References Gillan, K. and Larsen, C. (2006) The Voluntary Assisted Return and Reintegration Programme (VARRP) 2005: an evaluation – Analysis of VARRP 2005 quantitative management information. This is an unpublished document submitted to the EU cofunders of VARRP 2005. Home Office (2002) The Voluntary Assisted Returns Program: an evaluation, Findings 175, Home Office: London. http:// www.homeoffice.gov.uk/rds/pdfs2/r175.pdf Home Office (2005) The Voluntary Assisted Return and Reintegration Programme (VARRP) 2003: an evaluation. Findings 264, Home Office: London. http://www. homeoffice.gov.uk/rds/pdfs05/r264.pdf Home Office (2007) Asylum Statistics United Kingdom (3 rd ed.), 21 August 2007. Home Office: London. http://www. homeoffice.gov.uk/rds/pdfs08/hosb1108.pdf National Audit Office (2005) Removing failed asylum applicants. National Audit Office: London. http://www.nao.org.uk/ publications/0506/returning_failed_asylum_applic.aspx UK Border Agency (2008) UK Border Agency Business Plan April 2008, March 2011, Home Office: London. http://www. bia.homeoffice.gov.uk/sitecontent/documents/aboutus/ reports/businessplan08-11/
Portuguese-Canadian National Congress MOVING TOWARDS VISIBILITY Non-Status Immigrants and the Social Service Sector A REPORT ON THE UNDOCUMENTED SUPPORT NETWORK PROJECT Services for Immigrant Women and their Families MOVING TOWARDS VISIBILITY Non-Status Immigrants and the Social Service Sector A REPORT ON THE UNDOCUMENTED SUPPORT NETWORK PROJECT Portuguese Canadian National Congress 1081 Bloor Street West, Ste. 300 Toronto, Ontario M6H 1M5 Tel: 416-532-3233 Fax: 416-532-8703 www.congresso.ca Listserv: http://ca.groups.yahoo.com/group/congresso_list/ This project was funded by the Metcalf Foundation and sponsored by Working Women Community Centre and the United Way. Acknowledgments The Portuguese Canadian National Congress would like to thank and acknowledge the following individuals and organizations for their contributions to the activities of this project: Almerinda Rebelo, Four Villages Community Health Centre Amanda Dale, YWCA Anita Balakrishna Armine Yalnizyan, Canadian Centre for Policy Alternatives Axelle Janczur, Access Alliance Multicultural Health and Community Services Carolyn Watson, Davenport Perth Neighbourhood Centre Cornetta Mason, UNITE HERE! Carolina Gajardo, COSTI North York Housing Help Chantal Bombardier Darshan Ambalavanar, St. Christopher House Denise Gastaldo Felicidade Macedo Rodrigues, Working Women Community Centre Francisco Rico-Martinez, FCJ Refugee Centre Frederica Gomes, Portuguese Canadian National Congress Giovanni Rico Bolanos, FCJ Refugee Centre Jean McDonald Karin Baqi, South Asian Legal Clinic of Ontario (SALCO) Keith McNair, Davenport Perth Neighbourhood Centre Linda Gardner, Women's College Hospital Lindsay Angelow, Access Alliance Multicultural Health and Community Services MacDonald Scott, Immigration Legal Committee of No One Is Illegal Mahassen Mahmoud, St. Christopher House Marc Hollin, UNITE HERE! Marcie Ponte, Working Women Community Centre Pedro Barata Priya Kissoon Samia Saad, Lighthouse Community Centre Sean Hill, City of Toronto Sima Sahar Zerehi, Status Now Participants of the Moving Towards Visibility Forum: Canadian Auto Workers (CAW) Mennonite New Life Centre of Toronto Women's Health in Women's Hands (WHIWH) We also wish to extend our gratitude to the Metcalf Foundation for funding this initiative. Moving Towards Visibility: Non-status Immigrants and the Social Service Sector TABLE OF CONTENTS I. Introduction He falls from a roof at his worksite and is bed-bound for a month. He doesn't go to the hospital or receive any compensation to help support his family while not working. They are taken from their elementary school classroom to bait their parents out of hiding. Her boss notifies immigration authorities because she complained she hasn't been paid in two months. She's deported. Another woman is deported after going to the police to charge her abuser. His toes are severed from an elevator accident and his first thought isn't to get medical attention but how much this is going to cost him. The above are circumstances heard directly from non-status people or from the frontline workers who serve them. More stories like these exist. It is estimated 500,000 non-status people live in Canada today. There are many terms used to describe people with less than full status, including precarious status, undocumented, non-status, temporary status, etc. Each term describes different access to services and employment. We use the word "non-status" to highlight those with no access to services or legal work opportunities. Non-status immigrants live, work and go to school in cities. They pay taxes, such as property and sales taxes, contribute to local communities and their labour props-up particular industries. Visit any construction site, restaurant kitchen or downtown office tower after hours when the cleaning crew springs to action, and odds are you'll be sharing space with non-status workers. However, as working class immigrants, the majority don't qualify for permanent status due to Canada's exclusive immigration policies. Non-status immigrants are also unable to access key services. They can't access healthcare, education, police protection, ESL classes, food banks, shelters, and housing due to ID requirements or fears of being deported if their lack of status is revealed. Despite these obstacles, non-status people are increasingly making demands on services out of sheer need. Access to essential services is not only a human right, but also a public health and safety issue for all Canadians - with or without status. How safe are any of us when one of us is sick and can't access healthcare? How safe are any of us when witnesses or victims of crime don't approach the police? We envision a vibrant Toronto where inclusive federal-provincial immigration policies welcome and support the social, cultural and economic contributions of all migrants, including working class immigrants currently excluded from avenues for legal resident status. We also envision a Toronto where non-status immigrants are able to access the social safety nets they pay into through taxes without fears of deportation and detention. The purpose of this report is to share information on the Undocumented Support Network Project and key resources from the initiative that aim to increase the capacity of agencies to better serve non-status immigrants. Our intended audience is the social service sector, particularly those who work with non-status immigrants in Toronto. Though many in the sector would find this report useful, we are targeting upper management to begin conversations in their organizations on how to better serve non-status immigrants using the resources provided. While visibility is often dangerous for non-status people, we hope this report helps all of us in the sector, albeit in a small way, take steps to make visibility safer in Toronto. II. Undocumented Support Network (USN) Project PROJECT BACKGROUND The Portuguese Canadian National Congress is a non-profit organization that represents over 400,000 Canadians of Portuguese heritage. Created in 1993, the Portuguese Canadian National Congress addresses issues affecting PortugueseCanadians through community-based project and its network of elected Directors, Delegates and local representatives from across the country. Working Women Community Centre is a non-profit and charitable organization that provides immigrant women and their families with opportunities to improve the quality of their lives through self-development and community action. They provide a range of services that include: settlement, language and training, employment supports, health and wellness, public education and community development. The Portuguese Canadian National Congress and Working Women Community Centre received funding from the George Cedric Metcalf Foundation to coordinate a 16 month initiative entitled the Undocumented Support Network (USN) Project from the period of September 1, 2007 to December 31, 2008. The initiative aimed to help improve the capacity of community agencies and allies address the needs of and policy frameworks impacting undocumented migrants in Toronto by: a) increasing the collective capacity of a network of agencies, employers and allies to support undocumented families through services, community development and policy advocacy; and b) pursuing immigration policy reforms targeting all 3 levels of government. PROJECT ACCOMPLISHMENTS Highlighted below are some of the key project activities that helped fulfill the project objectives. AGENCY PROTOCOL COLLECTION: A call-out was disseminated to social service organizations across the province requesting existing policies, protocols, and guidelines on working with non-status immigrants. The aim was to compile the information to share with the sector and to identify gaps in service provision for non-status immigrants. Agencies circulated the information to their members and the wider community via member list-serves, websites and newsletters. Few policies were collected, partly because not many formally exist, but many messages were received expressing interest in the final document. SECTOR FORUM: Moving Towards Visibility: A Forum on Creating Guidelines to Service Non-Status People in the Housing, Health, Settlement and Legal Sector took place July 10, 2008 at St. Christopher House. The event was a partnership with St. Christopher House, Access to Services for Socially Marginalized Immigrants and Refugees Advisory Committee and Access Alliance Multicultural Health & Community Services. The meeting provided an opportunity for participants in the social service sector to share best practices and build knowledge to improve service delivery to non-status immigrants. Over 60 participants attended from various sectors and organizations across Toronto. The program included presentations by key organizations on the (policy) challenges of and advocacy gains in serving non-status immigrations. Speakers included: Giovanni Francisco Rico Bolanos, Legal Caseworker, FCJ Refugee Centre; Carolina Gajardo, Manager, COSTI North York Housing Help; Keith McNair, Executive Director, Davenport Perth Neighbourhood Centre; Axelle Janczur, Executive Director, Access Alliance Multicultural Health & Community Services. The session was facilitated by Armine Yalnizyan from the Canadian Centre for Policy Alternatives. The program also incorporated working group sessions where participants identified information gaps and what they would like to see in a policy template. A POLICY TEMPLATE ON WORKING WITH NON-STATUS IMMIGRANTS FOR THE SOCIAL SERVICE SECTOR: The template is a guide and springboard for organizations with the capacity to implement guidelines in serving non-status immigrants. The Access Not Fear: NonStatus Immigrants and City Services Preliminary Report (2006) notes the lack of coherent and formal policies in serving non-status immigrants among social service organizations and the resulting challenges in accessing city services faced by both non-status immigrants and front line workers for their clients. Several activities went into developing the template's content including a provincial callout to submit guidelines, protocols or policies to establish what currently exists (see above); during the Moving Towards Visibility Forum, participants were asked in working group sessions to identify information gaps and what they would like to see in a template; and through interviews with key players from the housing, legal, settlement and health sectors. Drafts of the template were also reviewed at the OCASI Geneva Park Conference (October 2008) and at a feedback meeting. FREQUENTLY ASKED LEGAL QUESTIONS BY ORGANIZATIONS SERVING NON-STATUS IMMIGRANTS: Legal issues were identified as one of the main information gaps in the social service sector. Karin Baqi, lawyer at the South Asian Legal Clinic of Ontario, and MacDonald Scott, paralegal at Carranza Barristers and Solicitors and member of the Immigration Legal Committee of No One is Illegal, agreed to create a FAQs document that addressed frontline workers and agencies' most common questions. OCASI PROFESSIONAL DEVELOPMENT CONFERENCE WORKSHOP: Created and facilitated an interactive, three hour workshop at the 2008 OCASI Professional Development Conference on October 24, 2008 at Geneva Park. The aim of the workshop was to identify policy gaps in serving non-status immigrants and review a draft of the policy template and its applicability in service delivery. The workshop also addressed the process of the template's development to date, key findings, sector gaps and organizational concerns on issues of funding, legal obligations, etc. BIBLIOGRAPHY ON NON-STATUS IN CANADA: A bibliography was compiled of over 80 articles, reports and resources addressing non-status issues in Canada. It is to be used by organizations, agencies and academics as a resource to identify gaps in Canadian literature, help find information needed for funding applications, etc. ESTABLISHING A NETWORK: Starting in the fall of 2008, USN was one of the stakeholders involved in building Status Now!: Campaign in Defense of Non-Status Immigrants (www.statusnow.org) by hosting planning and visioning meetings, garnering support from other organizations for the network and by participating in network actions like the campaign against Bill C-50's changes to the Immigration and Refugee Protection Act that comprised a rally and press conference on April 9, 2008. The group originally formed in June 2007 to garner support for a motion introduced by MP Olivia Chow on behalf of the Standing Committee on Immigration to place an immediate moratorium on deportations of all non-status peoples and their families that ended up with a positive vote in parliament. However, with the dissolution of parliament, the motion was also swept away. Energies were then put into developing the network. The Lighthouse Community Centre is currently taking the lead on the network and recently hosted We are Immigrants, Not Economic Units, a community action meeting on the Temporary Foreign Worker Program and the Canadian Experience Class. The network's three demands are moratoriums on deportations in Canada, regularization of all non-status people in Canada and reforming Canada's Immigration and Refugee System. The aims of the network are to: 1. Build a cohesive network of municipal, provincial and national organizations composed of community groups, unions, immigrants, refugees, non-status peoples, agencies and service providers, academics and politicians who are working on the issues of regularization, service provision and advocacy for non-status individuals; 2. Launch an educational campaign including a website, campaign outreach material and a power point presentation which will serve as the basis for local community forums. The website will serve as an outreach tool as well as a data bank of collected information including research, campaign materials, educational resources and other media in multiple languages on the issue of non-status communities in Canada. The educational campaign will also address service provision to non-status immigrants; 3. Participate in municipal, provincial and federal lobbying efforts and campaigns pushing for a moratorium on deportations, regularization and access to services for non-status immigrants; and 4. Built capacity for non-status immigrants, youth, service providers and trade unionists advocating on the issue of regularization and service provision for non-status immigrants. PROVINCIAL NOMINEE PROGRAM: The Ontario Provincial Nominee Program (PNP) launched in 2007 as a one-year pilot project. It is employer driven, allows Ontario to nominate immigrants for permanent resident status based on labour shortages and applicants are fast tracked by Citizenship and Immigration Canada. A unique aspect of the program is that workers nominated for the PNP can be living in Canada (with a temporary status permit), do not have to leave the country to apply for status and are not dependent on an employer for their status. USN saw this as a narrow opening to begin discussing the potential to expand the industries participating in the program and regularization of migrants (including non-status immigrants who do not have temporary status) in Ontario who fill labour gaps in industries identified by the program. A meeting with a PNP representative of the Ministry of Citizenship and Immigration was held on November 29, 2007. The representative was open to community partnerships and input into the program. The PCNC and other community organizations were invited to provide input on program design and performance during the program's one-year review on June 6, 2008. Though the category of eligible migrants has not been expanded, the program has since removed industry restrictions. RECOMMENDATIONS The following are three "big picture" recommendations to improve the lives of all Canadians - including non-status peoples. * Federal and provincial governments need to change their exclusive immigration policies and regularize the status of non-status peoples currently in Canada. Non-status and temporary foreign workers are upholding particular industries. If they are good enough to work in Canada, they are good enough to stay in Canada. * The social service sector needs to improve its collective capacity to serve and act as an advocate for non-status immigrants. Part of this process includes adopting policies and guidelines in working with non-status people. The template included in this report can help begin this process. * The social service sector is under funded and overworked. Funding bodies need to support the work of the sector and align their funding with community needs based on input from social service workers. This includes acknowledging the service needs, demands and basic human rights of nonstatus immigrants. III. A Policy Template in Working with NonStatus Immigrants for the Social Service Sector The Access Not Fear: Non-Status Immigrants and City Services Preliminary Report (2006) notes the lack of coherent and articulated guidelines in serving non-status immigrants in the Toronto social service sectors and the challenges in accessing services faced by both non-status immigrants and front line workers for their clients. This template aims to increase the capacity of social service organizations and frontline workers to better serve non-status immigrants by identifying policy gaps in the sector when working with this community. Several activities went into developing the template's content including: c) a provincial callout for organizations to submit guidelines, protocols or policies in serving non-status immigrants to establish what exists; d) hosting the Moving Towards Visibility forum, where participants identified gaps in knowledge in serving non-status and what they would like to see in a template; e) interviews with key players from the housing, legal, settlement and health sectors; and f) distributing various drafts for feedback, including during a workshop at the OCASI Geneva Park Conference in October 2008. We understand the realities of funding restrictions, lack of capacity and fear of attention from the Canadian Border Services Agency that keep the issue underground in the sector. However, as one participant said in the Moving Towards Visibility forum, this issue can no longer remain underground. The reality is that non-status immigrants are here and demanding basic human rights. We also understand not every suggestion in the guideline makes sense for all organizations and sectors. This document is not meant to be prescriptive but descriptive. It is meant as a guide that points to discussions organizations serving non-status immigrants need to have to systematize practices and decisions often made on a daily, ad hoc basis when working with this population. FINDINGS 1. GENERAL ORGANIZATIONAL POLICY An organizational policy or position statement on serving non-status immigrants is a step toward: a) identifying the service needs of non-status people; b) clarifying which organizations serve non-status and creating accountability; and c) supporting the work of frontline staff faced with requests for help from nonstatus people on a daily basis. For organizations that only get federal funding, an organizational policy to serve nonstatus immigrants may not be possible. It is for the majority of organizations in Toronto that receive mixed funding and already serve non-status immigrants. Below are suggestions from interviewees and positions/policies that exist on what to include in an organizational policy: * Avoid ambiguity. Many suggest being specific about serving non-status in your declaration and believe statements like "We serve immigrants" or "We serve people living in Ontario" are too vague. Instead, use: "We serve all immigrants, regardless of immigration status" or "We serve all Toronto residents, regardless of immigration status." In some sectors, other terms might be used, like "We serve all uninsured clients, including…" * Include a definition of the term you are using, whether it be non-status, undocumented, precarious immigration status, etc., and who that includes. * For the health sector, if you serve uninsured clients and there are fees attached to your service, include this piece of information in your statement. * Be clear about who is legally obligated to do what in relationship to noninsured clients. For example, a community health centre has this policy: "We are not an enforcement agency. As such we are under no legal obligation to ensure the immigration status of a client with respect to programs and services. However, staffs are required to report cases of suspected health card fraud. For physicians, this is a statutory obligation." * If you receive mixed funding, be specific in your policy that not all services are accessible if that is the case. * Some policies include context of the issue: how people become non-status, the systemic roots of the issue in immigration policies, barriers the community faces, the practical and ethical reasons for serving this group and the organization's recommendations to resolve the issue. * Integrate your policy in servicing non-status immigrants into your organization's equity policies. For example, the Local Health Integration Networks (LHINs), bodies that oversee local health services, are asking hospitals to create cultural competency and equity plans. The issue of serving non-status immigrants can be integrated into these documents. 2. SERVICE DELIVERY GUIDELINES Many believed a policy on serving non-status immigrants needs to be accompanied by guidelines on how to serve this community. The following lays-out information gaps identified by social service workers when serving non-status immigrants that can help in creating a guideline. Board/Management * Does the organization have a guideline to follow if the Canadian Border Services Agency (CBSA) or local police contact you for information on a nonstatus client? * In that guideline, is there a designated board member (with their contact info) or senior staff member to handle this situation? * Does the organization have a designated legal representative with immigration knowledge in case any legal issue occurs? * Does staff training include these legal matters and organizational protocols regarding serving non-status? * Has a review occurred of all organizational policies/practices and their effect on the accessibility of non-status clients to services? E.g. The Access Not Fear Report notes experiences of clients walking out of an organization when they see the Citizenship and Immigration Canada (CIC) poster organizations are mandated to put up if they receive CIC funding. If you have this sign and are also funded by the city, can you also include a City of Toronto poster identifying what city services are accessible? (http://www.toronto.ca/immigration/acc_ser_imm.htm) Referrals and Privacy One of the biggest challenges many in the sector face are issues of privacy, including safe and effective referrals for non-status clients. One interviewee mentioned how the trust she works hard to establish is tainted by referrals to organizations where non-status clients meet resistance or long waiting lists. "You feel embarrassed and my client doesn't trust me as much", she said. Privacy is a hot issue in the health sector and its move to computerized health services known as e-health systems. E–health allows the sharing of information between health care providers, e.g., general practitioners, specialists, pharmacists, etc. (http://www.hc-sc.gc.ca/hcs-sss/ehealth-esante/index-eng.php). Questions of confidentiality and what to include in a file become even more important in this context. Instead of a systematized process, referrals for non-status clients are based on an individual caseworker's contacts and knowledge of the issue and the number of favours they are owed in the sector. How can your organization systemize referrals so they are not based on individual caseworker's networks? * Create an internal database of agency referrals and, if possible, the client's experiences with them. * Use and ensure all staff know about the Community Social Planning CouncilToronto's Community Services Resource Guide for Non-Status Immigrants. (http://www.socialplanningtoronto.org) * Create a standard process or script when contacting agencies or service workers you are not familiar with. The process should outline if staff should mention status (based on whether the organization adopts a Don't Ask, Don't Tell Policy - see next section), when a referral may need to know the client's status and when they don't need to know. * Frontline workers are very innovative in getting services for their clients. Systematize some of these informal practices. E.g. When services require ID to ensure the client is in their catchment area, some frontline workers call the organization ahead of time and/or offer their business card for their client to present as proof they live in the area. Many non-status, for obvious reasons, are weary of providing their address to access services. * Many agencies have a general privacy policy that clients sign. Does the policy include information of when the organization may be legally obligated to breach privacy policies? Is the policy available in different languages? Intake What to ask during intake is a controversial and complex topic that depends on the services offered and funding body requirements. * Can your organization adopt a Don't Ask, Don't Tell (DADT) policy? (http://toronto.nooneisillegal.org/dadt) Don't Ask prohibit city workers from asking about someone's immigration status and Don't Tell from sharing that information. Some interviewees felt they needed to ask about status to do their job properly and to keep track of the service needs of this group. All agreed the main spirit of the policy is access without fear. If not a DADT, what type of policies around privacy can be adopted to ensure access without fear and penalty? * If you need to identify status, how can it be done within an anti-oppression framework? When should status be asked and when shouldn't it be asked in your organization? If you take the route of needing to ask status, make sure to outline why and in what circumstances. * Do intake forms need to identify a client's status? Do you need to take the client's address also? * Does intake or (pre)intake occur in a private setting? In some organizations with mixed funding, (pre)intake occurs in the waiting room by front desk staff to determine who the non-status client can see. Files and Filing Questions of what to document during intake and what to keep in a client's files are important to organizationally address. Some funding bodies can access your files and the Canadian Boarder Services Agency can subpoena your files. This is rare but is a possibility. * Should your organization keep files on non-status clients?; Why, why not? Most organizations that adopt a DADT policy don't keep any documentation of a client's status, some keep a file but only include service orientated comments, and others only keep the bare bones and give their clients the majority of their documents. * If you keep files, do you safely store them? Some organizations with mixed funding keep their files separately in locked cabinets. One cabinet is for federal funded clients, etc. Others colour code their files based on the funder so they are not mixed with federal funded clients. Implementation and Accountability Policies are useless without implementation and accountability mechanisms. * Are board members, staff, volunteers (and doctors in the case of health services) sensitized to and trained annually on serving non-status clients and the organization's guidelines? * Is there a system in place (or within Human Resources) where new additions to the organization are aware of the organization's guidelines on the issue? * Are accountability mechanisms in place? If so, what do they look like? * If you work with non-status immigrants, does your organization work on outreaching to non-status clients so they are aware of the services that are accessible to them? How is this done? IV. Frequently Asked Legal Questions Organizations Serving Non-Status Immigrants by 'This document is a bit scary and it's a lot like cough medicine. It tastes bad but it's good for you'. This analogy is not meant to belittle the issue but to point out that it is important to know your rights as organizations taking practical and ethical stands in serving non-status immigrants. Serving non-status immigrants is a practical and ethical issue. It is practical for nonstatus immigrants to have access to city services when considering community health and safety. It is ethical from a human rights perspective. It is also ethical because non-status immigrants contribute to the system and are in a situation created by ineffective immigration policies. The following Q & A section is intended to provide summary responses to legal questions frequently asked by front-line workers at social service agencies serving non-status/undocumented people. It is for information purposes only and does not constitute legal advice. You should consult a lawyer if a particular situation arises and you need more information on how to proceed. This document was created because: * Immigration and refugee law is a complex area of administrative law. * There is a lot of misinformation in the sector. * Legal issues were identified as one of the main policy and information gaps in the sector when working with non-status immigrants. This document was created by lawyers at the South Asian Legal Clinic of Ontario (SALCO) and immigration paralegal MacDonald Scott at Carranza Barristers and Solicitors and the Immigration Legal Committee of No One Is Illegal. Table of Contents: Frequently Asked Questions Summary Q1. What are the main laws relating to immigration in Canada? Q2. Who is defined as a "non-citizen"? Q3. What is the role of the Canadian Border Services Agency (CBSA) in immigration law? Q4. What is the role of the municipal police in immigration law? Q5. What types of warrants are there? Q6. What is an immigration warrant? How are they obtained? Who enforces them? Q7. What is a criminal arrest warrant? How are they obtained? Who enforces them? Q8. What are search warrants? How are they obtained? Who enforces them? Q9. What are the legal obligations of social service agencies to the CBSA or municipal police without a warrant? Q10. What are the legal obligations of social service agencies to the CBSA or municipal police with a warrant? Q11. How can an agency authenticate a warrant? What do they look like? Q12. What are summons and subpoenas? Q13. What do summons and subpoenas look like? Q14. What are our legal obligations when served with a summons or subpoena? Q15. Why would an agency receive a summons or subpoena? Q16. Do summons/subpoenas override a Client-Service Provider Confidentiality Agreement? Q17. What are the legal obligations of a caseworker involved in a client's immigration claim? Q18. If a caseworker is asked by their client to find out their status, immigration claim status, or if there is a removal order out for a client, what legal information should she/he know before proceeding? Next Steps: How can your organization prepare itself? Frequently Asked Questions And Answers Q1. What are the main laws relating to immigration in Canada? In Canada, immigration and refugee law is primarily governed by federal statute, namely the Immigration and Refugee Protection Act (IRPA) and its associated Regulations (IRPRegs). The IRPA is an administrative (i.e. non-criminal) statute that regulates the entry, admission and removal of non-citizens to and from Canada. Q2. Who is defined as a "non-citizen"? Non-citizens include permanent residents (i.e. landed immigrants); protected persons and Convention refugees (i.e. individuals who have been recognized as such by the Immigration and Refugee Board [IRB]); refugee claimants; temporary residents (i.e. individuals on valid work, student or visitors visas); and foreign nationals without status. Q3. What is the role of the Canadian Border Services Agency (CBSA) in immigration law? Implementing the IRPA is the responsibility of Citizenship and Immigration Canada (CIC) and the CBSA. Since 2003, the CBSA's primary role is to enforce the arrest, detention and removal provisions of non-citizens under the IRPA and limited Criminal Code provisions, and to determine whether a foreign national is "admissible" to Canada. The CBSA has broad enforcement powers under the IRPA and its associated Regulations. The CBSA and its officers do not have the authority to enforce infractions/violations of any other legislation. Under the detention provisions, they can't detain citizens. Q4. What is the role of the municipal police in immigration law? Police are responsible to enforce various statutes primarily geared towards crime control and the maintenance of public order. The police are statutorily directed to enforce the Criminal Code, the Controlled Drugs and Substances Act and the Highway Traffic Act, among other laws. In the absence of an immigration warrant, the police are not tasked to enforce the IRPA. The IRPA itself says that the police enforce warrants or written orders issued under it for the arrest, detention or removal of non-citizens from Canada "when so directed by an [immigration] officer". Given the complexity of immigration law, the police are ill-placed to properly enforce the IRPA. There are many categories of non-status people who are lawfully entitled to remain in Canada (e.g. persons not yet subject to enforceable removal orders, persons who have been granted a stay of removal, etc.). For this reason, the primary responsibility for immigration enforcement falls to the CBSA. It is also contrary to the public interest for police to enforce the IRPA. For example, the risk of immigration detention and removal prevents non-status victims and witnesses of crime from coming forward to the police. The Toronto Police Services Board announced in December 2008 that they are not including the Don't Tell component of the Don't Ask policy they adopted in 2006. Nevertheless, there are other ways status is disclosed and police have been known to turn non-citizens over to the CBSA, even where no crime has been committed and where no immigration warrant is in place. There have been instances where nonstatus women seeking police assistance in cases of sexual and domestic assault were handed over to the CBSA. While police protection should be a right to all people, this is something for front-line workers to keep in mind when assisting persons without status. There appears to be no definitive decision made in Canada on this issue. While there is no statutory authority for the police to enforce immigration law in the absence of an immigration warrant issued by a CBSA officer, the point has yet to be litigated in the courts. Q5. What types of warrants are there? There are several types of warrants. The ones relevant to social service agencies working with non-status people are immigration warrants, criminal arrest warrants and search warrants. Q6. What is an immigration warrant? How are they obtained? Who enforces them? Immigration warrants are issued by a CBSA officer. CBSA officers have very wide discretion under the IRPA to issue warrants for arrest if they have "reasonable grounds to believe" that: * An individual is inadmissible to Canada and a danger to the public. * An individual will unlikely show up at an examination, hearing or removal. * Or if a CBSA officer is not satisfied that the person's identity has been established. CBSA officers can arrest foreign nationals suspected of non-compliance with the IRPA with or without a warrant. However, individuals who are permanent residents or protected persons (Convention refugees) can only be arrested for immigration purposes where there is a warrant. CBSA only has authority to issue warrants for immigration purposes and does not have the power to detain citizens. Immigration warrants are routinely issued against non-citizens for reasons that have nothing to do with public safety. Failure to appear at an appointment with the CBSA can result in an immigration warrant. Many clients do not provide CBSA/CIC with their updated address. One of the consequences is that they may not receive correspondence from CBSA/CIC asking them to appear for an appointment or examination. Clients who don't want to provide their address to CBSA/CIC should at least provide a reliable mailing address and speak to a lawyer or licensed immigration consultant about their situation. The CBSA operates its own Immigration Warrant Response Centre. All immigration warrants are posted to the Canadian Police Information Centre (CPIC). CPIC is a Canada-wide computerized information system that houses warrants for various law enforcement agencies (e.g. the RCMP, provincial and municipal police). During random stops and searches at traffic lights for example, often non-status persons are brought to police attention through a CPIC search and turned over to the CBSA. Q7. What is a criminal arrest warrant? How are they obtained? Who enforces them? A criminal arrest warrant is a court-issued document that authorizes the police to arrest a person suspected of a crime. Police officers can only arrest individuals without a warrant in limited circumstances defined in the Criminal Code (for example, where the individual is in the course of committing a crime or if the officer has reasonable grounds to believe that they have or are about to commit a crime). For a police officer to obtain a criminal arrest warrant, she must appear before a judge or Justice of the Peace and make the case (through a written "Information") of reasonable grounds that the person for whom the warrant is sought is suspected of a criminal offense. When a warrant is issued, any police officer can arrest the person identified in the warrant. Q8. What are search warrants? How are they obtained? Who enforces them? Search warrants are court-issued documents that authorize the police to search a particular premise to carry out an investigation. They are obtained in a similar way to criminal arrest warrants. A police officer must make the case to a judge or Justice of the Peace that the search is necessary. They must prove, for example, there are reasonable grounds to believe evidence relating to the crime is located in the premises to be searched. The search warrant lays out how the search is to be executed. It indicates the place, times and manner in which the search can be carried out. The police cannot arbitrarily conduct a search of an agency. The search also becomes illegal if the police do not following the details of the search warrant. Similarly, unless consent is given by a person authorized to allow entry into the premises (for instance if an agency allows the police to conduct a search), a warrantless search is still illegal. Though, in emergency circumstances, there can be exceptions. The CBSA cannot obtain a search warrant and has no authority to search an agency's premises. Q9. What are the legal obligations of social service agencies to the CBSA or municipal police without a warrant? Without a warrant, the agency is under no obligation to speak to the CBSA or the police and should politely decline to do so. It is advisable that all agencies ensure staff know their rights and that all agencies develop policies on how to respond to the CBSA or police. These policies may involve directing them to the agency's counsel, executive director or another person that the agency authorizes to handle CBSA/police inquiries. Q10. What are the legal obligations of social service agencies to the CBSA or municipal police with a warrant? Agencies are legally obliged not to interfere with the execution of a warrant. If the CBSA or police appear with a warrant (for example an immigration warrant, a criminal arrest warrant or a search warrant), agency staff who interfere with its execution risk being charged with obstruction of justice. However, only the police have the authority to lay any charges. The CBSA is only responsible for immigration enforcement and does not have the authority to detain citizens. If agency staff interferes with the CBSA's execution of an immigration warrant, the CBSA may call the police for assistance. What defines "interference" is a grey area and depends on the particular situation. Agency staff may choose to cooperate with the CBSA but it is unclear to what extent, if any, agency staff are legally obligated to do so. This issue is not addressed in the IRPA or the accompanying Regulations and has not been before the courts. However, in day to day terms, there is always a risk the police will be called if an agency doesn't cooperate with the CBSA. This could lead to potential criminal charges for staff members (e.g. obstruction of justice), a request from the police to search the premises or an issuance of a search warrant to search the premises (where the police have made the case that it is justified). Q11. How can an agency authenticate a warrant? What do they look like? Agencies should ask to see the warrant. The police are obligated to produce the warrant. If they do not, there is no obligation to allow them to enter the premises and they should be politely asked to leave. Immigration warrants Immigration warrants take the form of a "Notice of Arrest under s. 55 of the IRPA." The form number at the bottom of the warrant reads IMM 1285B. Remember, warrants are not required to arrest or detain foreign nationals (immigrants) under the IRPA unless they are permanent residents or protected persons. In this case, the warrant must be signed and identify the person to be arrested. Criminal arrest warrants The form of a typical criminal arrest warrant is laid out in Form 7 of the Criminal Code (see http://www.canlii.org/ca/sta/c-46/part326776.html for a sample). The warrant will: * name or describe the accused person * briefly set out the offense they are charged with. * be dated * and bear the signature of the judge, Justice of the Peace or court clerk. Search warrants The form of a typical search warrant issued pursuant to the Criminal Code is laid out in Form 5 of the Criminal Code (see http://www.canlii.org/ca/sta/c-46/part326762.html for a sample). The search warrant will include: * the specific items they are looking for. * the offence that led to the search. * the address of the premise to be searched. * the specific times the police are authorized to conduct the search. * the date. * the signature of the judge, Justice of the Peace or court clerk. Q12. What are summons and subpoenas? A summons is a court or tribunal issued document compelling a person to attend and produce documents or other items. A subpoena is a document compelling a person to appear before a court or tribunal to provide witness testimony. Q13. What do summons and subpoenas look like? The form of a summons and subpoena depends on the legislation it pertains to. The standard information included is the date, time and location where the person is required to appear. Court-issued summons indicate the court file number, have the dated signature of a judge, Justice of the Peace or court clerk, and may be accompanied by a court seal. A criminal subpoena to a witness will also indicate the offense which the accused is charged with. In immigration and refugee matters before the IRB, the various Divisions of the Board (i.e. the Refugee Protection Division, the Immigration Division and the Immigration Appeal Division) may also issue summons to appear as a witness on the request of a party (for e.g. the CBSA). However a summons will generally not be issued where the witness's testimony is not necessary for a full and proper hearing of the immigration matter at issue. Q14. What are our legal obligations when served with a summons or subpoena? Summons and subpoenas are typically personally served to the person being summoned or subpoenaed. A summons/subpoena imposes a legal obligation for the named person to appear before the court or tribunal. Failure to appear can result in an arrest warrant being issued. Arrest warrants for failure to obey an IRB-issued summons can only be issued if the person was paid or offered witness fees and travel expenses set out in Tariff A of the Federal Court Rules and the person's testimony is still required for a full and proper hearing. If agency staff is issued a summons/subpoena in relation to their work, a lawyer should be consulted. Q15. Why would an agency receive a summons or subpoena? Though really rare, agency staff may be subject to a summons or subpoena if they have information relevant to a trial or hearing. Agencies should develop clear policies on what kinds of information they should collect and file management and closure. Immigration status is often not legally relevant to services provided by many social service agencies. Q16. Do summons/subpoenas override a Client-Service Provider Confidentiality Agreement? Yes. Summons/subpoenas are orders that impose legal obligations. A Client-Service Provider Confidentiality Agreement (and communications between agency staff and clients) are not legally privileged. Q17. What are the legal obligations of a caseworker involved in a client's immigration claim? Caseworkers involved in a client immigration case must not knowingly counsel, induce, aid or abet a client to misrepresent or withhold material facts relevant to their immigration matters. Caseworkers however are under no obligation to share information with the CBSA or CIC. Q18. If a caseworker is asked by their client to find out their status, immigration claim status, or if there is a removal order out for a client, what legal information should she/he know before proceeding? If a caseworker is unsure of a client's immigration status or the status of an immigration application their client has pending, they can only make inquiries to CIC about this information with their client's express consent. The easiest way to find out these details is through the client's legal representative (lawyer or immigration consultant) that handled the application. With your client's authorization, you can speak to their lawyer/immigration consultant to find out the required information. CIC says the status of certain types of applications (for example, sponsorship applications or applications for permanent residence) can be checked online or by calling the CIC Call Centre at 1-888-242-2100. However, the information provided is often not up-to-date. Also, it is not always in the client's best interest to contact CIC. If it turns out an immigration warrant has been issued for the client's arrest, contacting the CBSA/CIC puts them at greater risk of arrest, detention and removal. Any inquiries to the CBSA or CIC on behalf of a client should be made by the lawyer/immigration consultant retained to handle the client's application. A lawyer can further assist the client in trying to access her immigration information. Though unlikely, direct contact with the CBSA or CIC for example, may result in agency staff being summoned at some future point. A lawyer is much less likely to be summoned and can fight it. Next Steps: How can your organization prepare itself? In conversations with many social service agencies, the above circumstances are rare and have mainly affected those in the housing and shelter sector. Even so, it is highly advisable that organizations serving non-status people develop policies and plans of action. Refer to the guideline template in this report. Also, organizations who adopt a Don't Ask Don't Tell policy or a policy with a similar spirit ensure that immigration information is not collected. That is, no one shall be asked their immigration status upon accessing services ("don't ask"), and if and where lack of immigration status becomes known to the organization, it will not be disclosed to the police or the CBSA ("don't tell"). APPENDIX 1 - Moving Towards Visibility: A Forum on Creating Guidelines to Serve Non-Status Peoples in the Housing, Health, Settlement and Legal Sectors FORUM SUMMARY PROCEEDINGS th July 10 , 2008 12 - 4:30 pm St. Christopher's House, Community Hall, 248 Ossington Avenue, Toronto INTRODUCTION The aims of the forum were to: a) Provided an opportunity for participants in the social service sector to share best practices and build knowledge to improve service delivery to non-status immigrants; b) Inform the creation of a guideline template that outlines policy gaps in serving nonstatus immigrants. The forum was organization by staff at the Portuguese-Canadian National Congress' Undocumented Support Network Project in partnership with Mahassen Mahmoud, Chantal Bombardier and Darshan Ambalavanar at St. Christopher House, with Lindsay Angelow at Access Alliance Multicultural Health and Community Services and with Priya Kissoon, CERIS Visiting Scholar from the University of British Columbia. FORUM AGENDA PROCEEDINGS Speakers Panel A. Climate * Dismal political environment in terms of addressing the issue of non-status immigrants. * In each sector, there is a wide disparity regarding the level of knowledge on this issue. Attitudes within the sector also hinder the issue from moving forward systemically. * At the same time, more organizations are getting on board and recognizing this is an important political issue. * Programming that is focused on non-status people is especially challenging because of the lack of options and huge barriers for service non status immigrants face. * Positive advocacy examples include gaining access to Canada's universal healthcare for babies born in Canada to non-status parents. There is also some headway with Don't Ask Don't Tell Campaign municipally. * It seems the numbers of non-status people asking for help has increased. * It is difficult for community organizations that can help this population meet the demand and many are feeling overwhelmed. * Frontline workers are resourceful in helping non-status people and the most important thing is creating trust between the client and the worker. B. Funding * Funding is a major issue. It is hard to get funds to work with non status people. * Despite strong advocacy, many funders are slow in recognizing the need to service non-status peoples, particularly at the federal level. * Citizenship and Immigration Canada's funding guidelines are very restrictive in terms of who can receive services and do not recognize the service needs of nonstatus people. Ministry response is that they know about the issue but there is nothing they can do to ease restrictive guidelines. * Provincial funding is less restrictive and serves uninsured people because guidelines don't restrict it (NSP- Ministry of Health CHC criteria for funding not linked to status of clients) but discussing the issue is also touchy at this level. * Municipal funding is more flexible. * At DPNC, we have a settlement staff person dedicated part-time to non-status clients funded by United Way. C. Non-status Policy * Making a decision that the organization has a commitment to non status immigrants is important as it is a decision to systemically work with non-status people. * Being clear with the funder that status is not distinguished at the organization. * Currently, we have a social action committee that speaks on behalf of the organization on social policy issues. * Also, we have a newcomer non-status action committee where there is a staff from every part of the organization. * We need a policy statement that says we will help non-status people without being reprimanded for it. * Strategic planning is an opportunity to address this issue. * Different policies have been implemented but most of them are based on human rights. * Need to be committed to systemic change and not being afraid of putting resources forward. * Senior management has the capacity to make changes to better support the organization's capacity – it's a collaborative effort. * Staff is given supportive resources in making sure that discretion is used. * This issue isn't just about service needs but about the need for advocacy. This is hard to expect too because the majority of staff are underpaid and overworked. QUESTION PERIOD TO SPEAKERS QUESTION: Organizations are weary about stating they service non-status people because of the potential negative attention from funders and more discriminate policies, or it increases risks for clients by potentially attracting immigration authorities. Can the panelists speak on the issue of funding and servicing non status people? RESPONSES: 1. We don't get federal funds but we also don't advertise that we aid people without status. The board needs to take a leadership position about serving all clients regardless of funding. 2. Our organization has begun to show the funder how many non-status people we service so that there is an understanding of how much this group of people needs help. It's a dirty little secret no one wants to talk about. If nobody puts it in the open that they are servicing non-status people, non-status people become another level of criminality. Servicing non-status people needs to come out of the closet because Canada has active human rights treaties through which non-status people are covered. 3. Government funding is a problem for us because of our vocal stand on serving non-status people. 4. The closeted days are over because we have organizations that clearly state they help non-status people. We have started with children and education through the human rights lingo. We need to push those boundaries to get better services. QUESTION: Although we recognize there are wonderful agencies, we are concerned that organizations servicing non status people need to create a clear common agenda to reinforce the level of interagency agreements and protocols. How can we be effective to change things in the macro perspective? How can we work together for these people? If we work together, we can get positive outcomes for these people. RESPONSES: 1. I don't think it's fair to ask every organization to go through the same path. It's impossible for any network or coalition to come with a done deal list of things. 2. It's challenging on many fronts because we cannot all stand up. Today is about sharing ideas to go back to our organizations and see what fits there and be committed to that plan. 3. Diversity is what makes these organizations great. We just need to be aware of what organization does what. QUESTION: One thing that didn't come up in the presentation was that the vast majority of people living without status are people of non-European descent. Both the Ministry of Health and Education are in close-door fashion developing equity plans. There is an opportunity to get word in. Do you know about that and are you involved? There is a current campaign regarding all persons, including landed immigrants, being able to vote, can we include non-status people? Also, Canada being the follower and never the leader in regards to regularization, is there an opportunity there and how do we take it? RESPONSES: 1. Regarding health equity issues, we are involved in two of their focus groups and have spoken of this issue. Although, I have not yet seen the report which is supposed to come out next weekend. From our view point, they are the ones with the money. We need to learn how to work with those guys and create a new relationship with them. QUESTION: We have been campaigning in Toronto and during our organizing, many people are undocumented. During our campaign, we see many employers who harass the undocumented. From a legal perspective, how can we put some of the onus on the employer? Also, is there any work being done around permits? RESPONSES: 1. Permits after overstaying are difficult because in order to apply for permits, you have to reapply outside of Canada. If you overstayed in Canada once, it is likely you will overstay again therefore this becomes a problem. Lobbying the government on this issue should be done because if someone has come here, has the ability to work and the employer needs them to work, it is a real problem if they can't stay. This is not a good situation for anybody. When you have undocumented workers, who are not allowed to legalize themselves, it becomes a situation where abuse is likely. Under the Immigration Refugee Protection Act (IRPA), it is still an offense for the employer to employ an "illegal." Under labor laws, the problem is the reporting aspect. Temporary resident permits are available for criminals, so why are they not available for "illegal" immigrants? If people can apply for this and also then have the RCMP and the labor laws enforced against the employer, it's a way to enforce labor status relationship between employer and employee. Working Groups Report Back Health Sector Group Session: * Policies that exist in health sector: anti-oppression policies, privacy policies, advocacy policies, regularization support, uninsured client policy, mission statement with access to all, CIC funding pre-natal programs. * It became a strategic priority in the organization to develop these policies by review committees pushing for policies, having committed staff members, and an active equity and diversity committee. * Funding constraints are combated through looking for less strict funders. Housing Sector Group: * We work with and want to help non-status people. * Want a script of a template to speak to board members regarding non-status people and access to services. Settlement Sector Group Session: * Working around constraints. * Seeing that sponsors are beginning to recognize the need to service non status. * Employing a mixed funding model (though available funds very limited). Finding funders that do not have restrictions on non status people. Employment / Legal Sector Group Session: * A lot informal policies are out there, a sort of unwritten rule. * Challenges around funding can be solved by arranging a wide array of funders. * Need information on how to speak to funders so you can get funding from flexible funders. Next Steps: An announcement was made regarding next steps of the Undocumented Support Network Project and its aim of creating a policy template identifying the policy and information gaps in the sector when working with non-status immigrations. APPENDIX 2: Bibliography Non-status or Less than Full Status in Canada Access not Fear: Non-Status Immigrants and City Services. 2006. Evidence from Investing in the Health of Canadians. Toronto. http://www.socsci.mcmaster.ca/polisci/emplibrary/Access%2 0Not%20Fear%20report%20(Feb%202006).pdf Bombardier, Chantal. 2007. The Lived Realities of Less than Full Status Women Navigating 'The System'. Unpublished Master's Major Research Paper. Immigration and Settlement Studies. Toronto: Ryerson University. Access to City Services Poster. 2007. City of Toronto. http://www.toronto.ca/immigration/acc_ser_imm.htm Alcoba, Natalie and Diana Mehta. Schools Will Not Turn Away Illegals; 'Our Responsibility'; Premier Resists Call to Adopt 'Don't Ask, Don't Tell' Policy. National Post. June 12. Amuchastegui, Maria. 2004, July 29-Aug 4. Shadowy Survival. Now Magazine. Arcury, Thomas; Quandt, Sara. 2007. Delivery of Health Services to Migrant and Seasonal Farmworkers. Annual Review of Public Health. 28: 345-363. Bakan, Abigail; Stasiulus, Daiva. 1997. Not One of the Family: Foreign Domestic Workers in Canada. Toronto: University of Toronto Press. Balibar, Etienne. 2000. What we owe to the Sans-Papiers. In Len Guenther and Cornelius Heesters' (eds.) Social Insecurity: Alphabet 7. Toronto: House of Anansi. Basok, Tanya. 2004. Post-National Citizenship, Social Exclusion and Migrants Rights: Mexican Seasonal Workers in Canada. Citizenship Studies. 8 (1): 47-64. Basok, Tanya. 2002. Tortillas and Tomatoes: Transmigrant Mexican Harvesters in Canada. Montreal and Kingston: McGill-Queen's University Press. Bernhard, Judith; Berinstein, Carolina; Goldring, Luin. 2007. Institutionalizing Precarious Immigration Status in Canada. Unpublished Manuscript. Bernhard, Judith; Goldring, Luin; Young, Julie; Wilson, Beth; Berinstein, Carolina. 2007. Living with Precarious Legal Status in Canada: Implications for Well-Being of Children and Families. Refuge. Forthcoming. Bernhard, Judith; Landolt, Patricia; Goldring, Luin. 2007. Transnationalizing Families: Canadian Immigration Policy and the Spatial Fragmentation of Care-Giving among LatinAmerican Newcomers. Unpublished Manuscript. Bowen, Sarah. 2001. Access to Health Services for Undeserved Populations in Canada. In Certain Circumstances: Equity in and Responsiveness of the Health Care System to the Needs of Minority and Marginalized Populations. Ottawa: Health Canada. 1- 60. Brown, Barbara and Paul Legall. 2008. 'I'll Fight to the Last Moment'; Twenty Years After Canada First Moved to Deport Him, a Man Convicted for a 1968 Terror Attack has no Plans to Leave his Brantford Home. The Spectator. July 16. Bustos, Alejandro. 2005. Unseen, Unheard and Afraid: Illegal Workforce Huge, Officials Admit. Have Politicians turned a Blind Eye to Illegal Workers? Some Fields, like Construction, Now Dependent on Them. Toronto Star. August 15. Caulford, Paul; Vali, Yasmin. 2006. Providing Health Care to Medically Uninsured Immigrants and Refugees. Canadian Medical Association Journal. 174 (9). Clifton, Jonathan. 2008. 'Just Membership: Canadian Immigration Policy and 'Low Skilled' Portuguese Workers in Toronto'. Unpublished Master's Thesis. Department of Geography. Vancouver: University of British Columbia. Forthcoming. Community Legal Education Ontario (CLEO). 2007. Immigrant Women and Domestic Violence. http://www.cleonet.ca/instance.php?instance_id=334 Community Legal Education Ontario (CLEO). 2007. Hiring a Lawyer to Help with a Refugee Claim. http://www.cleonet.ca/instance.php?instance_id=282 Community Legal Education Ontario (CLEO). 2006. Being Arrested and Detained for Immigration Reasons. http://www.cleonet.ca/instance.php?instance_id=278 Community Legal Education Ontario (CLEO). 2006. Every Child's Legal Right to Education. http://www.cleonet.ca/instance.php?instance_id=281 Making a Community Legal Education Ontario (CLEO). 2006. Refugee Claim. http://www.cleonet.ca/instance.php?instance_id=284 Community Legal Education Ontario (CLEO). 2002. OHIP Coverage for Children Born in Canada. http://www.cleonet.ca/instance.php?instance_id=3159 Cryderman, Kelly. 2008. Alberta Hit With 800 Complaints from Foreign Workers; Accommodation, Unfair Wage Deductions Cited. Calgary Herald. April 1. Davenport Perth Neighbourhood Centre and Community Social Planning Council of Toronto. 2007. Don't Ask, Don't Tell: Toronto Community Services Resource Guide. Gastaldo, Denise; Magalhaes, Lilian. 2008. Gender and Migration as Social Determinants of Health: The Case of Latin American Undocumented Workers in the Greater Toronto Area. Forthcoming. Gastaldo, Denise; Bover, Andreu. 2008. Latin American Workers as Caregivers: Globalization, Health Promotion, and Access to Health Care. Forthcoming. Gastaldo, Denise; Gooden, Amoabal; Massaquoi, Notisha. 2006. Transnational Health Promotion: Social Well Being Across Borders and Immigrant Women's Subjectivities. Wagadu: Journal of Transnational Women's and Gender Studies. 2 (1). http://web.cortland.edu/wagadu/Volume%202/Printable/gasta ldo.pdf Goldring, Luin; Bernhard, Judith; Chakkalakal, Elsy Jetty; Neve, Alex. 1998. Living without Status in Canada: Human Rights Underground. Toronto: Human Rights Underground Conference. Gorrie, Peter. 2006. Tories Begin Deporting Illegal Workers. Toronto Star. March 21. Greer, Shelly Sanders. 2007. Good help is Hard to Find; but is Bringing in Foreign Temp Workers the Way to Fix a Huge and Growing Skilled Labour Shortage? Toronto Star. September 8. Guang, Tian; Jin, Lu. 1996. Struggling for Legal Status: Mainland Chinese Mobilization in Canada. Refuge. 15: 26-32. Hall, Dave. 2008. Influx of Refugees Drops Off; Number of Mexican, Haitian Migrants Slows to 50 or 60 Per Month. The Windsor Star. September 13. Hammar, Thomas. 1990. Democracy and the Nation State: Aliens, Denizens and the Citizens in a World of International Migration. Brookfield: Gower Publishing Company. Hier, Sean; Greenberg, Joshua. 2002. Constructing a Diverse Crisis: Risk, Problematization and Illegal Chinese in Canada. Ethnic and Racial Studies. 25 (3): 490-513. Jimenez, Marina. 2006. Ottawa Rules out Amnesty for 200,000 Illegal Workers. Globe and Mail. October 27. Jimenez, Marina. 2003. 200,000 Illegal Immigrants Toiling in Canada's Underground Economy. Globe and Mail. November 15. Keung, Nicholas. 2008. 'No Sign' Canada is Keeping Track of Illegal Migrants; expert Accuses Ottawa of Expanding Temporary Foreign Worker Program without Enough Controls. Toronto Star. May 8. Khandor, Erika; McDonald, Jean; Nyers, Peter; Wright, Cynthia. 2005. The Regularization of Non-Status Immigrants in Canada 1960-2004: Past Policies, Current Perspectives, Active Campaigns. Report Prepared for STATUS Campaign. http://www.ocasi.org/status/Regularization_booklet.pdf Koehl, Albert. 2007. Unlocking the School Door: Immigrant Status and the Right to Learn. Education Canada. 47: 58-61. Landsberg, Michele. 2002. Officials Hound Woman Fighting Deportation. Toronto Star. April 13. Langevin, Louise; Belleau, Marie-Claire. 2002. Trafficking Women in Canada: A Critical Analysis of the Legal Framework Governing Immigrant Live-In Caregivers and Mail-Order Brides. Ottawa: Status of Women Canada. Latin American Coalition to End Violence against Women and Children. 2000. No (Wo)man's Land Research Project. Lowry, Michelle; Nyers, Peter. 2003. "No One is Illegal": The Fight for Refugee and Migrant Rights in Canada: A Roundtable Report. Refuge. 21 (3): 66-72. MacPherson, Douglas; Gushulak, Brian. 2004. Irregular Migration and Health. Global Commission on International Migration: Migration Perspectives No. 7. http://www.gcim.org/gmp/Global%20Migration%Perspectives %20No%207.pdf McDonald, Jean. 2008. The Making and Unmaking of Illegality: Non-Status Immigrants and Access to Services in Toronto. Unpublished Doctoral Thesis. Toronto: York University. Forthcoming. Metropolitan Action Committee on Violence Against Women and Children. Non-Status Women in Canada: Fact Sheet. http://www.owjn.org/action/non-status.pdf Mickelburgh, Rod. 2000. Canada Deports Chinese Migrants en Masse: 90 Boat People Depart Under Heavy Security. Globe and Mail. Mountz, Alison. 2004. Embodying the Nation-State: Canada's Response to Human Smuggling. Political Geography. 23 (3): 323-345. Non-status Women in Canada: Fact Sheet. 2006. Rights of Nonstatus Women Network. http://www.cleonet.ca/resources/891 Nyers, Peter. 2008. Community Without Status: Non-Status Migrants and Cities of Refuge. In Diana Brydon and William Coleman (eds.) Renegotiating Community: Interdisciplinary Perspectives in Global Contexts. Vancouver: University of British Columbia Press. Forthcoming. Nyers, Peter. 2008. No One Is Illegal Between City and Nation. In Engin Isin and Greg Nielson (eds.) Acts of Citizenship. London: Zed Books. (Not Canada Specific) Nyers, Peter. 2006. Taking Rights, Mediating Wrongs: Disagreements over the Political Agency of Non-Status Refugees. In Jeff Huysmans and Andrew Dobson and Raia Prokhovnik (eds.) The Politics of Protection: Sites of Insecurity and Political Agency. London: Routledge. (Not Canada Specific) Nyers, Peter. 2003. Abject Cosmopolitanism: The Politics of Protection in the Anti Deportation Movement. Third World Quarterly. 24 (6): 1069-1093. (Not Canada Specific) Ontario Council of Agencies Serving Immigrants (OCASI). 2005. Proposal for the Regularization of Ind Families without Status in Canada. ividuals and http://www.ocasi.org/downloads/Regularization_Proposal_No v05.pdf Ontario Council of Agencies Serving Immigrants (OCASI). 2004. Myths and Realities about Non-Status Canadians. http://www.ocasi.org/downloads/Status_Myths.pdf Oxman-Martinez, Jacqueline; Khanlou, Nazilla; Weerasinghe, Swarna; Agnew, Vijay; Lach, Lucyna; Poulin de Courval, Louise; Hanley, Jill; Jacobs, Merle; George, Usha; Gastaldo, Denise. 2004-2008. Intersecting Barriers to Health for Immigrant Women with Precarious Status (Ongoing Research). Oxman-Martinez, Jacqueline; Hanley, Jill; Lach, Lucyna; Khanlou, Nazilla; Weerasinghe, Swarna; Agnew, Vijay. 2005. Intersection of Canadian Policy Parameters Affecting Women with Precarious Immigration Status: A Baseline for Understanding Barriers to Health. Journal of Immigration Health. 74 (4): 247-258. Oxman-Martinez, Jacqueline; Lapierre-Vincent, Nicole. 2002. Precarious Immigration Status, Dependency and Women's Vulnerability to Violence: Impacts on their Health: Montreal: Centre for Applied Family Studies, McGill University and Immigration and Metropolis Domain 4. Papademetriou, Demetrios. 2005. The Global Struggle with Illegal Migration: No End in Sight. Washington: Migration Information Source. (Not Canada Specific) http://www.migrationinformation.org/Feature/display.cfm?ID= 336 Parkdale Community Legal Services and Vigil Toronto. 1999. Final Report to the Trillium Foundation for Documenting the Undocumented, Living Without Status: Human Rights Underground. Toronto: Parkdale Community Legal Services. Parkdale Community Legal Services. 1998. Living without Status. Final Report: Recommendations. Conference on Living without Status: Human Rights Underground. Toronto: Parkdale Community Legal Services. March 2-3. Pollard, Andrew; Julian Savulescu. 2004. Ethics in Practice: Eligibility of Overseas Visitors and People of Uncertain Residential Status for NHS Treatment. BJM. Portuguese-Canadian National Congress. 2006. Making a Place at the Table for Them Undocumented Workers, the Problem of the Legality, and Questioning the Idea of the "Desirable Immigrant" as Presently Defined. Working Paper. Portuguese-Canadian National Congress. 2005. CrossCanada Hearing on Citizenship and Immigration: Undocumented Workers – An Issue of Particular Relevance to Canadian Residents of Portuguese Origin. Powers, Mary; Seltzer, William. 1998. Occupational Status and Mobility among Undocumented Immigrants by Gender. International Migration Review. 32 (1): 21-55. (Not Canada Specific) Preibisch, Kerry. 2004. Migrant Agricultural Workers and Processes of Social Inclusion in Rural Canada: Encuentros and Desencuentros. Canadian Journal of Latin American and Caribbean Studies. 29 (57-58): 203-239. Saad, Samia. 2008. The Psychological Effects of Living without Status on Latin Americans Denied Refugees. Unpublished Master's Thesis. Toronto: York University. Forthcoming. San Martin, Ruth Magaly. 2004. Unwanted in Paradise: Undocumented Migrant Women Sex Workers in Toronto. In Rose Baaba Folson's (eds.) Calculated Kindness: Global Restructuring, Immigration and Settlement in Canada. Halifax: Fernwood Publishing. Shah, Nasra; Menon, Indu. 1997. Violence against Women Migrant Workers: Issues, Data and Partial Solutions. Asian Pacific Migration Journal. 6: 5-30. Sharma, Nandita. 2002. Immigrant and Migrant Workers in Canada: Labour Movements, Racism and the Expansion of Globalization. Canadian Woman Studies. 21 (4):18-26. Sharma, Nandita. 2001. On Being Not Canadian: The Social Organization of Migrant Workers in Canada. Canadian Review of Sociology and Anthropology. 38 (4):415-440. Sidhu, Navjeet. 2008. The Right to Learn: Access to Public Education for Non-Status Immigrants. Community Social Planning Council of Toronto. Simich, Laura; Wu, Fei; Nerad, Sonja. 2007. Status and Health Security: An Exploratory Study among Irregular Immigrants in Toronto. Canadian Journal of Public Health. 98 (5): 369-373. Simich, Laura. 2006. Hidden Meanings of Health Security: Migration Experiences and Systemic Barriers to Mental WellBeing among Non-Status Migrants in Canada. International Journal of Migration, Health and Social Care. 2 (3-4): 16-27. Simmons, Alan B. 2007. Globalization, Undocumented Migration and Unwanted Refugees: Trends, Explanations and Soultions. Roderic Beaujot and Don Kerr (Ed.). The Changing Face of Canada. Toronto: Canadian Scholars Press, p. 159-170. Simmons, Alan B. 1993. Latin American migration to Canada: new linkages in the hemispheric migration and refugee flow system' International Journal 48(2), p. 282-309. Singh, Jaggi. 2006. Immigrant Rights Organizations Across Canada Demand a Moratorium on Deportations, and the Regularization of 500,000 Migrants. Solidarity Across Borders. http://solidarityacrossborders.org/en/node/152 Stasiulis, Daiva; Bakan, Abigail. 2003. Negotiating Citizenship: Migrant Women in Canada and the Global System. New York: Palgrave Macmillian. Stasiulis, Daiva; Bakan, Abigail. 1997. Negotiating Citizenship: The Case of Foreign Domestic Workers in Canada. Feminist Review. 57: 112-139. Stoffman, Daniel. 2002. Who Gets In: What's Wrong with Canada's Immigration Program – And How to Fix it. Toronto: Macfarlene Walter & Ross. Support Don't Deport. 2007. "You Look Very Undocumented to Me." Are You a Non Status Person in Canada?: Know What to do if You are Stopped or Arrested. Tam, M; Alfred, A. 2003. People Without Status in Canada: What Do We Know? Where Do We Go From Here? Toronto: Faculty of Social Work, University of Toronto. Taylor, Lesley Ciarula. 2008. 'Bad Advice' got Father of 4 Deported, into Path of Gunfire; Widow, Kids in Toronto Mourn Loss of Family Head Thwarted in his Efforts to Stay here after 21 Years. Toronto Star. September 4. Teelucksingh, Cheryl; Goldring, Luin; Bernhard, Judith. 2005. Survey of Agencies Serving Persons with Less than Full Status. Toronto: Ryerson University. Teelucksingh, Cheryl; Galabuzzi, Grace-Edward. 2005. Impact of Race and Immigrant Status on Employment Opportunities and Outcomes in the Canadian Labour Market. Policy Matters (Metropolis). 22: 1-12. Teelucksingh, Cheryl; Galabuzzi, Grace-Edward. 2005. Working Precariously: The Impact of Race and Immigration Status on Employment Opportunities and Outcomes in Canada. Canadian Race Relations Foundation. 2 (1): 15-52. Vissandjee, Bilkis; Desmeules, Marie; Cao, Zheynuan; Abdool, Shelly; Kazanjian, Arminee. 2004. Integrating Ethnicity and Migration as Determinants of Canadian Women's Health. BMC Women's Health. 4: S34. Vosco, Leah. 2006. Precarious Employment: Understanding Labour Market Insecurity in Canada. Montreal: McGillQueen's University Press. Wayland, Sarah. 2006. Unsettled: Legal and Policy Barriers for Newcomers to Canada. Ottawa: Community Foundations of Canada and Law Commission of Canada. Wright, Cynthia. 2003. Moments of Emergence: Organizing by and with Undocumented and Non-Citizen People in Canada after September. Refuge. 21 (3): 5-15. Wright, Cynthia. 2002. Open the Borders! Interview with Nandita Sharma. New Socialist. 37: 5-9. Young, Julie. 2005. "This is my Life": Questions of Agency and Belonging among Youth Living with Less than Full Status. Unpublished Master's Major Research Paper. Immigration and Settlement Studies. Toronto: Ryerson University. Zwarenstein, Carolyn. 2002. Ontario Promises 'Humane' Detention Space. Globe and Mail. January 4.
Deacon's Winter – first three Chapters DEACON'S WINTER CHAPTER ONE I'd just ushered a dozen homeless people out of Saint Sebastian's Catholic Church. I hated doing it. Chicago in January is brutal for anyone on it's streets. The homeless came to the church for some warmth and to snooze in the pews. Our pastor, Father Posjena wouldn't allow the church to be open all night. So, I had to send them away in the late evening. "The church isn't a hostel for these people," as Father Posjena put it. He didn't like it, but I told him I thought the church was for everyone—even in the middle of the night. "You're not even a priest yet, Deacon," he said. Pity doesn't make us holy." It was only one of our ongoing disagreements. What a putz, as my friend Rabbi Mel Cohen would say. I was fed up with our pastor and I'm sure the feeling was mutual. Still, Saint Sebastian's had been hit by its share of theft and vandalism, so the pastor had a point. When the wind chill plummeted to zero, the men's club and the Knights of Columbus, at my prodding, managed to persuade Pastor Posjena to keep the place open all night--with supervision. I took turns keeping watch with the more dedicated parishioners on Chicago's coldest nights. I told them their sacrifice was a way of getting closer to Christ. I wasn't sure if it was them I was trying to convince or myself. After locking up I headed down the center aisle to my rooms just behind the church when I spotted a small green light above a confessional chamber. One of the street people was in there hiding from me, I told myself. But when I opened the door ready to say, "I'm sorry, but you can't stay … " I saw, instead, a badly beaten woman slumped in the priest's armchair. It wasn't my first rodeo. I'd been an MP in Iraq, and I knew that when drunk, soldiers—the mean ones—beat on anyone they could. But this woman was the most terrified I'd seen. She jerked back and whimpered, crossing her arms in front of her bloody face. I knelt down on one knee. "It's okay, I'm Deacon Adelius. I can help you." She didn't answer. All of her energy was being spent on shaking. I took her arm slowly, raising her to a sanding position, and we limped down the center aisle. She was clutching a large handbag. Her face was swollen, the way a face gets when it's hit more than once. Her clothes were unsuited for the weather. Short leather skirt and jacket, high heels. Her blouse was torn to the waist, and bloody. Parts of her face were bleeding, but you don't die from that. The old statues on the walls of the church seemed to look down on us with pity. Finally she made a sound. A sob. When she collapsed at last, unable to walk even with my help, I carried her out the side door and locked it. We went into my sitting room and I set her down gently on my couch. "You're safe now." She sighed like a body giving up the ghost, dropped her head back ready to go to sleep. I couldn't let her. I had no idea what damage they'd done to her brain. "You need to sit up, Ma'am." She fought it, but I got her upright. I could see her eyes wandering as they surveyed my humble digs. I got a blanket and put it around her. She let me. I left her for a moment, wet a towel and wrapped it around some ice cubes. Before I could ask permission to place the cold towel on her face, she spoke abruptly. "They were going to kill me!" Her voice was ragged as her blouse. I asked the obvious, "Who?" I kept it gentle as I place the ice pack on her swollen left cheek. She didn't need an interrogation. She shook her head but didn't answer. Instead, her eyes glazed over and she began to breathe more steadily. Shock was loosening its grip. "Why were they after you?" "My 'tell'." She drifted off. "Tell?" My guess was that she had information someone wanted very badly. Her arm hung off the couch near the purse she'd dropped. I opened it to find a wad of cash, a .22 Beretta—loaded—and a small Bible, but no ID. I dug deeper and pulled out a handful of business cards. Circular, purple, edged in gold. "Amber" was embossed in gold on one side, a phone number on the other. Creative. Expensive. I tucked a few in my pocket-I don't know why-and opened the Bible. It was the New Testament only with mother-of-pearl cover. Still no ID. The first pages had been torn out. But a makeshift pocket had been glued on the inside front cover. Wedged in the pocket was a long flat key—the kind that opens metal boxes. Two arrows had been painted in red—probably nail polish—on one side. Letters and numbers were painted on the other. Interesting. I returned the key to its pocket and put the Bible on my battered coffee table. Amber was still out of it—unresponsive as a rag doll. I stripped off the remnants of her blouse and pulled one of my sweatshirts over her head. I was clinical—businesslike—until I saw the three cigarette burn marks on her breasts. "Jesus, have pity." What kind of low life bastard could do that? Expensive flashy clothes, cash and the Beretta. It wasn't a stretch to figure she was probably a prostitute. No judgment. Just a woman in trouble. "What's your full name, Amber, and how did you get into this fix?" At the sound of my voice, she twitched into consciousness. "What the hell … where …?" Her eyes bored into mine. "Oh, yeah, the church. Thank God." I sat back. "I'll thank God with you. How're you feeling?" "Are you kidding?" She slumped back and closed her eyes. "Like a friggin' train wreck." "Let's get you to an emergency room and call the police. You’re pretty banged up ... ” She stiffened and raised her palm. "No. ... No doctors. No cops. Need to get away. Give me a mirror ... please." Bad idea. "Here, keep holding this towel against your face. It'll keep the swelling down." She closed her eyes. "Got any aspirin?" "Sure do. And something to warm you up." I made a mug of hot tea laced with lemon, honey and a splash of Southern Comfort. Amber smiled weakly as a thank you and gulped the hot drink with four aspirin. "I was so cold. God, that's good. Thanks." She took a few more long sips, then tugged the blanket to her chin and curled into a fetal position. "I'll just close my eyes for a second. Then I gotta get away." Her voice faded as if she were talking to herself, but I caught some words: "I can bring 'em down. Bastards…Tamara … murderers … Andy. Got to get ... " Her breathing slowed, and she was out again, Her words replayed in my head. What the hell had she gotten into? What had I gotten into? Maybe I did attract trouble. Father Posjena accused me of it often enough. Never mind her profession—she needed help. To me, the choice was simple. I'd help. Not like the choices facing me about the rest of my life. I lay back in my Lazy Boy, opening my eyes now and then to check on Amber. She slept on, murmuring intermittently. As I dozed and looked at the woman, my mind drifted to the decisions that faced me. Rejoin the seminary and make a life long commitment to the priesthood? Turn to a totally secular life? Or maybe remain a deacon and work for the church in … special ways. I couldn't deny the tug of the religious life. I loved …the peace, the rituals the power of the faith. I'd been conflicted about those choices even as a youngster. My ideas about justice still sometimes clashed with the church ... and the law. I'd ended up joining the Army as an eighteen year old. I had a good reason: Join up, and avoid prison. Several other juvenile delinquents had been given that option. Irony of ironies, I ended up an MP. Honorable discharge nine years ago. I was drawn to the seminary—three years of it. Then I left. I had my reasons. Might have separated from the church altogether, but I'd promised Archbishop Laine I'd work here at the parish five more months. I am a man of my word. Other reasons compelled me to stay in this limbo … I drifted in and out of a restless sleep. CHAPTER TWO Nothing like a door crashing in to wake you up. Two men rushed in. Two others—one with a cane—stayed at the door. Amber screamed as one of the men went for her. The other guy raised a sap and swung at me, but I side-stepped the blow, grabbed his arm and jabbed a solid left hook to his ribs. When the first man dropped Amber and came for me, I backed up and reached for the weapon I'd dubbed Bat. I'd used a steel baton in Iraq, but my youth baseball bat works just fine in Chicago. And it's legal, I sized up the big guy coming at me, his fists cocked. I lunged Bat forward breaking his nose. He stumbled backwards and sat hard, blood gushing. Bat—twenty-five inches long, eight ounces of aluminum—had done its job. The first man charged me with a stiletto. I parried, spun, threw my elbow into the man's left ear and backhanded Bat into the side of his right knee. "Jesus Christ!" He flopped to the floor, clutching his knee and rocking back and forth. "Don't take the Lord's name in vain." I said as I kicked him in the chest. The guy with a bloody nose pulled a gun, and I hurled Bat sideways like a helicopter blade. It hit just as Amber shot him with her Beretta, the blast deafening in the small room. He spun around in a macabre dance and went down for good. The man with the cane in the doorway shot Amber and turned the gun on me. I dived downwards, but not in time. Pain seared my left shoulder. Then a blow to the back of my head brought blackness. When I came to, Amber . . . the men . . . everybody was gone. Only blood remained. Shit... laid low by a guy with a cane. I punched 911 into my cell phone and passed out again. CHAPTER THREE I woke up in a hospital, mouth parched, vision blurry. My head and shoulder were bulky with bandages, and I smelled like something that belonged in a medicine cabinet. I opened my eyes wide, trying to focus. The room was bright from the sun streaming through the window. A person came into view. "Good morning, Mr. Adelius," said the very white uniform. "I'm Wanda, how are you feeling?" I blinked until I could read Dixon on the nametag. Her sweater was a blinding pink and she had strange blue-gray dyed hair, but I liked her smile. "Actually, I don't feel too bad." I croaked. "It's the medication. Some nasty sensations may return." Thanks a bunch, I thought. Didn't need to hear that. Nurse Wanda smiled again, professionally. "Press the buzzer if you're in any discomfort and we'll give you something. We want to manage your pain." "Where am I?" "Saint Mary's Hospital. According to your chart, paramedics brought you in at 3:30 a.m. I wasn't on duty yet." "Water, please." My mouth was the Sahara. "Certainly." She pressed a button somewhere and raised the bed to a 45-degree angle. She reached for a Styrofoam cup and slipped a straw between my lips. Her fingernail polish matched the color of her sweater. I sipped. It helped. "So, how bad am I?" "The doctor will have details. In short, you sustained a gunshot wound to the shoulder. Superficial graze, no bones broken. Sustained a gunshot wound? Who talks like that? "The blow to your head is of more concern," she continued. Oh, yeah. Hit from behind. I remember. "You've had a brief neurological workup and so far everything looks fine." Visitors were next on the agenda. Two men. First in was good old Father Casmir Posjena, known to one and all as "Father Casey." For once, I had to look up at him. He probably liked that. I towered over him at six-foot-four Even my thick mop of hair was probably an irritant, since he had a wispy gray comb-over. We tolerated one another. Civility was required, so he wished me a good morning. "You feeling better?" ``` "Yeah, I guess. What's the time?" "Just after eight-thirty." ``` Behind the good father was a bull of a man in a topcoat. He had a broad pock-marked face, closeset eyes and a scar across his mouth. "Detective Rick Ditmar," he said, tapping his badge. He didn't look happy. "Excuse me, Father. I need a few words with Deacon Adelius ... privately." "Certainly," said Father Casey, "but I need to stay." I wasn't surprised. Ditmar nodded and turned back to me. "It may be a long shot, but we were hoping you can help us out. We fished a dead woman out of the river this morning. No ID." A knot tightened in my gut. "God have mercy on her soul," Father Casey said, "but what does this ... this violence have to do with Deacon?" "He may have been the last person to see her alive, Father. She was wearing a Saint Sebastian's sweatshirt about five sizes too big. She'd been shot dead. Beaten and tortured, prior." The detective lifted an eyebrow and waited for my response. "The shirt's mine," I said quickly, "and the woman's name was Amber." Just saying her name brought her face to my mind. I'd probably be haunted by it for some time. I promised to keep her safe. Now she was dead. Those bastards. My skull throbbed, and I pressed the buzzer. Would a painkiller deaden my guilt? I doubted it. I described the sequence of events and told the cop everything I'd seen, heard or guessed about the woman called Amber who carried a gun and purse full of money. Ditmar took furious notes as I repeated her words: "Bring 'em down … Tamara … murderers … Andy … " "Bring who down?" he asked, "Don't know. She was out of it." "Would you recognize the man who shot you and her?" Probably not. "Tall, dark hair, slicked back, had a cane. That's it." When I'd finished my story, he narrowed his eyes. "So, you had this prostitute named Amber in your apartment late last night." "I told you, I found her in the church confessional, beaten and bloody. Check out the confessional in the church." "And you didn't call the police." "No, she didn't want me to." "So you went along with it." He kept up the barrage of questions, and I cooperated. The guy had a job to do. I told him she was the reason for the break-in, that she probably had information they wanted. Then he got personal. "She was wearing your sweatshirt—" "Yeah, she was shivering with cold. I helped her out of her bloody rags and into my sweatshirt." "Uh, huh. The shirt off your back, so to speak? And how well did you know this woman?" My face went hot. "Aren't you listening? I didn't know her at all." He kept hammering. "Any money exchanged between you and this Amber?" "What? Hell no." My fists clenched on their own. "Doesn't look good." Ditmar switched his attention to Father Casey. "You're his boss, right?" "That's one way to put it." Father Casey's face turned dark red. "He works for the parish." The detective angled a thumb in my direction. "He ever have woman problems before?" "Certainly not." "You priests do stick together." He scribbled something in his notebook. "He's not a priest. He's a deacon. Deacon is also his first name." "How 'bout that? We've got a Sergeant Sargeant at the station. Funny thing about names and jobs sometimes. ... well, that's all for now. I'll be around." "You've got this all wrong," I said. "Yeah, right. Think of anything else, call me." He threw me some parting shots. "No last name for the woman, huh?" "No." "She leave anything behind?" "Just the blouse." "The one you helped her out of, right?" didn't dignify that one with an answer, Ditmar's face went broad and blank. "One of the forensic boys will come around and pick it up later." After he left, Father Casey raised his arms toward heaven. "Well, you've done it again!" "Done what again?" "He clasped his hands together as though ready to pray for me. "Got yourself mixed up with street people—criminals. A murdered prostitute no less. And your mother wanted you to be a priest. Even Archbishop Laine thought you were God's Golden Boy. Now we're dealing with police inquiries and dead prostitutes. Jesus, Mary and Joseph." I tried once more. "She was hurt and came to the church for sanctuary. Was I supposed to throw an injured woman out in the snow?" "Dial 911 next time. That's simple isn't it? What a parish!" Father Casey marched out the door. The pastor was all about control—of others, not himself--and living the good life. Father Casey performed all the weddings, then ate and drank himself through all the grand Chicago receptions that followed. The food would've fed the parish poor for days. He'd carry on about the important people he'd dined with, all the old money people and politicians. The pastor was a good sermonizer, had a gift for fund-raising and was politically astute. Most of the parishioners viewed him as a favorite uncle. He was bucking for monsignor. God forbid. Me? I was the parish workhorse. Maintenance, funerals, baptisms, youth programs and visiting the sick, you name it. Local citizens saw me as intimidating. I was big. I'd seen action in Iraq, and I was seen as someone connected to the church. All of which made for high currency in the neighborhood. I'd made a commitment to some important people. Even though I'd left the seminary, I'd finish this practical part of my training. Truth to tell, I had nowhere to go. Sometimes not deciding is a decision in itself. I still felt a strong connection to my Lord. The pastor had told me I was too independent and too much of a smartass to make a good priest anyhow. Yeah, that's me. I looked skyward for guidance ... or maybe deliverance. With church servants like Father Casey, how can we be strong? Instead of sustaining me, my faith distanced me from the body of believers. God, show me the way. My thoughts crashed to earth, smoldering at the cop's insinuations, regretting that I couldn't protect a woman who came to us for help. She wound up saving me. I had this uncomfortable habit of righting wrongs and feeling responsible. The pain in my shoulder and head reminded me I had a score to settle. This was not over. Pain was returning. Where the hell was nurse Wanda?
Skin Lesions Classification with Optical Spectroscopy 1 Asad Safi 1 , Victor Castaneda 1 , Tobias Lasser 1 and Nassir Navab 1 Computer Aided Medical Procedures (CAMP), Technische Universität München, Germany {safi, castaned, firstname.lastname@example.org, email@example.com Abstract. Diagnosis of benign and malign skin lesions is currently mostly relying on visual assessment and frequent biopsies performed by dermatologists. As the timely and correct diagnosis of these skin lesions is one of the most important factors in the therapeutic outcome, leveraging new technologies to assist the dermatologist seems natural. Complicating matters is a blood cancer called Cutaneous T-Cell Lymphoma, which also exhibits symptoms as skin lesions. We propose a framework using optical spectroscopy and a multi-spectral classification scheme using support vector machines to assist dermatologists in diagnosis of normal, benign and malign skin lesions. As a first step we show successful classification (94.9%) of skin lesions from regular skin in 48 patients based on 436 measurements. This forms the basis for future automated classification of different skin lesions in diseased patients. Keywords: Skin cancer, Optical spectroscopy, Classification. 1 Introduction Skin cancer is one of the most common cancer types in humans and its incidence is on the rise, especially in countries where the ozone layer is thinning. The correct and timely diagnosis of suspicious skin lesions is one of the most important factors in the therapeutical outcome. At present most dermatologists rely on their experience of visual assessment to distinguish benign and malign skin lesions [1] like pigmented nevi, seborrhoeic keratosis or basal cell carcinoma and malignant melanoma, as well as requiring biopsies of the affected skin. To complicate matters, Cutaneous T-Cell Lymphoma (CTCL) is a blood cancer type with symptoms that are exhibited as skin lesions as well. Again a timely diagnosis and staging is very crucial for a successful treatment [2]. New technologies to assist in identifying and diagnosing skin lesion and to minimize invasive biopsies have been developed, like hand-held magnification devices and computer-aided image analysis. Colourd image processing methods were introduced for melanoma [3] which focused on non-constant visual information of skin lesions. Neural network diagnosis of skin lesion has previously been applied by classifying extracted features from digitized dermoscopy images of lesions [4][5]. The extracted features are based on geometry, colors, and texture of the lesions, involving complex image processing techniques. Recently with Raman spectroscopy the molecular structure of skin lesions are exploited [6], but due to harmful effect of laser beam on sensitive skin surface, is least in practice for dermatologist. Optical spectroscopy is another technology that is being established to aid in skin lesion diagnosis [7], as the multi-spectral nature of this imaging method allows to detect and classify multiple physiological changes like those associated with increased vasculature, cellular structure, oxygen consumption or edema in tumors [8]. We propose a computer-aided system using optical spectroscopy that keeps track of the progression of skin lesions and assists in quantification and classification of skin diseases in order to assist dermatologists in the decision making process. In this paper we present a framework for acquiring spectroscopic data of skin lesions and classifying them using support vector machines (SVM). We report on the classification results obtained from optical spectroscopy using various skin lesions of 48 patients. In the following section we describe the materials and methods used in this study and the last section explains experiments and their results. 2 Materials and Methods Here we describe the employed algorithms and the instrument used for data acquisition. 2.1 System setup The system contains a hand–held reflectance spectroscopy probe (StellarNet Inc., Oldsmar, FL, USA), consisting of 6×200µm illumination fibers arrayed around one 600µm acquisition fiber. The probe has an infrared optical tracking target attached in order to be able to determine its position and orientation in real–time, see fig. 1(a). The tracking system consists of four ARTtrack2 infrared cameras (A.R.T. GmbH, Weilheim, Germany) positioned to track within a volume of 2×2×2 [m 3 ]. A 178−1132 [nm], 2048 [pix], 12bit CCD spectrometer (StellarNet Inc., Oldsmar, FL, USA) is connected to the acquisition fiber, and a 12 [W] tungsten lamp connected to the illumination fibers as a light source. The spectrometer is controlled by a data processing unit to acquire spectra synchronously with the tracking information of the probe. The data-processing unit is used to run the application that handles the incoming data (spectral and spatial) and the classification. An overview of the entire setup is displayed in fig. 1 (b). 2.2 Data Processing The spectral data is acquired as a 2048 vector of the floating points values n i R xi ,..., 1 , 2048 = ∈ where n denotes the number of measurements. Each xi represents the discretized reflective spectrum from 178 [nm] to 1132 [nm] (due to limitation of hardware )of the ith measurement and is stored normalized as To reduce the dimensions of the input data, principal components analysis (PCA) is applied. The resulting spectrum of eigenvalues 2048 ,..., 1 ) ( = j i j e is sorted descending by magnitude. Since the highest eigenvalues represent the most relevant components, a cut-off value CPCA is chosen, such that the final input data yi for the classification algorithm from measurement xi (i = 1,…,n) is The cut-off value CPCA is chosen empirically from the data. Fig. 2 is showing a representative example of 2048 ,..., 1 ) ( = j i j e from which CPCA was selected as one of {2,3,4,5}. 2.3 Classification Classification is performed by a support vector machine (SVM), [9]. SVM was selected as the method of choice as it allows to linearly classify data in a highdimensional feature space that is non-linearly related to the input space via the use of specific kernel functions, such as polynomial functions or radial basis functions (RBF). This way we can build complex enough models for skin lesion classification while still being able to compute directly in the input space. The SVM classifier needs to be trained first before using it, thus we partition our (already reduced) input data (yi), i=1,…,n into two partitions, T ⊂ {1,…,n} the training set and V ⊂ {1,…,n} the testing (or validation) set with T ∪ V = {1,…,n} and T ∩ V={}. The training data set T is labeled manually into two classes with the ground truth, l(yi)=±1. Once the classifier is trained, a simple evaluation of the decision function d(yi)= ±1 will yield the classification of any data yi. In detail, SVM is trying to separate the data φ (yi) mapped by the selected kernel function φ by a hyperplane w T φ (yi)+b=0 with w the normal vector and b the translation. The decision function then is d(yi) =sgn(w T φ (yi)+b). Maximizing the margin and introducing slack variables ξ = (ξ i) for non-separable data, we receive the primal optimization problem: where C is a user-determined penalty parameter. Switching to the dual optimization problem allows for easier computation, where α = (αi) are the so-called support vectors, e = [1,…,1] T and Q is the positive semidefinite matrix formed by Qjk= l(yj)l(yk)K(yj,yk), and K(yj,yk) =φ (yj) T φ (yk) is the kernel function built from φ . Once this optimization problem is solved, we determine the hyperplane parameters w and b, w directly as w = ∑ ∈T i αi l(yi) φ (yi) and b via one of the Karush-Kuhn-Tucker conditions as b = -l(yi)yi Tw, for those i with 0< αi<C. Thus the decision function of the trained SVM classifier ends up as 3 Experiments and Results 3.1. Experiments We collected 436 spectroscopic data points (xi), i=1,…,436 from the skin of 48 patients, 326 measurements were of skin lesions, 110 measurements were of normal skin. Exemplary picture of the lesion imaged is shown in fig. 4. All data was manually labeled into the two classes normal skin l(xi)=1 and lesion l(xi)=-1. The 436 data points were randomly separated into a training data set T and a testing (validation) data set V with \|T\|=305 and \|V\|=131, however retaining the balance of both sets containing 50% each of the two classes. A color-coded representation of the normalized skin spectra i x ˆ , i ∈ T , of the training data set T is shown in fig. 5. Before classification, PCA was applied to the i x ˆ for dimension reduction to yield our classification input yi. The eigenvalue cut-off CPCA was empirically chosen as one of CPCA ∈{2,3,4,5}. The SVM classifier (we used C-SVM from LibSVM, [10]) was then trained using the training data set T. As there are multiple parameters to be selected, like for example the penalty parameter C, we performed a cross-validation of 3 folds via parallel grid search. The average accuracy on the prediction of the validation fold is the cross validation accuracy. Fig. 4. Skin moles 3.2. Results The cross-validation of the training data set T determined, among others, the parameters C=-5 and γ=-7. For the further parameters CPCA and the choice of the kernel (linear, polynomial, radial basis function (RBF) or sigmoid) we performed cross validation of the training data set T, the results are shown in Table 1. The best results were received consistently by using the RBF kernel, while for CPCA the value of 5 turned out to be the best choice with an accuracy of 97±8.3. Table 1. Results of the cross-validation using the training dataset T. \| \| C-SVC Training \| \| \| \| \|---\|---\|---\|---\|---\| \| \| \| Linear Kernel \| Poly Kernel \| RBF Kernel \| \| C = 2 PCA \| \| 95±9.2 \| 96±8.3 \| 95±7.5 \| \| C = 3 PCA \| \| 95±8.3 \| 96±6.7 \| 97±9.5 \| \| C = 4 PCA \| \| 95±11.5 \| 97±7.2 \| 97±8.7 \| \| C = 5 PCA \| \| 96±9.2 \| 97±10.5 \| 97±8.3 \| With the training of the classifier completed, we studied the accuracy of the testing (validation) data set V. We compared the manual ground truth labeling l(yi) for data point yi with the computed decision function d(yi) to compute the accuracy as follows Table 2. Classification accuracy results using the testing dataset V. \| Testing \| \| \| \| \| \|---\|---\|---\|---\|---\| \| \| Linear Kernel \| Poly Kernel \| RBF Kernel \| Sigmoid Kernel \| \| C = 2 PCA \| 86.8% \| 90.3% \| 89.9% \| 88.8% \| \| C = 3 PCA \| 89.3% \| 92.5% \| 91.8% \| 90.3% \| \| C = 4 PCA \| 91.9% \| 92.9% \| 94.9% \| 94.1% \| \| C = 5 PCA \| 92.1% \| 93.6% \| 94.9% \| 94.6% \| The results are shown in Table 2. We achieve the same accuracy of 94.9% for the kernels RBF the CPCA values of 4 and 5. This corresponds to fig. 2, where it is clear that between CPCA 4 and 5 there is only very little difference. In total we received the best results using the RBF kernel and CPCA=5. 4 Conclusion We present a portable, affordable setup for optical spectroscopy and SVM-based classification of skin lesions. Our experiments on patient's data served as a base to choose and tune the various parameters in the classification chain. The results of 94.9% accuracy in distinguishing normal skin from any type of skin lesion are comparable to those of a well-trained dermatologist using visual inspection [11]. Future work includes considering some factors which have not been addressed yet, such as the influence of external light and obstruction by hair (all measurements avoided hair) and comparison with other techniques such as neural networks and manifold learning. The next step then is to established complete framework for clinical evaluation in dermatology department and its determined parameters to classify different skin lesions of diseased patients. These results promise that computer-assisted multi-spectral imaging and classification is the path into the future for dermatological screening. References 1. B. Lindelöf and M. Hedblad.: Accuracy in the clinical diagnosis and pattern of malignant melanoma at a dermatological clinic. J. Dermatol., vol. 21, no. 7, pp. 461–464, (1994) 2. Klemke, C.D., Goerdt, S., Schrama, D., Becker, J.C.: New insights into the molecular biology and targeted therapy of cutaneous t-cell lymphomas. Journal der Deutschen Dermatologischen Gesellschaft 4(5) 395-406 (2006) 3. O. Colot, R. Devinoy, A. Sombo and D. de Brucq.: A color image processing method for melanoma detection Medical Image Computing and Computer-Assisted Interventation MICCAI, 978-3-540-65136-9, (1998) 4. M. Hintz-Madsen, L. Hansen, J. Larsen, and K. Drzewiecki.: A probabilistic neural network framework for detection of malignant melanoma, in artificial neural networks in cancer diagnosis, prognosis and patient management. R. Naguib and G. Sherbet, Eds. Boca Raton, FL: CRC, pp. 141–183. (2001) 5. P. Rubegni, M. Burroni, G. Cevenini, R. Perotti, G. Dell'Eva, P. Barbini, M. Fimiani, and L. Andreassi.: Digital dermoscopy analysis and artificial neural network for the differentiation of clinically atypical pigmented skin lesions: A retrospective study.: J. Investigat. Dermatol., vol. 119, pp. 471–474, (2002) 6. S. Sigurdsson, P. Philipsen, L. Hansen, J. Larsen , M. Gniadecka, and H. Wulf.: Detection of Skin Cancer by Classification of Raman Spectra. IEEE transactions on biomedical engineering, No 10, vol. 51, (2004) 7. McIntosh, L.M., Summers, R., Jackson, M., Mantsch, H.H., Mansfield, J.R., Howlett, M., Crowson, A.N., Toole, J.W.: Towards non-invasive screening of skin lesions by nearinfrared spectroscopy. J Invest Dermatol 116(1) 175–181, (2001) 8. A. Kim, U. Kasthuri, B.C. Wilson , A. White, A. L. Martel.: Preliminary Clinical Results for the In Vivo Detection of Breast Cancer Using Interstitial Diffuse Optical Spectroscopy. MICCAI Workshop on Biophotonics Imaging for Diagnostics and Treatment, ISSN 16012321, 75 (2006) 9. Nello Cristianini and John Shawe-Taylor.: An Introduction to Support Vector Machines and Other Kernel-based Learning Methods. Cambridge University Press ISBN:0521780195, (2000) 10. Chih-Chung Chang and Chih-Jen Lin, LIBSVM: A library for support vector machines, (2001). Open source available at http://www.csie.ntu.edu.tw/~cjlin/libsvm 11. Morton C A and Mackie R M.: Clinical accuracy of the diagnosis of cutaneous malignant melanoma Br. J. Dermatol. 138 283–7 (1998)
ULTRASTRUCTURAL STUDIES ON THE MAJOR SALIVARY GLANDS OF THE PRENTAL BUFFALO ( Bubalus bubalis ) K. Raja, M. Santhi Lakshmi 1 , M. Lakshman 2 , G. Purushotham 3 and K.B.P. Raghavender 4 Assistant professor, Department of Veterinary Anatomy NTR College of Veterinary Science, Gannavaram 4 Professor& University Head, Department of Veterinary Surgery & Radiology, College of Veterinary Science, Rajendranagar Hyderabad 1 Professor, College of Veterinary Science, Department of Veterinary Anatomy, Tirupati 2 Associate professor, Incharge of Ruska Lab, Rajendranagar, Hyderabad 3 Professor, Department of Veterinary Anatomy, College of Veterinary Science, Rajendranagar, Hyderabad E-mail: email@example.com (Corresponding Author) Abstract: Ultrastructurally, the terminal buds of parotid gland showed inner luminal and outer myoepithelial precursor cells. The cytoplasmic organelle were poorly developed in the cells of terminal tubules of early age groups. Increase of rough endoplasmic reticulum and development of the Golgi complexes were noticed during the differentiation from terminal buds into acini during the development of the gland. The rough endoplasmic reticulum elongates into spiral form in the infranuclear cytoplasm of the acinar cells at 145 days. The terminal buds of mandibular and sublingual glands showed undifferentiated epithelial cells with a large heterochromatic nucleus in early stages. The secretory granules of the salivary glands were distinct in the acinar cells of mid and late foetal age groups. Keywords: Prental, Buffalo, Ultra structure, Salivary glands. MATERIALS & METHODS Total 49 buffalo embryos and foetuses ranging from 40 to 253 days (2.5 to 79.5 cm CVRL) were used for the present study. The age of foetuses was determined on the basis of their CVRL by using Soliman's formula and divided them in 3 age groups. Fresh tissue pieces of parotid, mandibular and sublingual salivary glands from 3 age groups were collected and fixed immediately in 2.5% glutaraldehyde in phosphate buffer for 3 hr at 4º c. The tissue pieces were thoroughly washed in Phosphate buffer (pH 7.2) and post fixed in 1% Osmium tetroxide at 4º c for one hr. The tissue samples were dehydrated and embedded in EponAraldite. Semithin sections were made and stained with a 2% Toluidine blue - borax mixture served for orientation and for the light microscopic investigation. Ultrathin sections were picked upon Grids and stained with 10% Uranyl acetate and 1% Lead citrate and examined Received July 20, 2016 Published Aug 2, 2016 * www.ijset.net with a Zeiss EM 109 Electron microscope (Zeiss, Oberkochen, Germany) to identify the early appearance of secretory granules. RESULTS & DISCUSSION Parotid Salivary gland Ultra structurally, the terminal buds were in the form of cell clusters, which consisted of glycogen rich inner luminal and outer myoepithelial precursor cells. Contrary to this Yaku (1983) also reported the accumulation of glycogen particles in the cytoplasm of terminal tubules at 16 th week of age in human beings. More glycogen and mitochondria were noticed in both striated and interlobular ducts during the development of the gland as reported in bovines (Eisenbruckner et al., 2003). The cytoplasmic organelles were poorly developed in the cells of terminal tubules of early age groups, which agree with the findings in human beings by Yaku (1983). In the present study most of the acini were composed of two cell layers with inner prismatic cells and cubic myoepithelial precursor cells. A large heterochromatic nucleus surrounded by a narrow band of cytoplasm was evident, while the cytoplasm of the acinar cells showed some organelles such as mitochondria, rough endoplasmic reticulum and Golgi profiles in late age groups, which agree with the reports of Eisenbruckner et al. (2003) in bovines. At 84 days the epithelial cells were undifferentiated. The cytoplasmic organelles were poorly developed in the cells of terminal tubules at 115 days foetal age. Secretory granules with medium electron density first appeared in the cell apex of the luminal acinar cells at 125 days (Fig.1). However in human beings they were reported to be formed in acinar cells of parotid gland during 35 th week of pregnancy (Donath et al., 1978) and one day after birth in rats (Redman and Sreebny, 1970). The rough endoplasmic reticulum elongated into spiral form in the infranuclear cytoplasm of the epithelial cells as reported in bovines (Eisenbruckner et al., 2003). Lumen formation was first observed in the primary duct when compared to terminal buds. Most of the acini were two cell layered with inner prismatic cells and outer cuboidal myoepithelial precursor cells during the development of the gland. The rough endoplasmic reticulum elongated into spiral form in the infranuclear cytoplasm of the epithelial cells at 145 days (Fig.2). The luminal diameter of acini was larger and had more of secretory granules than the intercalated ducts. The secretory granules had membrane bound with homogenous content as reported in human foetal parotid gland (Yaku, 1983), but in this study they were more distinct in late age groups with medium electron density. However the number of secretory granules was increased during mid and late age groups of foetal life. The membrane bound medium electron dense secretory granules were distinct with inner homogenous content in late age groups and their number increased during mid and late foetal age groups (Fig.3). The secretory cells contained moderate amount of the dilated cisternae of rough endoplasmic reticulum. Increase of rough endoplasmic reticulum and development of the Golgi complexes characterize the differentiation from terminal buds into acini during the development of the gland. Similar findings were reported in the bovine parotid gland at the end of fourth month of gestation (Eisenbruckner et al., 2003). Mandibular salivary gland Ultrastructurally, the epithelial cells forming the terminal buds were undifferentiated with a large heterochromatic nucleus at 115 days (Fig.4). The cytoplasmic organelles were poorly developed. Massive accumulation of glycogen particles were found in the cytoplasm. There were intercellular spaces in the junctions between the acinar cells. Mucous acinar cells contained electron lucid granules, while serous secretory cells showed electron dense granules. The accumulations of secretory granules were distinct in the acinar cells of late foetal age group. Small amount of cytoplasm between the granules contained some rER cisternae and mitochondria. Secretory granules were also located in the apical portion of the epithelial cells of the intercalated ducts, which were reported to be source of epidermal and nerve growth factors and as a possible source contributing in the formation of amniotic fluid in human foetuses (El-Mohandes et al., 1987). The Golgi complex, mitochondria and rough endoplasmic reticulum were markedly developed in the cells of terminal tubules. The increased volume of rough endoplasmic reticulum in the cytoplasm of secretory cells was reported to be observed in rat by Cutler and Chaudhry (1973). The lateral infoldings of plasma membrane and junctional complexes were clearly evident. The secretory granules had appeared first in the form of membrane bound secretory vesicle with homogenous electron dense content (Fig.5). However the secretory granules had increased in number during the late age group. Flattened myoepithelial cells with long cytoplasmic processes were observed between the epithelial cells and basement membrane of terminal tubules and intercalated duct (Fig.4) as reported in buffalo (Venkatakrishnan, 1994) and human beings (Yaku, 1983). The feature of cells containing myofilaments in the cytoplasmic processes and more of mitochondria in the striated ducts agree with the reports of Yaku (1983) in human beings. SUBLINGUAL SALIVARY GLAND In early stages, the cells lining the terminal tubules were undifferentiated with poorly developed cytoplasmic organelles but lacked secretory granules. However the apical ends of cells showed electron lucid and some electron dense granules as reported in rat (Wolff et al., 2002). The accumulations of secretory granules were distinct in the acinar cells of mid and late age groups. The Golgi complex, mitochondria and rough endoplasmic reticulum were markedly developed in the cells of acini, which agree with the findings of Wolff et al. (2002) in rat. Flattened myoepithelial cells with long cytoplasmic processes containing homogenous cytoplasm were observed between the epithelial cells and basement membrane of terminal tubules and intercalated ducts at 115 days (Fig.6). References [1] El – Mohandes EA, Botros KG and Bondok AA 1987 Prenatal development of the Human submandibular gland. Acta Anatomica 130(3): 213-218. [2] Soliman MK 1975 Studies on the Physiological Chemistry of the allantoic and amniotic fluids of Buffaloes at the various periods of pregnancy. Indian Veterinary Journal 52: 106112. [3] Venkatakrishnan 1994 Morphogenesis, Histomorphology and Histochemistry of the mandibular gland of the buffalo (Bubalus bubalis). Thesis submitted to the TANUVAS, Chennai. [4] Cutler L S and Chaudhry A P 1973 Differentiation of myoepithelial cells in the rat submandibular gland in vivo and in vitro - An ultrastructural study. Journal of Morphology 140: 343-354. [5] Donath KH Dietrich and Seifert G 1978 Entwicklung undultrastrukturelle cytodifferenzierung der parotis des menschen. Virchows Arch. Pathol Anat. 378: 297–314. [6] Eisenbruckner A, Fink C and Kressin M 2003 Development of the glandular epithelium of the bovine parotid gland during ontogenesis. Anatomia, Histologia and Embryologia 32: 145–153. [7] Redman RS and Sreebny 1970 The Prenatal phase of the Morphogenesis of the rat Parotid gland. Anatomical Record 168: 127–138. [8] Wolff MS, Mirels L, Langer J and Hand 2002 Development of the rat sublingual gland. A Light and Electron Microscopic Immune Cytochemical study. Anatomical Record 266: 30– 42. [9] Yaku Y 1983 Ultrastructural studies on the development of Human foetal Salivary glands. Arch. Histologia 46 (5): 677-690. Fig.2 TEM of foetal Parotid gland showing spiral form of rough endoplasmic reticulum (Arrow) in the infra nuclear cytoplasm of epithelial cells at 145 days. Mag 10740 X Mag 6265 X Fig.4 TEM of foetal mandibular gland showing myoepithelial cell (MEC) with long cytoplasmic process and large heterochromatic nucleus (N) in the acinar cells at 115 days. Mag 8950 X Mag 12530 X
ST. MICHAEL'S ST. JOSEPH'S HOLY TRINITY 918 Lincoln Box 309 202 Main Street 103 South Main LaCrosse, KS 67548 Liebenthal, KS 67553 Timken, KS 67575 Pastor: Father Matthew Kumi Rectory: (785) 222-2561 Office: (785) 222-3292 website: e-mail: http://rushcountycatholicchurches.com/ July 9, 2017 Fourteenth Sunday In Ordinary Time TO USE OR RENT ST. MICHAEL'S PARISH CENTER: Janel Weigel 785-222-2454/3646 FUNERAL DINNERS: St. Michael's: Pat Lohrey 785-222-3119 St. Joseph's: Monica Legleiter 785-342-5828 Holy Trinity: Barb Oborny 620-797-1490 COMMUNION CALLS: If anyone is sick at home or hospitalized, please notify Fr. Matthew Kumi. FOR BAPTISM OR MARRIAGE PREPARATION: Please call Fr. Matthew Kumi. Monday, July 10 8:00 am LaCrosse *NO MASS* Tuesday, July 11 8:00 am Liebenthal +Agnes Randa Wednesday, July 12 8:00 am Timken +Louis & Helen Oborny Thursday, July 13 10:00 am Locust Grove +All Deceased In Rush County Friday, July 14 8:00 am LaCrosse +Betty Greenway Saturday, July 15 4:00 pm McCracken +Sylvester McCormick *NOTE TIME & PLACE* Saturday, July 15 7:00 pm Timken For The Parish Sunday, July 16 8:00 am Liebenthal +Deceased Dechant Families Sunday, July 16 10:00 am LaCrosse +Alex McCormick LITURGY MINISTERS: Holy Trinity Collections (July 1, 2017) Timken – Saturday, July 15 – 7:00 pm COMM: Mike Kaus & Clara Oborny SERVERS: Emily George & Allie Seltman LECTOR: Barb Oborny GIFTS: Steve & Barb Oborny USHERS: Duane & Tim Oborny Liebenthal – Sunday, July 16 – 8:00 am SERVERS: Blake & Brooke Herrman COMM: Judy Hoffman & MaryAnn Legleiter LECTOR: Dermot Randa USHERS: G.T. Barnes & Rueben Urban GIFTS: Emmett & Gerri McGinn LaCrosse – Sunday, July 16 – 10:00 am COMM: Plate: Ashley Moeder Cup: Rob Holopirek & Rich Leiker SERVERS: Johannah Baalmann, Kinley Mongeau Ethan Petersilie LECTOR: Rachel Holopirek HOSTS/GIFTS: Benny & Ardis Viegra USHERS: Rob Holopirek & Rick Weigel Envelopes $ 588.00 Offertory Childrens Off Cemetery Votive $ 107.00 $ 2.00 $ 200.00 $ 44.50 TOTAL $ 941.50 St. Joseph Collections (July 2, 2017) Envelopes $ 657.00 Offertory Candles $ 85.00 $ 4.00 TOTAL $ 746.00 Roof Fund: $200.00 St. Michael Collections (July 2, 2017) Offertory Envelopes $ 856.00 $ 139.00 Childrens Off $ 7.00 Merit Energy $ 19.88 Candles $ 30.00 TOTAL $ 1051.88 Thank You For Your Support! firstname.lastname@example.org t CONFESSIONS: Holy Trinity: Saturday, 30 minutes before Mass St. Joseph: Sunday, 30 minutes before Mass St. Michael: First Wednesday of the month 6:30-7:30 pm SUMMER OFFICE HOURS: Scheduled hours are Friday's from 1:00 to 3:00 pm or to schedule an appointment, please contact JoAnn. at 785-623-1917 or email@example.com. Thank You & God Bless! A WARM WELCOME to new parishioners! Please introduce yourself to the pastor. Family registration forms are located in back of the church. Please fill out the form and drop in the collection basket or give to Father after Mass. PRAYER CHAIN.... We pray for those among us who are ill and for their caregivers, for those experiencing a hardship or difficulty and for those in the Armed Forces. To place someone's name on the prayer chain list, please call Ardis Viegra (222-3629). Please keep in your prayers: Fr. Marvin Reif ~ Ida Pfeifer ~ Summer Travelers Safety From Storms ~ World Peace BULLETIN ITEMS: Please give your announcements to Father, email to firstname.lastname@example.org or mail to PO Box 309, LaCrosse. All bulletin items are due by 9:00 am Friday. MASS STIPENDS can be placed in the collection baskets or mailed. Please make checks to St. Michael's Stipend Fund, specify what church you want the Mass and indicate if you want the Mass on a certain date. If you have a preferred date, please submit your request at least two weeks in advance. Each Mass is $10.00. GOSPEL REFLECTION: "Come to me, all you who labor and are burdened, and I will give you rest." Matthew 11:25–30 Write down three burdens that you've carried a while and would like to lay down. Put them at the foot of a cross or in a Bible, and ask Jesus to carry them for you. BIRTHDAY BLESSINGS TO BISHOP JOHN! Our Bishop John will celebrate his Birthday on July 10 th If you would like to send him greetings, they may be sent to: PO Box 137; Dodge City, Kansas, 67801. . ST. MARY'S IN MCCRACKEN will have Mass at 4:00 pm on Saturday, July 15 th . All are invited to attend! GUEST SPEAKERS: At our July 15 th & 16 th Masses, we will have guest speakers from the ACTS Program. TRI-PARISH VIBRANT MINISTRIES COMMITTEE MEMBERS: There will be a short meeting after each Mass on Saturday, July 15 th & Sunday, July 16 th . ALTAR SERVERS' PARTY: There will be a party for all of the Tri-Parish Altar Servers with Fr. Matthew on Tuesday, July 18 th at 5:00 pm at St. Michael's Parish Center. Thank you to the Knights of Columbus for sponsoring this party! MONTHLY PRAYER HOUR FOR OUR COUNTRY will be Wednesday, July 19 th at 1:00 pm in St. Joseph's church. Please plan to join us. CATHOLIC WORKMAN PICNIC! It's time for our annual FCSLA Catholic Workman Branch W133 picnic! Lunch at 12:30 pm on Sunday, July 30 th at the Timken Hill. Members, families, and friends invited! ***ST. MICHAEL in LACROSSE* THE PROPERTY COMMISSION will meet on Thursday, July 13 th at 7:00 pm. *ST. JOSEPH in LIEBENTHAL* PARISH COUNCIL MEETING will be Tuesday, July 11 t h at 7:30 pm in the rectory. MONTHLY PRAYER HOUR FOR OUR COUNTRY will be Wednesday, July 19 t h at 1:00 pm in St. Joseph's church. Please plan to join us. PICNIC PLANNING MEETING after Mass on Sunday, July 23 r d . Plan to attend and share your ideas and lend a helping hand. Thanks! *HOLY TRINITY in TIMKEN*** CATHOLIC WORKMAN PICNIC! It's time for our annual FCSLA Catholic Workman Branch W133 picnic! Lunch at 12:30 pm on Sunday, July 30 th at the Timken Hill. Members, families, and friends invited! THOSE WHO WOULD LIKE TO INQUIRE ABOUT THE CATHOLIC FAITH please contact Fr. Matthew at 785-222-2561 VIBRANT MINISTRIES: A Special Appeal Of The Catholic Diocese Of Dodge City Come to me, all you who labor and are burdened, and I will give you rest. Take my yoke upon you and learn from me, for I am meek and humble of heart; and you will find rest for yourselves. For my yoke is easy, and my burden light." (MATTHEW 11:28-30) Living off the land we understand labor and the need to rest. We understand the burdens of caring for one another through easy and hard times. May we accept Jesus' invitation to learn from and ease our burdens in him. As of June 30 th : 1.4% of Holy Trinity's family has helped us reach $1,800 or 3.3% of our parish's $54,050 goal. 25.8% of St. Joseph's family has helped us reach $9,370 or 22.1% of our parish's $42,415 goal. 7.2% of St. Michael's family has helped us reach $21,448 or 20.5% of our parish's $104,460 goal. Just as Jesus gives himself to us, may we too ease the burdens of others and harvest unity through our support of Priestly vocations, works of mercy and faith formation. Help us reach our goal!! Gifts of grain, stock, mutual funds, IRAs or other investments are welcome. Contact Mark Roth at 620-227-1535 or email@example.com to complete. Fr. Matthew Kumi WEEKLY VOCATION VIEW: Many people are weary and find life burdensome. Could God be calling you to bring comfort, encouragement and refreshment to others? Trust that Jesus can work through you. You can make a difference. (Matthew 11:25-30). If you think God is calling you to priesthood or to consecrated life, visit our website at www.dcdiocese.org/vocations. THE CATHOLIC FINE ARTS COUNCIL of the Archdiocese of Kansas City in Kansas is reaching out to parishioners of our diocese to submit their artwork for consideration to be included in a new regional art exhibit entitled Duc in Altum: Put Out Into the Deep, which will be on display this fall at the Savior Pastoral Center in Kansas City. This juried competition and exhibition primarily seeks to foster the arts of the Western Christian tradition. Other artistic traditions of Christian subject matter will be considered, also. Artwork must be recognizable and appropriate for liturgical use, public devotion or private devotion. Entry deadline is August 1, 2017. Cash awards will range from $200 up to $1500. More information and online application can be found at: www.catholicfinearts.org/entry. THE THIRD ANNUAL DECHANT FOUNDATION GOLF TOURNAMENT, benefiting the retired Priests of the Catholic Diocese of Dodge City will be held Friday, September 8, 2017, at Mariah Hills Golf Course, 1800 Matt Down Rd, Dodge City. The day will begin with Mass at 10:30 am at the Cathedral of Our Lady of Guadalupe Daily Chapel. Registration will begin at 11:00 am with a 12 noon box lunch provided at the clubhouse, 1:00 pm shotgun start golf tourney, followed by 6:00 pm banquet. For more information, contact Mark Roth at: firstname.lastname@example.org. 620-227-1535. $500 for 4-person team. Cost includes green fees, cart rental, lunch, banquet and hole prizes. All parishes in the diocese are challenged to enter a team for this fun and rewarding event! Registration deadline is August 25 th . THEO 4053 WORSHIP AND FAITH: (3 hour core course Fall 2017) The instructor is Fr. Frank Coady. Course Description: The Church's Creeds evolved out of a doctrinal concern, but they were always more than doctrine; they were prayed by the Christian community. The way the Church prayed by her faith, primarily in the Eucharistic gathering, even contributed to the formation of the New Testament. For every generation, the principle gateway into the faith is the way it worships. Thus, worship must be regarded as one of the most vigorous and central elements of the Pastoral Ministry Formation curriculum. This course will consider the relationship between liturgical prayer and religious imagination, focusing particularly on the meaning liturgy can have for contemporary Catholics, as well as present day challenges. Location: Interactive Television Sites throughout Dodge City and Salina Dioceses This course is one of the core courses needed to obtain the Diocesan Certification in Liturgical Ministry. Class Times: Sept. 9, 16, 23, Oct. 7, 14, 21, 28, Nov. 4, 11 Saturday mornings - 8:30 am to 12:00 noon Cost: 3 hr. course for credit - $150.00 3 hr. course for personal enrichment - $75.00** price quotes do not include books Textbook: Doxology: The Praise of God in Worship, Doctrine, and Life by Geoffrey Wainwright ACTS, a three day/three-night Catholic lay retreat will be held at the Heartland Center for Spirituality, 3600 Broadway, Great Bend. The women's retreat will be held September 7-10, 2017 and the men's retreat will be November 16-19, 2017. Talks and activities during the retreat focus on Adoration, Community, Theology and Service, from which the ACTS acronym is derived. Cost is $175 per person, which includes all meals and accommodations for the three-day weekend. Deadline for registration and payment for the women's retreat is September 1 s t and for the men's retreat, November 10 t h . Registration forms are available at http://greatbendcatholic.com. CATHOLIC PILGRIMAGE TO THE SHRINE OF OUR LADY OF GUADALUPE IN MEXICO December 9 – 14, 2017 to be there for the Feast Day and the beautiful Mass of Roses on December 12 th . $2244.00 per person including air from Wichita. Breakfast, Lunch & Dinner Daily. Mass everyday. For a Flyer or more detailed information please call Cathie or Michael Milano at 1-800-773-2660.
Received: 03.07.2018,Accepted: 20.07.2018,Published: 05.09.2018 Special paper Recommendations for the management of non-alcoholic fatty liver disease (NAFLD) Recommendations of the Polish Group of Experts for Non-Alcoholic Fatty Liver Disease (PGE-NAFLD): Krzysztof Tomasiewicz, Robert Flisiak, Waldemar Halota, Jerzy Jaroszewicz, Dariusz Lebensztejn, Wojciech Lisik, Piotr Małkowski, Małgorzata Pawłowska, Anna Piekarska, Krzysztof Simon, Olga Tronina The Polish Group of Experts for Non-Alcoholic Fatty Liver Disease (PGE-NAFLD) is a multidisciplinary team of hepatology experts established by the Polish Association for the Study of Liver and the Polish Society of Epidemiology and Infectious Diseases. The recommendations for the management of non-alcoholic fatty liver disease have been developed by a group of experts in hepatology under the auspices of the Polish Association for the Study of Liver and the Polish Society of Epidemiology and Infectious Diseases. The recommendations are intended to help physicians understand the most current knowledge of NAFLD and apply it in clinical practice. Depending on the clinical situation, it may be necessary to individualize the management. Definition and epidemiology Non-alcoholic fatty liver disease (NAFLD) is a growing clinical and epidemiological problem worldwide. The prevalence of the disease is correlated with the level of development of a given society, however increasingly across the world the problem affects various age and social groups [1, 2]. The definition of NAFLD should include both different stages of the disease and the wide spectrum of clinical manifestations involving not only the liver. Most patients with NAFLD experience nutritional and metabolic disorders, mainly obesity, diabetes and dyslipidaemia. The definition of NAFLD requires that there is evidence of hepatic steatosis by imaging and/or histopathological examination (preferred option) and there are no other causes for hepatic fat accumulation, primarily excessive alcohol consumption, long-term use of medications inducing hepatic steatosis, infection by steatogenic pathogens (e.g. geno type 3 of the hepatitis C virus) and hereditary lipid disorders [3, 4]. The prevalence of NASH in the general population and across different regions/countries is difficult to es- timate. Since NASH must be confirmed histopathologically, only in some patients the diagnosis can be made in a methodologically correct manner. On the other hand, the obesity "epidemic", growing prevalence of diabetes and evidence of hepatic steatosis in imaging studies in a large number of patients, give grounds to assume that NAFLD, but also NASH, affect a significant percentage of the population [7, 8]. One of the largest meta-analyses, published by Younossi et al ., shows that NASH confirmed by liver biopsy affects almost 60% of patients with liver disease (biopsy for clinical indications) and between 2 and 6% of the general population [9]. If these estimates are correct, NASH and its consequences occur much more commonly than any other liver disease. Risk factors Recognized factors increasing the risk of NAFLD and/or associated with the development of the disease include [10-12]: 2. Type 2 diabetes; 1. High body mass index (BMI) [linear correlation with risk escalation > 30 kg/m 2 ] and abdominal obesity; 3. Dyslipidaemia – high level of triglycerides (TG) in blood serum (depending on the sex and ethnicity, but the recognized threshold value is 150 mg/dl, low level of high-density lipoproteins (HDL) (< 40 mg/dl in men and < 50 mg/dl in women); 5. Male sex – the prevalence of NAFLD is twice as high in men as in women; 4. Age – the prevalence of NAFLD rises with age; 6. Long-term consumption of even moderate amounts of alcohol in combination with excessive caloric intake and/or obesity. Histologically, NAFLD may be further categorized into non-alcoholic fatty liver (NAFL) and non-alcoholic steatohepatitis (NASH). The distinction between stages of NAFLD is of fundamental importance for prognosis and therapy. NAFL is defined as the presence of > 5% of steatotic hepatocytes without features of hepatocyte injury and ballooning degeneration. The diagnosis of NASH requires the presence of inflammation and hepatocyte injury (most commonly ballooning degeneration), with fibrosis not being a prerequisite for diagnosing NASH [4-6]. The role of the ethnicity factor is attributed to genetic predisposition, namely variation in the PNPLA3 gene. The presence of the PNPLA3 I148M and TM6SF2 E167K variants may elevate the risk of development of NAFLD/NASH, and symptoms of the disease may be unaccompanied by features of the metabolic syndrome [13]. In cases where genetic testing for these variants is available, their presence can be assessed in selected clinical situations, however genetic tests are not recommended routinely [14]. Diagnosis of NAFLD/NASH Cost efficiency analyses available in the literature have shown that widespread screening for NAFLD should not be recommended. However, caution should be exercised in patients with type 2 diabetes and suspicion of NASH, especially when advanced liver disease is suspected [15, 16]. The unambiguous diagnosis of NASH/NAFLD can pose difficulties. The presence of hepatic steatosis can be diagnosed by non-invasive and invasive methods: The diagnosis of NAFLD requires: (1) evidence of hepatic steatosis found by imaging (non-invasive methods) or histopathologial examination (liver biopsy); (2) no alcohol intake or moderate alcohol consumption; (3) exclusion of other causes of hepatic steatosis; (4) exclusion of other causes of liver disease [3, 6]. In addition to NAFLD, the most common causes of hepatic steatosis include alcohol abuse, HCV infection, drugs (especially corticoids, tetracyclines, oestrogens), parenteral nutrition, Wilson's disease and malnutrition. Furthermore, the differential diagnosis should include haemochromatosis, autoimmune liver diseases and alpha-1-antitrypsin deficiency. NAFLD can coexist with other nosological entities. Extensive differential diagnostics is of particular significance in the presence of advanced liver fibrosis [2, 14]. Appropriate diagnostic work-up is also important in each case of suspected NASH. 1. Non-invasive methods B. Computed tomography – slightly superior to ultrasonography with regard to the assessment of hepatic steatosis, however more expensive and less widely available than the latter method. A. Ultrasonography – basic method, widely available and inexpensive; enables assessment of liver structure also with respect to focal lesions or biliary pathologies. Ultrasonography does not usually reliably detect hepatic steatosis when less than 20% hepatocytes are affected. Furthermore, the results may be unreliable in patients with BMI > 40 kg/m 2 or inadequately prepared for the examination. C. Magnetic resonance imaging – recognized as the "gold standard" among imaging techniques; enables visualization of even mild steatosis. It is the basic non-invasive method which can be used to assess response to therapy [17]. Disadvantages include high cost and long duration of the examination. E. Elastography with CAP (controlled attenuation parameter) option – because of insufficient data and lack of reliable studies comparing the usefulness of this tool with the above-mentioned imaging methods CAP cannot, as yet, be recommended in the diagnostic work-up for NAFLD/NASH [19, 20]. D. Magnetic resonance spectroscopy – a method with similar advantages and disadvantages as MRI. From the technical point of view, it involves a separate analysis of fat and water signals, enabling quantification of fat content in the liver. From the practical perspective, on account of less extensive experience, limited availability and higher cost, magnetic resonance spectroscopy is considered to be less useful as a diagnostic modality in NAFLD/ NASH than MRI [17, 18]. F. Serum biomarkers – there are multiple diagnostic tools based on the analysis of serum concentrations of different proteins or substances. Their usefulness in assessing the stage of fibrosis is viewed rather critically in relation to elastographic methods. Tests that have been validated for NAFLD include NAFLD fibrosis score (NFS) and FIB-4. Despite its widely known limitations, histological evaluation of material obtained by liver biopsy is the only method that reliably differentiates NAFL from NASH. Bioptate analysis is the only method to identify features typical of NASH: coexisting steatosis, lobular inflammation and balloon degeneration. Other features that can be seen in NASH, but are not necessary for the diagnosis include portal inflammation, polymorphonuclear infiltrates, Mallory-Denk bodies, apoptotic bodies or perisinusoidal fibrosis. Scoring systems for assessing disease stage are also used, of which the most important are NAS (NAFLD Activity Score) and SAF (steatosis, activity and fibrosis) [4, 22]. The suitability of biomarkers for assessing steatosis and/or determining the presence of NASH is the subject of intensive research. One of the most promising tests is based on measuring cytokeratin-18 (CK-18) fragments generated during cell death (M65) or apoptosis (M30). Because of its relatively low sensitivity (66%) and specificity (82%), and more difficult accessibility of CK-18 measurements, the method is currently not recommended for the diagnosis of NASH [21]. 2. Invasive methods (liver biopsy) The decision to perform a biopsy should be made based on the patient's complete clinical picture and the presence of risk factors for NASH development, especially in cases with no defined aetiology of liver disease. Therapeutic management Pharmacological treatment of liver disease should be reserved for patients diagnosed with NASH, and with significant steatosis and advanced liver disease. Extensive differential diagnostics is necessary to determine the cause of fibrosis. 1. Lifestyle modification – an appropriate diet, increased physical activity and weight loss are the first line of intervention in patients with NAFLD/NASH. Body weight reduction by > 5% has been shown to decrease hepatic steatosis, and by > 10% to contribute to histological improvement in patients with NASH [24, 25]. This management also helps to reduce the risk of cardiovascular diseases. An increased level of physical activity is known to induce body weight reduction, but the effect of exercise on improving the histological picture has not been demonstrated unequivocally. Physical activity must be combined with diet [26]. Basic dietary recommendations include lowering the calorie content of meals (decrease in daily caloric intake by 500-1000 kcal) and avoidance of processed foods, products and drinks that are high in fructose. Since NAFLD is accompanied by systemic health conditions, multifaceted management by multidisciplinary teams is required. Testing for diabetes and, if needed, pharmacotherapy is required in all patients with NAFLD. Hepatic steatosis without inflammation also requires therapeutic management, with good results achieved by lifestyle modification and initiating treatment of concomitant diseases. Patients with NAFLD require oncological alertness because of recent reports of increased incidence of cancer, including primary hepatocellular carcinoma (HCC), also in individuals without cirrhosis [23]. 2. Insulin sensitizers B. Thiazolidinediones – the latest research shows that pioglitazone produces a beneficial effect in patients with NASH both with and without diabetes. However, increased insulin sensitivity and reduced A. Metformin – despite some studies demonstrating a positive effect of metformin on the activity of liver enzymes and a decrease in insulin resistance, the drug has not been shown to affect the course of NASH and the histological picture [27, 28]. Consequently, metformin is not recommended for the treatment of NASH. hepatic fibrosis apply to a greater extent to diabetic patients [29-31]. Such treatment may be considered on a case-by-case basis, however, the therapy will perhaps be recommended after conducting further studies. 4. Ursodeoxycholic acid (UDCA) – study results are divergent. Observations have been conducted for different doses ranging from 10 to 35 mg/kg. UDCA is believed to have a potentially positive effect on biochemical activity, particularly in combination with, for example, vitamin E [35, 36]. UDCA products are not indicated for the treatment of NASH in the USA. According to the proposed management algorithm the efficacy should be verified by assessing the activity of aminotransferases after 3-4 months; a decrease in baseline values by at least 1/3 justifies the continuation of treatment. 3. Vitamin E – the benefit of vitamin E in the treatment of NASH is based on its antioxidant activity. Results of randomized trials indicate that vitamin E at a dose of 800 mg/d contributes to the normalization of aminotransferase activity, reduction in steatosis and inflammation, and even balloon degeneration in patients with NASH without diabetes, however without any effect on fibrosis [32, 33]. There are concerns about the long-term effect of vitamin E on prostate cancer in men over 50 years of age [34]. Further studies are, however, necessary. 5. Agonists of FXR (farnesoid X receptor) – in preclinical studies they show a number of benefits in NAFLD/ NASH due to their metabolic activity causing stabilization of lipid and carbohydrate metabolism, and their immunomodulatory and anti-inflammatory effects. Clinical trials are underway to investigate their natural ligands (CA and CDCA), semi-synthetic modified bile acids (obeticholic acid, OCA) and semi-synthetic non-steroidal molecules (GW4064 and WAY-362450). Preliminary findings suggest that these medications may reduce steatosis and inflammation in NAFLD/ NASH [37]. However, their effect depends on the duration of treatment and the risk of adverse reactions requiring discontinuation of therapy (e.g. pruritus). 6. Agonists of peroxisome proliferator-activated receptors (PPARα) – Clinical studies on fibrates have demonstrated their beneficial effects in dyslipidaemia accompanying NASH. Fenofibrate treatment in patients with biopsy-confirmed NASH has led to a reduction in the number of patients with elevated aminotransferase (ALT, AST) and gamma-glutamyltranspeptidase (GGT) activity, and baloon degeneration evaluated by biopsy. However, there have been no significant changes in terms of steatosis, inflammation and fibrosis. Short-term treatment with bezafibrate (2-8 weeks), in combination with appropriate diet and increased physical activity, has been found to reduce microvesicular steatosis. Short-term 4-week treatment of NASH with gemfibrozil has led to a decrease in AST and GGT activity. A year-long therapy with clofibrate has not been demonstrated to provide any benefit [38]. 8. Statins – their use in NASH brings benefits in terms of reduction of cardiovascular risk. Long-term follow-up shows that statin therapy is safe for the liver, however there is also no clear evidence of benefits in this indication. Only isolated observations have shown histological improvement, and one of the retrospective studies has found that the incidence of hepatic cancer is 27% lower in statin-treated patients [40, 41]. These data, however, are not sufficient for a definite recommendation to use statins in NASH therapy. 7. Cenicriviroc – a CCR5 co-receptor inhibitor currently undergoing the approval process. The results of clinical trials are very promising [39]. 9. Bariatric surgery – a surgical option recommended in patients with obesity grades II or III not responding to other therapies [42, 43]. In recent years, there has been a significant increase in the number of clinical trials investigating new treatments for NASH. It is to be expected that the number of therapeutic options will increase in a short-term perspective, which does not diminish the importance of non-pharmacological management methods. Disclosure The authors report no conflict of interest. References 1. Sayiner M, Koenig A, Henry L, et al. Epidemiology of nonalcoholic fatty liver disease and nonalcoholic steatohepatitis in the United States and the rest of the world. Clin Liver Dis 2016; 20: 205-214. 3. Ahmed A, Wong RJ, Harrison SA. Nonalcoholic fatty liver disease review: diagnosis, treatment, and outcomes. Clin Gastroenterol Hepatol 2015; 13: 2062-2070. 2. Chalasani N, Younossi Z, Lavine JE, et al The diagnosis and management of nonalcoholic fatty liver disease: practice guidance from the American Association for the Study of Liver Diseases. Hepatology 2018; 67: 328-357. 4. Yeh MM, Brunt EM. Pathological features of fatty liver disease. Gastroenterology 2014; 147: 754-764. 6. Kleiner DE, Brunt EM. Nonalcoholic fatty liver disease: pathologic patterns and biopsy evaluation in clinical research. Semin Liver Dis 2012; 32: 3-13. 5. Kaswala DH, Lai M, Afdhal NH. Fibrosis assessment in nonalcoholic fatty liver disease (NAFLD) in 2016. Dig Dis Sci 2016; 61: 1356-1364. 7. Targher G, Marchesini G, Byrne CD. Risk of type 2 diabetes in patients with non-alcoholic fatty liver disease: causal association or epiphenomenon? Diabetes Metab 2016; 42: 142-156. 8. Musso G, Gambino R, Cassader M, et al. Meta-analysis: natural history of non-alcoholic fatty liver disease (NAFLD) and diagnostic accuracy of non-invasive tests for liver disease severity. Ann Med 2011; 43: 617-649. 10. Loomis KA, Kabadi S, Preii D, et al. Body Mass Index and risk of Nonalcoholic Fatty Liver Disease: two electronic health record prospective studies. J Clin Endocrinol Metab 2016; 101: 945-952. 9. Younossi ZM, Koenig AB, Abdelatif D, et al. Global epidemiology of nonalcoholic fatty liver disease-Meta-analytic assessment of prevalence, incidence, and outcomes. Hepatology 2016; 64: 73-84. 11. Miyake T, Kumagi T, Furukawa S, et al. Non-alcoholic fatty liver disease: Factors associated with its presence and onset. J Gastroenterol Hepatol 2013; 28 (Suppl 4): 71-78. 13. Kawaguchi T, Sumida Y, Umemura A, et al. Genetic polymorphisms of the human PNPLA3 gene are strongly associated with severity of nonalcoholic fatty liver disease in Japanese. PLoS One 2012; 7: e38322. 12. Margariti E, Deutsch M, Manolakopoulos S, et al. Non-alcoholic fatty liver disease may develop in individuals with normal body mass index. Ann Gastroenterol 2012; 25: 45-51. 14. European Association for the Study of the Liver (EASL)1; European Association for the Study of Diabetes (EASD); European Association for the Study of Obesity (EASO). EASL-EASD-EASO Clinical Practice Guidelines for the management of non-alcoholic fatty liver disease. J Hepatol 2016; 64: 1388-1402. 16. Corey KE, Klebanoff MJ, Tramontano AC, et al. Screening for nonalcoholic steatohepatitis in individuals with type 2 diabetes: a cost-effectiveness analysis. Dig Dis Sci 2016; 61: 2108-2117. 15. Wong VW, Chalasani N. Not routine screening, but vigilance for chronic liver disease in patients with type 2 diabetes. J Hepatol 2016; 64: 1211-1213. 17. Kim D, Kim WR, Talwalkar JA, et al. Advanced fibrosis in nonalcoholic fatty liver disease: noninvasive assessment with MR elastography. Radiology 2013; 268: 411-419. 19. Vuppalanchi R, Siddiqui MS, Hallinan EK, et al. Transient elastography is feasible with high success rate for evaluation of nonalcoholic fatty liver disease (NAFLD) in a multicenter setting. Hepatology 2015; 62: 1290A. 18. Loomba R, Wolfson T, Ang B, et al. Magnetic resonance elastography predicts advanced fibrosis in patients with nonalcoholic fatty liver disease: a prospective study. Hepatology 2014; 60: 1920-1928. 20. Tapper EB, Challies T, Nasser I, et al. The performance of vibration controlled transient elastography in a US cohort of patients with nonalcoholic fatty liver disease. Am J Gastroenterol 2016; 111: 677-684. 22. Bedossa P; FLIP Pathology Consortium. Utility and appropriateness of the fatty liver inhibition of progression (FLIP) algorithm and steatosis, activity, and fibrosis (SAF) score in the evaluation of biopsies of nonalcoholic fatty liver disease. Hepatology 2014; 60: 565-575. 21. Chen J, Zhu Y, Zheng Q, et al. Serum cytokeratin-18 in the diagnosis of non-alcoholic steatohepatitis: a meta-analysis. Hepatol Res 2014; 44: 854-862. 23. Said A, Ghufran A. Epidemic of non-alcoholic fatty liver disease and hepatocellular carcinoma. World J Clin Oncol 2017; 8: 429-436. 25. Vilar-Gomez E, Martinez-Perez Y, Calzadilla-Bertot L, et al. Weight loss through lifestyle modification significantly reduces 24. Sung KC, Ryu S, Lee JY, et al. Effect of exercise on the development of new fatty liver and the resolution of existing fatty liver. J Hepatol 2016; 65: 791-797. features of nonalcoholic steatohepatitis. Gastroenterology 2015; 149: 367-378. 27. Li Y, Liu L, Wang B, et al. Metformin in nonalcoholic fatty liver disease: a systematic review and meta-analysis. Biomed Rep 2013; 1: 57-64. 26. Haufe S, Engeli S, Kast P, et al. Randomized comparison of reduced fat and reduced carbohydrate hypocaloric diets on intrahepatic fat in overweight and obese human subjects. Hepatology 2011; 53: 1504-1514. 28. Loomba R, Lutchman G, Kleiner DE, et al. Clinical trial: pilot study of metformin for the treatment of non-alcoholic steatohepatitis. Aliment Pharmacol Ther 2009; 29: 172-182. 30. Omer Z, Cetinkalp S, Akyildiz M, et al. Efficacy of insulin-sensitizing agents in nonalcoholic fatty liver disease. Eur J Gastroenterol Hepatol 2010; 22: 18-23. 29. Cusi K, Orsak B, Bril F, et al. Long-term pioglitazone treatment for patients with nonalcoholic steatohepatitis and prediabetes or type 2 diabetes mellitus: a randomized trial. Ann Intern Med 2016; 165: 305-315. 31. Aithal GP, Thomas JA, Kaye PV, et al. Randomized, placebo-controlled trial of pioglitazone in nondiabetic subjects with nonalcoholic steatohepatitis. Gastroenterology 2008; 135: 1176-1184. 33. Dufour JF, Oneta CM, Gonvers JJ, et al. Randomized placebocontrolled trial of ursodeoxycholic acid with vitamin e in nonalcoholic steatohepatitis. Clin Gastroenterol Hepatol 2006; 4: 1537-1543. 32. Xu R, Tao A, Zhang S, et al. Association between vitamin E and non-alcoholic steatohepatitis: a meta-analysis. Int J Clin Exp Med 2015; 8: 3924-3934. 34. Abner EL, Schmitt FA, Mendiondo MS, et al. Vitamin E and allcause mortality: a meta-analysis. Curr Aging Sci 2011; 4: 158-170. 36. Ratziu V, de Ledinghen V, Oberti F, et al. A randomized controlled trial of high-dose ursodesoxycholic acid for nonalcoholic steatohepatitis. J Hepatol 2011; 54: 1011-1019. 35. Lindor KD, Kowdley KV, Heathcote EJ, et al. Ursodeoxycholic acid for treatment of nonalcoholic steatohepatitis: results of a randomized trial. Hepatology 2004; 39: 770-778. 37. Makri E, Cholongitas E, Tziomalos K. Emerging role of obeticholic acid in the management of nonalcoholic fatty liver disease. World J Gastroenterol 2016; 22: 9039-9043. 39. Friedman SL, Ratziu V, Harrison SA, et al. A randomized, placebo-controlled trial of cenicriviroc for treatment of nonalcoholic steatohepatitis with fibrosis. Hepatology 2018; 67: 1754-1767. 38. Pawlak M, Lefebyre P, Staels B. Molecular mechanism of PPARα action and its impact on lipid metabolism, inflammation and fibrosis in non-alcoholic fatty liver disease. J Hepatol 2015; 62: 720-733. 40. Foster T, Budoff MJ, Saab S, et al. Atorvastatin and antioxidants for the treatment of nonalcoholic fatty liver disease: the St Francis Heart Study randomized clinical trial. Am J Gastroenterol 2011; 106: 71-77. 42. Mathurin P, Hollebecque A, Arnalsteen L, et al. Prospective study of the long-term effects of bariatric surgery on liver injury in patients without advanced disease. Gastroenterology 2009; 137: 532-540. 41. Chalasani N, Aljadhey H, Kesterson J, et al. Patients with elevated liver enzymes are not at higher risk for statin hepatotoxicity. Gastroenterology 2004; 126: 1287-1292. 43. Lassailly G, Caiazzo R, Buob D, et al. Bariatric surgery reduces features of nonalcoholic steatohepatitis in morbidly obese patients. Gastroenterology 2015; 149: 379-388.
Enabling and Supporting Provenance in Grids for Complex Problems Title: Provenance Implementation Design Workpackage: WP 9 Author: John Ibbotson Contributors: Sheng Jiang Reviewers: All project partners Identifier: D9.3.3 including Security Implementation D4.3.1 and Scalability Implementation D5.3.1 Type: Deliverable Version: 1.0 Date: 30 th November 2006 Status: Public Summary This document provides an implementation design for the Provenance deliverable D9.3.3 and includes descriptions of the security and scalability deliverables D4.3.1 and D5.3.1. It includes a description of the major interfaces, components and subcomponents together with a mapping to the architectural requirements it supports. Enabling and Supporting Provenance in Grids for Complex Problems Members of the PROVENANCE consortium: * IBM United Kingdom Limited United Kingdom * University of Southampton United Kingdom * University of Wales, Cardiff United Kingdom * Deutsches Zentrum fur Luft- und Raumfahrt e.V. Germany * Universitat Politecnica de Catalunya Spain * Magyar Tudományos Akadémia Számítástechnikai és Automatizálási Kutató Intézet Hungary Enabling and Supporting Provenance in Grids for Complex Problems Table of Contents A.5 The XPathIterator WSDL ......................................................................................................................................................25 1 Introduction This document describes the design of the reference implementation of a Provenance Service as described in the project deliverable D3.1.1: An Architecture for Provenance Systems [1]. The architecture deliverable defines a data model and set of interfaces that allow Provenance aware applications to record documentation about processes and their execution and subsequently query the captured documentation. This reference implementation is a realization of the architecture using Grid standards and toolkit. This document lists the requirements relating to the Provenance Service and comments on how the implementation meets those requirements. It then provides details of the design together with the major components together with other third party software components required to deploy a Provenance Service. In addition to the reference implementation of the Provenance Service, the project has developed a Client Side Library (CSL) for use by application developers. The CSL provides an interface to the Provenance Service functions whilst hiding the complexities of directly connecting to the store over a network. By separating the connection to the Provenance Service from a client application, users of the Provenance technology can take advantage of other implementations of the Provenance Service interfaces without altering their client code. The CSL has been tested with an alternative implementation of the Provenance Service interfaces; this implementation is the PreServ code developed as part of the PASOA project. The CSL design information is provided as a separate document D9.3.3a [2]. 1.1 Security and Scalability Deliverables The Provenance project has previously delivered two versions of a Security Specification ([3] and [4]) and a Scalability Specification ([5] and [6]). In the original project plan which forms part of the contract Technical Annex, these deliverables were to be followed by implementations of the specifications as deliverables D4.3.1 and D5.3.1. The second versions of the Security and Scalability specifications were produced at month 18 of the Provenance project and since then the implementation of the specifications have been included in the Workpackage 9 deliverable which is the subject of this document. The initial project proposal was submitted in 2003 and included significant resources for the security and scalability implementation phase. In the intervening three years, there has been major progress in the development of toolkits and middleware for implementing and deploying Grid systems in a secure and scalable infrastructure. Notably this has resulted in the development of the Globus Toolkit which is currently at version 4. This toolkit has provided the underlying infrastructure for the reference implementation of the Provenance Architecture. As a result, the Provenance project has used the features of GT4 to provide the underlying services envisaged by workpackages 4 and 5. This has resulted in less resources than originally anticipated being needed to develop the security and scalability functions which have been included in the reference implementation of Workpackage 9. This also means that D4.3.1 and D5.3.1 do not exist as separate deliverables. Descriptions of the security and scalability support are provided in this document. 1.2 Terminology The following terms are used in this document: AXIS The Apache SOAP engine provided as part of the GT4 release [8] Collection A subdivision of an eXist XML database. DOM The Document Object Model used for managing XML documents fragments [9] eXist An open source implementation of an XML database [10] GT4 The Globus toolkit version 4 [11] OGSA-DAI Open Source implementation of the OGSA Data Access and Integration specification [12] Pivot point The position in a Web Services interaction where AXIS handlers are invoked. Tomcat The Apache Java based application server [13] WS-RF The Web Services Resource Framework [7] XMLDB A standardised interface to XML databases XPath The XML Path language [14] XQuery The XML Query language [15] XUpdate An XML based language for updating XML documents and databases [16] Enabling and Supporting Provenance in Grids for Complex Problems 2 Requirements The following implementation recommendations from the Provenance Architecture [1] are supported by the following design features. ID Description Design Feature IR-PS-4 Provenance stores for an application can be deployed in security domains to which all querying actors have credentials to access. Tools can provide single-sign on by storing credentials and using as appropriate for each provenance store. IR-PS-5 IR-PS-6 IR-PS-7 Process documentation cannot be removed from the data storage using the provenance store APIs; instead, it may be removed, following data retention policies, by making direct access to the storage layer, using curation methodology typical of long term storage. The access control functionality of the provenance store may provide a way to model the expression of access control policies and rules so that they are functionally and / or semantically equivalent to the access control policies of other data stores. Scalability of query results can be implemented by caching of the results within the provenance store. A set of interface operations allows actors to iterate and retrieve the cached results in response to a query request. This recommendation may be supported by a federated security infrastructure with actors having access to multiple security domains via a single sign-on infrastructure. GT4 supports several federated security models such as cross certification and the Community Authorization Service (CAS). Deliverable D4.2.1 identified CAS as being suitable for Provenance requirements. However, subsequent investigation revealed that GT4 does not support CAS-based authorization for web services (documented in the CAS administration guide). The Provenance project has therefore included information on cross certification in the release package for systems administrators that require this capability. The data storage system is a separate sub-component of the Provenance Service. The Provenance Service interfaces do not support the removal of process documentation, but this does not preclude its removal by direct access to the data storage by a user with an administration role. For a Provenance Service to implement the same access control policies as other data stores, it must share the definition of those policies. The reference implementation uses an XML file that provides a user/role based access control feature for the Provenance Service. This allows access for users at the granularity of web services ports. This configuration file is used by a Provenance Service specific Policy Decision Point (PDP) which is compatible with the GT4 PDP architecture. If required, this feature may be configured by systems administrators. For the contents of the configuration file to be compatible with other data stores, there needs to be an administration process implemented to create the Provenance Service access control file from other system wide information. Since this process will be specific to different installations, a generic solution is not possible and therefore outside the scope of this project. The XPathFactoryPort port type implementation supports this requirement. The results of a query are cached in the Provenance Service and an iterator operation allows them to be retrieved by a querying client. Enabling and Supporting Provenance in Grids for Complex Problems IR-PS-8 Management of large number of p- assertions can be addressed by implementing the provenance store persistent store component using a proprietary or open source database management system. IR-PS-9 Implementations of the provenance recording, query and management interfaces should be clusterable. The Provenance Service persistent store component is accessed via an OGSA-DAI data service. This allows alternative open source or proprietary database components to be used. The Provenance Service is identified by a single logical network endpoint address. This allows the implementation to be clustered by a set of application servers such as Apache Tomcat running instances of the Globus GT4 container. Clustering in this context means that copies of the GT4 container and its Web Services (such as the Provenance Service) can be run on multiple application servers to increase the capacity and performance of the service. The cluster of servers is identified by the single network endpoint address. A load balancing component captures any request messages to the cluster and passes the request to an instance of the application server according to the current loading status of the cluster thereby sustaining the performance of the cluster. Additional hardware and software components may be dynamically added and removed from the cluster to support its performance requirements without altering its logical interfaces to invoking applications. The following implementation recommendations from the Provenance Architecture [1] are not supported by the reference implementation. ID Description Design Feature IR-PS-1 IR-PS-2 IR-PS-3 A provenance store implementation may use a metadata infrastructure such as RDF to annotate p-assertions with metadata information about time at which passertions are received through the recording interface or stored in persistent storage. A provenance store implementation may document its interactions with asserters by storing p-assertions in some provenance store (itself or another one). This allows the provenance to document back ups, replication, time, etc. A provenance store implementation may use a storage layer that offers replication of p-assertions in order to be fault-tolerant. The P-Assertion schemas include elements of any type that are intended for application specific information and metadata. These elements may be used to annotate passertions with RDF metadata for application specific processing. The reference implementation is agnostic to application specific schemas therefore no specific support for RDF has been included A Provenance Service can itself be an actor that records passertions. Recording may be to itself or a separate Provenance Service by including the actor side libraries in an implementation of the Provenance Service. The Provenance Service implementation developed as part of the project does not include this feature. The Provenance Service implementation developed as part of this project separates the storage layer which is represented as a data service using OGSA-DAI. This separation allows a fault-tolerant database configuration to be used if required. So far, XML databases do not support IR-PS-10 Implementations of provenance store should consider long term storage of passertions and the necessity to keep a long term copy of public keys (which may expire) to verify signed assertions. fault tolerance to the same degree as relational database technologies so this feature is not supported by the project. Security lifecycle management considers the changes over an extended period of time of data security as threats to the data change. This is an ongoing research and development subject and out of scope for the Provenance project. 3 The Implementation Model RecordPort XQueryPort XPathPort XPathFactoryPort ProvenanceService PStoreDatabase OGSA-DAI Client API ProvenanceStoreResource PStoreDatabase OGSA-DAI Client API ProvenanceStoreResource PStoreDatabase OGSA-DAI Client API ProvenanceServiceResource eXist XML Database OGSA-DAI ProvenanceServiceResourceHome Uses ProvenanceStoreFactory ProvenanceStoreFactoryPortType Uses Manages ProvenanceService GT4 Container Tomcat/GT4 Container ProvenanceAuthorizationPDP ACL File Figure 1: Provenance Service Components The stateful Web Service pattern is described in a previous project deliverable [17]. We now identify the components of a Provenance Service that implements this pattern. These are shown in the Provenance Service Components figure. 1. The ProvenanceStoreFactory service creates an instance of a ProvenanceServiceResource. The service contains a single createResource operation that takes a CreateResourceRequest message as input and returns a createResourceResponse message. The ProvenanceStoreFactory service uses the ProvenanceServiceResourceHome to create a new instance of a ProvenanceServiceResourceHome whose WS-Addressing EndpointReference (EPR) is returned to the requesting client in the createResourceResponse message. The client then uses this EPR to access the resource through the ProvenanceService interface. 2. The ProvenanceServiceResourceHome manages a set of ProvenanceServiceResource objects. It is used by the ProvenanceStoreFactory to create new instances of ProvenanceServiceResource objects and by the ProvenanceService find and access previously created instances. 3. The ProvenanceService is an implementation of the Provenance Service Web Service whose interfaces are defined by the WSDL in Appendix A2. The WSDL ports corresponding to the operations are: a. RecordPort – Record a set of p-assertions in the Provenance Service b. XQueryPort – Perform an XQuery search on the Provenance Service and return the results of the search c. XPathPort – Perform an XPath search on the Provenance Service and return the results of the search. This was provided for earlier releases of the eXist database which did not support XQuery. d. XPathFactoryPort – Perform an XPath search on the Provenance Service and return the number of entries in the result set. The GetItems operation then allows a client to iterate through the results 4. The ProvenanceServiceResource is an implementation of a WS-Resource as defined in [7]. An instance of a ProvenanceServiceResource is created at the request of the ProvenanceStoreFactory by the ProvenanceServiceResourceHome for use by an actor. The ProvenanceServiceResource contains an instance of a PStoreDatabase object which provides the internal interfaces to the persistent database through the OGSA-DAI client Application Programming Interface (API). 5. Persistent XML data storage is provided by an OGSA-DAI data service. This service may be hosted in the same container as the Provenance Service or alternatively on a separate, distributed container. 6. An eXist XML database provides the persistent database for the OGSA-DAI service. 7. The ProvenanceAuthorizationPDP provides access control to the Provenance Service through a customized Policy Decision Point (PDP). A PDP is an extensible point in the Globus GT4 architecture that allows implementations to add further security features. The Provenance Service can make use of an Access Control List (ACL) contained in an external file to grant access to the service at a port level. Note that in the Provenance Architecture, a management port was identified but no functionality assigned to it. Therefore no implementation of such a port has been provided. 3.1 Implementation Classes Figure 2: Provenance Service implementation classes The significant Java classes that implement the Provenance Service are shown as a UML class diagram which represents the components shown in Figure 1. In this, the ProvenanceStoreFactory uses the ProvenanceServiceResourceHome class to create instances of a ProvenanceServiceResource. The ProvenanceService is an implementation of the Web Service defined in the Provenance Architecture that uses the WS-Addressing endpoint returned by the ProvenanceStoreFactory class to access a created ProvenanceServiceResource. The PStoreDatabase class acts as an internal interface to a created OGSA-DAI data service which interacts with the eXist XML database. The implementation consists of the following Java packages: org.gridprovenance.wsrf.server Classes to implement the Provenance Service interfaces org.gridprovenance.wsrf.security Classes to implement the Provenance Service security support org.gridprovenance.wsrf.client A set of client examples used to test the Provenance Service interfaces without using the client side library org.gridprovenance.commonservices A set of services used by other provenance Service implementation classes 4 Provenance Service Component Design 4.1 ProvenanceStoreFactory The interface to the ProvenanceStoreFactory is shown in Appendix A.1. It consists of a single ProvenanceStoreFactoryPortType with a single createResource operation. The input message to the operation is of type CreateResourceRequest and is empty. The response is of type CreateResourceResponse. The response contains a WSAddressing EndpointReference (EPR) to a newly created ProvenanceServiceResource. The EPR is used by subsequent invocations of the ProvenanceService Web service to correctly identify which ProvenanceServiceResource should be used. An example EPR serialized as a string is shown: ``` <ns1:ProvenanceServiceResourceReference xsi:type="ns2:EndpointReferenceType" xmlns:ns1="http://www.gridprovenance.org/schemas/ProvenanceService" xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xmlns:ns2="http://schemas.xmlsoap.org/ws/2004/03/addressing"> <ns2:Address xsi:type="ns2:AttributedURI"> http://184.108.40.206:8080/wsrf/services/ProvenanceService </ns2:Address> <ns2:ReferenceProperties xsi:type="ns2:ReferencePropertiesType"> <ns1:ProvenanceServiceResourceKey xmlns:ns1="http://org.gridprovenance.gt4"> 1832807742 </ns1:ProvenanceServiceResourceKey> </ns2:ReferenceProperties> <ns2:ReferenceParameters xsi:type="ns2:ReferenceParametersType"/> </ns1:ProvenanceServiceResourceReference> ``` The returned EPR contains the address of the Web Service to be used to access the ProvenanceServiceResource together with a key to identify the newly created resource. The GT4 client API allows a portType to be returned given an EPR as an input argument. The following code illustrates the 2 stage process of invoking the ProvenanceServiceFactory followed by the Provenance Service. ``` String factoryURI = "http://127.0.0.1:8080/wsrf/services/ProvenanceStoreFactory"; EndpointReferenceType factoryEPR, instanceEPR; ProvenanceStoreFactoryPortType psFactory; ProvenanceStorePortType pStore; // Get the ProvenanceStoreFactory portType factoryEPR = new EndpointReferenceType(); factoryEPR.setAddress(new Address(factoryURI)); psFactory = factoryLocator.getProvenanceStoreFactoryPortTypePort(factoryEPR); // Create resource and get endpoint reference of WS-Resource. // This resource is our Provenance Service "instance". CreateResourceResponse createResponse = psFactory.createResource(new CreateResource()); instanceEPR = createResponse.getEndpointReference(); // Get instance PortType pStore = instanceLocator.getProvenanceStorePortTypePort(instanceEPR); // Create a Record structure ..... Record rec = new Record(); // ..... and invoke the Provenance Service Web service RecordAck recAck = pStore.record(rec); ..... ``` 4.2 ProvenanceServiceResourceHome The ProvenanceServiceResourceHome class extends the GT4 ResourceHomeImpl class which implements the ResourceHome interface. The Provenance Service implementation has to provide a create() method which: 1. Creates an instance of a ProvenanceServiceResource 2. Initializes the resource 3. Gets a key for the resource and adds it to the set of current keys 4. Returns the key 4.3 ProvenanceServiceResource The ProvenanceServiceResource class implements the GT4 Resource, ResourceIdentifier and ResourceProperties interfaces. Its purpose is to: 1. Encapsulate the interactions between the Provenance Service and the OGSA-DAI data service 2. Be a managed object that conforms to the lifecycle rules of WS-RF The ProvenanceServiceResource.initialize() method is invoked by ProvenanceServiceResourceHome.create() when creating a new resource. This constructs a new instance of a PStoreDatabase that exists for the lifetime of the ProvenanceServiceResource instance. The ProvenanceServiceResource also has methods for each of the three Provenance operations; record, query and manage. Each method receives as input argument the message sent by an actor to the Provenance Service. It then invokes the appropriate method on the PStoreDatabase for processing. The returned acknowledgements from the PStoreDatabase are then returned by the ProvenanceServiceResource object. 4.4 ProvenanceService The ProvenanceService component implements an instance Web Service through which all interactions with the Provenance Service take place. Its interface is described by the WSDL in Appendix A.2. It consists of a set of port types that define operations on the Provenance Service. These are now described in more detail. 4.4.1 RecordPort The record interface is defined in Appendix A.3 and its associated XML Schema file PRecord.xsd. The schema describes the record request and response messages defined in the Provenance Architecture document [1]. 4.4.2 XQueryPort and XPathPort Appendix A.4 shows the WSDL for the XQuery and XPath port types. These are supported by additional schema files XQuery.xsd and XPath.xsd. The two port types differ only in the structure of the query being submitted. The query request object contains two elements: 1. An XPath or XQuery expression 2. An optional namespace mapping element The response object for the query operation is a QueryResponse object. This contains a single element of any type which contains the results of the query. 4.4.3 XPathFactoryPort The XPathFactoryPort WSDL is shown in Appendix A.5 and implements a caching operation where the results of an Xpath query are stored by the Provenance Service rather than being returned as in the case of the XPathPort. The port defines two operations: 1. The XPathQueryFactory operation takes an XPath expression contained within a request message. It performs the query and returns the number of entries in the result set as a response message. 2. The second operation GetItems, allows a client application to retrieve subsets of the result set by providing an offset into the result set and number of items to retrieve. The response message returns the requested items. 4.5 OGSA-DAI Data Service A design decision was made to adopt XML database technology as the best choice for storing Provenance documentation. The database implementation has been abstracted away from the core Provenance Service code by using OGSA-DAI to manage the connection to the database. This allows the Provenance code to concentrate on the key business functionality rather than database specific issues and provides the flexibility to deploy different database implementations supported by OGSA-DAI. OGSA-DAI is a web service that is hosted from an application container such as Apache Tomcat or GT4. Just like the Provenance code, it uses the same client/server model with SOAP messages being sent between client applications and the OGSA-DAI service. OGSA-DAI provides two ways of interacting with a database: 1. Perform document: This is an XML document that is constructed and passed to OGSA-DAI. It specifies the interaction to perform against the database, such as a query or an insert. 2. Client API: This is a Java API for interacting with OGSA-DAI. It does not require the programmer to develop perform documents and provides a neater, faster and more reliable way of using OGSA-DAI. The Provenance database access code uses the OGSA-DAI client API to interact with the database. This client API is used by the PStoreDatabase class. The fact that the database is abstracted away does not hide all database problems from us. OGSA-DAI makes no attempt to "normalize" database access, so we are still subject to the problems inherent with databases from multiple vendors, such as varying data languages and varying support at the JDBC/XMLDB driver level. As the database access code is being written to access an XML database, we must use XPath, XQuery and XUpdate protocols to search and update the database. These protocols are exposed in the OGSA-DAI client API through the XPathQuery and XUpdate classes in the uk.org.ogsadai.client.toolkit.activity.xmldb package. 4.6 The eXist XML database OGSA-DAI provides support for two XML databases; eXist and Xindice from the Apache consortium. Early in the project, we evaluated both databases for potential use. Xindice supported only Xpath for querying and had no published plans for adding XQuery support. The eXist project had published plans for XQuery support with availability early in 2006. We then chose eXist as the XML database for the project. As promised, XQuery support was available early in 2006 and has been successfully used in the Provenance project. The eXist database manages XML documents as a set of collections. A database can contain multiple collections with each collection containing multiple XML documents. Collections can be created and deleted within eXist. For storing Provenance information, a single collection is used called ProvenanceService. All documents within this collection conform to the PStructure type defined in the Provenance architecture. All PStructures contain a unique InteractionKey as specified by the Provenance architecture. The names for the OGSA-DAI data service URI, database resource, and collection name are specified using the GT4 deploy-server.wsdd file as detailed in Section 7 Administration and are set as part of the configuration process. The following sections detail some of the issues encountered in developing with XML databases which so far are not as well established or mature as relational database technology. For more details of the eXist database, see the paper "eXist: An Open Source Native XML Database" available at http://exist-db.org/webdb.pdf. Enabling and Supporting Provenance in Grids for Complex Problems 4.6.1 XML Namespaces XML uses namespaces to provide a means of avoiding naming conflicts when document structures are derived from multiple schemata. An XML document within eXist will contain declarations for each namespace used within the document. This takes the form of a prefix and a namespace value to which the prefix is associated. For example, the p-structure schema used by the Provenance project would have: Prefix: ps Value: http://www.pasoa.org/schemas/version025/PStruct.xsd When the OGSA-DAI client API is used to record, query or update data in an XML database, the namespace prefix and values must be pre-registered with OGSA-DAI. The OGSA-DAI client API supports this for XPath, XQuery and XUpdate. For an XPath query, the prefix and values are set by calling the setNamespaceBinding() method on the XPathQuery object. To update an existing document using XUpdate, the prefix and value must be included in the XUpdate modifications element as an attribute, a sample is provided: ``` <xu:modifications version="1.0" xmlns:xu=http://www.xmldb.org/xupdate xmlns:ps="http://www.pasoa.org/schemas/version025/PStruct.xsd"> <xu:update select="/ps:pstruct/ps:interactionRecord"> <xu:element name="ps:client"> <ps:data> some data </ps:data> </xu:element> </xu:update> </xu:modifications> ``` Note: The process that led to the creation of this document is described in Section 4.6.3 Insert and Section 4.6.4 Append sections. 4.6.2 Recording When the record operation on the ProvenanceService is invoked, a Record object is generated by AXIS and is passed to the service. The object contains the data from the recording actor to be recorded and the interface must determine whether to insert the data as a new PStructure document or whether to update an existing document. To do this, the database must be searched to retrieve any PStructure documents that have a key that corresponds to the one we are recording. The search is performed with an XPath statement of the form: ``` /ps:pstruct[ps:interactionRecord/ps:interactionKey/ps:interactionId ="http://interactionId/URI" and ps:interactionRecord/ps:interactionKey/ps:messageSource//ps:Addr = "http://messageSource/URI" and ps:interactionRecord/ps:interactionKey/ps:messageSink//ps:Addr = http://messageSink/URI"] ``` This returns an entire PStructure document if the key is matched, otherwise it will return an empty set. Note that this will return all matching documents, so if more than 1 document has the same key then they will all be returned. If the result set of the search is empty, then the Provenance Service inserts the PStructure into the database. If the result set is not empty, then it performs an append to the existing PStructure entry. 4.6.3 Insert Inserting PAssertions into the database is accomplished as follows. A Record object is received by the PStoreDatabase.submit() method. This contains the data from the recording actor to be stored in the database. The IdentifiedContent element (which is a keyed record) is converted into a PStructure object and then written into the database by calling the OGSA-DAI client API. This is shown in the following code fragment: ``` // Create a pstruct from the identifiedContent. PStructure pstruct = make_pstruct(collection, key, iDContent); // Now serialize the PStructure into an XML string. String result = Utils.PStructureToXMLString(pstruct); XMLCreateResource xmlCreateResource = new XMLCreateResource(result); xmlCreateResource.setParentCollectionName(collection); service.perform(xmlCreateResource); ActivityOutput output = xmlCreateResource.getOutput(); String response = output.getData(); ``` 4.6.4 Append Appending PAssertions to existing entries in the database are accomplished in a manner similar to that described in the following pseudo-code: ``` Determine the type of View we're updating Extract the appropriate View Element from the identified content If we got an element We know the view already exists Extract all the PAssertions from the identified Content and add them to an array of appends Else We need to create a new View of the appropriate type Extract all the PAssertions from the identified Content and add them to the View Convert the entire View into a single append entry EndIf For Each entry in the append array Append the entry to the document in the database Done ``` 5 Security Implementation This section describes the security features implemented for the Provenance Service. It fulfils the requirements of deliverable D4.3.1 of the contract Technical Annex. As described in the introduction to this document, developments over the last three years have meant that security services in the underlying Grid toolkits can readily be used for developing Grid services. The Provenance project has chosen to use the Globus Toolkit version 4 and so the security support is based on its capabilities. Security support in the reference implementation of the Provenance Service consists of four parts which will be discussed in the following sub sections. These four parts are: 1. Secure communications between the client and Provenance Service 2. Support for cross domain security 3. Role based Access Control to the Provenance Service 4. Documentation Style supporting p-assertion signing and encryption 5.1 Secure Communications The reference implementation supports three secure communication options between the CSL and a Provenance Service. The CSL is used to set these options before communicating with the remote service. The options depend upon the container being used to run the service. The possible containers are the basic GT4 container which may also be run within an Apache Tomcat application server. If Tomcat is used, then the CSL supports secure communications using HTTP basic authentication or alternatively HTTPS. The CSL includes a number of example clients which are contained in the org/gridprovenance/documentationstyle/test/ folder. The SecurityCommunicationExample.java example shows how the security options are configured by a client using the CSL. The various security communication options are configurable via a concrete class that implements the various accessor and mutator methods for the parameters required (in this case org.gridprovenance.client.policy.PolicyParameter). The individual parameter values for the various secure communication options as listed below are set programmatically as shown in the following Java code snippets: 1. For a Provenance Service deployed in Tomcat, using HTTP Basic-Auth ``` org.gridprovenance.client.policy.PolicyParameter pp = new DefaultPolicyParameter(); pp.setUseBasicAuth(true); pp.setBasicAuthPassword("wspwd"); pp.setBasicAuthUsername("wsuser"); ``` 2. For a Provenance Service deployed in Tomcat, using HTTPS ``` org.gridprovenance.client.policy.PolicyParameter pp = new DefaultPolicyParameter(); pp.setUseStandardSSL(true); pp.setSSLKeystoreName("/home/victor/mykeystore"); pp.setSSLKeystorePassword("victor"); ``` Note that the usual port for HTTPS (8443) is different from that of standard HTTP, and the URL for the Provenance Service must contain the appropriate port number. In order for HTTPS to work, the keystore on the client end (as indicated by the value given to setSSLKeystoreName()) must contain the trusted certificate used to setup SSL on the Tomcat server. The process of importing this certificate is outlined in: http://www.informit.com/articles/article.asp?p=24604&rl=1 3. For a Provenance Service deployed in a basic GT4 container, using WS Secure Conversation. ``` pp.setUseGSISecureConversation(true); ``` For the last case, additional preliminary steps are required to set up a valid user proxy certificate on the CSL. The instructions provided below are applicable for a Linux environment (for both the CSL and the Provenance Service). 1. First, the Provenance Service must be deployed so that it is able to support secure communication with the CSL. In order for this to happen, a Certificate Authority (CA) certificate must be installed on the GT4 container hosting the provenance service. This can either be the SimpleCA package that comes with the complete GT4 distribution, or can be an alternative such an e-Science CA certificate. Instructions for installing SimpleCA should be available from Chapter 7 of the GT4 administrator's guide (http://www.globus.org/toolkit/docs/4.0/admin/docbook/). If an alternative is used instead, the GT4 environment variables must point to this certificate (Chapter 5 of the administrator's guide). Consult the documentation of the Provenance Service for further information 2. A user certificate request must be generated by the user intending to use the CSL to communicate securely with the Provenance Service. This certificate request must subsequently be passed to the administrator of the Provenance Service GT4 container, who will then sign it using the installed CA for that container. 3. The signed user certificate must then be copied to the appropriate location in the user account (usually the .globus subdirectory). Guidelines for generating, signing and installing the user certificate can be found in Chapter 7 of the administrator's guide. 4. A proxy certificate must be generated for the user. This can be done with the command line grid-proxy-init (remember to set the appropriate environment variables first with $GLOBUS_LOCATION/etc/globus-user-env.sh) . Once this is complete, the CSL SecureCommunicationExample can then be run. A network/packet sniffer such as Ethereal can be used to monitor the invocation port (e.g. 8080) of the Provenance Service to observe that the SOAP message carrying the recorded message is encrypted using the WS-SecureConversation protocol. 5.2 Cross Domain Authentication The Security Specification deliverable D4.2.1 discussed the need for cross domain authentication of actors. The reason for this is that the Provenance Architecture can be distributed with Provenance Services deployed in different security domains. Actors, both recording and querying, may require access to these different security domains and therefore they need to be authenticated cross domain. The Security Specification identified the GT4 Community Authorization Service (CAS) as a potential technology for use by the Provenance project. After further investigation, it was found that CAS would not support authentication of Web Services under GT4; this was finally confirmed by an entry in the GT4 CAS Release Notes at http://www.globus.org/toolkit/docs/4.0/security/cas/WS_AA_CAS_Release_Notes.html which stated that "There currently is no support for CAS-based authorization for web services". An alternative technique is to ensure that certificates are crosscertified amongst the collaborating security domains. GT4 provides implementations of the WS-SecureConversation protocol and WS-Security standard in order to provide message level security mechanisms. Incoming SOAP requests to a service deployed in a secure mode within a GT4 container needs to be encrypted and/or signed appropriately in compliance with the standard. The root certificate for the Certificate Authority (CA) of the domain in which the container is running in, is used in the verification of the signatures on these incoming requests. The user certificates issued to the various clients making these requests will therefore need to be signed by that particular CA. Each independent security domain maintains its own root CA certificate; therefore incoming requests from clients in a different domain cannot be authenticated since their certificates were signed or issued by a different CA. In order to support inter-domain authentication at the level of the GT4 message level security framework, two approaches are possible: 1. If there are N different security domains, then the root certificates of all the domains are installed into each GT4 container in the different domain. This means that each domain knows the root certificate of all other domains and can authenticate requests coming from them. The GT4 administrator's guide (http://www.globus.org/toolkit/docs/4.0/admin/docbook/ch05.html) explains how a GT4 container can be set up to trust certain CAs by installing the required information into specific configuration directories. 2. Using cross-certificates. A cross-certificate is a certificate issued by one CA that signs the public key for the root certificate of another CA. Cross-certificates provide a means to create a chain of trust from a single, trusted, root CA to multiple other CAs. The process of cross signing certificates is dependent on the particular CAs involved in the cross signing process. An example guideline to how this is achieved in the Globus environment is provided at (https://www.pki.virginia.edu/nmi-bridge/) 5.3 Role Based Access Control Access to a Provenance Service can be controlled by an Access Control List (ACL) which accepts or rejects incoming SOAP messages based on their credentials. The ACL is an XML file which allows or restricts user requests to specific operations of the Provenance Service. The ACL is loaded by the GT4 container at startup and each SOAP request to the Provenance Service is validated using the GT4 extensible Policy Decision Point (PDP) mechanism. For further details of the GT4 Authorization services, see the tutorial article at http://www-128.ibm.com/developerworks/grid/library/gr-gt4auth/. The Provenance Service ACL is defined in an XML file, an example can be found at /etc/provenance-authfile.xml in the Provenance Service distribution. Instructions for deploying the ACL and other security configuration are found in the Install.txt file. The contents of the ACL should be set prior to deploying the Provenance Service. The contents of the ACL is read and stored in memory when the GT4 container is first started, after which no further reference is made to the file. An example of the contents of the ACL file is shown below: ``` <authlist> <permission identity = "firstname.lastname@example.org, CN=client1, OU=UK, O=UK, L=none, ST=UK, C=UK" operationList = "createResource // destroy" mode = "allow" /> </authlist> ``` Here, the request originating from an entity with the X509 Distinguished Name of "email@example.com, CN=client1, OU=UK, O=UK, L=none, ST=UK, C=UK" will be executed if either the createResource or destroy service operations are requested. The listed operations are from those specified in the Provenance Service WSDL, and are separated by the separator token //. The mode "allow" indicates that these are the only authorized actions. The other option for mode, "restrict", would indicate otherwise, i.e. that all operations are authorized except the ones listed in the operationList parameter. The ACL provides support for grouping of operations and identities in order to provide for a basic implementation of rolebased access control. An example is shown below: ``` <authlist> <groupIdentity groupName = "admin" identityList = "firstname.lastname@example.org,CN=client1,OU=UK,O=UK,L=none,ST=UK,C=UK // email@example.com,CN=client2,OU=UK,O=UK,L=none,ST=UK,C=UK"/> <groupIdentity groupName = "staff" identityList = "firstname.lastname@example.org,CN=client3,OU=UK,O=UK,L=none,ST=UK,C=UK // email@example.com,CN=client4,OU=UK,O=UK,L=none,ST=UK,C=UK"/> <groupOperation groupName = "all" operationList = " createResource // destroy // Record // ProvenanceQuery "/> <permission identity= "admin" operationList = " destroy " mode = "restrict"/> <permission identity = "staff" operationList = "all" mode = "allow"/> </authlist> ``` In this example, we have two additional elements, groupIdentity and groupOperation. The groupIdentity element is used to group X509 distinguished names into a specific group or role; for example, we could classify all identities into either administration ("admin") or normal staff ("staff"). Similarly, we can group together operations that are logically related such as the createResource, destroy, Record and ProvenanceQuery. These groups can then be used when specifying the actual authorizations in the permission element. Thus, it becomes easier to specify higher level authorizations, such as: "All administration is allowed to perform all operations except destroy" or "All staff are only permitted to perform basic operations on a provenance Service". Groups can be nested and specified alongside atomic elements, thus the following elements are valid: ``` <groupIdentity groupName = "everyone" identityList = "staff // admin "/> <groupOperation groupName = "allOperations" operationList = " save // find // get "/> <groupOperation groupName = "selectedOperations" operationList = " find_binding // get_bindingDetail // save "/> <permission identity = "everyone" operationList = "allOperations" mode = "allow"/> ``` Copyright © 2006 by the PROVENANCE consortium The PROVENANCE project receives research funding from the European Commission's Sixth Framework Programme Any number of entries can be specified in the ACL for the three elements permission, groupOperation and groupIdentity. If there is more than one element with the same name, their contents will be merged automatically. 5.4 Documentation Style The Provenance Architecture [1] describes a data model for the process execution documentation stored by the Provenance Service. In section 6.5, it describes the Documentation Style which is a mechanism that allows actors to transform the content of a p-assertion when it is recorded and when it is retrieved. This architectural feature is supported by a documentation style library within the CSL. The documentation style library is an additional component of the CSL that is used to transform inputs (these can be messages or actor states) in some manner before they are put into a p-assertion. In the simplest case, a message or actor state of interest is put as it is (verbatim) into a p-assertion by an asserting actor. However, transformations are useful in other circumstances, for example: 1. There may be a need to obscure information in an input before it is put into a p-assertion to ensure that querying actors cannot access this information 2. A message may potentially contain large amounts of information, which in turn increases the size of the p-assertion it is put into and subsequently, the load on the provenance store. This information can be removed and stored elsewhere, and a reference to its location put into the documentation store. 3. There may be a need to assign liability for certain parts of a message to certain actors. These parts of a message can then be signed first before putting into a p-assertion. There is clearly a wide range of possible transformations possible, and this would very likely be dependent on the application domain that a provenance system is deployed in. The documentation style library contains a number of basic transformations, but is designed to be extensible to accommodate developers creating their own customized application-specific transformations. The Documentation Style features of the Provenance Architecture have been documented as part of the Open Provenance Specification. Generating Digital Signatures for the contents of a p-assertion has been implemented in the CSL using the Documentation Style facilities since signing the contents of a p-assertion is an example of the type of transformation actors may wish to perform before recording the p-assertion. To perform a transformation, a transformation definition document is required. This is an XML file that provides information on how a specific transformation is to be performed. Each transformation will have a set of parameters associated with it; the transformation is performed using the XML file as input to supply values for these parameters. The transformed input is put into a p-assertion along with a URI pointing to the transformation definition document, which should now be put on a publicly accessible site. A querying actor that subsequently retrieves this p-assertion can also locate the transformation definition document associated with it through this embedded URI. This document can then be used to understand what transformation was used to produce the contents of the p-assertion. Often (although not necessarily always), it is possible as well to perform a reverse transformation on the p-assertion content to obtain the original message/actor state. The querying actor can then elect to use this original information in some application specific manner. For some transformations, extra information is required in addition to those provided in the transformation definition document in order to perform a transformation. This information, is referred to as private parameters to contrast it against the information in the transformation definition document, which is publicly available. These parameters must be instantiated by an actor in its local environment, and will hence assume different values for different environments. As an example, the signature transformation operation requires the value of the signature algorithm to be used (which can be specified in the transformation definition document) as well as the private key of the actor (which is specified as a private parameter). As private parameters are not shared, it is the responsibility of asserting actors to propagate the values for these to querying actors if such need arises, and such propagation should happen outside the context of the provenance system. As an example, for a querying actor to be able to decrypt an encrypted content it would require the original encrypting key used by the asserting actor. This key will obviously not be exposed in the transformation definition document; instead it must be passed on to the querying actor concerned. The schema for the transformation definition document is located in docstyle\docstyledata\schema and also in DocStyleData\example. Note that this schema differs slightly from the schema presented in the standardization document as this is designed to support JAXB class generation in Java 1.4. 5.4.1 Available Transformations Currently there are six types of transformations supported in the CSL, all assume XML input documents and produced XML documents as outputs. Examples of transformation definition documents for all of these transformations can be found in the CSL release under the DocStyleData\example folder. 1. Verbatim: The default null transformation, i.e. nothing is transformed (verbatimtransform.xml) 2. Signing: A part of the input (specified by an XPath search expression) is signed using XML Signature standards (signaturetransform.xml) 3. Encryption: A part of the input (specified by an XPath search expression) is encrypted using XML Encryption standards (encryptiontransform.xml) 4. Reference: A part of the input (specified by an XPath search expression) is removed and put into a different location, and the removed part in the input is replaced with a reference URI to this different location. A digest may be computed on the removed part (referencetransform.xml) 5. ReplaceElement: A part of the input (specified by an XPath search expression) is removed and replaced with a String or an XML fragment (replacetransform.xml) 6. CompositeSequence: This is essentially a transformation that is a collection of any of the 5 previous transformations. The input will be passed through a sequence of given transformations, where the output from one transformation becomes the input to the next transformation in the sequence (complextransform.xml) With the exception of Verbatim, the source code for all these various implementations can be found in the CSL release in the .\docstyle\src folder. There is also a build file in .\docstyle which contains ant targets to build these various implementations into individual jar files. These jars can subsequently be dropped in the execution classpath of applications that need to use them, and the implementations themselves must be registered programmatically in the code of the application. 6 Scalability Implementation This section describes the scalability features implemented for the Provenance Service. It fulfils the requirements of deliverable D5.3.1 of the contract Technical Annex. As described in the introduction to this document, developments over the last three years have meant that Grid toolkits can readily be used for developing scalable Grid services. Deliverable D5.2.1 made a number of recommendations about how architectural features could be implemented. These recommendations were analysed against the application requirements. We concluded that some aspects although desirable, did not meet the needs of the demonstration applications from workpackages 7 and 8. Therefore the following specification recommendations were not implemented: 1. Section 5.1.3 – Repeated p-assertions. Not required. 2. Section 5.1.4 – Import and Export. Whilst not specifically implemented as ports, the function is available using the features of the eXist database used to implement the persistent store. 3. Section 5.1.5 – Non-XML Data. Not required. Enabling and Supporting Provenance in Grids for Complex Problems 4. Section 5.2.1 – Clustering and Non-Affinity. Supported by the GT4 toolkit which can be deployed in clustered configurations using Apache Tomcat. The Provenance Service is addressed by a single network endpoint which meets the non-affinity requirements. 5. Section 5.2.2 – Persistent Stores. The Provenance Service implementation uses OGSA-DAI data services which support persistent stores. The only part of the Scalability specification implemented during this period was the support for large query result sets identified in section 5.1.1 of deliverable D5.2.1. This was implemented as the XPathFactoryPort in the Provenance Service interface. It allows the results of a query to be cached within the Provenance Service and retrieved using an iteration mechanism. 7 Administration and Configuration This section describes the setup and configuration of the Provenance Service and its associated components. Installation instructions for all components are available in the Install.txt file shipped with the reference implementation release. To make installation easier for administrators, the reference implementation comes with a comprehensive set of Ant scripts to manage the building and deployment into GT4 of the code. Scripts are also provided for managing the eXist database ant its collections. See the build.xml file provided with the release. 7.1 Pre-requisite components This Provenance Service reference implementation makes use of the following components: 1. Java 1.4.2 or higher - http://java.sun.com (or IBM Java 1.4.2). 2. Apache Ant 1.5 - http://ant.apache.org 3. Globus Toolkit WSRF-compliant WS java container version 4.0.1 http://www.globus.org/toolkit/downloads/4.0.1/#wscore_bin 4. OGSA-DAI version OGSA-DAI WSRF 2.1 http://www.ogsadai.org.uk 5. eXist 1.0 latest snapshot - http://exist.sourceforge.net These have to be installed and configured as part of the Provenance Service setup process. 7.2 Other Externals and Dependencies The reference implementation relies on the OGSA-DAI Client API and the Apache AXIS API in addition to GT4. The configuration of these components is done through files; examples of these are provided with the software release. Axis is configured using three files: 1. deploy-server.wsdd defines the set of services exposed by this implementation 2. server-config.wsdd created during the deployment using data from deploy-server.wsdd 3. client-config.wsdd defines the client-side handlers for GT4 security OGSA-DAI is configured using two files: 1. data.service.resource.properties 2. DatabaseRoles.xml defines resource identity, user credentials and eXist server parameters defines database credentials GT4 is configured using four files: Bibliography and External Web Links [1] Paul Groth, Sheng Jiang, Simon Miles, Steve Munroe, Victor Tan, Sofia Tsasakou, and Luc Moreau. D3.1.1: An architecture for provenance systems. Technical report, University of Southampton, February 2006. http://eprints.ecs.soton.ac.uk/12023/. [2] Sheng Jiang, Luc Moreau, Paul Groth, Simon Miles, Steve Munroe, and Victor Tan. D9.3.3a: Client side library design and implementation. Technical report, University of Southampton, November 2006. http://www.gridprovenance.org/de liv erables/GRID_PROVENANCE-ClientSideLibrary-D933a-Month27.pdf [3] John Ibbotson, Neil Hardman, and Victor Tan. D4.1.1: Security specification - version 1. Technical report, IBM United Kingdom, September 2005. http://www.gridprovenance.org/deliverables/GRID_PROVENANCE- SecuritySpecV1-D411-Month12.pdf. [4] John Ibbotson, Neil Hardman, and Victor Tan. D4.2.1: Security specification - version 2. Technical report, IBM United Kingdom, February 2006. http://www.gridprovenance.org/deliverables/GRID_PROVENANCE- SecuritySpecV2-D421-Month18.pdf. [5] John Ibbotson, Paul Groth, and Simon Miles. D5.1.1: Scalability specification - version 1. Technical report, IBM United Kingdom, September 2005. http://www.gridprovenance.org/deliverables/GRID_PROVENANCE- ScalabilitySpecV2-D421-Month18.pdf. [6] John Ibbotson. D5.2.1: Scalability specification – version 2. Technical report, IBM United Kingdom, February 2006. http://www.gridprovenance.org/deliverables/GRID_PROVENANCE-ScalabilitySpecV2-D521-Month18.pdf. [7] OASIS Web Services Resource Framework: http://www.oasis-open.org/committees/tc_home.php?wg_abbrev=wsrf [8] AXIS; the Apache Web Services implementation http://ws.apache.org/axis [9] DOM; the W3C Document Object Model http://www.w3.org/DOM/ [10] eXist; An Open Source XML database http://exist.sourceforge.net/ [11] GT4; The Globus Toolkit version 4 http://www.globus.org [12] OGSA-DAI; Open Source implementation of the OGSA Data Access and Integration specification http://www.ogsadai.org [13] Tomcat; the Apache Java application server http://tomcat.apache.org/ [14] XPath; the W3C XML Path language http://www.w3.org/TR/xpath [15] XQuery; the W3C XML Query Language http://www.w3.org/XML/Query/ [16] XUpdate; an XML language for updating documents and databases http://xmldb- org.sourceforge.net/xupdate/ [17] John Ibbotson, Neil Hardman, and Alexis Biller. D9.3.2: Functional prototype (public release). Technical report, IBM United Kingdom, February 2006. http://www.gridprovenance.org/deliverables/GRID_PROVENANCE- FunctionalPrototype-D932-Month18.pdf. Appendix A External Interfaces This appendix described the external service interfaces to the Provenance Service. For brevity, the WSDL is provided with the accompanying XML Schema files omitted. These XML Schemas are provided with the implementation package available from the Provenance project website. A.1 The ProvenanceStoreFactory Interface ``` <?xml version="1.0" encoding="UTF-8"?> <!-- (c) Copyright International Business Machines Corporation 2005. --> <!-- See CPL.txt for licensing information. --> <definitions name="ProvenanceStoreFactory" targetNamespace="http://www.gridprovenance.org/namespaces/ProvenanceStoreFactory" xmlns="http://schemas.xmlsoap.org/wsdl/" xmlns:tns="http://www.gridprovenance.org/namespaces/ProvenanceStoreFactory" xmlns:wsa="http://schemas.xmlsoap.org/ws/2004/03/addressing" xmlns:wsdl="http://schemas.xmlsoap.org/wsdl/" xmlns:xsd="http://www.w3.org/2001/XMLSchema" xmlns:xs="http://www.w3.org/2001/XMLSchema"> <!-- T Y P E S --> <types> <xsd:schema targetNamespace="http://www.gridprovenance.org/namespaces/ProvenanceStoreFactory" xmlns:xsd="http://www.w3.org/2001/XMLSchema" xmlns:tns="http://www.gridprovenance.org/namespaces/ProvenanceStoreFactory"> <xsd:import namespace="http://schemas.xmlsoap.org/ws/2004/03/addressing" schemaLocation="../ws/addressing/WS-Addressing.xsd" /> <!-- REQUESTS AND RESPONSES --> <xsd:element name="createResource"> <xsd:complexType/> </xsd:element> <xsd:element name="createResourceResponse"> <xsd:complexType> <xsd:sequence> <xsd:element ref="wsa:EndpointReference"/> </xsd:sequence> </xsd:complexType> </xsd:element> </xsd:schema> </types> <!-- M E S S A G E S --> <message name="CreateResourceRequest"> <part name="request" element="tns:createResource"/> </message> <message name="CreateResourceResponse"> <part name="response" element="tns:createResourceResponse"/> </message> <!-- P O R T T Y P E --> <portType name="ProvenanceStoreFactoryPortType"> <operation name="createResource"> <input message="tns:CreateResourceRequest"/> <output message="tns:CreateResourceResponse"/> </operation> </portType> </definitions> ``` A.2 The ProvenanceService Interface ``` <?xml version="1.0"?> <definitions name="ProvenanceService" targetNamespace="http://www.gridprovenance.org/namespaces/version025/ProvenanceService.wsdl" xmlns:tns="http://www.gridprovenance.org/namespaces/version025/ProvenanceService.wsdl" xmlns:prwsdl="http://www.pasoa.org/schemas/version025/record/PRecordSOAPBinding.wsdl" xmlns:xqwsdl="http://www.pasoa.org/schemas/version025/xquery/XQuerySOAPBinding.wsdl" xmlns:xpwsdl="http://www.gridprovenance.org/namespaces/version025/xpath/XPathSOAPBinding.wsdl" xmlns:xpfwsdl=http://www.gridprovenance.org/namespaces/version025/xpathIterator/XPathIteratorSOAPBinding.wsdl xmlns:pqwsdl="http://www.pasoa.org/schemas/version025/pquery/PQuerySOAPBinding.wsdl" xmlns:rewsdl="http://www.gridprovenance.org/namespaces/ProvenanceResources/bindings" xmlns:soap="http://schemas.xmlsoap.org/wsdl/soap/" xmlns="http://schemas.xmlsoap.org/wsdl/"> <import namespace="http://www.pasoa.org/schemas/version025/record/PRecordSOAPBinding.wsdl" location="./record/PRecordSOAPBinding.wsdl" /> <import namespace="http://www.pasoa.org/schemas/version025/xquery/XQuerySOAPBinding.wsdl" location="./xquery/XQuerySOAPBinding.wsdl" /> <import namespace="http://www.gridprovenance.org/namespaces/version025/xpath/XPathSOAPBinding.wsdl" location="./xpath/XPathSOAPBinding.wsdl" /> <import namespace="http://www.pasoa.org/schemas/version025/pquery/PQuerySOAPBinding.wsdl" location="./pquery/PQuerySOAPBinding.wsdl" /> <import namespace="http://www.gridprovenance.org/namespaces/version025/xpathIterator/XPathIteratorSOAPBinding.w sdl" location="./xpathIterator/XPathIteratorSOAPBinding.wsdl" /> <import namespace="http://www.gridprovenance.org/namespaces/ProvenanceResources/bindings" location="./wsrf/ProvenanceResources_bindings.wsdl" /> <!-- Defines the WSDL interface to a particular instantiation of the Provenance Store. Each instantiation would offer its own version of this file. --> <service name="ProvenanceService"> <port name="RecordPort" binding="prwsdl:RecordSOAPBinding"> <soap:address location="http://localhost:8080/wsrf/services/ProvenanceService/record" /> </port> <port name="XQueryPort" binding="xqwsdl:XQuerySOAPBinding"> <soap:address location="http://localhost:8080/wsrf/services/ProvenanceService/xquery" /> </port> <port name="XPathPort" binding="xpwsdl:XPathSOAPBinding"> <soap:address location="http://localhost:8080/wsrf/services/ProvenanceService/xpath" /> </port> <port name="XPathFactoryPort" binding="xpfwsdl:XPathIteratorSOAPBinding"> <soap:address location="http://localhost:8080/wsrf/services/ProvenanceService/xpathiterator" /> </port> <port name="ProvenanceQueryPort" binding="pqwsdl:PQuerySOAPBinding"> <soap:address location="http://localhost:8080/wsrf/services/ProvenanceService/pquery" /> </port> <port name="ProvenanceResourcesPort" binding="rewsdl:ProvenanceResourcesPortTypeSOAPBinding"> <soap:address location="http://localhost:8080/wsrf/services/ProvenanceService/provenanceresource" /> </port> </service> </definitions> ``` A.3 The PRecord WSDL ``` <?xml version="1.0"?> <definitions name="PRecord" targetNamespace="http://www.pasoa.org/schemas/version025/record/PRecord.wsdl" xmlns:tns="http://www.pasoa.org/schemas/version025/record/PRecord.wsdl" xmlns="http://schemas.xmlsoap.org/wsdl/" xmlns:wsdl="http://schemas.xmlsoap.org/wsdl" xmlns:soap="http://schemas.xmlsoap.org/wsdl/soap/" xmlns:xsd="http://www.w3.org/2001/XMLSchema" xmlns:pr="http://www.pasoa.org/schemas/version025/record/PRecord.xsd"> <import namespace="http://www.pasoa.org/schemas/version025/record/PRecord.xsd" ``` Copyright © 2006 by the PROVENANCE consortium The PROVENANCE project receives research funding from the European Commission's Sixth Framework Programme Enabling and Supporting Provenance in Grids for Complex Problems ``` location="./PRecord.xsd" /> <message name="Record"> <part name="body" element="pr:record"/> </message> <message name="RecordAck"> <part name="body" element="pr:recordAck"/> </message> <portType name="RecordPortType"> <operation name="Record"> <input message="tns:Record"/> <output message="tns:RecordAck"/> </operation> </portType> </definitions> ``` A.4 The XQuery and XPath WSDL ``` <?xml version="1.0"?> <definitions name="XQuery" targetNamespace="http://www.pasoa.org/schemas/version025/xquery/XQuery.wsdl" xmlns:xs="http://www.w3.org/2001/XMLSchema" xmlns:tns="http://www.pasoa.org/schemas/version025/xquery/XQuery.wsdl" xmlns:xq="http://www.pasoa.org/schemas/version025/xquery/XQuery.xsd" xmlns:soap="http://schemas.xmlsoap.org/wsdl/soap/" xmlns="http://schemas.xmlsoap.org/wsdl/"> <import namespace="http://www.pasoa.org/schemas/version025/xquery/XQuery.xsd" location="./XQuery.xsd"/> <message name="Query"> <part name="body" element="xq:query"/> </message> <message name="QueryAck"> <part name="body" element="xq:queryAck"/> </message> <portType name="XQueryPortType"> <operation name="Query"> <input message="tns:Query"/> <output message="tns:QueryAck"/> </operation> </portType> </definitions> ``` ``` <?xml version="1.0"?> <definitions name="WSXPath" targetNamespace="http://www.gridprovenance.org/namespaces/version025/xpath/XPath.wsdl" xmlns:xs="http://www.w3.org/2001/XMLSchema" xmlns:tns="http://www.gridprovenance.org/namespaces/version025/xpath/XPath.wsdl" xmlns:xp="http://www.gridprovenance.org/namespaces/version025/xpath/XPath.xsd" xmlns:soap="http://schemas.xmlsoap.org/wsdl/soap/" xmlns="http://schemas.xmlsoap.org/wsdl/"> <documentation> Description: An XPath interface for Web Services Author: John Ibbotson Last Modified: 12 June 2006 Copyright (c) 2006 IBM United Kingdom Limited </documentation> <import namespace="http://www.gridprovenance.org/namespaces/version025/xpath/XPath.xsd" location="./XPath.xsd" /> ``` Copyright © 2006 by the PROVENANCE consortium The PROVENANCE project receives research funding from the European Commission's Sixth Framework Programme ``` <message name="XPath"> <part name="xpathbody" element="xp:xpathquery" /> </message> <message name="XPathAck"> <part name="xpathbody" element="xp:xpathqueryAck" /> </message> <portType name="XPathPortType"> <operation name="XPathQuery"> <input message="tns:XPath" /> <output message="tns:XPathAck" /> </operation> </portType> </definitions> ``` A.5 The XPathIterator WSDL ``` <?xml version="1.0" encoding="UTF-8"?> <!-- (c) Copyright International Business Machines Corporation 2005. --> <!-- See CPL.txt for licensing information. --> <definitions name="XPathIterator" targetNamespace="http://www.gridprovenance.org/namespaces/version025/xpathIterator/XPathIterator.wsdl" xmlns="http://schemas.xmlsoap.org/wsdl/" xmlns:tns="http://www.gridprovenance.org/namespaces/version025/xpathIterator/XPathIterator.wsdl" xmlns:wsa="http://schemas.xmlsoap.org/ws/2004/03/addressing" xmlns:wsdl="http://schemas.xmlsoap.org/wsdl/" xmlns:xp="http://www.gridprovenance.org/namespaces/version025/xpathIterator/XPathIterator.xsd" xmlns:xsd="http://www.w3.org/2001/XMLSchema"> <import namespace="http://www.gridprovenance.org/namespaces/version025/xpathIterator/XPathIterator.xsd" location="./XPathIterator.xsd" /> <!-- M E S S A G E S --> <message name="XPathQueryFactoryRequest"> <part name="body" element="xp:xpathqueryFactory" /> </message> <message name="XPathQueryFactoryResponse"> <part name="body" element="xp:xpathqueryFactoryAck" /> </message> <message name="GetItemsRequest"> <part name="body" element="xp:getItemsRequest" /> </message> <message name="GetItemsResponse"> <part name="body" element="xp:getItemsResponse" /> </message> <!-- P O R T T Y P E --> <portType name="XPathFactoryPortType"> <operation name="XPathQueryFactory"> <input message="tns:XPathQueryFactoryRequest" /> <output message="tns:XPathQueryFactoryResponse" /> </operation> <operation name="GetItems"> <input message="tns:GetItemsRequest" /> <output message="tns:GetItemsResponse" /> </operation> </portType> </definitions> ```
Commentary on ''Psychophysiological and Cultural Correlates Undermining a Survivalist Interpretation of Near-Death Experiences'' Bruce Greyson, M.D. Department of Psychiatry and Neurobehavioral Sciences, University of Virginia ABSTRACT: Keith Augustine has provided a legitimate and cogent critique of a transcendental interpretation of near-death experiences, exposing weaknesses in the research methodology, paucity of the data, and gaps in the arguments. He offers evidence from psychophysiological and cultural correlates of NDEs that he interprets as favoring a hallucinatory understanding of these phenomena. However, his analysis relies on idiosyncratic definitions of psychological concepts, reads unidirectional causality into bivariate correlations, and underestimates the empirical predictions of the separation hypothesis. Despite less than compelling evidence for the transcendental hypothesis, it accounts for NDE phenomenology better than the materialist model. KEY WORDS: near-death experiences; dissociation; temporal lobe; brain stimulation; mind-body models. Keith Augustine sets forth serious challenges to a transcendental or ''mind-brain separation'' interpretation of near-death experiences (NDEs), and cites evidence from psychophysiological and cultural correlates of NDEs that he interprets as favoring a neurological or Bruce Greyson, M.D., is the Chester F. Carlson Professor of Psychiatry and Neurobehavioral Sciences and Director of the Division of Perceptual Studies at the University of Virginia. Reprint requests should be addressed to Dr. Greyson at the Division of Perceptual Studies, Department of Psychiatry and Neurobehavioral Sciences, University of Virginia Health System. P. O. Box 800152, Charlottesville, VA 22908-0152; e-mail: firstname.lastname@example.org. sociological understanding of these phenomena. While he raises worthwhile questions, however, his analysis relies on idiosyncratic definitions of psychological concepts, reads unidirectional causality into bivariate correlations, and underestimates the empirical predictions of the separation hypothesis. Augustine acknowledges that ''current psychophysiological models do not fully explain out-of-body experiences (OBEs) and NDEs'' and that ''psychophysiological correlates … do not definitively identify their precise causes.'' But despite these acknowledged weaknesses, he still believes that NDEs ''represent internally generated fantasies rather than genuine perceptions of a transcendental environment.'' I will argue that correlates of NDEs in fact have little to say about their origin and do not imply that they are ''internally generated fantasies.'' Psychophysiological Correlates Augustine starts the section on ''Psychophysiological Correlates'' by identifying NDEs appropriately as a type of altered state of consciousness (ASC). Then he asserts, inaccurately, that ASCs ''are typically understood to involve turning one's attention inward, into the contents of one's own mind, rather than revealing anything about the external world.'' That misleading characterization of ASCs leads logically to the conclusion that OBEs and NDEs ''do not reflect any objective existence outside of the normal physical body.'' But ASCs do not blind us to the outside world. Whereas some ASCs, such as sleep, do involve turning inward, others demonstrably do not. Indeed, the hyperalertness and intense focus of athletes when they are ''in the zone'' is a type of ASC, but athletes in that particular altered state have more accurate perceptions of external events than people in the ''normal'' alert waking state. Arnold Ludwig, who coined the term altered state of consciousness, included in his examples not only states of decreased awareness of the external world but also states of increased awareness (Ludwig, 1966; Ludwig and Lyle, 1964). So the fact that OBEs and NDEs are ASCs, which Augustine correctly defines as ''temporary departures from the normal (alert) waking state,'' does not by any means suggest that they ''do not reflect any objective existence outside the normal physical body.'' Next Augustine focuses on the correlation between NDEs and the closely-related constructs of dissociation, absorption, and fantasyproneness. Augustine defines dissociation as ''the shutting out of sensory stimuli'' and absorption as ''focusing on the imagination.'' Neither of those definitions comes close to the standard clinical use of these terms. Dissociation is ''the telescoping of the attentional field to concentrate on a narrow range of experience and the concomitant exclusion of other material (internal or external) from awareness'' (Butler, 2006, p. 45), resulting in the separation of mental processes that are normally experienced as integrated. Dissociation is definitely not ''the shutting out of sensory stimuli.'' When people dissociate, they can still perceive the external world accurately, although those perceptions may be divorced from other aspects of the environment or from the usual emotional reactions. Although most research into dissociation has focused on its role as a defense against trauma, the majority of dissociative experiences are normal and nonpathological (Butler, 2006). People in pleasant situations often dissociate as a way of enhancing their sensory perceptions, not of withdrawing into fantasy. More than a third of normal volunteers reported dissociating during positive experiences, such as intense athletic competition, sexual encounters, communion with nature, and enjoying music (Pica and Beere, 1995). In such circumstances, attention narrows to a particular meaningful aspect of the external sensory environment. In these dissociations, whose distinction from transcendental experience may be ''simply a matter of semantics'' (Pica and Beere, 1995, p. 244), sensory perception may be enhanced, and attention is not turned inward toward imagination. Kenneth Ring and Christopher Rosing (1990) and Bruce Greyson (2000) found that near-death experiencers scored higher than a comparison group on a dissociation scale, but their scores were much lower than those of patients with dissociative disorders. This suggests that near-death experiences are adaptive responses to serious stress, rather than pathological (Greyson, 2001). Related to dissociative tendencies is absorption, the ability to focus one's attention either on selected sensory experiences or on internal imagery to the diminution of other mental activity. Auke Tellegen and Gilbert Atkinson (1974), who coined the term absorption, defined it as ''a 'total' attention, involving a full commitment of available perceptual, motoric, imaginative and ideational resources to a unified representation of the attentional object'' (1974, p. 274, italics in the original). One can certainly become ''absorbed'' in imagination, but one also can (and more usually does) become ''absorbed'' in perception of the external world, such as reading a book, watching a movie, or listening to a conversation so intently that one does not perceive other things in the environment. An adaptive advantage of absorption is that it ''allows for the full commitment of attention to activity and a reduction in distractibility and self-consciousness and may, therefore, enhance performance in skilled activities (such as sports or performing) or enhance the flow of creativity'' (Butler, 2006, p. 56). Thus the moderate association of NDEs with dissociation and absorption does not by any means imply that NDE content is based on imagination. Related to dissociation and absorption is fantasy proneness, characterized by frequent and vivid fantasies and even hallucinations, intensely vivid sensory experiences, and eidetic imagery (Wilson and Barber, 1981, 1983). In noting the (again, moderate) association between NDEs and a fantasy-proneness, Augustine highlights fantasy-prone individuals' ''strong investment in fantasy life,'' but he glosses over their more intense sensory experiences, leaving the mistaken impression that fantasy-prone individuals mistake fantasy for reality – which was specifically denied by the psychologists who developed the concept (Wilson and Barber, 1983): they stated unequivocally that fantasy-prone people have as good reality-testing as anyone else. However, this is a moot point, because there is absolutely no evidence that NDErs are fantasy-prone individuals. Although NDErs do score higher than nonNDErs on standard measures of fantasy-proneness, which may suggest nothing more than that their sensory perceptions of the outside world are much more vivid than those of nonNDErs, NDErs' scores do not come anywhere near the cut-off point on those measures for designation as a ''fantasy-prone personality.'' Augustine writes that the ''hypothetical status [of dissociation] as a defense mechanism makes much more sense if OBEs and NDEs do not literally involve any form of disembodiment.'' But if OBEs and NDEs were truly a disembodiment, they would be even more effective in helping a victim escape from a traumatic situation than if they were mere mental illusions. That is, being able to leave one's body during the trauma would be a much more effective defense for a victim than a mere illusion of leaving the body. Thus the defensive value of dissociation argues for rather than against OBEs and NDEs representing real disembodiment. Augustine goes on to write that the correlation between OBEs and NDEs and ''capacity for imaginative involvement'' does not make sense if something actually leaves the body. He argues that he would not expect psychological crises ''as opposed to physiological crises alone'' to trigger separation from the body. But psychological threats can be just as terrifying as physiological ones, and it makes perfect sense for a person with an unusually rich ''capacity for imaginative involvement'' – and therefore greater ability to foresee a potential threat – to flee the body in anticipation of trauma. Augustine notes the correlation between OBEs and habitually dreaming in a bird's-eye view or seeing oneself during dreams. He interprets this correlation as evidence that OBEs are fantasies conditioned by one's dream life, and writes that physiological models alone predict that people who can induce OBEs would have better dream control skills than spontaneous OBErs. But these correlations are also predicted by a disembodiment model: leaving the body teaches one how to visualize oneself from another perspective, making bird'seye views of oneself during dreams more likely; and repeated induction of OBEs would reinforce these dream control skills far more than occasional spontaneous OBEs. Later he argues that physiological models predict these correlations, whereas the disembodied model must struggle to accommodate them; but that conclusion reflects his enchantment with the materialist model. Someone with a different perspective might as honestly say that physiological models must struggle to accommodate these correlations that are predicted by the disembodiment model. Still later Augustine states that Susan Blackmore's theory of OBEs as perceptual distortions (Blackmore, 1993) is supported by its predictions that OBErs have better imagery skills and visuospatial skills. But the separation hypothesis also predicts that OBErs, because of the visuospatial training they receive in their OBEs, should have better imagery and visuospatial skills. Throughout this discussion, Augustine consistently interprets correlations between OBEs and psychological traits as implying a unidirectional causal effect of the psychological variables on OBEs. But it is at least as plausible that OBEs, particularly repeated or vivid ones, may lead to these psychological changes. One cannot assume causation from correlation. Almost any human experience is likely to be correlated with a host of psychological and physiological factors, because we are whole beings with integrated psychology and physiology. Certainly an experience as profound as leaving the body would have psychological effects that would manifest as correlates to psychological traits; and it is plausible that certain psychological traits might make it easier for someone to leave the body under stress. There is no theoretical reason to link psychological correlates to a psychophysiological model in preference to a separation model. Augustine next turns to correlations between physiological conditions of a close brush with death and features of the NDE, again drawing sweeping conclusions from rather small correlations. It is true that some features are relatively more common in NDEs from various causes, but there is no feature of NDEs in one physiological condition, such as cardiac arrest, traumatic accident, drug overdoses, respiratory arrests during surgery, and so on, that is not seen in all the others. I see no reason why these relative frequencies should count as evidence that NDEs are hallucinations. Augustine writes that ''if NDEs occur when consciousness is released from the confines of the brain, then altering brain chemistry ought not to have an effect on NDE content.'' But all we know about NDE content is what experiencers choose to tell us about what they are able to put into words of what they can recall about their NDE content. Regardless of whether or not altered brain chemistry affects NDE content, it certainly affects one's ability to recall, understand, and verbalize, so it is not at all surprising that experiencers with altered brain chemistry report different things than experiencers without altered brain chemistry (or with differently altered brain chemistry). In other words, reports of NDEs are necessarily filtered through the brain and linguistic patterns of the experiencer, whether the actual NDE occurred when consciousness was in or out of the brain. Because altered brain chemistry affects memory and linguistic facility, its influence on NDE reports tells us nothing about the cause of the NDE itself. Is the Temporal Lobe Implicated in OBEs? Augustine writes that ''a preponderance of the evidence … implicates the temporal lobe in the production of NDEs,'' including electrical stimulation studies of the temporal lobe and observations of patients with temporal lobe seizures. In fact, most of that evidence does not involve coherent NDE-like experiences but rather fragmentary bits of music or singing, seeing isolated and repetitive scenes that seemed familiar, hearing voices, experiencing fear or other negative emotions, or seeing bizarre imagery that was often described as dream-like, distorted experiences quite unlike NDEs (Gloor, 1990; Gloor, Olivier, Quesney, Andermann, and Horowitz, 1982; Penfield, 1955; Penfield and Perot, 1963, pp. 611–665). Neuropsychiatrist Peter Fenwick concluded that ''abnormal discharges in the temporal lobe may produce confusional fragments of phenomena sometimes seen in NDEs. … This is a very long way from arguing that seizure discharges in those areas, resulting from brain catastrophe, can give rise to the clearly remembered, highly structured NDE (Fenwick, 1997, p. 48). Electrical stimulation studies have produced not OBEs but rather trivial optical illusions whose experiencers do not believe themselves to have left their bodies. Despite these experiences being labeled by some researchers as OBEs, they are not. For example, in a recent report of the purported induction an out-of-body experience by brain stimulation, the single subject reported only a sensation as of ''her body falling/drifting side wards and even out of the chair'' (Schutter, Kammers, Enter, and Van Honk, 2006, p. 240). This illusion of the body moving has no relevance to out-of-body experiences, despite the authors' claims to have induced an OBE. Augustine, to his credit, acknowledges that these electrically stimulated illusions are ''clearly distinct from'' spontaneous OBEs. Certainly they are not experienced as the same: subjects in electrical stimulation experiments describe what they thought was an illusion that felt as if they were out of their bodies (or, more commonly, ''half in and half out''), but they did not believe they actually were; whereas NDErs describe what they thought was a real experience of actually being separate from the physical body. Electrical stimulation at most produces only a sense of perception of things visible from the physical position of the individual's eyes, and those perceptions disappear when the eyes are closed or the person loses consciousness. Electrical brain stimulation has never produced accurate perception of anything not visible to the physical eyes, or that persists when the eyes are closed, or that is from an out-of-body perspective – all typical features of spontaneous OBEs (GieslerPetersen, in press; Holden, Long, and MacLurg, 2006). Despite Augustine's acknowledgment that the electrically-induced illusion ''lacks the realism, continuity, and stability characteristic of spontaneous OBEs,'' he is not ready to concede that they are different phenomena. He offers as one hypothesis that electrically induced bodily illusions and spontaneous OBEs may be variants or ''different parts of a single complex neural mechanism of generating OBEs.'' This is in principle a plausible hypothesis, but without specifying what that ''single complex neural mechanism'' might be is it an unfalsifiable hypothesis, and therefore of no scientific interest. We may someday uncover evidence suggesting that electrically induced bodily illusions and spontaneous OBEs are variants of the same phenomenon, but at present there is no evidence to suggest that these vastly different experiences are any more alike than, for example, reading a news report about war and actually participating in combat. Both experiences might provoke common emotional reactions and activate common brain sites, but they are clearly not variants of the same experience or ''parts of a single complex neural mechanism.'' Though we might use some of the same terms to describe reading about war and participating in combat, they would differ markedly in the attribution of ''reality'' to the experience and in their (particularly long-term) after-effects. Augustine notes that it is not unheard of for patients to report some features of NDE during their seizures. However, the vast majority of patients with seizures do not experience any of these features. In fact, most patients with temporal lobe epilepsy also have no memory afterward for what happened during a seizure (Fenwick, 1997). Epilepsy specialist Ernst Rodin, who favors a neurological explanation of NDEs, acknowledged bluntly: ''In spite of having seen hundreds of patients with temporal lobe seizures during three decades of professional life, I have never come across that symptomatology [of NDEs] as part of a seizure'' (1989, p. 256). In the prospective study that Augustine cited (Devinsky, Feldmann, Burrowes, and Bromfield, 1989), only 6 percent of seizure patients described any body image anomalies, let alone OBEs. Furthermore, although these patients had suffered numerous seizures, often over a period of many years, the majority who described body image anomalies reported only one such experience. These findings suggest that localized abnormal activity in the brain is not only not necessary, but also not in general sufficient to produce an OBE (Kelly, Greyson, and Kelly, 2006). Even if the temporal lobe were shown to be implicated in NDEs (which is far from established), it is not plausible that that part of the brain is producing them. This is because both seizure activity and direct electrical stimulation typically disrupt whatever patterns of neuroelectric activity would otherwise be going on in that part of the brain. Electrical stimulation and seizures are not like physiological electrical activity and do not result simply in a localized ''activation'' of the stimulated region. As Wilder Penfield (1975), the neurosurgeon who first mapped brain regions by stimulating the brain, clearly recognized, the predominant effects of electrical stimulation are disruption of electrical activity in the immediate vicinity of the electrode, accompanied by abnormal patterns of discharge into additional brain areas to which the stimulated cortex itself is linked. The net result of electrical stimulation and with epileptic seizures is a poorly controlled, poorly characterized, and spatially widespread pattern of abnormal electrical activity. In other words, seizure activity and direct electrical stimulation might explain the failure of normal perceptual integration, but not the production of coherent experiences such as NDEs (Kelly, Greyson, and Kelly, 2006). Electrical stimulation or abnormal electrical discharges in the brain cannot account for complex perception or thought because those disruptions in brain functioning would ordinarily abolish consciousness. This much was acknowledged by the very neurosurgery team Augustine cited, who called consciousness during seizures a ''paradox'' and ''an unresolved problem'' (Devinsky, Feldmann, Burrowes, and Bromfield, 1989, pp. 1087–1088). A more problematic distinction between electrically induced bodily illusions and spontaneous OBEs that challenges the claim that they comparable is that some OBEs include corroborated reports of perception of events at a distance. In many of these cases the events in question included unlikely and unexpected details that had been verified as having occurred, and the experience had been reported to someone else before that verification occurred. The evidence for accurate OBE perception has already been discussed at length in these pages by Augustine (2007a) and the commentaries that followed his article, and need not be repeated here. Suffice it to say that the evidence is not strong enough to compel belief in veridical OBE perception, yet it is too strong to be swept under the rug as ''misperception'' without any evidence for that unfalsifiable hypothesis. Augustine protested in his previous article that ''very few cases of 'veridical perception' during NDEs have been corroborated'' (2007a, p. 204). But when Janice Holden (2007) pointed out that Augustine was focusing on only the rare NDEs that contained apparent hallucinatory features, he countered that the presence of even one hallucinatory feature would be enough to prove his point: ''What is problematic for a survivalist interpretation is not the frequency of such NDEs, but that they occur at all'' (2007b, p. 59, italics in the original). By that same line of reasoning, what is problematic for a hallucinatory interpretation of NDEs is not the frequency of veridical out-of-body perception, but that they occur at all. In fact, Holden (2007) found that veridical OBE perception was not rare: more than a third of the published cases of accurate OBE perception in NDEs were corroborated by independent, objective sources. In discussing the EEG study of NDErs by Willoughby Britton and Richard Bootzin (2004), Augustine notes that NDErs were four times as likely to have ''temporal lobe epileptiform EEG activity'' during sleep as were nonNDErs. What Britton and Bootzin actually reported was that ''No clinically significant seizure activity (EEG or tonic-clonic posturing) was observed in either group'' (Britton and Bootzin, 2004, p. 255). They did find indirect suggestion of subclinical temporal lobe activity that was not suggestive of seizures in 22 percent of NDErs and only 5 percent of nonNDErs. If this subclinical activity in the temporal lobe, which has absolutely no clinical significance, was involved in producing NDEs, why was it absent in three-fourths of the NDErs? The NDErs in this study had better positive coping skills than the nonNDErs, but the groups did not differ on maladaptive stress responses, suggesting that whatever differentiated the NDErs from the nonNDErs was an enhanced function rather than a dysfunction. Augustine also notes that NDErs as a group scored higher on a measure of ''epileptic signs typical of temporal lobe activity,'' but the concept of whether there are ''epileptic signs typical of temporal lobe activity'' remains controversial after centuries of conflicting anecdotal observations (Shetty and Trimble, 1997). Studies of personality traits of epileptic patients have been plagued by methodological problems associated with diagnostic uncertainties and difficulties operationalizing some of the purported psychophysiological correlates of temporal lobe epilepsy. It appears likely that patients who have right temporal lobe seizures do differ from others in certain ways, and a list of the character traits included in standard measures of a ''temporal lobe personality'' includes many features common among near-death experiencers. Temporal lobe epileptics and NDErs, for example, are both reported to have deeper emotions, elation, increased moral sensitivity, a sense of personal destiny, desire to write detailed notes and even books, deep religious beliefs, and interest in philosophical issues. But that common association does not necessarily mean that NDErs are happy, interested in spirituality and philosophy, feel a sense of destiny and want to write about it because their right temporal lobes have been damaged. There are other, more obvious reasons for a person who has had a profound mystical experience to feel deep emotions, elation, and deep religious and philosophical beliefs. As an analogy, if one stays up all night, one is likely to be tired and confused the next day, with difficulty thinking and speaking clearly. The fact that those symptoms may also be associated with alcohol intoxication does not make us suspect the sleep-deprived person of having imbibed; the sleep deprivation itself is sufficient explanation. The fact that temporal lobe dysfunction can mimic (a few of) the psychospiritual effects of NDEs does not imply that the experiencer has damaged temporal lobes; the experience itself is sufficient explanation. There is a tautological character to the argument that defines certain NDE features and aftereffects as epileptic signs (or hallucinations or dissociative symptoms) and then presents the same NDE features and aftereffects as evidence that experiencers are unreliable witnesses because they have epilepsy (or hallucinate or dissociate). Cultural Differences Prior beliefs do influence reports of near-death experiences. The life review and tunnel sensation, for example, are common in some cultures but rare in others (Kellehear, 1993). Such cultural differences lend support to the view that the specific content of NDEs can be colored by the sociocultural context in which they occur. Other data, however, do not support the expectation theory. People who had no prior knowledge about NDEs have described the same kinds of experiences and features as have people who were more familiar with the phenomenon (Greyson, 1991; Greyson and Stevenson, 1980; Ring, 1980; Sabom, 1982). And as Augustine notes, there is ample evidence from a variety of sources that experiences that were reported before 1975, when Raymond Moody's first book coined the term NDE and made it a well-known phenomenon, do not differ from those that occurred after that date. Augustine suggests that when NDE imagery contradicts personal and cultural beliefs, they can be explained as being influenced by subconscious expectations of which the experiencer is unaware. As a clinical psychiatrist, I am well aware of the influence of subconscious processes on perception. However, subconscious expectations are not ''Get Out of Jail Free'' cards that can be invoked at any time to avoid facing inconvenient facts. If the existence of a subconscious expectation is not supported by independent evidence, then it has no more explanatory power than any other unfalsifiable hypothesis, such as divine intervention or fraud. Augustine does raise legitimate questions about the role of prior beliefs on NDEs of children and of nonWestern experiencers, questions whose importance researchers have underestimated. But raising these questions is not tantamount to answering them. Augustine's cogent critique of the evidence demonstrates that ''prototypical'' Western NDE features are not universal across cultures; but it does not demonstrate that NDE features are determined by expectation. The crosscultural differences observed are consistent with the hypothesis that expectation influences the core experience, but also with the hypothesis that expectation influences how people interpret what they have experienced. This is not a new argument: two decades ago researchers recognized that any underlying core experience, if indeed there is one, is ''inevitably cast in the images, concepts and symbols available to the individual'' (Roberts and Owen, 1988, p. 611; see also Knoblauch, Schmied, and Schnettler, 2001). Augustine argues that we should take experiencers' descriptions as literal descriptions of what they encountered and not consider the effect of belief on interpretation of experiences: ''The most straightforward reason why different NDErs would describe their experiences in different ways is because they actually have very different experiences. … [D]ifferent people would naturally be expected to report similar experiences if they were traveling to the same afterlife environment'' (italics in the original). I do not share Augustine's expectation that people with different backgrounds and interests would ''naturally'' report the same things. The varying terminology and crosscultural differences in NDE accounts may argue against a physiological explanation for NDEs, but they do not discredit the reality of the experiences. Individual differences in cultural expectations influence our perceptions of the physical world; why should we expect them not to influence our perceptions of a transcendental dimension, if one exists – particularly when the NDErs report, as many do, that what they experienced was ineffable? As an analogy, imagine that three of your acquaintances describe to you their alleged visit to a place they call ''France.'' One, a hedonistic gourmand, details the sumptuous meals she enjoyed, but does not mention architecture or people. The second, a religious artist, describes in detail the magnificent cathedrals with their paintings and stained glass windows, but does not mention food or people. The third, a high-powered businessman, rails about the rude taxi drivers and street merchants, but does not mention food or architecture. Their descriptions of their purported visits to a place called ''France'' have little in common; furthermore, their ''perceptions'' of ''France'' largely conform to their expectations and their interests. Do you assume therefore that their visits to ''France'' took place only in their imaginations, and that no such realm actually exists? I agree with Augustine that we are not justified in assuming that diverse NDE descriptions are different ways of describing the same locale, just as we have no reason to assume that these three travelers actually visited the same country they call ''France.'' But we are also not justified in using the discrepancies as evidence that the NDE world does not exist, any more than we can use our travelers' varied accounts as evidence that ''France'' does not exist. The variations in description are evidence of differences in perception, but do not by themselves allow us to make judgments about what was perceived. The Real Challenge Although we may eventually find that physiological, psychological, and sociocultural factors interact in complicated ways in conjunction with NDEs, theories proposed thus far consist largely of unsupported speculations about what might be happening during an NDE. None of the proposed neurophysiological mechanisms have been shown to occur in NDEs. The most important objection to current psychophysiological theories is that mental clarity, vivid sensory imagery, a clear memory of the experience, and a conviction that the experience seemed more real than ordinary consciousness are the norm for NDEs, even when they occur under conditions of drastically altered cerebral physiology. As Sam Parnia and Peter Fenwick pointed out, ''any acute alteration in cerebral physiology such as occurring in hypoxia, hypercarbia, metabolic, and drug induced disturbances and seizures leads to disorganised and compromised cerebral function … [and] impaired attention,'' whereas ''NDEs in cardiac arrest are clearly not confusional and in fact indicate heightened awareness, attention and consciousness at a time when consciousness and memory formation would not be expected to occur'' (2002, p. 8). Moreover, experiencers of NDEs in connection with cardiac arrest almost invariably retain vivid memories of their experience that change little with the passage of time (van Lommel, van Wees, Meyers, and Elfferich, 2001), despite the fact that memory under such conditions is ordinarily seriously impaired. The challenge for explanatory models of NDEs is to take into account the vivid and complex thinking, sensations, and memory formation under conditions in which current neuroscientific models of the mind deem them impossible, such as under general anesthesia and in cardiac arrest (Kelly, Greyson, and Kelly, 2006). This continuation and even enhancement of mental functioning at a time when the brain is physiologically impaired present problems for the mind-brain identity model. Only when researchers approach the study of NDEs with this paradox firmly in mind will we progress in our understanding of NDEs beyond tenuous and untestable neuroscientific conjectures. Augustine argues that a scientific explanation of NDEs must be considered in the context of a scientific explanation of all human experience. He believes that we have good evidence for hallucinations, but that we do not have such evidence for the separation of mind from brain, and that therefore it would be more parsimonious to view NDEs as hallucinations than as instances of mind-brain separation. I agree that NDEs should be evaluated in a larger context of human experiences rather than as isolated events. But there is in fact an enormous body of scientific evidence for mind-brain separation from other phenomena, encompassing data related to placebo responses, stigmata, hypnotic suggestion, memory, automatisms, multiple personalities, creative genius, mystical experience, and acquisition of information unavailable to the physical senses (Kelly, Kelly, Crabtree, Gauld, Grosso, and Greyson, 2006; Radin, 1997). In the context of this wealth of other evidence, it becomes quite parsimonious to consider NDEs as one more example of separation of mind from brain. Without exception, every report of a large study of NDEs published in a mainstream medical journal has concluded that these phenomena cannot be explained as hallucinations. Such unanimity among scientific researchers is unusual and should tell us something. Why is it that scientists who have done the most near-death research believe the mind is not exclusively housed in the brain, whereas those who regard NDEs as hallucinations by and large have not conducted any studies of the phenomenon at all? Augustine attributes this consensus to investigator bias: that neardeath research has been influenced by the researchers' beliefs. But in fact he has it backwards: the researchers' beliefs have been influenced by their consistent research findings. Most near-death researchers did not go into their investigations with a belief in mind-body separation, but came to that hypothesis based on what their research found. Indeed, Michael Sabom wrote about entering the field specifically to debunk NDE reports: When I began my study of the NDE, I was convinced that the NDE would readily be accounted for using some traditional scientific explanation. I have searched for such an explanation over the past five years and have not yet found one that is adequate. In recent years I have begin to consider another approach toward explaining the NDE, and approach which holds open the possibility that the perception of an ''out-of-body'' experience at the point of death may be accurate, i.e., that it somehow does occur ''out-of-body.'' (1981, p. 46) Conclusion Augustine raises important questions about NDErs' expectations and personalities influencing their experiences, and about researchers' oversimplification of the concept of cultural afterlife beliefs. We would be well advised to attend to these criticisms, to review our methodology, and to seek collaboration with researchers who hold conflicting perspectives. In sum, Augustine has provided a legitimate and cogent critique of near-death research, exposing weaknesses in our methodology, paucity of our data, and gaps in our arguments. For that I thank him. But the hallucinatory model he favors is supported by even fewer data than the separation model, and by speculation and innuendo rather than evidence-based argument. Augustine claims that the hallucination model of NDEs is superior because it has greater predictive power than a dualistic model. But in fact a dualistic model predicts all the psychophysiological correlates that the hallucination model does, plus the accurate perceptions that are inexplicable if NDEs are just hallucinations. The major advantage of the hallucination model is its compatibility with the materialistic worldview favored by a majority of neuroscientists (though not by a majority of physicists). The major disadvantage of the hallucination model is that it fails to account for the phenomenon, and is plausible only if we discredit or discount much of our data. As astronomer and spectroscopy pioneer Paul Merrill quipped, ''If you eliminate the data that do not agree, the remaining data agree very well.'' But disregarding disagreeable data or dismissing them outright as fraud or misperception is the hallmark of pseudoscience, not science. Materialists often claim credit for the scientific advances of the past few centuries. But it is the scientific method of empirical hypothesis testing, rather than a materialistic philosophy, that has been responsible for the success of science in explaining the world. If it comes to a choice between the empirical method and a materialistic worldview, the true scientist will choose the former. Physiological models of NDEs rely on what Karl Popper (Popper and Eccles, 1977) called ''promissory materialism,'' the position that, although we do not know enough now to explain everything in terms of materialistic models, we will some day. But although promissory materialism is a legitimate philosophical position, it is empirically unfalsifiable, and therefore not a scientific hypothesis. As neurophysiologist John Eccles, who won a Nobel Prize for his work on the synapse, summarized it: According to promissory materialism … scientific advance will progressively restrict the phenomena that appear to require mental terms for their explanation, so that in the fullness of time everything will be describable in the materialist terms of the neurosciences. I regard this theory as being without foundation. The more we discover scientifically about the brain the more clearly do we distinguish between the brain events and the mental phenomena and the more wonderful do the mental phenomena become. Promissory materialism is simply a superstition held by dogmatic materialists. It has all the features of a Messianic prophecy, with the promise of a future freed of all problems – a kind of Nirvana for our unfortunate successors. (Eccles, 1994, p. 7) Indeed, the materialistic lens provides so rosy a view that its proponents often overlook the perspectives offered by other lenses. Augustine presents the hallucinatory model of NDEs in opposition to a transcendental one, as if either one or the other must be true. But NDE phenomenology suggests to me that some NDE features may well be linked to physiological events, some to sociopsychological belief, and others to no known materialist cause. Indeed, many NDErs speak of having ''one foot in each world,'' of being aware simultaneously of the physical environment (including their bodies) and also of a transcendental dimension. Is our thinking so impoverished that we cannot imagine an experiencer dissociating awareness of the physical body out of fear, then communicating with nonmaterial entities, and then feeling pulled back into the body by feeling the surgeon's hands massaging the heart? Why must we link all NDE features to one kind of explanation? Augustine argues that parsimony requires us to choose just one model rather than two or three to explain NDEs. But a model is not preferable if it achieves parsimony only by ignoring what it cannot explain. Augustine is correct that proponents of a transcendental model of NDEs have not provided sufficient data to prove their case. But unless the internally-generated hallucination model starts to address the discomforting data from NDEs rather than ignoring them, it cannot be considered a serious alternative. References Augustine, K. (2007a). Does paranormal perception occur in near-death experiences? Journal of Near-Death Studies, 25, 203–244. Augustine, K. (2007b). ''Near-death experiences with hallucinatory features'' defended. Journal of Near-Death Studies, 26, 55–65. Blackmore, S. (1993). Dying to live: Near-death experiences. Buffalo, NY: Prometheus. Butler, L. D. (2006). Normative dissociation. Psychiatric Clinics of North America,29, 45–62. Devinsky, O., Feldmann, E., Burrowes, K., and Bromfield, E. (1989). Autoscopic phenomena with seizures. Archives of Neurology, 46, 1080–1088. Eccles, J. C. (1994). How the self controls its brain. Berlin, Germany: Springer-Verlag. Fenwick, P. (1997). Is the near-death experience only N-methyl-D-aspartate blocking? Journal of Near-Death Studies, 16, 43–53. Giesler-Petersen, I. (In press). Further commentary on ''induced OBEs'' [Letter]. Journal of Near-Death Studies, 26. Gloor, P. (1990). Experiential phenomena of temporal lobe epilepsy. Brain, 113, 1673–1694. Gloor, P., Olivier, A., Quesney, L. F., Andermann, F., and Horowitz, S. (1982). The role of the limbic system in experiential phenomena of temporal lobe epilepsy. Annals of Neurology, 12, 129–144. Greyson, B. (1991). Near-death experiences precipitated by suicide attempt: Lack of influence of psychopathology, religion, and expectations. Journal of Near-Death Studies, 9, 183–188. Greyson, B. (2000). Dissociation in people who have near-death experiences: Out of their bodies or out of their minds? Lancet, 355, 460–463. Greyson, B. (2001). Posttraumatic stress symptoms following near-death experiences. American Journal of Orthopsychiatry, 71, 358–373. Greyson, B., and Stevenson, I. (1980). The phenomenology of near-death experiences. American Journal of Psychiatry, 137, 1193–1196. Holden, J. M. (2007). More things in heaven and earth: A response to ''Near-death experiences with hallucinatory features.'' Journal of Near-Death Studies, 26, 33–42. Holden, J. M., Long, J., and MacLurg, J. (2006). Out-of-body experiences: All in the brain? Journal of Near-Death Studies, 25, 99–107. Kellehear, A. (1993). Culture, biology, and the near-death experience: A reappraisal. Journal of Nervous and Mental Disease, 181, 148–156. Kelly, E. F., Kelly, E. W., Crabtree, A., Gauld, A., Grosso, M., and Greyson, B. (eds.). (2006). Irreducible mind: Toward a psychology for the 21 st century (pp. 367–421). Lanham, MD: Rowman and Littlefield. Kelly, E. W., Greyson, B., and Kelly, E. F. (2006). Unusual experiences near death and related phenomena. In E. F. Kelly, E. W. Kelly, A. Crabtree, A. Gauld, M. Grosso, and B. Greyson (eds.), Irreducible mind: Toward a psychology for the 21 st century (pp. 367–421). Lanham, MD: Rowman and Littlefield. Knoblauch, H., Schmied, I., and Schnettler, B. (2001). Different kinds of near-death experiences: A report on a survey of near-death experiences in Germany. Journal of Near-Death Studies, 20, 15–29. Ludwig, A. M. (1966). Altered states of consciousness. Archives of General Psychiatry, 15, 225–234. Ludwig, A. M., and Lyle, W. H. (1964). Tension induction and the hyper-alert trance. Journal of Abnormal and Social Psychology, 69, 70–76. Moody, R. A. (1975). Life after life. Covington, GA: Mockingbird Books. Parnia, S., and Fenwick, P. (2002). Near death experiences in cardiac arrest: Visions of a dying brain or visions of a new science of consciousness. Resuscitation, 52, 5–11. Penfield, W. (1955). The role of the temporal cortex in certain psychical phenomena. Journal of Mental Science, 101, 451–465. Penfield, W. (1975). The mystery of the mind: A critical study of consciousness and the human brain. Princeton, NJ: Princeton University Press. Penfield, W., and Perot, P. (1963). The brain's record of auditory and visual experience: A final discussion and summary. Brain, 86, 595–696. Pica, M., and Beere, D. (1995). Dissociation during positive situations. Dissociation, 8, 241–246. Popper, K. R., and Eccles, J. C. (1977). The self and its brain. Berlin, Germany: Springer. Radin, D. (1997). The conscious universe: The scientific truth of psychic phenomena. San Francisco, CA: HarperEdge. Ring, K. (1980). Life at death: A scientific investigation of the near-death experience. New York: Coward, McCann and Geoghegan. Ring, K., and Rosing, C. J. (1990). The Omega Project: An empirical study of the NDEprone personality. Journal of Near-Death Studies, 8, 211–239. Roberts, G., and Owen, J. (1988). The near-death experience. British Journal of Psychiatry, 153, 607–617. Rodin, E. (1989). Comments on ''A neurobiological model for near-death experiences.'' Journal of Near-Death Studies, 7, 255–259. Sabom, M. (1981). The near-death experience: Myth or reality? A methodological approach. Anabiosis: The Journal of Near-Death Studies, 1, 44–56. Sabom, M. (1982). Recollections of death: A medical investigation. New York: Harper and Row. Schutter, D. J. L. G., Kammers, M. P. M., Enter, D., and Van Honk, J. (2006). A case of illusory own-body perceptions after transcranial magnetic simulation of the cerebellum. Cerebellum, 5, 238–240. Shetty, T., and Trimble, M. (1997). The Bear Fedio Inventory: Twenty years on. Journal of Epilepsy, 10, 254–262. Tellegen, A., and Atkinson, G. (1974). Openness to absorbing and self-altering experiences (''absorption''), a trait related to hypnotic susceptibility. Journal of Abnormal Psychology, 83, 268–277. van Lommel, P., van Wees, R., Meyers, V., and Elfferich, I. (2001). Near-death experiences in survivors of cardiac arrest: A prospective study in the Netherlands. Lancet, 358, 2039–2045. Wilson, S. C., and Barber, T. X. (1981). Vivid fantasy and hallucinatory abilities in the life histories of excellent hypnotic subjects (''somnambules''): Preliminary report with female subjects. In E. Klinger (ed.), Imagery. Vol. 2: Concepts, results, and applications (pp. 133–149). New York: Plenum. Wilson, S. C., and Barber, T. X. (1983). The fantasy-prone personality: Implications for understanding imagery, hypnosis, and parapsychological phenomena. In A. A. Sheikh (ed.), Imagery: Current theory, research, and application (pp. 340–390). New York: Wiley.
Strategic asset allocation in a continuous-time VAR model John Y. Campbell Harvard University, Cambridge, MA 02138 George Chacko Harvard University, Boston, MA 02163 Jorge Rodriguez MIT, Cambridge MA 02142 Luis M. Viceira ∗ Harvard University, Boston, MA 02163 This paper derives an approximate solution to a continuous-time intertemporal portfolio and consumption choice problem. The problem is the continuous-time equivalent of the discrete-time problem studied by Campbell and Viceira (1999), in which the expected excess return on a risky asset follows an AR(1) process, while the riskless interest rate is constant. The paper also shows how to obtain continuous-time parameters that are consistent with discrete-time econometric estimates. The continuous-time solution is the limit of that of Campbell and Viceira and has the property that conservative long-term investors have a large positive intertemporal hedging demand for stocks. JEL classiﬁcation: G12. Keywords: Portfolio choice, time aggregation, intertemporal hedging, long-term investing, recursive utility. ∗Corresponding author. Harvard Business School, Morgan Hall 395, Boston MA 02163. Tel 617-4956331, fax 617-496-6592, email firstname.lastname@example.org. This material is based upon work supported by the National Science Foundation under Grant No. 0214061 to Campbell. Chacko and Viceira acknowledge the ﬁnancial support of the Division of Research of the Harvard Business School. We are grateful to David Bates for challenging us to explore the consistency of continuous-time and discrete-time solution methods for VAR portfolio choice problems. 1 Introduction This paper studies the impact of predictable variation in stock returns on intertemporal optimal portfolio choice and consumption. We consider a model in which an inﬁnitely lived investor with utility deﬁned over consumption makes portfolio and consumption decisions continuously. Two assets are available, a riskless asset with a constant interest rate, and a risky asset ("stocks") whose expected return is time-varying. The realized return on stocks and the state variable driving changes in expected stock returns follow a joint homoskedastic, continuoustime vector autoregressive process (VAR). Thus the Sharpe ratio of the risky asset is linear in the state variable. An important characteristic of our model is that the instantaneous correlation between stock returns and expected returns need not be perfect; in other words, markets need not be complete. To separate the eﬀects of risk aversion from the eﬀects of the investor's willingness to substitute consumption intertemporally, we assume that the investor has recursive preferences. Recursive utility is a generalization of power utility that allows both the coeﬃcient of relative risk aversion and the elasticity of intertemporal substitution in consumption to be constant free parameters. We adopt Duﬃe and Epstein's (1992a, 1992b) parameterization of recursive preferences in continuous time. A discrete-time version of this model has been previously studied by Campbell and Viceira (1999), who derive an approximate analytical solution for the optimal portfolio rule, and show that this rule is linear in the state variable. Because Campbell and Viceira work in discrete time, no exact portfolio solutions are available in their model except in the trivial case of unit risk aversion, which implies myopic portfolio choice. By working in continuous time we show that this model has an exact analytical solution when the elasticity of intertemporal substitution of consumption equals one, for any value of the coeﬃcient of relative risk aversion. For elasticities of intertemporal substitution diﬀerent from one, our solution is still approximate. The solution is intuitive, and is the limit, as the frequency with which the investor can rebalance increases, of the discrete-time solution in Campbell and Viceira. 1 However the continuous-time solution is likely to be more appealing and intuitive to ﬁnance theorists who are accustomed to working in continuous time. The solution presented here extends the continuous-time results of Kim and Omberg (1996), who consider a ﬁnitehorizon model with consumption only at a single terminal date, and of Wachter (2002), who assumes that innovations to future expected stock returns are perfectly correlated with unexpected returns. Campbell and Viceira (1999) calibrate their model to U.S. stock market data for the postwar period, and ﬁnd that intertemporal hedging motives greatly increase the average 1Campbell and Viceira (1999) claim that their solution becomes exact in the limit of continuous time when the elasticity of intertemporal substitution equals one. They base this claim on the fact that they use an approximation to the investor's intertemporal budget constraint which becomes exact as the time interval of their model shrinks. demand for stocks by investors whose relative risk aversion coeﬃcients exceed one. We show that our continuous-time VAR model has a unique correspondence with their discretetime VAR model. This allows us to use their discrete-time estimates, appropriately timedisaggregated, to calibrate our own model. The calibration results show that our model exhibits similar properties. The structure of the paper is as follows. Section 2 describes the investment opportunity set, and show how to time-aggregate our continuous-time VAR model for realized and expected stock returns. Section 3 solves and calibrates the intertemporal consumption and portfolio choice problem. Section 4 concludes. 2 Investment Opportunity Set 2.1 A continuous-time VAR We start by assuming that there are two assets available to the investor, a riskless asset with instantaneous return and a risky asset ("stocks") whose instantaneous return is given by where The shocks to dSt/St and µ t are given by d e ZS = dZS and d e Zµ = ρdZS + p1 − ρ 2 dZµ, where dZS,t and dZµ,t are independent Wiener processes. Equations (2)—(3) imply that the instantaneous return on stocks (dSt/St) follows a diﬀusion process whose drift (or instantaneous expected return) µ t is mean-reverting and instantaneously correlated with the instantaneous return itself, with correlation coeﬃcient equal to ρ. These equations deﬁne in fact a continuous-time vector autoregressive (VAR) process for the instantaneous return on stocks and its expectation. For convenience, we work with instantaneous log returns, and rewrite the system as where we have applied Itô's Lemma to equation (2) to obtain the process for the instantaneous log return. We show in Section 2.3 that the system (4) is the continuous-time counterpart of the discrete-time VAR(1) process in Campbell and Viceira (1999). 2.2 Time-aggregation of the continuous-time VAR We can write the continuous VAR model (4) in compact form as where the deﬁnition of the variables and coeﬃcient matrices is obvious. Note that the instantaneous variance of dy is given by CC 0 : . Bergstrom (1984) and Campbell and Kyle (1993) show how to derive the discrete-time process implied by a continuous-time VAR when we take point observations of the continuous time process at evenly spaced points {t0, t1..., tn, tn+1, ....}, with ∆t = tn − tn−1. Direct application of their results shows that the process y in (5) has the following discrete-time VAR(1) representation: where and We prove in Appendix A that exp{sA} is equal to Thus we can write (6) in matrix form as: where >From equation (11), it follows that the variance-covariance matrix of the innovations utn+∆t in the discrete-time representation of the continuous-time VAR is given by where Therefore, given values for the parameters of the continuous-time process (4), we can easily aggregate to any frequency ∆t, by using (10) and (12). The discrete-time representation is especially useful in recovering the parameters of the continuous-time VAR (4) from estimates of the equivalent discrete-time VAR (10). We do this in the next section. 2.3 Recovering continuous-time parameters from a discrete-time VAR In their analysis of optimal consumption and portfolio choice with time-varying expected returns, Campbell and Viceira (1999, 2000) assume that the log excess returns on stocks is described by the following discrete-time VAR(1): where rf is the return (assumed constant) on a T-bill with maturity ∆t, and xtn+∆t is the conditional expected log excess return on stocks. We now show that there is pathwise convergence between the continuous-time VAR given in (4) and the discrete-time VAR given in (13). This implies that no other continuoustime process can generate (13) when aggregated at any time interval–although there might be other continuous-time processes whose moments would match the moments generated by (13) at speciﬁc time intervals. To see this, note that we can rewrite the discrete-time aggregation of y in (10) as follows: Using the following linear transformation for the process µ t , , we can further rewrite (14) in the same form as (13): A simple comparison of the coeﬃcients in (13) and (15) gives us a system of equations that relate the parameters of the discrete-time VAR process in Campbell and Viceira (1999) to the parameters of our continuous-time VAR process. For the intercept and slope parameters we have the following equivalence relations: Solving the integral (12) and matching parameters, we obtain the following equivalence relations for the variance and covariance parameters: The nonlinear system of equations (16)—(21) has a unique solution. That is, there is a unique correspondence between the set of parameters that deﬁne the continuous time model (4), and the set of parameters that deﬁne the discrete-time model (13). To see this, note that equations (16) and (18) uniquely relate rf and r, and φ and κ respectively. Given κ, equation (19) uniquely relates Vartn ¡η tn+∆t¢ and σ 2 µ ; given κ and σ 2 µ , equation (20) uniquely relates Covtn ¡εtn+∆t, η tn+∆t¢ and σµS ≡ ρσSσµ; and given κ, σ 2 µ and σ µS , equation (21) uniquely relates Vartn (εtn+∆t) and σ 2 S . Finally, given σ 2 S and r , equation (17) uniquely relates θ and µ. Campbell and Viceira (2000) report estimates of the VAR(1) given in (13) based on US quarterly data for the period 1947.Q1-1995.Q4. Table 1 shows the value of the parameters of the continuous-time equivalent VAR implied by their estimates. 2 3 Intertemporal Portfolio Choice In this section we solve the intertemporal consumption and portfolio choice problem of an investor who faces the investment opportunity set described in Section 2. To this end we use the approximation techniques described in Chacko and Viceira (1999) and Campbell and Viceira (2002), and show that the solution is invariant to the choice of discrete-time or 2There is an estimation error in Campbell and Viceira (1999) that results in an underestimation of the degree of predictability in stock returns in their paper. Campbell and Viceira (2000) report correct estimates, and calibration results based on the corrected estimates. continuous-time approximations. 3.1 Assumptions on investment opportunities and preferences We consider an investor who has only two assets available for investment, a riskless shortterm bond and stocks, and no labor income. Return dynamics are given by (1) and the bivariate system (2)—(3). These assumptions on investment opportunities imply that the wealth dynamics for the investor are given by where αt is the fraction of wealth invested in stocks, and Ct denotes consumption. We assume that the investor has recursive preferences over consumption. We use Duﬃe and Epstein's (1992a, b) continuous-time parameterization: where f (Cs, Js) is a normalized aggregator of current consumption and continuation utility that takes the form Here β > 0 is the rate of time preference, γ > 0 is the coeﬃcient of relative risk aversion, and ψ > 0 is the elasticity of intertemporal substitution. The Duﬃe-Epstein continuous-time preference speciﬁcation is normalized diﬀerently from the Epstein-Zin (1989, 1991) discretetime speciﬁcation–in particular, its value function that is homogeneous of degree (1 − γ) in wealth, while the Epstein-Zin value function is linearly homogeneous in wealth–but it generates equivalent decision rules. There are two interesting special cases of the normalized aggregator (23): ψ = 1/γ and ψ = 1. The case ψ = 1/γ is interesting because in that case the normalized aggregator (23) reduces to the standard, additive power utility function–from which log utility obtains by setting γ = 1. In the second special case, the aggregator f (Cs, Js) takes the following form as ψ → 1: The case ψ = 1 is important because it allows an exact solution to our dynamic optimization problem for investors who are more risk averse than an investor with unit coeﬃcient of relative risk aversion. We now explore this solution, as well as an approximate solution for investors with ψ 6= 1 in the next section. 3.2 Bellman equation Duﬃe and Epstein (1992a, b) show that the standard Bellman principle of optimality applies to recursive utility. The Bellman equation for this problem is where f (Ct, Jt) is given in (23) when ψ 6= 1, or (24) when ψ = 1. Jx denotes the partial derivative of J with respect to x, except Jt, which denotes the value of J at time t. The ﬁrst order condition for consumption is given by which reduces to Ct = (J/JW ) (1 − γ) β when ψ = 1. The ﬁrst order condition for portfolio choice is given by Substitution of the ﬁrst order conditions (26) and (27) into the Bellman equation (25) results in the following partial diﬀerential equation for the value function J: Of course, the form of this equation depends on whether we consider the case ψ 6= 1 and use the normalized aggregator (23), or we consider the case ψ = 1 and use the normalized aggregator (24). Appendix B shows the partial diﬀerential equation that obtains in each case. In particular, we show in Appendix B that (28) has an exact analytical solution when ψ = 1. This solution is with where A, B, and C are functions of the primitive parameters of the model describing investment opportunities and preferences. In the more general case ψ 6= 1, there is no exact analytical solution to (28). However, we can still ﬁnd an approximate analytical solution following the methods described in Campbell and Viceira (2002) and Chacko and Viceira (1999). We start by guessing that the value function in this case also has the form given in (29), with Substitution of (31) into the Bellman equation (28) results in an ordinary diﬀerential equation for H(µ t ). This equation does not have an exact analytical solution in general. However, we show in Appendix B that taking a loglinear approximation to one of the terms in the equation results in a new equation for H(µ t ) that admits an analytical solution. The form of this solution is an exponential-quadratic function similar to (30): The term that we need to approximate in the ordinary diﬀerential equation for H(µ t ) is β ψ H(µ t ) − 1 . Substitution of (29) and (32) into the ﬁrst order condition (26) shows that this term is simply the optimal consumption-wealth ratio Ct/Wt. Thus this loglinearization is equivalent to loglinearizing the optimal consumption-wealth ratio around one particular point of the state space. Campbell and Viceira (2002) and Chacko and Viceira (1999) suggest approximating this term around the unconditional mean of the log consumption wealth-ratio. This choice has the advantage that the solution is exact when the log consumption-wealth ratio is constant, that is when ψ = 1, and accurate if the log consumption-wealth is not too variable around its mean. It is also interesting to note that the approximation around ψ = 1 includes, as a special case, the approximation around the exact known solution for a log-utility investor (γ = ψ ≡ 1) suggested by Kogan and Uppal (2000). Their approximation is unlikely to be accurate for values of γ far from 1, whereas the approximation used here can be arbitrarily accurate for any value of γ provided that ψ is suﬃciently close to one. Appendix B provides full details of our solution procedure. 3.3 Optimal portfolio choice The optimal portfolio policy of the investor can be found by substituting the solution for the value function into the ﬁrst-order condition (27). In the case ψ = 1, substitution of (29)—(30) into (27) gives where B0 = −B0/(1 − γ) and C0 = −C0/(1 − γ). In the case ψ 6= 1, substitution of the approximate solution (31)—(32) into (27) gives where B1 = −B1/(1 − ψ) and C1 = −C1/(1 − ψ). Appendix B shows that B1 and C1 do not depend on ψ, except through a loglinearization parameter. Equations (33) and (34) show that the optimal allocation to stocks is a weighted average (with weights 1/γ and 1 − 1/γ) of two terms, both of them linear in the expected return on stocks µ t . The ﬁrst term is the myopic portfolio allocation to stocks, and the second term is the intertemporal hedging demand for stocks. The myopic portfolio allocation is proportional to (1/γ), so that it approaches zero as we consider increasingly risk averse investors. The intertemporal hedging component is proportional to (1 − 1/γ), but it also depends on γ through B and C. Appendix B shows that this term also approaches zero as γ →∞. 3 This result follows from our assumption of a constant instantaneous real interest rate, which makes the short-term bond riskless at all investment horizons. Campbell and Viceira (2001, 2002) and Campbell, Chan and Viceira (2003) show that, with a time-varying instantaneous real interest rate, myopic portfolio demand still approaches zero as γ →∞, but intertemporal hedging demand does not. Instead, the intertemporal hedging portfolio is fully invested in a real perpetuity or, if that asset is not available, in the combination of available assets that most closely mimics a real perpetuity. 3.4 Numerical calibration In this section we use the parameter values given in Table 1 to calibrate the continuous-time portfolio rule (34), and compare the resulting allocations to those implied by the discretetime model of Campbell and Viceira (1999, 2000). 4 Table 2 reports mean optimal portfolio allocations (Panel A), and the percentage that the 3Since intertemporal hedging demand is proportional to (1 − 1/γ), one might be tempted to conclude that it does not approach zero in the limit as γ →∞. However, we need to consider that B0 (or B1) and C0 (or C1) are also functions of γ. Appendix B shows that the limit of the overall expression approaches zero as γ →∞. Appendix B shows that 4 B 1 and C 1 depend on the loglinearization parameterh 1 = E[c t − w t ] , which is endogenous. However, one can solve for h 1 using the simple numerical recursive algorithm described in Campbell and Viceira (1999). mean intertemporal hedging portfolio allocation represents over the total mean allocation (Panel B) for investors with coeﬃcients of relative risk aversion between 0.75 and 40, and elasticities of intertemporal substitution of consumption between 1/0.75 and 1/40. Note that the linearity of the optimal portfolio rule (33)—(34) implies that where the ﬁrst element of the sum is the mean myopic portfolio allocation, and the second element is the mean intertemporal hedging portfolio allocation. The numbers in Table 2 support the conclusion of Campbell and Viceira (1999, 2000) that given the historical behavior of the US stock market, intertemporal hedging motives greatly increase the average demand for stocks by investors with risk aversion greater than one.. For highly conservative investors, hedging demand may represent 90% or even more of the total mean demand for stocks. The numbers reported in Table 2 are not directly comparable to those in Campbell and Viceira (2000) because Table 2 assumes that investors can rebalance their portfolios continuously, while Campbell and Viceira assume that investors rebalance their portfolios at a quarterly frequency. Campbell and Viceira's Table III shows that even with quarterly rebalancing the mean portfolio allocations are fairly close to the continuous-time mean allocations. 5 But a direct comparison requires that we compute the limit of Campbell and 5For example, for investors with ψ = 1 and coeﬃcients of relative risk aversion identical to those reported here, Campbell and Viceira (2000) report mean percentage portfolio allocations to stocks equal to {209.36%, Viceira's solution as the frequency of rebalancing increases. We accomplish this in two steps. First, using the system of equations (16)-(21), we recover discrete-time parameters at any desired frequency from the continuous-time parameters shown in Table 1. This ensures that we use parameter values that are mutually consistent at any frequency. Second, we recompute Campbell and Viceira's discrete-time solution. We have conducted this exercise, and found that at a daily rebalancing frequency, the mean portfolio allocations generated by the Campbell-Viceira model are virtually identical to those reported in Table 2. 6 These results show numerically that Campbell and Viceira's (1999, 2000) discrete-time solution converges in the limit to the continuous-time solution. Since the continuous-time solution is exact when ψ = 1, these results also conﬁrm their claim that their discrete-time solution is exact for the case ψ = 1 up to a discrete-time approximation to the log return on wealth. An analytical proof of this convergence result for general preference parameters is straightforward conceptually, but extremely tedious algebraically. Nevertheless, we illustrate here 222.74%, 235.35%, 239.36%, 230.09%, 179.16%, 121.21%, 78.58%}. 6As an example, consider the case of investors with ψ = 1 and coeﬃcients of relative risk aversion identical to those reported here. The model of Campbell and Viceira (1999) generates mean percentage portfolio allocations to stocks when investors can rebalance daily equal to {198.19%, 211.31%, 223.84%, 228.06%, 220.43%, 173.67%, 123.69%, 77.77%}. how the proof proceeds in the special case of unit relative risk aversion. The model solution in that case is simple enough that we can show in one step how the discrete-time mean portfolio allocation in Proposition I in Campbell and Viceira (1999) converges to the continuous-time mean allocation (35). Taking limits as ∆t → 0 on Proposition I of Campbell and Viceira (1999) with γ = 1, we have which is the mean portfolio allocation implied by (35) with γ = 1. The second equality follows from equations (17) and (21). The proof in the general case follows similar steps. 3.5 A pitfall, and its implications for portfolio choice Anyone used to working with the discrete-time representation of a univariate continuoustime process will ﬁnd natural and intuitive the relation between the intercept and slope of the continuous-time VAR and its discrete-time representation implied by equations (16)—(18). However, equations (19)—(21) show that the equivalence relation for the variance-covariance matrix of innovations is less obvious. Using an intuitive extension of the usual matching rules for a univariate process, one might be tempted to identify variance-covariance parameters using the following expressions: Equations (36)—(38) are very diﬀerent from the correct equations (19)—(21), although equation (36) is a ﬁrst-order Taylor expansion of the correct expression for Vartn (εn+1) given in (21). The use of equations (36)—(38) is particularly dangerous when ∆t 6= 1, as might be the case when one is using annualized parameters and quarterly data. In this case, portfolio allocations based on matching parameters using equations (36)—(38) can be quite diﬀerent from allocations based on the correct equations (19)—(21). In our calibration exercise, incorrectly matched parameters generate intertemporal hedging demands when ∆t = 0.25 that are substantially lower than the correct ones. For example, for investors with ψ = 1 and γ = 10, 20 and 40, the total mean portfolio allocation is only 32%, 16% and 8%, and the percentage fraction of total portfolio demand due to intertemporal hedging is only 30%, 32% and 33%; these ﬁgures are an order of magnitude lower than those shown in Table 2. 7 Thus a researcher using (36)—(38) to match parameters would wrongly conclude that empirically intertemporal hedging demands are much less important when investors can continuously rebalance their portfolios. 7This gross underestimation occurs for all parameter values. A table mimicking Table II, except that it uses incorrect parameter values, is readily available upon request from the corresponding author. 4 Conclusion This paper solves a continuous-time consumption and portfolio choice problem with a constant interest rate and a time-varying equity premium. The model for asset returns is a continuous-time version of the model studied by Campbell and Viceira (1999). This model has an exact analytical solution when the investor has unit elasticity of intertemporal substitution in consumption and an approximate analytical solution otherwise. For calibration purposes, we also derive the discrete-time VAR representation for asset returns. This time-aggregation result is necessary to recover the parameters of the model from discretetime VAR estimates. We show that intuitive discrete-time representations of univariate continuous-time processes do not translate immediately to multivariate processes which are cross-sectionally correlated. Our calibration results show that our portfolio choice model is the limit, as the frequency of rebalancing increases, of its discrete-time counterpart. Thus it exhibits similar properties. In particular, given the historical experience in the US stock market, intertemporal hedging motives greatly increase the average demand for stocks by investors who are more risk averse than a logarithmic investor. For highly conservative investors, hedging may represent 90% or even more of the total mean demand for stocks. 5 Appendix A We ﬁnd exp(As) by use of an induction proof. We ﬁrst prove by induction that the matrix A n is given by To prove this result, assume that A n is given by (39). Then A n +1 is given by which is the desired result. The matrix exp (As) is given by I + As + · · · + A n s n /n! + · · · . Equation (39) allows us to write the exponential matrix as Now, notice that so that Since at s = 0 we have that ¡P∞ n=1 ( − κ ) n − 1 s n ¢ /n! = 0, it follows that for the equation to hold at s = 0 we must have that C = 1 κ . Therefore from which it follows that we can write the matrix exp (As) as 6 Appendix B 6.1 Exact analytical solution when ψ = 1 Substitution of (29) and (30) into the Bellman equation (28) leads, after some simpliﬁcation, to the following equation: We can now obtain A0, B0 and C0 from the system of recursive equations that results from collecting terms in µ 2 t , µ t , and constant terms: We can solve this system by solving equation (42) and then using the result to solve (43) and ﬁnally solve (44). Equation (42) is a quadratic equation whose only unknown is C0. Thus it has two roots. Campbell and Viceira (1999) show that only one of them maximizes expected utility. This root is the one associated with the positive root of the discriminant of the equation. This is also the only root that ensures that C0 = 0 when γ = 1, that is, in the log utility case. This is a necessary condition for intertemporal hedging demand to be zero, as we know it must in the log utility case. We can use these results to obtain the optimal portfolio policy of the investor from the ﬁrst order condition (27), and the optimal consumption policy from the ﬁrst order condition (26). The optimal portfolio policy is given in equation (33) in text. It is easy to see that the optimal consumption policy is Ct/Wt = β, a constant consumption-wealth ratio equal to the rate of time preference. We now show that the intertemporal hedging component of portfolio demand approaches zero as γ →∞. First, note that the solution C0 to the quadratic equation (42) has the following ﬁnite limit as γ →∞: Similarly, from equation (43) we have that the limit of B0 as γ →∞ is also ﬁnite: Thus and which in turn implies that 6.2 Approximate analytical solution when ψ 6= 1 Substitution of (29) and (31) into the Bellman equation (28) gives, after some simpliﬁcation, the following ordinary diﬀerential equation: This ordinary diﬀerential equation does not have an exact analytical solution, unless ψ = 1. Though there does not exist an exact analytical solution to (45), we can still ﬁnd an approximate analytical solution following the methods described in Campbell and Viceira (2002).and Chacko and Viceira (1999). First, we note that substitution of the solution guess (29)-(31) into the ﬁrst order condition (26) gives We can now use the following approximation for β ψ H − 1 around the unconditional mean of the log consumption-wealth ratio: where ct = log Ct, wt = log Wt, ht = log H (µ t ), and Substitution of the approximation (46) for the ﬁrst term of (45) transforms this ordinary diﬀerential equation into another one that has an exact solution, with the following exponential-quadratric form: The coeﬃcients A1, B1, and C1, can be obtained by solving the approximated Bellman equation which implies the following system of recursive equations: We can solve this system by solving equation (49) and then using the result to solve (50) and ﬁnally solve (51). Equation (49) is a quadratic equation whose only unknown is C. Thus it has two roots. Campbell and Viceira (1999) show that only one of them maximizes expected utility. This root is the one associated with the positive root of the discriminant of the equation. Note also that this equation implies that C/(1 − ψ) does not depend on ψ– except through the loglinearization parameter h1–which in turn implies, through equation (50), that B/(1 − ψ) does not depend on ψ either. We now show that the intertemporal hedging component of portfolio demand approaches zero as γ →∞. First, note that the solution C1 to the quadratic equation (42) converges to zero as γ →∞. To see this, note that the limit of the numerator in the solution is ﬁnite, while the denominator diverges to ∞. Thus limγ→∞ C1 = 0. From equation (43), it is immediate to see that this implies that B1 also approaches zero as γ →∞. Therefore, and so 7 References Bergstrom, A.R., 1984. Continuous Time Stochastic Models and Issues of Aggregation over Time, in Griliches, Z., Intriligator, M.D. (Eds.), Handbook of Econometrics, Vol. 2, North-Holland, Amsterdam, pp. 1145-1212. Campbell, J.Y., Kyle, A.S., 1993. Smart Money, Noise Trading, and Stock Price Behavior. Review of Economic Studies 60, 1—34. Campbell, J.Y., Viceira, L.M., 1999. Consumption and Portfolio Decisions when Expected Returns are Time Varying. Quarterly Journal of Economics 114, 433—495. Campbell, J.Y., Viceira, L.M., 2000. Consumption and Portfolio Decisions when Expected Returns are Time Varying: Erratum. Unpublished paper, Harvard University. Campbell, J.Y., Viceira, L.M., 2001. Who Should Buy Long-Term Bonds?. American Economic Review 91, 99—127. Campbell, J.Y., Viceira, L.M., 2002. Strategic Asset Allocation: Portfolio Choice for LongTerm Investors. Oxford University Press, New York, NY. Campbell, J.Y., Chan, Y.L., Viceira, L.M., 2003. A Multivariate Model of Strategic Asset Allocation. Journal of Financial Economics 67, 41-80. Chacko, G., Viceira, L.M., , 1999. Dynamic Consumption and Portfolio Choice with Stochastic Volatility in Incomplete Markets. NBER Working Paper No. 7377. Duﬃe, D., Epstein, L.G., 1992a. Stochastic Diﬀerential Utility. Econometrica 60, 353-394. Duﬃe, D., Epstein, L.G., 1992b. Asset Pricing with Stochastic Diﬀerential Utility. Review of Financial Studies 5, 411—436. Epstein, L., Zin, S., 1989. Substitution, Risk Aversion, and the Temporal Behavior of Consumption and Asset Returns: A Theoretical Framework. Econometrica 57, 937— 69. Epstein, L., Zin, S., 1991. Substitution, Risk Aversion, and the Temporal Behavior of Consumption and Asset Returns: An Empirical Investigation. Journal of Political Economy 99, 263—286. Kim, T. S., Omberg, E., 1996. Dynamic Nonmyopic Portfolio Behavior. Review of Financial Studies 9, 141—161. Kogan, L., Uppal, R., 2000. Asset Prices in a Heterogenous-Agent Economy with Portfolio Constraints. Unpublished paper, MIT (Sloan School) and London Business School. Wachter, J., 2002.Portfolio and Consumption Decisions Under Mean-Reverting Returns: An Exact Solution. Journal of Financial and Quantitative Analysis 37, 63-91. TABLE 1 Continuous-Time VAR: Parameter Values Model: Parameter Values: Note: These parameter values are based on quarterly estimates of the discrete-time equivalent process reported in Campbell and Viceira (2000). They are obtained using equations (16)-(21) in text, with ∆t = 1. TABLE 2 Mean Optimal Percentage Allocation to Stocks and Percentage Mean Hedging Demand Over Mean Total Demand
ORIGINAL ARTICLE DEMOGRAPHIC CHARACTERISTICS, PRESENTATIONS AND TREATMENT OUTCOME OF PATIENTS WITH PROLACTINOMA Sarwar Malik, Syed Zubair Hussain, Rabia Basit, Najia Idress, Aysha Habib*, Muhammad Zaman † , Najmul Islam Section of Endocrinology, Department of Medicine, Aga Khan University Hospital, Karachi, Endocrinologist, Quaid-e-Azam International Hospital, Peshawar Road, Islamabad, Medical student, Department of Pathology & Microbiology, † Department of Psychiatry Aga Khan University Hospital, Karachi, Pakistan Background: Prolactinomas are the most common type of functional pituitary tumours. The objective of this study was to determine demographic profile of patients with prolactinomas, and to compare the outcomes in patients treated with Cabergoline versus those receiving Bromocriptine treatment. Methods: This descriptive study was conducted at Endocrinology Section, Department of Medicine, Aga Khan University Hospital, Karachi, Pakistan. We reviewed the medical record of 68 patients with prolactinoma. Data about demographic characteristics, clinical presentation and treatment were entered on a pre-designed pro forma. Results: Out of the total 68 patients, 36.8% were males and 63.2% were females, with a mean age of 34±10.7 years. The most frequent presenting complaint amongst the patients was of headache, present in 57.4% patients. Galactorrhea, amenorrhea and infertility were next highest reported symptoms. Results of the tumour size on initial MRI showed macroprolactinomas 52.9% (36), microprolactinomas in 33.8% (23), and giant prolactinomas in 13.3 % (9) patients. Decreasing trend of prolactin levels were also seen on follow up visits at 9 months and 12 months. Tumour size was decreased in 48.53% (33) patients and lesion completely disappeared in 16.18% (11) patients after 6 months of treatment and also almost similar trend in tumour size change was seen after one year. There was no significant difference between the two drugs in bringing prolactin to normal range at each follow up duration. Conclusion: Most of the prolactinoma patients were females and the common the most frequent presenting complaint was headache. The decreasing trend of serum prolactin and tumour size reduction in patients was noted, suggesting the beneficial impact of medical therapy as it is the first line treatment modality in these patients. Keywords: Prolactinoma, Prolactin, Tumour size, Bromocriptine, Cabergoline J Ayub Med Coll Abbottabad 2014;26(3):269–74 INTRODUCTION Prolactinomas are the most common type of functional pituitary tumours, with predictable incidence of 6–10 cases per million population per year and a prevalence of around 60–100 cases per million. 1,2 According to previous reports, it accounts for 40–45% of pituitary tumours. 3,4 Its occurrence varies with age and gender, developing more commonly in females of age between 20–50 years with the female-to-male ratio of around 10:1. 2 Microprolactinomas are more common in females whereas macroprolactinomas are more common in males. It is not well established what the reason for delayed diagnosis in men is presenting macroprolactinoma rather than microprolactinoma. Is it an actual tumour pathophysiology distinction between the two genders or male present later because, decrease in libido is appreciated later whereas menstrual irregularities are picked up initially in females. 3,5 Prolactin producing adenomas are classified according to their size as microprolactinoma if the tumour size is less than 1cm, macroprolactinoma if its size is between 1cm and 4cms and giant prolactinomas if its size is greater than 4 cms. Clinical features of prolactinomas appear due to raised serum prolactin levels and the pressure effect of the tumour. The endocrine symptoms include galactorrhea, decreased libido, gynaecomastia, infertility and menstrual irregularities in females and erectile dysfunction in males. Patients experiencing mass effect of tumour such as headaches, visual disturbances and cranial nerve palsies. 3,6 Both sustained hyperprolactinemia and radiographic evidence of pituitary adenoma are mandatory for the diagnosis of prolactinoma, after excluding any secondary cause of hyperprolactinemia. 1 Regarding treatment of prolactinomas, medical treatment is the mainstay. Most are treated medically with drugs such as Bromocriptine or Cabergoline, as first line treatment. 7,8 About 80-90% of patients with microprolactinomas and 70% of patients with macroprolactinomas, can achieve normal prolactin level, reduced tumour size, and restoration of gonadal function with Bromocriptine. 9 It has been observed that results are better with Cabergoline treatment, as 95% of patients with microprolactinomas and 80% with macroprolactinomas acquired normal prolactin levels after receiving treatment. 9 Surgical treatment has become second option in the treatment of prolactimomas, however surgery is recommended if the tumour is cystic, as cysts will not shrink with dopamine agonist therapy, dopamine agonists intolerance or resistance, haemorrhage within the tumour with mass effect or apoplexy which will not resolve with dopamine agonist therapy and if the patient presents with rapid visual loss even when on dopamine agonist therapy. 3 Radiation therapy is another treatment option. Radiosurgery and external beam radiation therapy are commonly applied treatment methods of pituitary adenomas when medical therapy has been unsuccessful, when surgery results in incomplete excision of tumour or in the situation of tumour recurrence. 10 Many patients benefit from moderate reduction of their prolactin level from radiosurgery even though the endocrine remission rates of prolactinomas are lower as compared to patients with acromegaly and Cushing's disease. 10 There are many studies on demographic characteristics, presentations and treatment outcomes of patients diagnosed with prolactinoma internationally. However, to our knowledge there is no previous study which has explored the demographic characteristics, presentations and treatment outcomes of patients diagnosed with prolactinoma in Pakistan. Studies conducted previously in the region have highlighted the clinical features and treatment outcomes of all pituitary lesions but not specifically of prolactinomas. 11 Another review article focused on the comparison of demographic features and surgical treatment aspects of pituitary adenomas in Pakistan with that of other developing countries in South Asia again differing from this study in its objective of considering only prolactin-pituitary tumours. 12 Therefore we conducted this study to assess the different aspects of the disease. Our research, thus, allows a look into the prolactinoma which is not sufficiently studied in this region. Our primary objectives included the determination of demographic details of patients with prolactinomas, to identify the signs and symptoms commonly experienced by these patients as well as to know the effectiveness of the treatment modality they received. Secondarily we aimed to compare the outcomes in patients treated with Cabergoline versus those who received Bromocriptine treatment. MATERIAL AND METHODS This cross-sectional descriptive study was conducted at the Aga Khan University Hospital (AKUH), section of Endocrinology, Department of Medicine. Records of 68 patients of prolactinoma were reviewed in the time period from August 2013 to January 2014. Patients with both biochemical and radiological evidence of prolactinoma, individuals of Age ≥16 years and having at least one follow up MRI after receiving treatment were included in the review. Patients with co secreting tumours of prolactin and growth hormone and those with other identified causes of hyperprolactinemia such as drug induced hyperprolactinemia were excluded from the review. Patients meeting the inclusion criteria were enrolled in the study and the information retrieved from their record was entered into a pro forma designed before the start of the study. Hospital and clinical charts were reviewed to obtain the demographics details of patients; age and gender. Details pertaining to investigations such as tumour size, serum prolactin levels and treatment modality were recorded. Prolactin at initial visit (before treatment) and in the follow up visits at approximately 3 months, 6 months, 9 months and 1 year after the initial visit were recorded. Signs and symptoms experienced by patients for example decreased libido, galactorrhea, amenorrhea, oligomenorrhea, erectile dysfunction, infertility, headache and visual disturbances were noted. The statistical analysis was conducted by using SPSS-19. A descriptive analysis was performed for demographic and clinical characteristics. Continuous variables with normal and non-normal distributions were reported as mean±SD and median [inter-quartile range (IQR)], respectively and numbers (percentages) for qualitative variables. To analyse the association of treatment and its outcome, the categorical variables were evaluated using the chi-square test while the means were compared by the t-student test or Wilcoxon sign rank test. A pvalue of less than 0.05 (<0.05) was considered to be statistically significant. RESULTS The total number of eligible patients meeting the definition of prolactinoma were 68, out of the 68 patients, 25 (36.8%) were males and 43 (63.2%) were females. The mean age of patients was 34±10.7 years with a median (Inter quartile range) of 33.5 (26–40). Men were significantly older than women (p<0.001). When different clinical symptoms in the 68 patients were analysed we noticed that only a few patients presented with a single (one) complaint, most however, were experiencing multiple symptoms (two or more). The most frequent complaint was headache, present in 39 (57.4%) patients followed by galactorrhea 28 (41.2%), amenorrhea 24 (35.3%), and infertility 20 (29.4%). On visual field assessment; 9 (13.2%) patients suffered from bitemporal hemianopia. A minority of patients, that is 2 (2.9%) had cranial neuropathy, both with third nerve palsy, and 1 (1.5%) was found to have optic nerve atrophy. Results of tumour size in the initial MRI confirmed microprolactinomas in 23 (33.8%) patients, macroprolactinomas in 36 (52.9%) patients and 9 (13.3%) patients had giant prolactinomas. Moreover in initial MRIs, microprolactinomas were significantly more frequent in women than men (p=0.001) while giant adenomas occurred mainly in men. Table-1: Demographic characteristics of study population \| \| No \| % \| No \| % \| No \| % \| \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| Age, in years \| 34±10.7 \| \| 40.4±11.3 \| \| 30.1±8.4 \| \| <0.001 \| \| Median(IQR) \| 33.5 (26-40) \| \| \| \| \| \| \| \| Clinical presentation \| \| \| \| \| \| \| \| \| Headache \| 39 \| 57.4 \| 14 \| 56 \| 25 \| 58.1 \| 0.99 \| \| Galactorrhea \| 28 \| 41.2 \| 2 \| 8 \| 26 \| 60.5 \| <0.001 \| \| Amenorrhoea \| 24 \| 35.3 \| \| \| 24 \| 55.8 \| \| \| Infertility \| 20 \| 29.4 \| 7 \| 28 \| 13 \| 30.2 \| 0.99 \| \| menstrual irregularities \| 17 \| 25 \| \| \| 17 \| 39.5 \| \| \| Erectile dysfunction \| 11 \| 16.2 \| 11 \| 44 \| \| \| \| \| Decreased Libido \| 7 \| 10.3 \| 6 \| 24 \| 1 \| 2.3 \| 0.008 \| \| Oligomenorrhoea \| 7 \| 10.3 \| \| \| 7 \| 16.3 \| \| \| Gynecomastia \| 7 \| 10.3 \| 6 \| 24 \| 1 \| 2.3 \| 0.008 \| \| Hirustism \| 4 \| 5.9 \| \| \| 4 \| 9.3 \| \| \| Examination \| \| \| \| \| \| \| \| \| BMI, \| 28.2±5.3 \| \| 28.6±5.7 \| \| 28.2±5.3 \| \| 0.64 \| \| Tumour characteristics \| \| \| \| \| \| \| \| \| Microprolactinoma \| 23 \| 33.8 \| 4 \| 16 \| 19 \| 44.2 \| 0.001 \| \| Macroprolactinomas \| 36 \| 52.9 \| 13 \| 52 \| 23 \| 53.5 \| \| \| Giant prolactinomas \| 9 \| 13.2 \| 8 \| 32 \| 1 \| 2.3 \| \| *mean ± SD Tumour extension was assessed by identifying the involvement of optic chiasma and cavernous sinus and stalk deviation. In the initial MRI, tumours in 25 (36.8%) patients were abutting the optic chiasma, cavernous sinus involvement of the tumour was seen in 27 (39.7%) patients whereas stalk deviation was found to be present in 34 (50%). According to our results, male patients (n=25) had a significantly higher prolactin level at baseline [Median IQR 695.4(133-8171.7)] as compared to females [210 (101-634)] (p=0.01) Overall, 66 (97.1%) patients received medical treatment, either Cabergoline or Bromocriptine or both. Cabergoline was given as a first line treatment in 26 (39.4%) patients whereas 18 (27.3%) patients had received Bromocriptine. A number of patients 22 (33.3%) received both drugs at different times in their treatment period (Table-3). Fifteen (22.1%) patients had to be treated surgically, 13 (86.6%) of these were operated via transsphenoidal approach and 2 (13.3%) by transcranial. Only 1 (1.5%) patient required radiation therapy showing that radiation is an unpopular treatment modality for prolactinomas. Out of the fifteen patients treated surgically, the majority (n=13) underwent the operation primarily because of very high prolactin levels and symptoms of mass effect. The indication of surgery, however, in the rest (n=2) was failure of medical therapy. Post surgically, 12 (80%) received medications in order to normalize the raised prolactin level due to the presence of residual tumour. 2 (20%) did not require medical support after surgical intervention. 3 out of the 15 patients who were operated did not respond to medications post surgically and radiation therapy was being considered as a final treatment option for them, but only one received. The change in serum prolactin in both male and female patients over three monthly follow ups was recorded. At follow up after 3 months of treatment (n=47) prolactin level was seen to normalize in 11 (55%) males and only 8 (29.6%) females, this however was not significantly different in the two genders (p value 0.08). At follow up after 6 months of treatment (n=35) prolactin level became normal in 10 (71.4%) males and 7 (33.3%) females, males having a significantly higher normalization rate than females (p value 0.027). Furthermore, at the end of 9 months and 1 year of treatment the return of prolactin to normal level was not significantly different in the two genders, p-values of 0.141 and 0.275 respectively (table-2). Table-2: Change in serum prolactin in follow up visits \| Duration \| Prolactin Level \| Gender \| \| \|---\|---\|---\|---\| \| \| \| Male \| Female \| \| Three Months (n=47) \| Normalized \| 11 (55.0) \| 8 (29.6) \| \| \| Remain elevated \| 9 (45.0) \| 19 (70.4) \| \| Six Months (n=35) \| Normalized \| 10 (71.4) \| 7 (33.3) \| \| \| Remain elevated \| 4 (28.6) \| 14 (66.7) \| \| Nine Months (n=31) \| Normalized \| 7 (58.3) \| 6 (31.6) \| \| \| Remain elevated \| 5 (41.7) \| 13 (68.4) \| \| One Year (n=25) \| Normalized \| 4 (57.1) \| 6 (33.3) \| \| \| Remain elevated \| 3 (42.9) \| 12 (66.7) \| The comparison between medical treatment by Cabergoline and Bromocriptine in bringing prolactin to normal level was recorded. We found that 6 (50%) patients treated with Bromocriptine, 9 (47.4%) of those treated with Cabergoline and 4 (25%) of those treated with both drugs achieved normal prolactin after 3 months of treatment, out of available prolactin measurements of 47 patients (n=47). We recorded that 5 (62.5%) Bromocriptine users, 8 (61.5%) Cabergoline users and 4(28.6%) using both drugs (that is started initially bromocriptine and then switched to cabergoline or vise versa) achieved normal prolactin levels after 6 months of treatment (n=35). Similarly, at 9 months after treatment 3 (50%) patients receiving Bromocriptine and 7 (63.6%) receiving Cabergoline therapy 3(23.1%) using both drugs were seen to have normal prolactin level (n=31) and at the end of 1 year of treatment 2 (33.3%) Bromocriptine users, 6(60%) Cabergoline users and 2 (22.2%) using both drugs had normal prolactin (n=25). Our results showed that there was no significant difference between the two drugs in bringing prolactin to normal range at each follow up duration (table-3). In order to assess the effect of treatment on tumour size the change in tumour size was recorded over 6 monthly follow ups. MRI at 6 months after treatment revealed that a total of 33 (48.5%) tumours decreased, 5 (7.4%) increased, 19 (27.9%) did not show any change in size whereas 11 (16.2%) completely resolved compared to initial reported MRIs. At the end of 1 year of treatment MRI reports of 23 patients (n=23) showed that 10 (43.5%) decreased, 2 (8.7%) increased, 6 (26.1%) did not change in size and 5 (21.7%) completely resolved. MRI reports at the end of 18 months of treatment ( n =12) showed that 4 (33.3) tumours decreased in size, 1(8.3%) increased, 6 (50%) did not change in size and 1(8.3%) completely resolved while those at the end of 2 years of treatment (n=8) revealed that 5 (62.5%) decreased in size and 2 (25%) completely resolved (Table-4). Table-3: Comparison between cabergoline and bromocriptine in change in prolactin levels \| Duration \| Prolactin \| Type of treatment given \| \| \| \|---\|---\|---\|---\|---\| \| \| \| Bromocriptine \| Cabergoline \| Both \| \| Three \| Normalized \| 6 \| 9 \| 4 \| \| \| Remain elevated \| 6 \| 10 \| 12 \| \| Six \| Normalized \| 5 \| 8 \| 4 \| \| \| Remain elevated \| 3 \| 5 \| 10 \| \| Nine \| Normalized \| 3 \| 7 \| 3 \| \| \| Remain elevated \| 3 \| 4 \| 10 \| \| One Year \| Normalized \| 2 \| 6 \| 2 \| \| \| Remain elevated \| 4 \| 4 \| 7 \| Table-4. Effect of treatment on the change in tumour size on follow up visits \| Duration \| Size Change (Tumour) \| Tumour size at baseline \| \| \| \|---\|---\|---\|---\|---\| \| \| \| Micro Prolactinoma \| Macro prolactinoma \| Giant prolactinoma \| \| Six Months (n=68) \| Decreased \| 4 \| 22 \| 7 \| \| \| Increased \| 2 \| 2 \| 1 \| \| \| No change \| 13 \| 5 \| 1 \| \| \| lesion disappeared \| 4 \| 7 \| 0 \| \| \| Total \| 23 \| 36 \| 9 \| \| One Year (n=23) \| Decreased \| 1 \| 8 \| 1 \| \| \| Increased \| 1 \| 0 \| 1 \| \| \| No change \| 1 \| 5 \| 0 \| \| \| No lesion \| 1 \| 4 \| 0 \| \| \| Total \| 4 \| 17 \| 2 \| \| 18 Months (n=12) \| Decreased \| 1 \| 2 \| 1 \| \| \| Increased \| 0 \| 1 \| 0 \| \| \| No change \| 1 \| 5 \| 0 \| \| \| lesion disappeared \| 0 \| 1 \| 0 \| \| \| Total \| 2 \| 9 \| 1 \| \| Two Year (n=8) \| Decreased \| 1 \| 3 \| 1 \| \| \| Increased \| 0 \| 0 \| 0 \| \| \| No change \| 1 \| 0 \| 0 \| \| \| lesion disappeared \| 0 \| 2 \| 0 \| \| \| Total \| 2 \| 5 \| 1 \| DISCUSSION The study is a useful reflection of the demographic characteristics, clinical presentations and treatment outcomes of patients with prolactinoma. We observed the gender difference quoted in literature regarding prolactinoma incidence. Since majority of our patients were females (63.2%), we reached a conclusion that prolactinoma occurrence was more common in females supported by multiple studies such as the one titled 'Epidemiology of prolactinomas' which stated that the female to male ratio is close to 10:1. 2 An article reported a similar result; that certain pituitary adenomas including prolactinomas occur frequently in females. 13 Furthermore, we observed in our study that microprolactinomas were significantly more frequent in women than men whereas macroprolactinomas and giant prolactinomas did not have a significant gender difference. This, too, is supported by a number of previous researches. One example is that of the results of a prospective study to determine the role of gender in hyperprolactinemia state. This study, like ours, proved that the frequency of microprolactinomas was higher in the female sex while that of macroprolactinomas was equal in both. 5 We failed to prove the statement made by various researches that macroprolactinomas occurred frequently in males, possibly due to limitations such as small sample size. This aspect needs further attention in future research. Our finding of the mean age (34±10.7) of patients reinforces that of various researches including one that predicted that the usual age of occurrence is between 20–50 years. 2 Similarly, an important consequence of our study; that men were significantly older than women, has also been discussed in the past. Thus, we confirmed, through our study, that women with the disease present earlier and are mostly diagnosed with microprolactinomas possibly because of the difference of symptomatology between the two genders as shown by studies previously. 2,14 In contrast a similar study revealed that men and women with prolactinoma had approximately similar median age. 5 Clinical presentations, in our study, were divided on the bases of gender. Our finding that the most common complain amongst males is of headache followed by erectile dysfunction and in females common presentations are of galactorrhea, headache and amenorrhea can be compared to previous observations. Galactorrhea was also found to be a significantly frequent in women in the study comparing clinical features in the two genders. 5 An article defining the features of micro and macroprolactinomas in males supported the idea of headache being the most common symptom in males with macroprolactinomas 15 and another discussed that because males have a greater incidence of macroprolactinomas they are more likely to present with symptoms of mass effect including headache. 1 Since, our results did not show a significant difference in the frequencies of macroprolactinomas in males and females, thus we can also see that there is not a significant difference of frequencies of headache experienced by the two groups, highlighting the discussion in literature. Concerning treatment our study results confirmed that medical treatment is routinely practiced (received by 97.1% patients) as stated in multiple articles. One such study stated that the primary remedy of prolactinomas is achieved by using dopamine receptor agonists. 16 At the same time a study showed that drugs such as Cabergoline and Bromocriptine are initial treatment modalities and the option of surgery is reserved if medical therapy fails. 17 The evidence of this statement is present in our study results because only 22.1% patients were treated surgically and only 1.5% required radiation therapy showing that radiation is an uncommon treatment modality for prolactinomas. The comparison of treatment outcomes of Cabergoline and Bromocriptine is a topic to international researches. Cabergoline is studied to have a better outcome based on normalization of serum prolactin level, reduction of tumour size, its efficacy and tolerability. 17 While Bromocriptine is effective in about 80–90% of patients with microprolactinomas and 70% of those with macroprolactinomas, Cabergoline is more efficacious because it overcomes hyperprolactinemia state in more than 90% patients with either micro or macroprolactinoma. 9,16 A similar article concluded that Cabergoline was more potent in decreasing prolactin level, offering better efficacy as well as fewer side effects as compared to Bromocriptine. They discovered that 59% patients in the Bromocriptine group achieved normal prolactin levels while a larger number (82%) in the Cabergoline group did so. 18 Thus, our study's result of similar outcome with Cabergoline and Bromocriptine treatment differs from medical literature. This may be because of influence of various limitations in the study such as a small sample size. The limitations of the study included a small sample size and large dropout of patients in follow up visits. Increasing the sample size could have played a role in producing better results. Furthermore our patients' belonged to a single tertiary care hospital. This may have introduced confounding factors. The compliance to medications was assumed to be 100% during the treatment period and the choice of drug was also based on economic reasons as bromocriptine is cheaper than Cabergoline. For future research purpose on a similar topic, initiating a prospective study should be considered because it is indeed a better design to confirm some of the findings in our study. We also recommend that a larger study with a bigger sample size as well as including records from different hospitals in the region is the way forward to correctly identify if there is any difference in treatment outcomes of Cabergoline and Bromocriptine in the population. CONCLUSION We conclude that the demographic features and clinical presentations of prolactinoma in patients of Pakistan closely match the results of international studies. All commonly reported symptoms were experienced by the study patients, most frequent being headache. There was a decreasing trend of serum prolactin and tumour size reduction in patients suggesting the beneficial impact of medical therapy as it is the first line treatment modality in these patients. CONFLICT OF INTRESTS The authors declare that they have no conflict of interests ACKNOWLEDGEMENT I wish to express my sincere thanks to Dr. Naeem-ulhaq, Dr. Muhammad Qamar Masood, Dr. Jaweed Akhter, Dr. Aisha Shiekh, Dr. Asma Ahmed. I am extremely grateful and indebted to them for their expert, sincere and valuable guidance, their help and their unceasing encouragement and support extended to me. I also place on record, my sense of gratitude to one and all who, directly or indirectly, have lent their helping hand in this venture. REFERENCES 1. Fideleff HL, Boquete HR, Suarez MG, Azaretzky M. Prolactinoma in children and adolescents. Horm Res 2009;72:197–205. 2. Ciccarelli A, Daly AF, Beckers A. The Epidemiology of Prolactinomas. Pituitary 2005;8:3–6. 3. Oh C, Kunwar S, Blevins L, Aghi MK.. Medical versus surgical management of prolactinomas. Neurosurg Clin N Am 2012;23:669–78. 4. Moraes AB, Silva CM, Vieira Neto L, Gadelha MR. Giant prolactinomas: the therapeutic approach. Clin Endocrinol (Oxf). 2013;79:447-56 5. Colao A, Sarno AD, Cappabianca P, Briganti F, Pivonello R, Somma CD, et al. Gender differences in the prevalence, clinical features and response to cabergoline in hyperprolactinemia. Eur J Endocrinol. 2003;148:325–31. 6. Javorsky BR, Findling JW. Hypothalmus and pituitary gland. In: Gardner DG, Shoback D, editors. Greenspan's basic and clinical endocrinology. 9 th ed. USA: McGraw Hill; 2011.p. 65–114. 7. Behari S. Management of prolactinomas: The fine print between the lines! Neurol India 2011;59:501–3. 8. Singh P, Singh M, Cugati G, Singh AK. Bromocriptine or cabergoline-induced cerebrospinal fluid rhinorrhea: A lifethreatening complication during management of prolactinoma. J Hum Reprod Sci 2011;4:104–5. 9. Colao A, di Somma C, Pivonello R, di Sarno A, Lombardi G. Dopamine receptor agonists for treating prolactinomas. Expert Opin Investig Drugs 2002;11:787–800 10. Ding D, Starke RM, Sheehan JP. Treatment paradigms for pituitary adenomas: defining the roles of radiosurgery and radiation therapy. J Neurooncol 2014;117:445–57. 11. Ishtiaq O, Haq MU, Rizwan A, Masood MQ, Mehar S, Jabbar A. Etiology, functional status and short term outcome of patients with pituitary lesions. An experience from a developing country. J Pak Med Assoc 2009;59:839–43. 12. Shamim MS, Bari ME, Khursheed F, Jooma R, Enam SA. Pituitary adenomas: presentations and outcomes in a South Asian country. Can J Neurol Sci 2008;35:198–203. 13. Mindermann T, Wilson CB. Age-related and gender-related occurrence of pituitary adenomas. Clin Endocrinol (Oxf) 1994;41:359–64. 14. Lamberts SW, de Herder WW, Kwekkeboom DJ, vd Lely AJ, Nobels FR, Krenning E. Current tools in the diagnosis of pituitary tumours. Acta endocrinol (Copenh) 1993;129(Suppl 1):6–12. 15. Pinzone JJ, Katznelson L, Danila DC, Pauler DK, Miller CS, Klibanski A. Primary Medical Therapy of Micro-and Macroprolactinomas in Men 1. J Clin Endocrinol Metab 2000;85:3053–7. 16. Colao A, Di Sarno A, Guerra E, De Leo M, Mentone A, Lombardi G. Drug insight: Cabergoline and bromocriptine in the treatment of hyperprolactinemia in men and women. Nat Pract Clin Endocrinol Metob 2006;2:200–10. 17. Molitch ME. Medical management of prolactin-secreting pituitary adenomas. Pituitary 2002;5(2):55–65. 18. Sabuncu T, Arikan E, Tasan E, Hatemi H. Comparison of the effects of cabergoline and bromocriptine on prolactin levels in hyperprolactinemic patients. Intern Med 2001;40:857–61. Address for Correspondence: Dr. Sarwar Malik, Fellow in Endocrinology, Diabetes and Metabolism, Section of Endocrinology, Department of Medicine, Aga Khan University Hospital, Stadium Road, P.O. Box 3500, Karachi 74800, Pakistan. Tel: +92-21-3493 4447 Email: firstname.lastname@example.org
2017 CONCERT SERIES SATURDAY 17 TH JUNE 7.30PM SUNDAY 18 TH JUNE 2.30PM BOWRAL MEMORIAL HALL BENDOOLEY STREET Patrons: Ann Carr-Boyd, Dr. Andrew Ford OAM, Richard Gill AO THE SOUTHERN HIGHLANDS SYMPHONY ORCHESTRA The orchestra was formed in 2014 due to a growing interest in the establishment a symphony orchestra in the region. Musicians from the Southern Highlands and surrounding districts rehearse on Sunday evenings. The SHSO has become a significant feature of the cultural life of the Southern Highlands. ALLAN STILES – conductor The orchestra will be conducted by Dr Allan Stiles, who has conducted orchestras, bands, choirs, and theatre productions over many years. He formed the Western Youth Orchestra and The Beecroft Orchestra. He has also conducted operas and musicals for the Hurstville Light Opera Company, the Hills Musical Society, the Gilbert and Sullivan Society, the Parramatta Musical Comedy Company and the Highlands Theatre Group. He enjoyed decades of conducting orchestras, bands, and theatrical productions while a teacher for the NSW Department of Education at Penshurst West (where he pioneered primary school bands) and Frenchs Forest, The King's School, Holy Cross College, and Pymble Ladies College. He has played in orchestras in Sydney and London. Conducting studies were with Robert Miller and later as part of his MMus at UNSW. As a musicologist he has catalogued the works of Colin Brumby, Graham Powning and Alfred Hill, the latter for his PhD thesis, and has published many previously unavailable works by Australian composers. ELIZA-JANE CORLEY – conductor Eliza-Jane Corley's musical education began with piano studies (Grade 8 AMEB), she then commenced studying percussion whilst at high school with Brenton Mouy. Eliza performed with the Melbourne Youth Symphonic Wind Band, in the orchestras for the Mordialloc Light Opera Co. and the Babirra Players, the Melbourne Wind Orchestra and toured with the Australian Wind Orchestra (1990-1994) to Japan, the USA and Europe. After graduating with a Bachelor of Arts (1991) and a Grad. Dip. Ed (Music 1992) from Melbourne University, Eliza commenced teaching in Perth for the W.A. Education Department (1994-2002) and enjoyed her role as a Senior Staff member for Percussion (1994-1998), also implementing a new percussion program at Presbyterian Ladies College. During these years her role included conducting a number of school ensembles including concert bands and percussion ensembles from the prestigious Churchlands SHS, Perth Modern School, Carine SHS and Como SHS. She was also a presenting guest Clinician in Percussion Education for Edith Cowan University, and the University of W.A., and at the ABODA (Australian Band and Orchestra Directors Association) conferences in Perth. Her freelance performance included working with the W.A. Symphony Orchestra, W.A. Symphonic Wind Ensemble, Midland Brick Brass and the W.A. Wind Orchestra. Eliza was invited as a guest conductor for the Perth Concert Band and the West Australian Symphonic Wind Ensemble. After a move to Sydney in 2003, Eliza enjoyed performing with Warringah Concert Brass and raising two lovely children. In 2011, the Corley family moved to the Southern Highlands and were delighted by the vibrant music community. Eliza has performed with Brass Connections, The Southern Highlands Concert Band (as a percussionist and assistant conductor), the Highlands Sinfonia (as a percussionist and assistant conductor) and as timpanist for the SHSO. In her spare time, Eliza volunteers each week teaching a music class for the kindergarten students of Bowral Public School. TIMOTHY SENIOR – soloist Tim Senior is a keen amateur viola player, having played in orchestras since he was a teenager. Before joining the Southern Highlands Symphony Orchestra, he played in the Penrith Symphony Orchestra, the Darwin Symphony Orchestra, the Sheffield Philharmonic Orchestra and the Bolton Symphony Orchestra. He has also tried his hand at conducting while studying medicine in the UK. His real job is as a doctor working in Aboriginal and Torres Strait Islander health, as well as teaching, advising and writing about health care and health policy. In his spare time he bakes bread and brews beer! He is making his concerto debut in these concerts. BEETHOVEN, LUDWIG VAN (1770-1827) Fidelio Overture Beethoven wrote just one opera, Fidelio, but it probably cost him more effort than all nine of his symphonies put together. Based on the French drama, Léonore, by Jean Nicolas Bouilly, the story was drawn from real incidents during the French Revolution. It tells of the plight of Florestan, unjustly thrown into prison by a political rival Don Pizarro. Florestan's resourceful wife, Leonore, discovers where he has been hidden and, disguising herself as a young man named Fidelio, becomes a trusted attendant at the prison. At gunpoint, she faces down the evil Pizarro, and her heroism is rewarded by the sound of a distant trumpet, signalling the arrival of the Minister of Justice, Don Fernando. Fernando frees Florestan and the other political prisoners, and they join in a triumphant chorus hailing their freedom and Leonore's courageous love. The opera had an extremely long and convoluted evolution. The first version, titled Leonore after the opera's heroine, had its première at the Theater an der Wien in Vienna on November 20, 1805, only seven days after Napoleon's army had entered the city. It closed after three performances. Beethoven then revised and shortened the work, and a revival of Leonore was staged in 1806 with a more favourable reception. However, this time it was withdrawn from performance because Beethoven suspected the theatre management was not paying him his fair share. Eight years later, Beethoven revised the opera yet again, under the new title Fidelio. It was a success both in the eyes of the public and, perhaps more importantly, to Beethoven himself. Along with his three versions of the opera, Beethoven composed four versions of the overture: one for each of the performances, plus one believed to have been written for a planned performance of the second Leonore in Prague that never took place. The earlier overtures quoted sections of the opera, the second in particular using much material from the second act climax, making listening to the opera seem almost redundant. The Fidelio Overture was Beethoven's final version. In this his fourth attempt, he did not use any themes or passages from the opera, yet succeeds in building excitement and anticipation for the drama to come without giving away its dénouement. Beethoven was the master of creating music from small musical ideas or motives, which nearly always incorporated a strong rhythmic element, most famously heard in the first movement of his Fifth Symphony. Here he creates everything from the simple three notes with a vigorous dotted rhythm that we hear at the beginning. The overture mingles slow, quiet, harmonically uncertain music, perhaps standing for Florestan's plight, with forceful 'Allegro' music representing Leonora's heroic determination to save him. This is noble music which suggests the concepts of heroism, loyalty and the triumph of goodness. TELEMANN, GEORG PHILIPP (1681-1767) Viola Concerto in G Major Today we automatically associate the names of J. S. Bach and George Frideric Handel with the glory years of the late Baroque age in the first half of the 18 th century, but in their own time it was Georg Philipp Telemann who was the composer of supreme fame and influence in the German musical world. Born into a family of remarkable sophistication and culture, he received a university education, travelled widely, and from his earliest years held important positions in major German cities, including Leipzig, Frankfurt and Hamburg. Telemann was unusually prolific and versatile— he composed more than 40 operas, 46 Passions, some 125 orchestral suites, another 125 concertos, 130 trios, 145 pieces for keyboard, and countless other works, large and small. The G Major Viola Concerto is generally accepted to be the first for this instrument. We do not know exactly when it was written, but it is highly probable that it comes from the period 1712 to 1721, when Telemann was in charge of the Gesellschaft Frauenstein, an association of merchants in Frankfurt which held "Weekly Grand Concerts". Unlike the concertos of Bach, which are almost always laid out in the threemovement (fast/slow/fast) format, Telemann here follows an earlier Italian model, found in the concertos of Arcangelo Corelli and other Italian composers of the late 17 th century. This 'sonata da chiesa' form, with four alternating slow-fast movements, is scored for strings and basso continuo. Throughout the concerto, Telemann favours showcasing the warmth and richness of the viola's register over flashy coloratura passages and florid ornamentation. The opening Largo leads off with a dignified, lilting 'ritornello', a short musical passage used as a refrain, played by the strings, then taken up by the solo viola. This introductory material then glides through several related keys, with a cadenza (a modern interpolation not customarily found in Telemann's day), and a quiet close in the home key of G. The Allegro second movement is filled with rhythmic vigour. As with the first movement, here again the 'ritornello', that characteristic Baroque device so characteristic of Italian string writing, is employed to give a structural clarity to the music: heard at the outset, again at midpoint, and then in the final bars of the movement. The third movement, an Andante, with a delicately-inflected melodic line heard over a restless bass line, is set in E Minor and again returns to the mellow character of the opening movement with the writing predominantly in the upper register of the instrument. Once again, modern editors have introduced a cadenza toward the end of this movement. The Presto finale has a dance-like character, emphasised by the use of binary form with each of its two sections repeated. It provides an exciting finish full of verve and joy. HILL, ALFRED (1869-1960) Sunset Fantasy Alfred Francis Hill was born in Melbourne in 1869. His family moved to New Zealand in 1872. His father, a talented amateur violist, encouraged his children's musical abilities—at nine Alfred played the cornet in Martin Simonsen's opera company, and toured New Zealand as first violin with Charles Harding's Grand Opera Company in 1884. With his elder brother John he studied from 1887-91 at the Royal Conservatorium of Music in Leipzig. He won the Helbig prize and played the violin with the Gewandhaus Orchestra under such conductors as Brahms, Grieg, Tchaikovsky and Max Bruch. Returning to Wellington, Hill was active as a violin pedagogue, recitalist, and chamber music performer, but principally as conductor of choirs and orchestras, including the Wellington Orchestral Society. He later settled in Sydney in 1911, and became principal of the Austral Orchestral College, played the viola in the Austral String Quartet and also conducted the Sydney Amateur Orchestral Society. He was appointed to the advisory committee for the establishment of the NSW Conservatorium of Music and in 1916 became its first professor of theory and composition. He was passed over as the Director more than once and from 1937 devoted all his energies to composition. He wrote string quartets and concertos for piano, violin, viola, French horn and trumpet. He also revised earlier chamber music pieces to create thirteen symphonies. In 1947 he became president of the Composers' Society of Australia. In 1959 his 90th birthday was celebrated by a special concert of his music played by the Sydney Symphony Orchestra under Henry Krips. He died the following year. Sunset Fantasy is an example of his significant contribution to Australian musical composition in the twentieth century. INTERVAL Refreshments will be available from the Supper Room. FRANCK, CÉSAR (1822-1890) Symphony in D minor I. Lento – Allegro non troppo II. Allegretto III. Allegro non troppo César Franck was born in 1822 in Liège, then a part of the Kingdom of the Netherlands and from 1830 part of Belgium. After a childhood during which his phenomenal musical talent as a pianist was exploited mercilessly by an ambitious father, he was enrolled at the Paris Conservatoire, where he learned music theory and honed his keyboard virtuosity. His brilliant early career waned, however, as he grew from teenage prodigy into a merely gifted young pianist, and he grew disillusioned. He eventually broke ties with his father and gave up public performance. During this period he wrote a few minor piano works, none of which predicted the genius that would later emerge. For the next twelve years he supported himself and his wife as a church organist. Finally, at age thirty-six, he was appointed Music Director and organist of the new Basilica of Ste. Clotilde and ultimately became known as the greatest organ improviser of his time. He was eventually appointed Professor of Organ at the Paris Conservatoire in 1872 and his master classes in organ became 'de facto' classes in composition and theory for his circle of friends, known as "the Franckists". With stability and maturity he resumed composing, primarily organ, choral and sacred works. The last ten years of his life were intensely creative and he wrote several great orchestral works near the end of his career, including his only symphony. Composed in 1888, just two years before Franck's death, the Symphony in D minor was not initially well received. The première was fraught with disapproving criticism from both the musicians and audience alike, but from such ignoble beginnings it has grown to become one of the favourites in the symphonic repertoire. Very much a Romantic work, it is written, nonetheless, in the Classical form of three movements. The symphony starts with a Lento, a slow majestic introduction, in which a three-note motif of mysterious and unresolved character is stated at once by the lower strings, horns, bassoons and then tuba, with great dramatic suspense as a type of question. It grows in intensity and mystery until finally the Allegro non troppo bursts forth triumphantly and this opening phrase is transformed into a lively forceful principal theme. A second Allegro introduces the soaring second subject, which subsequently culminates in a grand third theme, the first evidence of the symphony's heroic character. The development continues in the Allegro . In the recapitulation the main theme of the Lento is played in a grand fortissimo by the full orchestra, with trumpets answering in canon. The movement ends with a positive-sounding coda as if to answer the question with a blaze of affirmation. The mood of the movement conveys a sense of mystery, blending an almost religious fervour with joyous good humour. The second movement unconventionally combines in one movement the second and third movements of a conventional symphony. The pizzicato of strings and harp first, then the contrapuntal subject in the cellos, form backgrounds to a sweet melody played by the cor anglais. Ironically the beauty and tenderness evoked by the cor anglais was a source of great upset to the musical pundits of Franck's time who were very suspicious of the introduction of this instrument into the symphonic texture. As the movement continues that melody is given in turn to the clarinet and horn in unison. A counter subject of equal eloquence on the strings and a sprightly Scherzo complete the principal melodic subjects of the movement. Then the cor anglais melody comes back and leads to the coda ending the movement with a warm glow of quiet happiness. The final movement, Allegro non troppo, is joyful and spirited. A technical device that Franck developed to produce unity in his works is present in this movement. It is known as cyclical form, in which he builds his principal melodic subjects out of a single idea and finally repeats all these principal themes in the last movement. After a brief introduction, a rich opening theme is launched in cellos and bassoons. Throughout the movement, themes from the first and second movements are recalled as part of the unifying process, most notably the cor anglais theme of the second, which appears in all three sections in grandiose form, and the main theme of the first movement, mostly near the end of the recapitulation. The coda recalls themes of the first movement but closes with the theme of the last in a grandly jubilant climax. Notes by Elizabeth Dalton RECEPTION After the Saturday concert there will be a reception to which all are invited. FRIENDS OF THE ORCHESTRA Become a supporter of the Southern Highlands Symphony Orchestra. The aim of the Friends is to promote the appreciation of fine music in the community and surrounding districts by supporting the organisation of concerts and fundraising. Please join our mailing list by completing the enclosed flyer and leaving it in the Friends box at the front of the Hall. Enquiries: 0416 380 567 Email: email@example.com ENCORE SOCIETY The Southern Highlands Symphony Orchestra wishes to acknowledge the following members of its Encore Society. Each one of the following patrons has made a tax-deductible donation to ensure that the SHSO is able to maintain its artistic and community vision. We thank you. Mr and Mrs K R McCutcheon Ms Cheryl Tucker Peter and Kate Cox Elizabeth and Philip Walker We also thank those music lovers who have donated anonymously. SPONSORSHIP The experience of enjoying live symphonic music is unique to every member of our audience, yet each of you plays an important role in ensuring that this live music experience continues. To support your Southern Highlands Symphony Orchestra through sponsorship or donations, which are tax deductible, please contact the Fundraising Chair on 0416 192 229. ORCHESTRA MANAGEMENT President Mrs Jenette Stiles AAICD Vice-President Mr Gerald Power Secretary Mrs Eliza-Jane Corley Treasurer Mrs Elizabeth Dalton Musical Director Dr Allan Stiles Orchestra ManagerMs Roma Dix OAM Librarian Mrs April Butcher Members: Dr Allan Beavis OAM Mr Peter Glass JP Mr Douglas Pritchard JP, FCA FLUTES Zoe Andrews – chair sponsor Betsy Andrews Roma Dix – chair sponsor "Friends of Roma Dix" OBOE and COR ANGLAIS Michellé Biasutti SOPRANO SAXOPHONE Richard Gawned CLARINETS Mark Biasutti Adrienne Bradley-Smith Alexandra Donaldson Peter Smith BASS CLARINET Richard Gawned BASSOON Melissa Reyder Graeme Widmer HORNS Elizabeth Dalton – chair sponsor Margaret Buckland Ian McQuillan Gay Scanlon Patrick Webb TRUMPETS John Corley Jeremy Donaldson Julian Paviour TENOR TROMBONES William Short John Thompson BASS TROMBONE Simon Mitchell TUBA Ross Sadler – chair sponsor Douglas Pritchard TIMPANI / PERCUSSION Eliza-Jane Corley FIRST VIOLINS Jillian Bridge – leader Amelia Bull Rebecca Coulter Alexandra Dening Lisa Gemell David Mee Rebecca Michael Emily Sinden Sarah Tomlinson SECOND VIOLINS Maggie Loo – principal Robert Arthurson Kilmeny Brodrick Anne Graham David Hart Howard Lesslie Brenton Paix Lesley Staats VIOLAS Timothy Senior – principal Stewart Bullivant Xanthe Herps Catherine Kerr Quentin Woods CELLOS Catherine Barnett – principal David Archer April Butcher Emma Hamilton Sarah Hick Lisa Kawai Meiyoong Lui NEW PLAYERS ARE WELCOME. Contact: Allan Stiles on 0415 309 760 or Roma Dix on 0432 466 882. DOUBLE BASS Louis Ameneiro – principal Paul Laszlo HARPSICHORD Lisa Kawai Wind and brass players are listed alphabetically, as are strings after principals. ACKNOWLEDGEMENTS Support from the following is gratefully acknowledged: Artemis Wines, Thompson Health Care, Harps Australia, Southern Highlands Concert Band, The Highlands Sinfonia, Wingecarribee Shire Council, photography by Christopher Donaldson, Janet Ninio for the use of her harp, David Archer for the use of his harpsichord, Van Til Flowers, Robert Crowe, BDCU Alliance Bank, Destination Southern Highlands, Ten Thousand Paces, Localure, Stiles Music Publications, Southern Highlands News, ABC Illawarra, Richard Harman atHighlands FM, Graeme Day at 2ST, and the many businesses that displayed our flyers. Thanks to the volunteers who assisted with setting up the hall, front of house, and refreshments at the interval and the reception. Visit our website at www.shso.org.au Join our mailing list to be kept informed by completing the enclosed flyer. Visit our website at www.shso.org.au Join our mailing list to be kept informed by completing the enclosed flyer. SOUTHERN HIGHLANDS SYMPHONY ORCHESTRA 2017 CONCERT SERIES THREE Saturday 9 th September 7.30pm and Sunday 10 th September 2.30pm Rossini Overture to William Tell Graham Powning Flute Concerto (premiere) soloist Svetlana Yaroslavskaya Brahms Symphony No.3 CONCERT SERIES FOUR A Festive Spectacular Saturday 2 nd December 7.30pm and Sunday 3 rd December 2.30pm John Williams Star Wars Medley Alfred Hill The Call of a Bird Grieg Peer Gynt Suite No.1 Tchaikovsky The Nutcracker Suite Leroy Anderson A Christmas Festival The SHSO reserves the right to amend the advertised repertoire.
Master Trust Survey Results to 31 December 2008 Investment Returns when it comes will be long and gradual with bumps along the way. The quarter to the end of December 2008 continued the trend of successively poorer performing quarters as the credit crunch continued to bite globally. Over the 12 months, growth funds returned -25.4% (-16.7%), balanced funds returned -16.1% (-9.9%), while conservative funds returned -1.5% (-0.7%) after tax, expenses and fees were deducted (the previous quarter's rolling twelve months are shown in brackets). With the benchmark at 5.3%, cash has been the place to be although this may change over the next year as interest rates continue to fall. Economic Commentary Following the financial traumas of 2008, the world is now preparing for another tough year. New Zealand is experiencing a sharply falling dollar, much reduced tourism receipts, falling commodity prices and the prospect of 7% unemployment. The Reserve Bank has tried to help by reducing the OCR by 1.5% to 3.5% with a later cut likely, which may stimulate borrowing - or it might not. Providing stimulatory conditions is one thing, actually achieving stimulation is another. Getting household and firms' debt levels within comfortable servicing range must be the first priority. There remains the possibility that those households and businesses which could spend do not, and that banks become too cautious with their lending. Internationally the IMF is predicting declining output in the developed nations with the U.K. being the worst affected with a predicted decline of -2.8% in 2009 (versus a -1.3% estimate in November) and a possible 0.2% in 2010. U.K. unemployment meanwhile is expected to perhaps hit 3 million by the end of the year. The IMF also expects Germany (-2.5%) and Japan (-2.6%) to show sharp falls in 2009, although the total world economy is expected to grow by 0.5% on the basis of reduced growth from India and China. The world recovery Meanwhile in the U.S. the new administration has passed it's USD825 stimulus package, without any support from the Republicans who preferred tax cuts to the sweeping government spending actually included by the Democrats. While the package includes tax cuts of about USD275 billion (including a USD500 dollar credit per worker and USD1,000 per couple), most of the spending is on new infrastructure. This includes more than USD60 billion for new power grids and to make government buildings more energy efficient. With the U.S. supporting green initiatives to reduce climate change, it appears likely that government programmes to support hard-hit manufacturing industries will provide incentives to develop and apply new low carbon technologies which reduce dependence on foreign oil. The U.K. for example has announced a new £2.4 billion motor industry plan which includes low carbon engine initiatives, and similar incentives are likely in the U.S. and (possibly) Europe. One of the big current issues for economists is that most rely on their computer models to make quantitative forecasts, and that most of those models are of limited use at a time of massive upheavals. This means that qualitative analysis of human and social behavior, as a guide to creating or destroying wealth, is coming back into vogue. Rather than trying to predict, say, when and how much markets will recover - this approach looks at the underlying political, behavioural and social factors to determine the direction in which events might be driven. This is very different to the pure acceptance of efficient and totally rational markets. With the likelihood that the world will be a very different place once the present turmoil has settled down, this is a better approach than the backward looking one provided by many computer models. Contact us at: Auckland firstname.lastname@example.org Ph 64 9 486 3144 Wellington email@example.com Ph 64 4 470 6144 Back issues are available from www.eriksensglobal.com (c) Eriksen & Associates Ltd, 2009 All rights reserved Eriksen's Master Trust Survey Results to 31 December 2008 \| Fund Name \| Fund Size $ million \| Annual 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 and 30% 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 2008 \| Fund Name \| Fund Size $ million \| Annual Returns (Net of Tax & Expenses) \| \| \| \| \| No. of Employers \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| 1 Year \| 2 Year \| 3 Year \| 4 Year \| 5 Year \| \| \| Balanced Funds AMP Lifesteps Moderate Balanced Tower Lifesaver Balanced AMP Tower Balanced AMP Balanced AMP Lifesteps Balanced WestpacTrust Balanced Aon Balanced Aventine's SuperLife Aim60 ASB SMT Balanced AMP Tyndall Fund Backtested ** AMP ING Balanced AMP ASB Balanced AMP Tyndall Balanced (formerly BT balanced) AXA SMT Multi-Mgr Balanced Mercer Active Balanced All Balanced Funds \| 50.9 132.8 87.9 279.5 39.6 106.2 20.9 17.5 183.8 121.1 21.8 72.7 248.4 84.8 1,467.9 \| -10.2 -12.6 -13.6 -14.2 -14.2 -15.3 -15.5 -16.1 -16.1 -16.2 -17.0 -17.5 -19.2 -19.8 -21.2 -16.1 \| -3.5 -3.5 -4.4 -5.8 -5.6 -8.0 -8.0 -7.6 -7.0 -7.4 -8.3 -7.7 -10.3 -10.6 -11.1 -7.3 \| 0.9 1.4 0.4 -0.6 -0.1 -2.3 -3.3 -1.7 -1.4 -2.4 -2.7 -2.2 -4.2 -4.4 -4.9 -1.8 \| 3.1 3.1 2.4 2.0 2.7 0.2 -1.2 1.2 1.3 0.3 1.3 0.8 -0.5 -1.0 -1.1 1.0 \| 4.0 4.0 3.3 3.0 3.7 1.4 2.2 2.7 1.9 3.1 2.0 0.9 0.6 0.5 2.3 \| 169 393 546 441 277 357 \| * The AMP Tyndall Balanced Fund was managed by BT until 25 June 2008 ** The AMP Tyndall Balanced Fund was managed by BT until 25 June 2008, and the returns shown for that fund are a composite of the BT and Tyndall earnings. Since we have been asked what the actual performance of the Tyndall option would have been had Tyndall managed the fund for the full period these are back tested returns for a hypothetical pure Tyndall fund. 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 and 30% 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 2008 \| Fund Name \| Fund Size $ million \| Annual Returns (Net of Tax & Expenses) \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| 1 Year \| 2 Year \| 3 Year \| 4 Year \| 5 Year \| \| Conservative Funds Aon Capital Stable Tower Capital Preservation WestpacTrust Accumulation AMP Capital Assured AMP Capital Stable AMP Lifesteps Conservative Aon Conservative AMP Lifesteps Moderate Tower LifeSaver Conservative AXA SMT Multi-Mgr Conservative ASB SMT Conservative Mercer Conservative All Conservative Funds \| 2.8 25.9 33.8 108.1 79.2 5.4 7.3 37.6 2.9 96.2 48.3 31.2 478.5 \| 4.6 4.1 2.8 2.8 2.6 2.6 -3.5 -3.9 -5.3 -6.0 -7.5 -10.1 -1.5 \| 3.6 4.8 3.6 3.4 3.1 3.1 -1.3 -0.1 -1.0 -2.1 -1.9 -3.9 1.0 \| 3.3 5.0 3.8 3.6 4.2 4.3 0.7 2.6 0.6 1.3 -0.6 2.6 \| 3.3 4.7 3.8 3.5 5.0 4.9 1.5 4.1 2.0 3.0 1.6 3.4 \| 4.3 3.7 3.4 5.1 5.0 4.4 2.7 3.8 2.2 3.6 \| 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 and 30% 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 2008 \| Fund Name \| Fund Size $ million \| Annual Returns (Net of Tax & Expenses) \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| 1 Year \| 2 Year \| 3 Year \| 4 Year \| 5 Year \| \| Single Sector Aggressive Aventine's SuperLife Oseas Shares Unhedged Aventine's SuperLife NZ Shares Superlife Australian Shares Tower Focus NZ Shares Tower LifeSaver Equity Aventine's SuperLife Property Mercer Shares Aventine's SuperLife Oseas Shares Hedged All Single Sector Aggressive \| 84.0 38.1 16.3 5.5 18.5 15.6 11.6 57.4 247.0 \| -22.8 -31.0 -31.4 -32.1 -33.4 -35.5 -35.5 -36.7 -30.3 \| -13.5 -16.8 -7.3 -18.7 -17.6 -24.1 -19.7 -19.0 -16.3 \| -5.6 -6.3 -8.5 -7.4 -9.8 -10.2 -8.4 -6.7 \| -0.7 -2.9 -4.4 -2.0 -3.9 -4.4 -2.4 -2.0 \| -0.1 0.7 -0.5 0.3 0.3 -2.0 -0.6 -0.1 \| \| Fund Name \| Fund Size $ million \| Annual Returns (Net of Tax & Expenses) \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| 1 Year \| 2 Year \| 3 Year \| 4 Year \| 5 Year \| \| Single Sector Defensive Aventine's SuperLife Overseas Govt Bonds Aventine's SuperLife Overseas Non Govt Bonds Tower Focus Fixed Income Aventine's SuperLife NZ Bonds Aventine's SuperLife Cash AMP Cash Tower LifeSaver Preservation Mercer Cash AXA SMT Cash All Single Sector Defensive Total Funds Cash Benchmark (Net) CPI \| 62.1 24.8 7.6 98.7 117.8 49.6 22.5 41.5 78.3 502.8 3,184.6 \| 13.7 12.2 10.7 8.7 5.9 5.6 5.6 5.2 4.1 7.4 -12.7 5.3 3.4 \| 9.6 7.8 6.7 5.6 5.8 5.0 5.0 4.4 6.0 -5.8 5.4 3.3 \| 7.5 6.0 5.6 5.3 5.5 4.9 4.9 4.6 5.5 -1.0 5.3 3.1 \| 6.9 5.7 5.2 5.2 5.3 4.8 4.8 4.6 5.3 1.5 5.2 3.1 \| 6.6 5.6 4.9 4.9 5.1 4.6 4.7 4.5 5.1 2.5 4.9 3.0 \| Contact us: Auckland firstname.lastname@example.org Ph +64 9 486 3144 Wellington email@example.com 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 and 30% 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.
FRANKLIN COUNTY BOARD OF COUNTY COMMISSIONERS REGULAR MEETING OCTOBER 2, 2018 COURTHOUSE ANNEX – COMMISSION MEETING ROOM 9:00 AM MINUTES Commissioners Present: Joseph Parrish – Chairman, Noah Lockley-Vice-Chairman, Cheryl Sanders, William Massey, Ricky Jones Others Present: Michael Moron-County Coordinator, Michael Shuler – County Attorney, Lori P. Hines-Deputy Clerk to the Board. Call to Order Chairman Parrish called the meeting to Order. Prayer and Pledge There was a prayer followed by the Pledge of Allegiance. Approval of Minutes There were no minutes available for approval. Payment of County Bills On motion by Commissioner Massey, seconded by Commissioner Lockley, and by unanimous vote of the Board, it was agreed to approve payment of the County's Bills. Public Comments – (This is an opportunity for the public to comment on agenda or non-agenda items. When you are recognized to be heard by the Chairman, please sign the speaker's log and adhere to the time limit. An individual will be allowed to speak for three minutes whereas a designated representative of a group or faction will be allowed to speak for five minutes.) Mr. Rick Watson, Franklin County Tax Collector, presented the Board with a check for interest earned on the tax account this year. He reported last year he talked with the bank and now instead of getting .1% interest they are getting 1% so the amount of the check is $3,490.10. He stated there should be some funds to return from his budget account but he will not know until they know the security costs for the Courthouse. Mr. Paul Sanders inquired about the home replacement program. Chairman Parrish reported this will come up later on the agenda. Department Directors Report Howard Nabors – Superintendent of Public Works Mr. Nabors said they are continuing to cut grass and clean ditches. He reported there has been a lot of rain on the east end of the county and the drainage is working well. Commissioner Massey thanked Mr. Nabors for all they have done. Commissioner Jones asked what steps they take or how they know what kind of materials to put down when repairing roads. Mr. Nabors stated they get certified limerock from Perry. Commissioner Jones said people ask him and he did not know. Mr. Nabors reported there is flooding on St. George Island but some people do not want their roads built up because they do not want the water to stand in their yards. Commissioner Lockley questioned if they can get 57 shell. Mr. Nabors said they have not been able to get any for the last two years but that was the best material they received. Fonda Davis – Solid Waste Director Mr. Davis reported the Parks & Recreation Department built the press box for Kendrick Football Field. He stated as the year goes on they will put a top on it and enclose it. He explained they now have a place to announce the games. Commissioner Sanders said they did a good job and they appreciate it. Commissioner Jones asked the estimated time of arrival on the used oil containers. Mr. Davis stated the containers are on site at the landfill and they will get someone from the prison to build a containment wall. Commissioner Jones asked if Mr. Davis is still having conversations with Mr. Joe Crozier, Apalachee Regional Planning Council (ARPC), to make sure the county does whatever they need to do for the containers to be safe and efficient. Mr. Davis responded yes. Mr. Davis reported this morning they have a problem with animal control in Apalachicola. He explained there were dogs running early this morning killing cats. Commissioner Lockley stated people know the Animal Control Department works from 8:00 a.m. until 5:00 p.m. so they release the dogs after hours. He said his neighborhood is infested with dogs. Commissioner Lockley asked Mr. Davis to bring any suggestions for solving this problem back to the Board. Mr. Moron provided the following item from his report: 6. *Board action to approve a FRDAP grant application for Kendrick Park. The project will be to add a $100,000 splash pad and up to $10,000 in exercise stations along the walking trail. The request will be for $82,500 in grant funds from the State matched with $27,500 in local funds from the Parks and Recreation budget. The deadline for submitting the application is October 15 th . Commissioner Sanders stated there were exercise stations in the past but they are old so the $10,000 in exercise stations is good and so is the splash pad. She said the county may get a waiver on the match as the county is under a Critical Area of Economic Concern designation and has received a waiver in the past. Mr. Moron reported they will ask the Department of Health for assistance with the exercise stations. Commissioner Sanders said the Health Department helped with the exercise stations last time. Commissioner Sanders made a motion to approve the FRDAP grant application for Kendrick Park. Commissioner Massey seconded the motion. Chairman Parrish asked for public comment. There was no public comment. Motion carried; 50. Chairman Parrish stated he is receiving complaints about removing the recycling container in Apalachicola and also about the containers needing to be emptied more often. Mr. Davis agreed to address this item. Mr. Davis commented the ABC School is getting the overflow now that the dumpster has been removed. He stated the dumpster is being emptied at least twice a week. Mr. Davis said he had discussions with people who want them to bring the recycling and cardboard containers back. He explained at one time the container was at the Piggly Wiggly so it was more visible. Mr. Davis said he would like to talk with Mr. Steve Rash, Water Street Seafood, about placing one on his property. Pam Brownell – Emergency Management Director Mrs. Brownell presented her report, as follows: Action Items: 1. Request the Boards approval of Debris Removal and Disposal Services Contractor Selections by Committee and signing of their contracts. 1. Crowder Gulf 2. Bergeron 3. Ceres On motion by Commissioner Massey, seconded by Commissioner Lockley, and by unanimous vote of the Board present, it was agreed to approve Crowder Gulf as number 1, Bergeron as number 2 and Ceres as number 3 as the Debris Removal and Disposal Services contractors and authorize the Chairman to sign the contracts. 2. Request the Boards approval of Debris Monitoring Services Contractor Selections by Committee and signing of their contracts. 1. Tetra Tech 2. Debris Tech On motion by Commissioner Lockley, seconded by Commissioner Jones, and by unanimous vote of the Board present, it was agreed to approve Tetra Tech as number 1 and Debris Tech as number 2 as Debris Monitoring Services contractors and authorize the Chairman to sign the contracts. Information Items: 1. Franklin County EOC Staff continue to promote our Re-Entry Tag program and encourage all residents to apply for their Re-Entry Tag. 2. EOC Staff has scheduled appointments for several survivors to pick up donated items from the Carrabelle Donation Center. Survivors who have not received assistance from the donation center and have storage capabilities for their items are being scheduled first. 3. EOC staff continues to closely monitor the weather in the Atlantic and Gulf of Mexico. Erik Lovestrand – Extension Office Director Mr. Lovestrand said he does not have any action items. He mentioned a workshop will be conducted for people who have citrus trees. He reported the workshop will be held one week from today at the Armory and experts and scientists from the University of Florida (UF) Research Center and Department of Agriculture and Consumer Services will have representatives at the meeting. Mr. Lovestrand explained there is citrus greening in the county now and this workshop will provide more information about the disease. Commissioner Lockley said the fruit on his trees got smaller but he would like to know if it is still edible. Mr. Lovestrand replied citrus greening will cause the fruit to get smaller and it does not taste good but it is not harmful to eat. Mr. Lovestrand stated Commissioner Lockley's tree did test positive for the disease. Commissioner Lockley asked if they recommend cutting the tree down. Mr. Lovestrand answered yes, because the tree will not survive and it will provide an opportunity to spread the disease. Mr. Pierce questioned if the soil is contaminated if you have citrus greening and if they have to wait to plant other trees. Mr. Lovestrand said this question needs to be asked at the meeting. He reported the disease is progressive from the root to the leaves but he is not sure about the soil. Commissioner Sanders stated they need to make sure and remove the root also. She said her tree does not have citrus greening but she has seen it in town on other trees. Commissioner Lockley questioned if they should wait before planting other trees. Mr. Lovestrand said if a bug comes from another tree then it could infect a new tree. He stated it would be better to take out the trees and replace them as part of management to try and keep the disease from spreading rapidly. He said they are using this on large acreage down south where they are still trying to grow citrus. Commissioner Lockley asked if there is anything to kill the disease. Mr. Lovestrand said there is nothing to kill the disease now that is practical to apply on a large scale or for homeowners but they are working on finding a solution. Mr. Pierce stated he has heard a series of cold winters would help. Mr. Lovestrand said it got cold last year but it was not enough. Mr. Pierce pointed out the State of Florida is no longer the leading citrus producer. He stated most of the citrus is coming out of Argentina and South America and Florida is producing 60% less oranges now than they did in the 1960's. County Extension Activities September 18 – October 2, 2018 General Extension Activities: - Assisted clientele with oak tree issues, fungi questions, snake identification, suitable landscaping plants and more. - Attended two ACF Stakeholders Executive Committee and Apalachicola Caucus calls. - Participated in ACF Stakeholders Apalachicola Caucus and Riparian County Stakeholders meeting in Blountstown. Sea Grant Extension: - Participated in weekly conference calls to coordinate Sea turtle lighting project work on Dark Skies grant. - Attended annual statewide Sea Grant Extension meeting in Destin and presented information about our Franklin County sea turtle lighting retrofit work. - Conducted 3 rd session of Master Naturalist Coastal Restoration class in Franklin County. 4-H Youth Development: - Six 4-H Youth attended Southern Teen Leadership conference in Tennessee. - Staff participated in final Ag Adventures planning meeting for this year before event. - Attended District III 4-H Council meeting. - Planning beginning for this year's Teen Retreat. Family Consumer Sciences: - Family Nutrition Program (FNP) Assistant teaching scheduled programs in local schools. Agriculture/Horticulture: - Planning continues for a workshop in Apalachicola with the cold-hardy citrus group in N. Florida to provide information about growing citrus is N. Florida and issues with citrus greening. The workshop will take place at the Armory on October 9 at 5:30 pm. - Master Gardener program continuing at local library. Deborah Belcher – CDBG Administrator – Policy & Contract approval Mrs. Belcher is seeking Board approval for the rental housing rehabilitation/replacement program policy and the re-activation of her previous CDBG Housing grant administration contract to include the Eastpoint Fire supplemental allocation. FCBCC Regular Meeting 10/02/2018 Page 6 of 18 Mrs. Belcher reported at the next meeting she expects to have the agreement with the Department of Economic Opportunity (DEO) for the additional Community Development Block Grant (CDBG) funds for the Eastpoint fire. Mrs. Belcher stated she has a draft of a supplemental policy for the CDBG program to allow the Board to do rental housing assistance with CDBG funds. She explained this is only being presented because of the shortage of affordable rental houses in the county. She stated this does not guarantee anyone would receive the assistance but it will allow the Board the option of doing it. Mrs. Belcher said she wrote this policy so it could be used in other situations similar to this one but it is not intended to be used with regular CDBG funds because she knows the Board just wants that to be for homeowners. She reported this policy will allow the Board to repair or replace mobile homes when they have a disaster declaration and get supplemental funds for this type of project. Commissioner Lockley said the Board does not have this policy now and asked when the policy will start. Mrs. Belcher responded they would be able to use the policy for the upcoming money in Eastpoint. Commissioner Lockley inquired about the rest of the county. Mrs. Belcher explained this policy could be used in other places if they got disaster funding. She said it does not mandate that it has to be used but they do need to have a policy in place to do this kind of work. She explained this does require a mortgage similar to what they do with homeowners but homeowners have to continue ownership and occupancy for a period of time. She reported the time periods in this policy match up with what has already been adopted for homeowners but instead of home ownership and occupancy they are required to rent to income eligible tenants at a rate that does not exceed the published rate for rental housing. Commissioner Lockley said it sounds good and they voted to help the people in Eastpoint but there are also other people that need help. He questioned if there is something they can do to address both at the same time. Mrs. Belcher explained because these funds are always appropriated for a certain event then the funds can only be used in the Eastpoint fire zone. She said this policy was written so it could be used in other situations because the county needs a policy in effect when they are doing housing. Commissioner Lockley reported the county already had a waiting list of people that needed assistance and he understands the disaster took over and it should but is there anything they can do to work both projects at the same time. Mrs. Belcher replied for the CDBG program there is nothing the county can do right now. She stated she has plans to take care of the $50,000 county leverage for this project as she does not want to use the county's SHIP funds for the leverage. She reported the county could have applied for a $700,000 Small Cities Grant that could have been used somewhere else but they do not know if the county would have received the grant and then this money came through. She went on to say the county would have to give up the money to apply for other funding. Commissioner Lockley said they do not want to give up the money but they are being asked questions about the funds. Mr. Pierce reported the restrictions on the money for rental use are coming from the federal government and on the standard CDBG program this cannot be done. He stated the county is only getting this allowance for this certain emergency. He explained about 30 years ago the county received a onetime allocation and they used the money for reshelling. Chairman Parrish asked why they are addressing a rental housing rehabilitation and replacement policy at the same time they are trying to help the people in Eastpoint. He said he read through the policy and there are too many variables and he does not agree with some of the things in this policy. He stated he wants to get the funds from DEO to help the people in Eastpoint. Mrs. Belcher reported some of the units in Eastpoint are rental units so some of the justification is the money will be used for rental housing. She explained to do rental units in Eastpoint the county need a policy. She offered to change the wording but said she was trying to word the policy so they were not locked into doing rentals. Chairman Parrish questioned if all the rental property is in the fire location. Mrs. Belcher stated the policy is for wherever the declaration covers so in this case the money is only for Eastpoint so the policy only applies to the Eastpoint fire zone. She clarified the award the county is going to get is limited to the Eastpoint fire zone. Mrs. Belcher said she can rewrite the policy to say it is only for the Eastpoint fire zone. Chairman Parrish was concerned the current draft of the policy could be interpreted as anyone in Franklin County that has property can apply for a home and then rent it out. Mrs. Belcher read the section of the policy addressing this issue and said this is only for disaster grants. Commissioner Sanders said it needs to say it is for the Eastpoint fire. Mrs. Belcher explained she wrote the policy so they could use if another event happens but it does not have to be done that way. Commissioner Lockley said they are talking about rentals and he would like to know who will get the trailers. Mrs. Belcher stated the owner of the land usually will get the trailer but it may allow someone that owned a mobile home and had it on someone else's land to get a mobile home. She reported she will bring these situations on a case by case basis to the Board to see if they want to consider these people as homeowners. She offered to write the policy so it is only for the Eastpoint fire if that is what the Board wants. Chairman Parrish stated the policy references building houses but he only knows of one house that was destroyed. Mrs. Belcher reported they are going to do mobile homes in Eastpoint. Chairman Parrish said people are going to assume they can build a home if they read this policy. He reported building houses will set the people up for failure because they must pay taxes and maintain insurance. Chairman Parrish stated the county needs a smaller policy to address the Eastpoint area. Mrs. Belcher said the policy can be whatever the Board wants it to be and can state they are only providing mobile homes. She reported there are only a few rentals and she has not talked with the owners because there was no policy. Chairman Parrish stated the policy needs to be condensed and address the specific area. Commissioner Sanders reported homeowners in Eastpoint should take priority over rental assistance. Mrs. Belcher agreed it says that in the policy. Chairman Parrish said the decisions about the units do not need to come back to the Board but be decided by Mrs. Belcher as the administrator of the grant. Commissioner Lockley agreed because he wants to help the people affected by the fire. Commissioner Massey said it needs to be done this way because a lot of people do not understand what is going on now. He stated he read the policy and it is confusing about who will receive a trailer. Commissioner Jones reported he is very thankful they are having this discussion because it means they are getting closer to getting money to help the residents. He agreed with the Commissioners and said he came in office at the end of the last CDBG and he remembers the Board did not like the way it was done. He said he is grateful they are discussing this item because he thinks there needs to be a way so rentals are not at the end of the process just because they are rentals. Mr. Moron clarified the actual ownership of the mobile home goes to the landlord and the renter has to be income qualified. Mrs. Belcher answered yes, because no CDBG funds can go to properties that are not occupied by people who are low to moderate income people. Mrs. Belcher explained if the tenant is still there and is income eligible then they get something like a first right of refusal. Mrs. Belcher reported there are other funds like the Go Fund Me accounts that do not have these restrictions. She stated if CDBG funds are used then the individuals must be income eligible and that is a federal requirement. Commissioner Jones asked if the property owner that rents the trailer has to be economically qualified to get the trailer. Mrs. Belcher answered no, because it is tied to the occupancy of the mobile home and rent control. Commissioner Jones asked why the renter has to be economically qualified if the owner of the property that rents does not. Mrs. Belcher explained the owner is going to be limited to charging a certain rent level and keeping it rented to an income eligible person. She said the owner gets the benefit in terms of an asset but there is also a mortgage attached and they must rent to income eligible individuals and set an approved rental rate and document it each year. She reported failure to document this item is considered a default. Chairman Parrish stated someone has to document that property has been rented to income eligible individuals. Mrs. Belcher said she will do it for the next three years until she retires. Commissioner Massey asked if a person who is purchasing the property and had a trailer on the property at the time will qualify. Mrs. Belcher answered yes, unless the Board says no in the policy. She explained this would be considered an owner occupied home. Commissioner Lockley asked what will happen if someone gets a trailer and then gets paid a settlement. Mrs. Belcher did not know. She discussed duplication of benefits and provided some examples. Commissioner Jones asked to meet with Mrs. Belcher in the next two weeks because he has some questions. He explained he still does not understand how the renter has to qualify but the person who owns the property and rents the mobile home does not have to qualify. Mr. Moron asked if there is a list of people who were displaced that may not qualify. Mrs. Belcher stated there may be 2-3. Mr. Moron questioned if there are people that were renting that do not qualify. Mrs. Belcher stated she knows of one but does not know everyone's situation. Mr. Moron explained they need to find out how many people will not qualify under the CDBG program. He reported in speaking with the attorney that is why they have the donation money for people who do not qualify. Chairman Parrish suggested they have a workshop in the evening and go through these items so everyone understands. Attorney Shuler questioned the timing of the workshop and said Mrs. Belcher had mentioned having the CDBG Agreement at the next Board meeting. He questioned if the policy needs to be in place before the Board acts on the CDBG Agreement. Mrs. Belcher answered no, but DEO wanted all the things they need to be in place. Chairman Parrish reported they need a rental policy for that specific area. Commissioner Lockley asked if this is basically a HUD rental agreement. Mrs. Belcher answered yes, in some ways. Chairman Parrish asked if there is anything they need to do today. Mrs. Belcher said there is nothing mandatory today. Mrs. Belcher explained they are trying to put the items in place so when the money comes in they can get moving. Chairman Parrish questioned if they should hold a workshop. Commissioner Lockley agreed they need to have a workshop so they can answer questions when people ask them. Chairman Parrish suggested Mrs. Belcher work on the policy and present it at the workshop. Mr. Moron stated they can conduct a workshop on October 16 th at 1:30 p.m. and then a special meeting if action is needed. Attorney Shuler reported that would work but it is not necessary to have this policy in place before the Board acts on the grant agreement. Mrs. Belcher stated DEO will have to approve the policy. The Board discussed the dates for a workshop or whether to address this item at the meeting on November 5 th . Commissioner Jones asked if the Board can move the meeting on November 6 th to November 5 th since November 6 th is Election Day. Mr. Moron said he would need to check and see if court is being held that day. Mrs. Belcher stated they will use the existing policy for homeowners in the Eastpoint fire knowing that the money is only available for Eastpoint. Chairman Parrish asked Mrs. Belcher to find out how many rentals they have in Eastpoint. Commissioner Sanders agreed this is important because some people will not qualify for the CDBG funds and they will have to use the Limerock fire funds to help them. Mrs. Belcher said she does not think there are a lot of renters who were not income eligible. On motion by Commissioner Sanders, seconded by Commissioner Massey and by unanimous vote of the Board present, it was agreed to conduct a workshop on October 16, 2018 at 1:30 p.m. Marcia M. Johnson – Clerk of Courts – Report Clerk Johnson did not have a report. Alan Pierce – RESTORE Coordinator – Report Mr. Pierce said the Courtroom is available on November 5 th but the Board meeting on Election Day is usually very short. He stated Commissioner Jones was probably concerned because he is on the Canvassing Board and they meet at 3:00 p.m. on Monday, November 5 th and Tuesday, November 6 th but he assured the Board the meeting on November 6 th will be very short. Mr. Pierce presented his report, as follows: 1- Consortium update. Inform the Board that I had a lengthy phone call with Mr. Craig Diamond, Balmoral Group, consultants to the Consortium. By the time of this meeting, the State Expenditure Plan (SEP), might have been approved by the RESTORE Council. (The SEP was approved on Sept. 27, 2018. See attached letter.) The RESTORE Council is the aggregation of the five states affected by the BP oil spill, and 6 federal agencies responsible for the federal recovery of the Gulf of Mexico. The RESTORE Council has the final approval of the SEP. The RESTORE Council will also be the authorizing entity for any funds that come to projects in the SEP. As projects are developed, the Consortium will be making requests for reimbursement to the RESTORE Council as it is ultimately the RESTORE Council that will release funds. And just to remind the Board, while the RESTORE Council has control over some $300M in funds, the individual counties will only get their share of the principal, which in the case of all counties in Florida is some $11M. All interest generated by unspent funds stays with the US Treasury. No additional funds are going to the Consortium or the counties. Mr. Diamond called to discuss how much support Franklin County will need in implementing its SEP projects, as the Consortium is the connection between the RESTORE Council and every county getting its money. The Consortium is not going away until all of the SEP funds are spent. I told Mr. Diamond that the county does not need a lot of help with the administration of our projects, but I told him that some of our timelines might change, and so part of our discussion was the process for amending projects in the SEP. If Franklin County needs assistance in developing or managing its projects then the Consortium will be the entity to assist, but in our case it appears we will not need assistance. Our projects include a new EOC, but the county will be able to design, bid out, and build a new EOC using contractors of our choosing, so long as we go through a bid process. The Consortium would review and ultimately recommend approval of our requests for reimbursement, and then forward them on to the Council for payment. When it comes to the dredging the Eastpoint Channel and the Two Mile Channel, I told Mr. Diamond that at this time the USACOE would be the managing consultant. He said that was fine, but that if any SEP funds were used in the project then the Consortium would still have to review the reimbursement requests, recommend approval, and then forward them on to the RESTORE Council for ultimate payment. Regarding the oyster recovery project, I said that we are waiting for plans and ideas to be clarified by both the state and local interests so it is impossible to say what role, if any, the Consortium would have. We concluded the phone call about the process for modifying our projects in the SEP. He said that they are working on the process so it is a little uncertain right now, but he said all counties have already said an amendment process will be needed. I explained that if, for example, the USACOE informed the county that they were ready to start dredging the Eastpoint Channel in 2019, but their budget was $1M short for construction, the county might delay the construction of the EOC because we wanted to use that $1M to keep the Eastpoint Channel moving forward. He said that kind of moving projects around should be no problem. Mr. Pierce stated the SEP was approved by the State. He reminded the Board they will have a member on the Consortium for the next 15 years. Chairman Parrish asked if the county has to spend this money and then request reimbursement. Mr. Pierce answered yes. Chairman Parrish questioned how small counties handle this when they do not have the money to spend first and then ask for reimbursement. Commissioner Sanders reported the larger counties that have projects ready are hoping for this. Chairman Parrish inquired how long it will take for the county to receive the reimbursement. Mr. Pierce stated all of the money would not be needed at one time and they have said the Consortium has received money from the council as fast as 48 hours. Chairman Parrish said the county cannot wait for three years for reimbursement like they have to do with FEMA. Commissioner Sanders reported they have been saying it will be April or May until they see anything from the Consortium pot of money. She expressed concern that the larger counties have more staff and are ready to get started and some counties are not ready and are worried they will be passed over. Commissioner Sanders stated the November 29 th Consortium meeting is very important and when the county does their reorganization at the second meeting in November, the representative must be ready and be there because this is a critical time. She offered to help get this person ready for the meeting. Commissioner Sanders reported the representative cannot miss any meetings. Mr. Pierce pointed out there are 23 counties in the Consortium and 8 are in this area and 16 are further down the state. Commissioner Sanders explained out of the 8 original counties 5 have representatives that are changing so they need to be informed so they know what they are voting on. 2- Eastpoint Dredging update. Inform the Board that last week I spoke with Mr. Waylon Register, USACOE Panama City, and he says the Corps has received $2M in the upcoming year to dredge the Eastpoint Channel. For reasons I will explain below he believes the costs will be somewhat higher which is why I think it is going to be necessary for the Board to consider moving the Eastpoint Channel ahead of the new EOC in the SEP. This is the current status of the Eastpoint Channel project. The USACOE has a permit to dredge the channel and dispose of materials on the water side of the breakwater. The Corps has designed the disposal area to be surrounded by geo tubes to hold in the spoil, and then plant the area as if it is a marsh environment. The problem has come out that the geo tubes the Corps have used in other projects have "underperformed" to use Mr. Register's term, and have created maintenance liability problems for the Corps and the local sponsor, being the county. The Corps is re-evaluating the construction of the berms. Mr. Register said the Corps has issued a task order to a consulting firm –Anchor QEA to help design a better solution. Mr. Register said that if the proposed construction costs of the redesigned disposal area are higher, the Corps would then have to reduce the extent of the dredging because they have no additional funds. I said the county would not want that to happen- we want the full extent of the channel dredged, and so I told him that it might be possible for the county to provide some additional funds to keep the project on track and at the size it was originally designed. He appreciated that and said he would keep that in mind. He said they were hoping to have the results of the analysis of the new disposal design done by the end of this year, and if everything is favorable he hopes the project will start in summer of 2019. So, as we hear more from Mr. Register, the Board may want to consider which project it wants to do first- dredging the Eastpoint Channel, or building a new EOC, and make the appropriate project the first to be funded in the SEP, because it is likely that the first round of SEP funds will also be available in spring/summer of 2019. Mr. Pierce said the Board may need to consider whether the Eastpoint Channel Project should be the first project or the new EOC. He reported as Commissioner Sanders stated the first round of funds will be available in the spring. He explained hopefully in December they will receive an undated report from the COE and the Board may need to modify the SEP. He stated each county will get $11.2 million but the Consortium will also receive their money over 15 years. He went on to say between the first and second year every county should receive a little over $1 million. He said the estimate to build the new EOC was $1 million but he thinks that is a low estimate so they may want to do the channel with this money. He suggested the Board consider doing the Eastpoint Channel and then the Two Mile Channel and make the money available because there is more public interest in these projects. He pointed out the Board will know more in December. 3- Board action to authorize AVCON to go out to bid on the construction of the first two phases of the airport access road. The access road will provide access to the T-hangers and fuel farm for vehicles which will keep vehicles off the ramp and away from airplanes. The road is proposed to be built in phases, which is okay with FDOT because of the possibility of cost over-runs, as many construction projects are coming in well over budget according to AVCON, and because there is an issue with a wetland encroachment on one section of the road. In the Board packet is a series of drawings showing the access road and which two segments are recommended for being bid out now, and which will be bid out later. The bid packet will also include the prepping of the first phase of the industrial park so that it will be more appealing to possible tenants. With Board approval, the project would be bid out before the end of 2018, with construction starting in early 2019. All costs are paid by the FDOT grant. Board action. Mr. Pierce said he was not able to provide this information electronically. He presented a map and explained the road runs on the backside of the T-hangars and connects to the road that leads to the old work camp. He reported this will provide access so the cars will not be driving on the taxiway. He recommended the Board move forward but said there is a little bit of an encroachment issue. Commissioner Lockley made a motion to move forward. Commissioner Sanders seconded the motion. Commissioner Lockley asked how long it will take to resolve the wetland issues. Mr. Moron said those issues are in phase 2 (the middle section) and that is why they are not rushing to complete that section and doing the two ends first. Chairman Parrish asked if the issues will be worked out by the time they do phase 1 and 3. Mr. Pierce answered yes. Commissioner Lockley said they need to make sure they can work this out before completing phase 1 and 3. Mr. Pierce stated they believe this will work out but even in the event it did not they would still have access to everything to keep the people off the tarmac and develop the industrial park. Motion carried; 5-0. 4- Acquisition of additional lots on Alligator Point- Mr. Miles Anderson, the senior mitigation official with DEM, called last week to say the state is interested in purchasing more lots on Alligator Point in a mitigation effort to reduce the risk of damage to houses in future storms. The lots would become county property. I have spoken to Commissioner Sanders and we both agree that the first priority should be the acquisition of the fire station so that Tom Roberts Road can be extended, and then acquisitions around the section of the road that is currently under repair. Mr. Anderson said acquisitions are on a voluntary basis, the state does not engage in condemnation, so two things have to happen- the seller has to want to sell their property, and then the price has to be one the state will accept. Mr. Anderson understands the county's priorities but he has one very willing seller that he wants to close on first, and then he and I will look at a map of the Point and agree on a strategy for acquisition. On the first acquisition no county tax dollars will go to the seller as the first acquisition would be the last lot that Capital City owns on the Point, and the lot is part of the parcel of land the county has already purchased from Capital City. Board action. Mr. Pierce asked for Board action to begin this process. Commissioner Sanders made a motion to approve this request. Commissioner Jones seconded the motion. Commissioner Sanders said this is going to be the final lot for Capital City and she is glad it was done with grants because they have been a problem for the county for a number of years. She stated the fire house is part of the Summer Camp plan they did years ago. She explained when the first land was purchased at Summer Camp then the St. Joe Company donated land for the fire department to have a fire station on Highway 98 for the St. Teresa/Alligator Point area. Commissioner Sanders reported if they are willing to sell the current property then they may be able to build what they want. She asked Mr. Pierce to assist Mr. Anderson because this would be a good thing and would help the people in this area. Commissioner Sanders stated My Blue Heaven was the first acquisition by the state. Mr. Pierce pointed out that home was on the south side of the road. Commissioner Sanders reported there is no south side of the road anymore. She said she is glad the state is looking at acquisitions because this area is becoming a barrier island. Attorney Shuler inquired how this is being structured and if the state is buying the land and deeding it to the county or giving the county the money to buy the property. Mr. Pierce was not sure but thought the county would be the grant applicant like last time. He reported the State of Florida cannot own the property. Motion carried; 5-0. 5- Board action to confirm the county will provide $14,000 worth of in-kind services to Bald Point State Park, which would be consistent with the terms of the easement granted in 2013. Attached is an email that I drafted as a result of a comprehensive teleconference I had on Friday morning, Sept. 21. The other steps in the email that I said the county would take are items that have either already been done, requirements of work on state lands, or recommendations by the Park Service that I thought were reasonable. Mr. Pierce stated he has confirmation that his email meets all the requirements. He asked if the Board needs to take action as it was in the easement granted in 2013. Attorney Shuler did not feel like it was necessary since it is in the agreement. The meeting recessed at 10:25 a.m. The meeting reconvened at 10:10:35 a.m. Michael Morón – County Coordinator – Report Mr. Moron presented his report, as follows: 1. At your last meeting the Board directed me to find out if a referendum proposing a ballot question asking the voters if they would like a new County Courthouse built in the Eastpoint area could be placed on the November 2018 ballot. I inquired with the Supervisor of Elections and was informed that it was too late as the ballots were already ordered and would be delivered before September 22 nd . Mrs. Riley stated that this ballot question could be placed on the next County wide election in 2020 or the Board could request and pay for a special election. 2. The Florida Department of Economic Opportunity (DEO) and the Federal Workforce Innovation and Opportunity Act require local workforce development areas to partner/work with specific entities within the community and to outline their commitments through the execution of a memorandum of understanding and Infrastructure Funding Agreement (MOU/IFA) between partners. It is also required that each MOU/IFA is approved by the chief elected official in each county where CareerSource Gulf Coast (CSGS) serves. Mrs. Kim Bodine attended your July 17 th regular meeting and presented MOU/IFA for the Division of Blind Services, which was approved by the Board, but stated that the same agreement for Vocational Rehabilitation would be presented at a later date. That MOU/IFA is completed and ready for your approval. Board action to approve the Florida Department of Education Division of Vocational Rehabilitation MOU/IFA. On motion by Commissioner Lockley, seconded by Commissioner Massey, and by unanimous vote of the Board present, it was agreed to approve the Florida Department of Education Division of Vocational Rehabilitation MOU/IFA. 3. Inform the Board that you have been invited to the Annual Meeting and Luncheon of CareerSource Gulf Coast (CSGC) on Wednesday October 17, 2018 at 11:30 a.m. (Central Time). This event will be held on the Gulf Coast State College campus in Panama City. I have been told by CSGC staff that there will be three Franklin County success stories presented at this event. If you are planning to attend let me know before Friday, October 5 th . 4. Attached to my report is a draft copy of a Request for Qualifications (RFQ) for new County Engineering services. What is different with this RFQ is that a contract is included as part of the advertisement, which is a practice of other counties and FDOT on certain projects. I would like the Board to review this draft and forward any proposed changes or comments to me. Then, I will ask Attorney Shuler to incorporate your changes into the final draft. That final draft of the RFQ will be advertised. Commissioner Lockley made a motion to stick with what the county has. The motion failed for lack of a second. 5. At your September 18 th meeting the Board agreed to re-advertise the Professional Executive Administration Services TDC contract. In order to expedite the process, is the Board willing to schedule a special meeting on Tuesday, October 30 th at 9 am for the purpose of interviewing the applicants for this contract? Board action. Chairman Parrish asked how long this will take. Mr. Moron said they will interview up to 5 applicants so about 15-30 minutes per candidate. Chairman Parrish said he cannot attend that day and would like to have a full Board when they conduct the interviews. Commissioner Sanders stated the TDC Board will be looking at the applications on October 24 th . Mr. Moron asked if the Board wanted to address this item on the 29 th . Commissioner Sanders made a motion to change the meeting date to October 29 th at 9:00 a.m. Commissioner Jones seconded the motion. Attorney Shuler reported the advertisement has already gone to the newspaper but does not have the dates the TDC will review the proposals or the Board will conduct the interviews but these items are included in the RFQ so he will be issuing a first addendum to the RFQ to reflect the interviews will occur on October 29 th instead of October 30 th . Commissioner Lockley asked when the deadline is for applications. Attorney Shuler was not sure. Commissioner Sanders said she believes it is October 15 th and then they will be opened on the 16 th and then it will go to the TDC and then to this Board. Motion carried; 5-0. 6. This item was addressed earlier in the meeting. 7. Board action to authorize the Chairman's signature on the contract with Morgan Marine, the low bidder, for the removal of the derelict vessel in the Eastpoint Channel. This contract is the same as the previous one with the exception of new dates, contract numbers, and dollar amounts. Mr. Moron explained this item was added after Friday so the Board will need to take public comment. Commissioner Massey made a motion to approve. Commissioner Jones seconded the motion. Chairman Parrish asked for public comment. There was no public comment. Motion carried; 5-0. 8. Inform the Board that I met with Mrs. Lisa Bretz of Area Agency on Aging on Wednesday, September 26 th to discuss the County's Senior Services. At a previous meeting, Mrs. Bretz expressed some concerns with Liberty County continuing as our Lead Agency which provides home services to seniors, but recent changes to Liberty County Senior Center administration will allow the continuation of services. Mrs. Bretz and I discussed some ideas, some of which were suggested by Commissioner Jones, regarding Elder Care Community Council's (ECCC) increased role in senior services and activities in the County. Mrs. Bretz thinks that there is an opportunity for ECCC to provide additional services and activities in the County. The more local agencies that provide senior services in the County, the more the entire community benefits. Chairman Parrish asked if ECCC is a local organization. Mr. Moron answered yes, and said the ECCC have met with him and Commissioner Jones on numerous occasions. He said ECCC is eager to move forward with some of their programs too. 9. On Thursday September 27 th the Weems Board of Directors approved the final draft of the budget. Since this is the first functional budget that has been presented to the Weems Board of Directors in a very long time, if at all, Mr. HD Cannington and Mr. Jordan Fulkerson would like to meet with each of you individually to review and discuss the budget. Pending any schedule conflicts, I would like to arrange these meetings this Wednesday and/or Thursday. Board discussion. Mr. Moron stated Mr. Cannington would like to go to Carrabelle to meet with Commissioner Sanders and Commissioner Massey and explain the budget and then meet with the other Commissioners. He reported Weems East will be having an open house on November 9 th and he encouraged everyone to attend. 10. Inform the Board that the County will be installing bear resistant kits in Carrabelle on Saturday October 13 th from 8:30 am to 12:00 noon. Commissioner Massey was able to reserve the Carrabelle Fire Station pavilion for this event. He will join Mrs. Whitney Barfield and the Solid Waste/Parks and Recreation staff to assist residents with the installation of the bear resistant kits. He informed the Board they have done this in Eastpoint and now they are doing it in Carrabelle. 11. Florida Association of Counties has sent the notification of qualifying period for special election of 2 nd Vice President. There will be a special election held in November during the Legislative Conference to fill an unexpired term of that office. I attached FAC's email to my report. Commissioner Sanders reported as of last Friday the only name submitted was Mr. Ralph Thomas of Wakulla County so unless another name is submitted he may be the one chosen and she is glad. 12. **Inform the Board that staff has received the 2017-2018 Florida Forest Service Annual County Commission report. A copy of this report is attached to my report. Mr. Moron reported he read about Commissioner Sanders' Lifetime Member Award in the Small County Commission updates and congratulated her on this award. Commissioner Sanders reported at the last meeting the Florida Association of Counties and the Florida Counties Foundation also recognized her for her years of service from 2001-2018. Commissioner Lockley reported this is the first time he remembers getting a budget from the hospital. Commissioner Sanders said it is the first time she remembers getting one too. She stated she asked a former CEO if they had a 3 year plan or a 5 year plan and he answered yes but they were not meeting it. She said it is good to see a budget and have a budget. Michael Shuler – County Attorney – Report Attorney Shuler Attorney Shuler offered his report for the Board, as follows: 1. Public Comment Policy Presently, the public comment policy requires the board to first amend the agenda by motion if it desires take up for discussion and possibly take action on a matter brought up during public comment. There was some discussion last meeting by county commissioners concerning the need for the agenda to be amended by motion before discussion, and possibly taking action, on a matter brought up by a county commissioner which was not on the published agenda. At present, the interpretation of the public comment policy has been to require that the agenda first be amended by motion before taking up discussion, and possibly taking action on, the non-agenda item. A benefit of the current policy is that the board has an opportunity to first decide whether it does or does not want to take up a matter which is not on the published agenda so that you have time for consideration of the matter prior to the next board meeting. However, all that the law requires is that the board take public comment prior to board action. Therefore, if the board wanted to retain the requirement of amending the agenda before taking up a matter under public comment, but not requiring this for matters brought up by commissioners, I think that you can do so. However, in either event, you must call for public comment before taking action on the new matter added to the agenda. BOARD ACTION: Board discussion and possible action to amend the public comment policy. Chairman Parrish said he does not have a problem with this change. Commissioner Jones made a motion to amend the policy. Commissioner Sanders seconded the motion. Motion carried; 5-0. Attorney Shuler said his understanding is other than this change the policy remains unchanged. Mr. Pierce reminded the Board at the next Board meeting they will receive a change order for the contractor that is working on Gulf Shore Blvd. to fix two other items which are Alligator Drive and Chip Morrison. Mr. Pierce said the money has already been received from FEMA and these are considered small projects so they will get the contractor to complete the work while he is on site. He explained the change order will be labeled Gulf Shore Blvd. but will actually be for these two items. Commissioners' Comments Chairman Parrish reported a constituent of his said when the fills were constructed they had swales to protect water from running off the road and into the bay and this is the area where the cables were placed. He stated this person wanted the Board to write a letter to DOT and ask them to make sure the swales are maintained. He explained this is a stormwater quality issue for the bay. He stated some of the swales may have been leveled when they put in the cables. Commissioner Sanders made a motion to direct staff to write a letter to DOT to make sure the stormwater swales are maintained. Commissioner Massey seconded the motion. Mr. Pierce reported there is another problem because after the cables were put in they had a contractor sod the area and now the sides of the road are higher and water will be trapped on the road. Chairman Parrish asked for public comment. There was no public comment. Commissioner Lockley stated both issues need to be addressed in the letter before someone is hurt on the road. Motion carried; 5-0. Commissioner Jones said he and Commissioner Sanders just spent the last week at the Florida Association of Counties (FAC) conference. He explained they attended a Consortium meeting and the only project the Chairman mentioned was in Franklin County. He said it was very positive for the county. Mr. Pierce asked which project was mentioned. Commissioner Jones responded the EOC. Adjourn FCBCC Regular Meeting 10/02/2018 Page 18 of 18 There being no further business to come before the Board, the meeting was adjourned at 10:55 a.m. Joseph A. Parrish - Chairman Attest: _ Marcia M. Johnson - Clerk of Courts
IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -x In re: EXIDE TECHNOLOGIES, Debtor. 1: : Chapter 11: : Case No. 13-11482 (KJC) : : : Related Docket No. 962 - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -x DEBTOR'S OBJECTION TO MOTION OF THE WATTLES COMPANY FOR RELIEF FROM THE AUTOMATIC STAY Exide Technologies ("Exide" or the "Debtor") hereby objects (the "Objection") to the motion (Docket No. 962) (the "Motion") of The Wattles Company (the "Movant"), for an order for relief from the automatic stay pursuant to section 362 (d) of 11 U.S.C. §§ 101-1532 (as amended, "Bankruptcy Code") to: (i) adjudicate its purported breach of contract and related state law claims; (ii) collect any judgment or settlement against any available insurance proceeds; and (iii) conduct expedited discovery regarding the Debtor's insurance policies in advance of any evidentiary hearing on the Motion. In support of the Objection, the Debtor respectfully represents as follows: PRELIMINARY STATEMENT 1. Movant seeks permission to prosecute a prepetition state court action involving leased real property that the Debtor vacated in part in September 2009, when the lease related thereto had terminated, and vacated entirely in 2012, when the lease on the remainder of 1 The last four digits of the Debtor's taxpayer identification number are 2730. The Debtor's corporate headquarters are located at 13000 Deerfield Parkway, Building 200, Milton, Georgia 30004. the property terminated by its own terms. 2 Movant wishes to pursue the Action and collect any potential judgment from available insurance proceeds. The Motion also requests expedited discovery in advance of a final evidentiary hearing on the Motion so that Movant can review any of the Debtor's insurance policies that potentially might apply to its claims. 2. Movant's requested relief should be denied. Movant's claims are prepetition claims for alleged damages arising under a real property lease that expired over a year ago. Movant fails to demonstrate why its unsecured prepetition claims should be adjudicated now ahead of all other unsecured claims. 3 3. Moreover, the Debtor has worked diligently with its insurance broker to cooperate with the Movant's information requests, while working toward a consensual resolution of the Motion. To date, the Debtor already has provided Movant with relevant information regarding potentially applicable insurance policies, in particular providing the Movant with the PARLL policy (as defined below) and two of the Debtors' general liability policies. However, most, if not all, policies that might potentially provide coverage are subject to high deductibles or self-insured retentions ("SIRs") that would have to be satisfied by the Debtor before any proceeds would be available. Thus, unless Movant is willing to completely waive any claims against the Debtor up to the applicable deductibles and SIRs, the estate would be forced to divert resources to defend against the allowance of an unsecured claim in the state court up to the de- 2 The original lease expired by its own terms in September 2009. In or around September 2009, Exide and the Movant entered into an amendment, which reduced the leased portion of the property. The amended lease expired in September 2012. 3 On October 24, 2013, the Debtors filed procedures for the efficient and economic adjudication of prepetition litigation claims, and the Debtor is hopeful a process will soon be in place for the resolution, in due course, of Movant's claims and those of other similarly situated unsecured claimants. The Debtor is continuing to work collaboratively with its key constituencies to fine tune these procedures and has adjourned the hearing on these procedures to the January 22, 2013 omnibus hearing. ductible or SIR amount. However, to date, Movant has not agreed to waive any claims against the Debtor. Additionally, aside from the deductible and SIR issue, given that the Debtor's PARLL Policy (defined below) has aggregate limitations, allowing the Action to proceed now could deplete any potentially available proceeds to the detriment of other claimants. 4. Moreover, the Debtor has cooperated reasonably with the Movant to try to resolve Movant's information requests and the Debtor will continue to work with Movant to reach a consensual resolution regarding the Motion and Movant's information requests prior to the scheduled hearing on the Motion. However, the Movant has made onerous demands for documents dating back to 1981, and for policies, such as excess policies, that may not be relevant unless Movant can establish initial coverage. Given that the Debtor has already provided the Movant with relevant information regarding potential insurance coverage, Movant's request for additional expedited discovery, which would be nothing more than an end run around the automatic stay, should be denied. BACKGROUND A. The Pierce County Action. 5. Movant seeks relief from the automatic stay to prosecute its prepetition action against Exide, which is currently pending in the Superior Court of the State of Washington, Pierce County (the "State Court"), styled The Wattles Co. v. Exide Technologies, Inc., Case No. 13-2-07695-6 (the "Action"). 6. The Action involves property, leased by Movant to the Debtor (the "Leased Property") pursuant to a prepetition lease, which the Debtor used for the marketing, processing, distribution, and storage of lead-acid batteries, battery products, and related activities. The Action alleges that Exide released hazardous waste and other harmful chemicals on the vacated premises (the "Vacated Premises") of the Leased Property, thereby allegedly causing extensive contamination and structural damage to the Vacated Premises, and creating potential health risks. The Action seeks damages for alleged causes of action, including breach of contract, violation of the Washington Model Toxics Control Act, RCW 70.105D.010, et seq., declaratory judgment, trespass, nuisance, breach of the duty of good faith, negligence, property damage, and strict liability for alleged abnormally dangerous activity in an amount exceeding $3.4 million. 7. The Debtor vacated the Vacated Premises in September 2009, and the Debtor's lease with respect to the Vacated Premises terminated on September 30, 2009. Exide vacated the remainder of the Leased Property in 2012, and its lease with Movant terminated by its own terms in September 2012. 4 8. The complaint was filed on March 28, 2013 (the "Complaint"). As of the Petition Date, the Action was in its incipient stages – the Debtor filed its answer and affirmative defenses to the Complaint on May 15, 2013; however, no discovery in connection with the Action had yet begun, and the Action was stayed by the filing of the Chapter 11 case on June 10, 2013. B. The Debtor's Applicable Insurance Policy. 9. The Debtor tendered defense of the Action to XL Group (the "Insurer") under its Pollution and Remediation Liability Policy (the "PARLL Policy"). To date, the Debtor has not received a coverage opinion from the Insurer regarding the Action. The PARLL Policy has an SIR of $500,000 per occurrence, and the PARLL Policy requires the Debtor to pay any 4 Exide leased the Leased Property pursuant to a lease that expired by its own terms in September 2009. In or around September 2009, Exide and the Movant entered into an amendment of that lease, which reduced the leased portion of the property. The amended lease covering the reduced portion of the Leased Property expired in September 2012. losses and expenses, including any defense costs, up to the amount of the SIR. The Policy is limited to $4 million dollars per occurrence, and $8 million in the aggregate. 5 OBJECTION I. Objection to Relief from Stay A. Legal Standard 10. The automatic stay operates as a stay against: "the commencement or continuation, including the issuance or employment of process, of a judicial, administrative, or other action or proceeding against the debtor that was or could have been commenced before the commencement of the case under this title." 11 U.S.C. § 362(a)(1). Section 362(d)(1) of the Bankruptcy Code requires that a party seeking to lift the automatic stay show "cause" for such relief. The Movant has the burden of showing that "cause" exists to grant relief from the automatic stay. See In re Tribune Co., 418 B.R. 116, 127 (Bankr. D. Del. 2009). 11. When determining whether the stay should be lifted, this Court generally looks at three factors: (1) the likely harm or prejudice to the debtor and the estate that will result if the stay is modified to permit litigation against the debtor in another court, (2) whether maintaining the stay will result in hardship to the movant that "considerably outweighs" the hardship to the debtor if the stay is modified, and (3) whether the movant is likely to succeed on the merits if the stay is lifted. See In re Spansion, Inc., 418 B.R. 84, 97 (Bankr. D. Del. 2009), vacated on other grounds sub nom. Samsung Elecs. Co. v. Ad Hoc Consortium of Floating Rate Noteholders, No. 09-0835 et al., 2010 WL 2636115 (D. Del. June 29, 2010). 5 The Debtor also carries general liability insurance (the "CGL Policy") with Zurich American Insurance Company ("Zurich"), which policies are subject to an SIR in the amount of $1 million per occurrence. Out of an abundance of caution, the Debtor has also tendered defense of the Action to Zurich. The Debtor has not yet received a coverage opinion from Zurich regarding the Action. The Debtor reserves all rights under its applicable policies with Zurich. 12. Absent exigent circumstances, relief from the automatic stay to allow particular creditors to liquidate their prepetition general unsecured claims is premature in the early stages of a chapter 11 case. See, e.g., In re Plastech Engineered Prods., Inc., 382 B.R. 90, 108 (Bankr. E.D. Mich. 2008). Movant's claims are prepetition claims, see, e.g., In re Teleglobe Commc'ns Corp., 304 B.R. 79, 83-84 (D. Del. 2001) (prepetition breach of contract gives rise to prepetition claims); In re Hayes Lemmerz Int'l, Inc., 340 B.R. 461, 473 (Bankr. D. Del. 2006) (prepetition damage to property gives rise to prepetition claims), and Movant points to no exigent circumstances that justify putting Movant's claims before others'. Because the Action had barely proceeded beyond the filing of the Complaint, there is nothing to be lost by requiring the Action to remain stayed. For these and the additional reasons set forth below, modification of the automatic stay is not warranted here. B. Movant Has Not Carried Its Burden To Show Cause for Relief From the Automatic Stay. (a) Permitting the Action To Proceed Would Prejudice the Debtor and Its Estate. 13. The Debtor would be prejudiced if the Action were allowed to proceed at this time. At this juncture in the Chapter 11 case, the Bar Date passed on October 31, 2013, and the Debtor has just begun its assessment of the universe and scope of the claims that have been filed against the Debtor's estate – including the universe of litigation claims. 6 14. Moreover, on October 24, 2013 the Debtor filed its motion to implement procedures related to the reconciliation and adjudication of certain prepetition litigation claims 6 Additionally, the Debtor is currently working diligently to develop its comprehensive business plan, which is to be delivered to constituents no later than March 10, 2014 pursuant to the terms of the DIP financing facility. Not until the business plan is fully vetted will the Debtor be in a position to assess potential value available for distribution on account of prepetition unsecured claims such as Movant's. (the "Litigation Claims Procedures"), which the Debtor believes provide for prompt, comprehensive and efficient mechanisms for the liquidation of those claims. Movant is just one of many parties with a litigation claim pending against the Debtor in another forum, and to which the Litigation Claims Procedures will apply. There is no compelling reason to allow Movant to be put ahead of the line and liquidate its claims before other similarly-situated creditors. Indeed, this Court has already found that now is not the time to allow litigants to proceed with their prepetition litigation. See August 15, 2013 Hr'g Tr. at 31:19-22; September 17, 2013 Hr'g Tr. at 37:1314. 15. Allowing the Action to proceed at this juncture will create significant distraction to and interference with the Debtor's administration of the Chapter 11 case, and result in prejudice to the Debtor and its stakeholders. See In re Penn-Dixie Indus., Inc., 6 B.R. 832, 835 (Bankr. S.D.N.Y. 1980) (the "key to determining whether to permit an action to proceed in another tribunal" is whether that case will cause "'interference with the pending bankruptcy case'" (citation omitted)); In re Curtis, 40 B.R. 795, 806 (Bankr. D. Utah 1984) ("Even slight interference with the administration may be enough to preclude relief in the absence of a commensurate benefit."). Specifically, litigation of the Action at this time would expose the Debtor and its estate to the burden of defending the Action, including time expended by certain of the Debtor's employees, expenditure of defense costs, the time and participation in completing discovery, and participating in motion practice, and would result in distraction from the Debtor's ongoing reorganization efforts, including its efforts to develop a comprehensive business plan. Movant misses the point when Movant suggests that because the Debtor has retained outside counsel who is familiar with the case, the Debtor will not be distracted if the Action proceeds; the Debtor must expend time and resources working with its local counsel to defend against the Action. 16. Equally importantly, should it be determined that the Action is not covered by insurance, all costs associated with the litigation of the Action would be borne by the Debtor. Moreover, even if covered by insurance, the Debtor's policies are high deductible and high SIR policies; the Debtor has a five hundred thousand dollar ($500,000) SIR under the PARLL Policy, and the PARLL Policy provides that the Debtor pay all costs associated with any litigation – including defense costs – up to the SIR before any insurance coverage is available. 7 17. The Movant may believe that any claims it may have against the Debtor could be satisfied from insurance proceeds, but such a belief is grounded on a misunderstanding of the nature of the "insurance" that may be available in connection with the Action. Indeed, the insurance proceeds to which the Movant alludes in the Motion, to the extent implicated at all are, in fact, assets of the Debtor's estate. See Will v. Nw. Univ. (In re Nutraquest, Inc.), 434 F.3d 639, 647 (3d Cir. 2006) (proceeds of a debtor's liability insurance policies are considered property of its bankruptcy estate). Movant claims that the proceeds may not be property of the estate if Movant is an additional named insured on an applicable policy maintained by the Debtor. However, the Movant has not been named an additional named insured under the PARLL Policy. 18. Moreover, given the aggregate limitations of the PARLL Policy, there may be other parties with claims who may have a potential interest in pro-rata share(s) of the insurance proceeds; Movant has not demonstrated that Movant should be allowed to deplete the insurance proceeds to the detriment of other parties. See, e.g., In re SN Liquidation, Inc., 388 B.R. 579, 585 (Bankr. D. Del. 2008) ("[A] stay protects creditors from more diligent creditors 7 The Debtor also has a one million dollar ($1,000,000) SIR under the CGL Policy, and the CGL Policy also provides that the Debtor pay all costs associated with any litigation, including defense costs, up to the SIR before any insurance coverage is available. and facilitates the equitable treatment of creditors. The Court expects the Debtors to treat all litigants equitably and that is not possible if one litigant . . . proceeds with its lawsuit and as a result the Insurance is diminished while other litigants honor the stay.") (internal citations omitted). 19. Finally, if the Court were to lift the stay for the Movant, the Court could open the proverbial floodgates to numerous litigations – the very result the Debtor is seeking to avoid by implementation of its streamlined Litigation Claims Procedures. 20. Accordingly, the particular circumstances, status, and expected developments in the Chapter 11 case justify denial of the Motion. To the extent circumstances might support relief sought by the Movant, such circumstances are outweighed by the significant prejudice to the Debtor that would result. (b) The Hardship, If Any, Suffered By the Movant Does Not "Considerably Outweigh" Hardship To the Debtor. 21. The Motion alleges that Movant will suffer hardship because: (1) litigating the Action in Delaware would cause Movant increased expense and (2) Movant is not receiving rental income on the Leased Property. 22. As a preliminary matter, it is too early in this case and in the Debtor's claims adjudication process to determine the appropriate forum for litigating Movant's claim. Rather, Movant's claim should proceed through the Litigation Claims Procedures, and only if Movant and the Debtor cannot resolve a claim through that process, should Movant's claim be litigated. Only then would it become necessary to determine in which forum Movant's claim should be adjudicated. 23. Furthermore, a denial of the Motion would only continue the status quo. As the Action is in its infancy, the Debtor does not believe that any additional delay will result in any meaningful prejudice to Movant. Indeed, to the extent the lack of rental income is attributable to a delay in obtaining a judgment, 8 the Movant would continue to experience such a delay and related loss of income as the Parties prepared for and litigated the Action, regardless of the imposition of the automatic stay. 24. Moreover, Movant prevails under this factor only if its harm "considerably outweighs" that of the Debtor. Spansion, 418 B.R. at 97. As Movant is only a potential unsecured, non-priority creditor, the balance weighs against granting relief from the automatic stay. See In re Ronald Perlstein Enters., Inc., 70 B.R. 1005, 1009 (Bankr. E.D. Pa. 1987). Movant has a significant burden to bear in seeking to lift the stay. "It is not enough for the creditor to merely show that it will be hurt by the continuation of the [automatic] stay, rather the creditor must show that neither the debtor nor the other creditors will be injured if the stay is lifted." Healthfirst v. Martha Washington Hosp., 157 B.R. 392, 395 (N.D. Ill. 1993) (emphasis added). The Movant has failed to satisfy this burden. The Movant has demonstrated no special circumstances in this case. The harm to the Debtor and its estate plainly outweigh any harm to the Movant. (c) The Movant Has Failed to Address The Likelihood of Success on the Merits. 25. Because the Movant has failed to establish cause to justify modifying the automatic stay under the standards discussed above, the probability of success on the merits of any action instituted by the Movant in connection with the Action has little or no significance in determining whether the automatic stay should be modified. See Am. Airlines, Inc. v. Cont'l Airlines, Inc. (In re Cont'l Airlines, Inc.), 152 B.R. 420, 426 (D. Del. 1993) (noting that the 8 The Debtor denies that the lost rental income is attributable to any damage to the Leased Property alleged to have been caused by Exide. probability of success should be weighed only after determining that the balance of hardships weighed in favor of movant). 26. However, should this Court consider this factor, the Movant has not attempted to establish that it is likely to prevail. Although the requisite showing of the "probability of success on the merits" may be "slight," more than a mere reference to the bare allegations in a complaint must be provided by Movant. See, e.g., In re Rexene Prods., 141 B.R. at 578 (probability of success on the merits established where debtor – defendant's summary judgment motion had already been denied in the state court action). Critically, Movant cannot point to any development in the Action that shows that Movant is likely to prevail on the merits, and Movant has done no more than merely summarize and attach its Complaint and make the conclusory statement that the "Complaint presents triable factual issues." Motion ¶ 43. Movant's bare statements are insufficient to satisfy the probability of success factor. II. Objection to Expedited Discovery 27. Debtor voluntarily agreed to produce relevant information regarding the relevant policies pending adjournment of the Motion to the December 18, 2013 hearing. During the interim period, the Debtor has voluntarily provided Movant with a copy of the PARLL Policy for the relevant coverage period, and has provided the Movant with copies of two years of its CGL Policy. Nevertheless, despite the Debtor's cooperation, in addition to the request for expedited discovery contained in the Motion, Movant has issued an onerous discovery request seeking documents and information dating back to the 1980s and for excess liability policies that may not be relevant until and unless Movant can establish that there is some applicable underlying primary coverage. 28. The Debtor will continue to work with Movant to try to reach a consensual resolution regarding this Motion and Movant's information requests, and hopes to reach a consensual resolution prior to the scheduled hearing on the Motion. However, participating in onerous discovery regarding various insurance policies covering periods as far back as October 1981 – records which the Debtor cannot fully access – and with respect to policies that are not relevant would be overly burdensome and harassing and is the very type of distraction from the Debtor's ongoing reorganization efforts that the automatic stay is designed to prevent. WHEREFORE, the Debtor respectfully requests that the Court (i) deny the Mo- tion and (ii) grant the Debtor such other and further relief as is just and proper. Dated: Wilmington, Delaware December 16, 2013 SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP /s/ Kristhy M. Peguero Anthony W. Clark (I.D. No. 2051) Kristhy M. Peguero (I.D. No. 4903) One Rodney Square P.O. Box 636 Wilmington, Delaware 19899-0636 Telephone: (302) 651-3000 Fax: (302) 651-3001 - and - Kenneth S. Ziman J. Eric Ivester Four Times Square New York, New York 10036-6522 Telephone: (212) 735-3000 Fax: (212) 735-2000 - and - James J. Mazza, Jr. 155 N. Wacker Dr. Chicago, Illinois 60606 Telephone: (312) 407-0700 Fax: (312) 407-0411 Counsel for Debtor and Debtor in Possession
Paper 040-29 Helpful Undocumented Features in SAS ® Wei Cheng, ISIS Pharmaceuticals, Inc., Carlsbad, CA ABSTRACT The SAS OnlineDoc and the built-in SAS System Help contains comprehensive documentation and references to help SAS users. But we can still find some features that are not well documented or are not documented at all. This paper will try to document some of these undocumented features, so you can use them in the SAS programming. INTRODUCTION When we read other people's programs, we see options that we can't find documentated in the SAS OnlineDoc. When we read some papers, most often written by the developers from the SAS Institute, undocumented features are unveiled. When we ask questions or report problems to the SAS Institute technical support, we receive solutions from them that are not documented. This paper will document some of these undocumented features. Some of them will help SAS programmers to improve their programming efficiency, some will help SAS programmers understand the SAS system better, and some will remove the surprise when SAS programmers see the unexpected behaviour of the SAS system. First, let's generate some dummy data for testing purpose: ``` data testdata1; do id = 1 to 100; x = ceil (ranuni(0) * 100); charx = put (x, z2. -L); output; end; run; data testdata2; do id = 1 to 100; y = ceil (ranuni(0) * 100); output; end; run; ``` FUNCTION MONOTONIC( ) IN PROC SQL The automatic variable _N_ in DATA step processing counts the number of times the DATA step begins to iterate. It's very useful when you need the iteration number from the DATA step. Since PROC SQL uses a relational database concept that is different from the DATA step, we can't get the iteration number from the PROC SQL procedure. An undocumented function, MONOTONIC( ), in PROC SQL that can generate very similar result as the _N_ in DATA step. Look at the following example: Example 1: ``` proc sql; select monotonic() as rowno, * from testdata2 where monotonic() le 10; quit; ``` The above program will generate the output: So we can treat the MONOTONIC( ) function in PROC SQL as the _N_ in DATA step if we need to use the row number of the table in PROC SQL. COLON (:) MODIFIER COUNTERPART IN PROC SQL In the DATA step, a colon (:) modifier after any operator can be used to compare only a specified prefix of a character string. In PROC SQL, the following truncated string comparison operators are available: EQT, GTT, LTT, GET, LET, NET, etc. These operators compare two strings after making the strings the same length by truncating the longer string to the same length as the shorter string. Example 2: ``` proc sql; select * from testdata1 where charx eqt '0'; quit; ``` The above program will generate the output: These operators will be documented in the next release of SAS. INDEXW( ) BEHAVIOUR The SAS OnlineDoc does not document what happens when the second argument for INDEXW( ) is blank. A little birdie from the SAS Institute unveiled the mystery from the source code. The rule is: If the second argument contains only blanks or has a length of zero, then: If the first argument contains only blanks or has a length of zero, INDEXW returns 1; Otherwise, INDEXW returns 0. Example 3: ``` data _null_; result1 = indexw(' ',' '); put result1 =; result2 = indexw(' ', ''); put result2 =; result3 = indexw('',' '); put result3 =; result4 = indexw('Any Chars',' '); put result4 =; run; ``` The above program will generate the log: result1=1 result2=1 result3=1 result4=0 FILE NAME LIMIT IN PROC EXPORT When using PROC EXPORT to export SAS data sets to Excel files, the length of the whole name of the Excel file including the path cannot exceed 64 characters. Usually you won't have an Excel file name that exceeds 64 characters, but you may have a long path for the location of the file. You either need to change the location of the file or use the driver mapping to make the path shorter. 2 "SECRET" SYSTEM OPTIONS If you want to view the "secret" SAS system options, add the undocumented option INTERNAL to the PROC OPTIONS statement: Example 4: ``` proc options internal; run; ``` The above program will display the options below in the SAS LOG file with descriptions: Internal Portable Options: NOAUTOSP Do not load stored DATA step programs NOBOOTSTRAP SASHELP.CORE is available at SAS Session Startup BUFMAX=0 Maximum page size for SAS data sets BUFOBS=80 Number of OBS in page of SAS data set CBUFSIZE=0 Size of buffers to use for SAS catalogs CGOPTIMIZE=3 >>Option Description Needed<< COLUMNS=80 >>Option Description Needed<< DEBUG=JUNK Internal debugging specification DSOPTIONS= Internal DATA step execution options NOFORMATLOG Do not format the log file …… DISPLAY THE OPTIONS BY GROUP If you want to display the options by group, specify a group-name to the option GROUP in the PROC OPTIONS statement: Example 5: ``` proc options group = inputcontrol; run ; ``` The above program will display the options below in the SAS LOG file with descriptions: NOCAPS Do not translate source input to uppercase NOCARDIMAGE Do not process SAS source and data lines as 80-byte records INVALIDDATA=. Missing value to assign when invalid numeric data encountered on input S=0 Length of source statements and data lines S2=0 Length of secondary source statements, such as input from a %INCLUDE statement, an AUTOEXEC file, or an autocall macro file SEQ=8 Number of digits in numeric portion of the sequence field NOSPOOL Do not write SAS statements to a utility data set in the WORK data library YEARCUTOFF=1920 Cutoff year for DATE and DATETIME informats and functions NUMKEYS=12 Number of function keys. (default on machine keyboard) NUMMOUSEKEYS=3 Number of keys (buttons) on mouse PFKEY=(WIN) Key definitions to map NOWEBUI Do not use web user interface enhancements for supporting hover mode and single-click expand/activation. Acceptable group-names under SAS V8.2 are: COMMUNICATIONS ENVDISPLAY ENVFILES ERRORHANDLING EXECMODES EXTFILES GRAPHICS INPUTCONTROL INSTALL LANGUAGECONTROL LISTCONTROL LOGCONTROL LOG_LISTCONTROL MACRO MEMORY ODSPRINT PERFORMANCE SASFILES SORT DISPLAY THE ENGINES If you want to view the engines available, there is an undocumented procedure. Example 6: proc nickname; run; The above program will display a list of engines in the SAS LOG file with descriptions: …… REGISTER THE LOCATION OF THE SAS SYSTEM If your SAS system is not registered properly during an installation, or if you have installed SAS 8 and SAS 9 on the same machine, you could use an undocumented system option –REGSERVER to register the default location of the sas.exe program. This configuration option can be used in a command prompt: Example 7: !SASROOT\sas.exe –regserver where !SASROOT is the location of the SAS directory (i.e. C:\Program Files\SAS Institute\SAS\V8). PREVENTING THE APPEARANCE OF THE POP-UP WINDOWS An undocumented option -nosleepwindow exists that prevents the appearance of the pop-up windows that normally appear when you use the SLEEP and WAKEUP functions. This invocation option can be used in the startup command of your SAS session shortcut, with your RUN command, or in your sasv8.cfg file. This option will be documented in the next release of SAS. JOIN METHOD CHOSEN BY PROC SQL If you want to improve the join performance of programs that use PROC SQL to join tables, you need to know how the PROC SQL query optimiser chooses the join methods. There is an undocumented option _METHOD on the PROC SQL statement that will display the hierarchy of processing methods that will be chosen by PROC SQL. You need to set the SAS System option MSGLEVEL = I to see the internal form of the query plan in the SAS LOG. An undocumented option _TREE will show the hierarchy tree as planned in the SAS LOG. The PROC SQL execution methods include: 4 Example 8: ``` options msglevel = I; proc sql _method _tree; select t1.id ,x ,y ,z from testdata1 as t1 ,testdata2 as t2 ,junk._totest as t3 where t1.id = t2.id and t2.id = t3.id; quit; ``` The above program will display the query plan below in the SAS LOG file: The SELECT module (sqxslct) gets its input records from the Hash Join Module (sqxjhsh), which gets its input from three sources (sqxsrc). DATA SETS DISAPPEAR When you create data sets that start with _to, like _total, _top, they will not be visible to the SAS EXPLORE window, but, they are in the directory. You can treat them the same as other data sets, even though you can't see them in the SAS EXPLORE window. This is because when the SAS system operates, _to is used as the prefix to the temporary data sets and the temporary data sets are intended to be hidden from the SAS users. So don't be surprised when you can't see the data sets that you just generated in your program. Example 9: ``` libname junk "C:\junk"; data junk._totest; do id = 1 to 100; z = ceil (ranuni(0) * 100); output; end; run; ``` CHANGE THE SYMBOL ON THE KAPLAN-MEIER PLOT PROC LIFETEST can generate a high-resolution Kaplan-Meier Curve. The CENSOREDSYMBOL option specifies the symbol value for the censored observations. When you specify the strata levels in the STRATA statement, you always have the same symbol on the curves for censored observations for all the strata levels. But sometimes we prefer having different symbols for different strata levels. This can be done by an undocumented option for the CENSOREDSYMBOL option. When you put CENSORSYMBOL = ' ' in the PROC LIFETEST statement, you can change the symbols used for censored observations in the plots by SAS/GRAPH SYMBOL statement. Example 10: ``` data survsamp; retain seed 20020824 n 1 p 0.2; do treat = 1 to 2; do patid = 1 to 100; call ranbin(seed,n,p,censor); call ranexp(seed,xi); if treat = 1 then survtime = xi / (log(2) / 15); else survtime = xi / (log(2) / 10); output; end; end; drop seed n p xi; format patid z3.; run; symbol1 line = 1 color = blue width = 1 v = circle; symbol2 line = 4 color = red width = 1 v = triangle; proc lifetest data = survsamp noprint plot = (s) censorsymbol = ' '; time survtime * censor(1); strata treat; run; ``` The above program will generate the Kaplan-Meier curve: Kaplan Meier Curve Example Median Survival of 1 is 19.6 Months (N=100) Median Survival of 2 is 11.5 Months (N=100) P value from Log-Rank Test: 0.0023 SOURCE: EXAMPLE PROGRAM.SAS WCHENG SASv8.2 (05JAN2004 19:29) CONCLUSION Since these features are undocumented, we should use them with caution. It's better to test the program thoroughly or consult with the SAS Institute technical support before we apply them to our programming. They may remain undocumented because they are not tested thoroughly, or they perform badly in some combination with other options, or on some host systems, etc. The programs in this paper are tested on SAS version 8.2 for Windows. Most of the undocumented features covered in this paper can be adapted to other operating systems. REFERENCES ``` SAS Institute, Inc., SAS OnlineDoc, Version 8, Cary, NC: SAS Institute, Inc., 1999. SAS Institute, Inc., SAS System Help, Version 8, Cary, NC: SAS Institute, Inc., 1999-2001. SAS Institute, Inc., SAS Notes SN-000258, Cary, NC: SAS Institute, Inc., 2001 SAS Institute, Inc., SAS Notes SN-001474, Cary, NC: SAS Institute, Inc., 2001. SAS Institute, Inc., SAS Notes SN-001714, Cary, NC: SAS Institute, Inc., 2001. SAS Institute, Inc., SAS Notes SN-007264, Cary, NC: SAS Institute, Inc., 2002. SAS Institute, Inc., SAS Notes SN-008234, Cary, NC: SAS Institute, Inc., 2003. SAS Institute, Inc., SAS Notes SN-008900, Cary, NC: SAS Institute, Inc., 2002. SAS Institute, Inc., SAS Notes SN-010363, Cary, NC: SAS Institute, Inc., 2003. SAS Institute, Inc., SAS Notes SN-011065, Cary, NC: SAS Institute, Inc., 2003. ``` Kent, P. (1995), "SQL Joins - The Long and The Short of It" Proceedings of the Twentieth Annual SAS Users Group International Conference, 20, 206-215. Holland, P. "Formats, Options, and Functions" Views Issue 21, 1 st Quarter 2003. ACKNOWLEDGMENTS I would like to thank Paul Kent and Julia Schelly of SAS Institute for their review and comments. I would also like to acknowledge the contributors on SAS-L. CONTACT INFORMATION Your comments and questions are valued and encouraged. Contact the author at: Wei Cheng Isis Pharmaceuticals, Inc. 2292 Faraday Ave. Carlsbad, CA 92008 Work Phone: (760) 603-3807 Fax: (760) 603-2588 Email: email@example.com Web: http://www.prochelp.com SAS and all other SAS Institute Inc. product or service names are registered trademarks or trademarks of SAS Institute Inc. in the USA and other countries. ® indicates USA registration. Other brand and product names are trademarks of their respective companies.
Int.J.Eng.Lang.Lit&Trans.Studies Vol.3.Issue. 1.2016 (Jan-March) INTERNATIONAL JOURNAL OF ENGLISH LANGUAGE, LITERATURE AND TRANSLATION STUDIES (IJELR) A QUARTERLY, INDEXED, REFEREED AND PEER REVIEWED OPEN ACCESS INTERNATIONAL JOURNAL http://www.ijelr.in RESEARCH ARTICLE Vol. 3. Issue 1.,2016 (Jan-March) AMMU'S FRANTIC QUEST FOR IDENTITY IN THE GOD OF SMALL THINGS SHUBHA PRAKASH 1 , Dr. SUJATA 2 1 Research Scholar, FET, MRIU, Faridabad 2 Asst Prof, Faculty of Media Studies and Humanities, MRIU, Faridabad ABSTRACT SHUBHA PRAKASH The patriarchal assumptions prevalent in the Indian society have led to marginalization of women depriving them of their rights as a human being. Several female writers like Shashi Deshpande, Anita Desai, Arundhati Roy etc have tried to describe the feeble attempts of females to fight for their individuality. The protagonists of these writers have been tutored that their greatness lies in their sufferings and therefore, happiness of others is always given a top priority. Their perceptions of their aspirations and expectations are within the framework of Indian social and moral commitments. Arundhati Roy is one such writer who is mainly concerned with the psyche of an individual and its relation to social values rather than the society. Since Roy deals with psycho emotional situations, her theme is the individual against himself and the surroundings. Her protagonists are hypersensitive, mysterious and eccentric who neither belong to the common rung of the society nor do their problems deal with food, clothing and shelter. Instead they are rebels and their rebellion is directed against individuals not so much against society. This paper describes how Roy's women characters in 'The God of Small Things' are exploited and how they are torn between their individuality and social obligations. An attempt is also made to study the lot of Ammu who sacrifices her life in her quest for identity. The paper also discusses the sufferings of Ammu's mother and her daughter. It exhibits a strong contrast wherein Mammachi accepts domestic violence as her fate while Ammu dares to tread a path where she can have an identity of her own. Keywords: Conservative, identity, eccentric, orthodox, patriarchal, tread ©KY PUBLICATIONS INTRODUCTION In India, evils of class and caste along with patriarchal oppressions rely and feed on each other. Roy's booker prize winning novel 'The God of Small Things' deals with the struggle within the self, the murky and melancholic moods of men and women. The novelist fathoms the depths of human psyche against the chaotic social back drop. The novel voices the hidden and suppressed emotions of subalterns and is an encapturing vista of Indian social life depicting the unremitting struggle of women and untouchables for inscribing their identity in this cruel, conservative and male dominating society. They are vulnerable as well as deserted and so have to suffer at the hands of law makers. Arundhati Roy, being a social activist, raises the existential questions of subalterns and their impassioned quest for identity with a silent voice in this new, democratic and intricate world. Her novel presents the constant struggle of women against their persistent exploitation, torture and struggle which they undergo because of the male dominated conservative society. It talks about the absurdities and injustices of domestic and social life of women. Roy mainly discusses things that every individual aspires for- the nerve to live and the ability to love as well as to be loved. Characters such as Ammu, Velutha or even Rahel and Estha are characters without roots. It is their estranged state that propels them from one crisis to another, sucking along several other characters. They are presented mainly as seekersquesters for love and identity. Disturbed emotionally as well as psychically, both Ammu and Velutha are persistently and maniacally driven by undefined hunger and vehement lust which brings about their doom. Incapable of silent submission and ungrudging suffering, they somehow pull through life. Ammu defies patriarchal domination, class and caste prejudice in public and pays with her life. Roy's protagonists suffer from lack of parental love, disturbed infancy, broken homes and are dissatisfied with their existence and often choose to go out of the mainstream of life. This alienation generally manifests in immoral ties and activities. Alienation from their selves leads to a frantic search for their identity in the milieu through self-discovery and self-identification. The novel deals with sufferings of three generations of women-Mammachi, Ammu and Rahel's who react in their own ways to the situation that they are confronted with. The three generations of women hold different views on life and react in their own ways to the situation that they are faced with. MAMMACHI Mammachi is a true representative of the old generation of women who gracefully submits herself to the patriarchal society. She is an 'adarsh bhartiya naari' who believes that a woman's primary duty is towards her husband and she should submit herself to the whims and fancies of her husband at all costs. Mammachi has been a victim of her husband's brutality throughout her life. She is either beaten with a brass vase or an ivory handled riding crop by her husband. Mammachi had exceptional talent for music, especially violin but her husband Pappachi is jealous of her. The climax is reached when violin trainer makes the mistake of telling him that his wife is "exceptionally talented" and "potentially concert class". Later he breaks the bow of the violin one night and throws it in the river. A feeling of jealousy is expressed again when she started pickle making business; Pappachi refuses to help her because pickle-making is not "a suitable job for high-ranking exGovernment official". Thus their marriage is devoid of understanding, love and co-operation. Mammachi's blind submission to patriarchy is a defensive gesture rather than an honest agreement with hegemonic powers. The other man who dominated Mammachi's life was Chacko, her privileged and Oxford educated son. When he returned home after his divorce from Margaret, he takes over Mammachi's pickle factory and referring to the factory as "……. my factory, my pineapples, my pickles" (57) without regarding Mammachi who had started and developed the factory before Chacko returned home. Mammachi did nothing but accept it passively. Whatever her husband did, being a righteous woman, she accepted it because it was endorsed by the society. AMMU Ammu belongs to the second generation of women. She is, in fact the new woman who tries to strongly protest against the patriarchal system prevalent in the Indian society. She is doubly marginalized by men as well as women. As a child, she is deprived of the love and care because of her gender. She was beaten mercilessly by her father 'with iron-topped riding-crop, a treatment arising from the traditional patriarchal family structure, where the birth of a girl child is unwelcomed and considered a burden on the family. In contrast to this, her brother Chacko, is privileged in every aspect of family life purely because he is a male. After schooling, Ammu is denied further education, while her brother is sent to Oxford for higher education because "Pappachi insisted that a college education was an unnecessary expense for a girl. So Ammu had no choice but to leave Delhi and move with them". (38) Thus her own family becomes an obstacle between her freedom and future progress. When her family shifts from Delhi to Ayemenem, Ammu's life is engulfed by dullness, seclusion and waiting for marriage proposals. She feels captivated in her house at Ayemenem and she desperately yearns for her identity: "There was little for young girl to do in Ayemenem other than to wait for marriage proposals while she helped her mother with the housework… All day she dreamed of escaping from Ayemenem and the clutches of her ill tempered father and bitter, long-suffering mother." (38-39) Her father agrees to let her spend her summer with a distant aunt in Calcutta. There, at some wedding reception, she happens to meet her future husband whom she marries without any hesitation or sense of guilt thinking thereby that she would be able to put an end to her unbearable relations with her parents. But unfortunately, to her bad luck, "her husband turns out to be not just a heavy drunkard but a full-blown alcoholic" (40). Here Simone de Beauvoir remarks that: There is a unanimous agreement that getting a husband-or in some cases a 'Protector'- is for her (woman) the most important undertaking… She will free herself from the parental home, from her mother's hold, she will open up her future not only by active conquest but by delivering herself up, passive and docile, in the hands of a new master. (352) When Ammu moved to Assam with her husband, she became the centre of attraction of the Planters' Club. She wore backless blouses with her saris and carried a silver lame purse on a chain. She also smoked long cigarettes in a silver cigarette holder and learned to blow perfect smoke rings thereby breaking the patriarchal domination prevalent in the Indian system. Ammu, being a new woman, does not yield herself before the clutches of the male chauvinist societal structure. She escapes the asphyxiating home of her parents by her unsuccessful marriage, it ends when her drunkard husband offers her to his English boss for his career prospects. She does not bow before her new master (husband); on the contrary, she divorces him to protect her self-respect and identity. Unlike her mother, she cannot accept the bad attitude and actions of her husband and prefers divorce than blindly sticking to her marriage, thereby breaking the communal mores of India. She returns unwelcomed to Ayemenem "to everything she had fled from only a few years ago, except that now she had two young children and no more dreams" (42). Marriage for Ammu is a horrible experience; her husband is a reason for her physical and psychological suffering. But she rebels against such social structures and challenges marriage that rather seems to be a 'disciplinary institution'( according to Michael Foucault), working towards silencing and controlling the one who stands apart, as if a non-conformist/ lunatic who needs to be reasoned/imprisoned. Ammu, being a victim of a marriage that does not work out, is treated as an interloper in her own family and this clearly defines her position in the society. It is quite paradoxical that a daughter estranged from the husband is tormented and oppressed in her parent's house because 'a divorced woman is considered nonvirtuous'. Contrary to this, an estranged son, chacko, not only receives a warm welcome but also remains the rightful inheritor of the family wealth and fortune. When he flirts with a low woman, he is encouraged by Mammachi in the name of 'man's needs', (268) whereas Ammu's love with Velutha, a paravan, is considered illicit, untraditional and sinful. Irrespective of all this, the new woman in Ammu breaks the four walls of the house which confined her existence and takes a critical decision to 'love by night the man her children loved by day'. Ammu's infatuation with Velutha and thereby violating the "love laws" which her community has imposed is a transgression of the caste, class and religious boundaries and it mounts a rebellion of a kind against her marginalization as a woman. Ammu's rebellion against maternal and marital conventionality and finally, her liaison with dark-skinned and untouchable Velutha constitutes a violation against a determinate social order, sponsoring the immutable "love laws". According to Tirthankar Chanda, "her rebellion (quest for identity) is an attempt at repossessing, renaming, reknowing the world", but it "appears doomed from the very beginning because of the nature of the society where she has had to seek refuge with her twins after her divorce and also because of the incapacity of her kin (mother, great-aunt Kochamma) to provide an adequate model for redefining the Self" (Chanda 1997:40)" (2006, p.16) Though Ammu is well aware that the society in which she dwells is conservative, she dares to establish relation with Velutha. This shows Ammu's desperate quest for love which neither her parents nor her husband could provide. Velutha is the best companion of the children, who feel chocked in Ayemenm because of their divorced mother. The few moments the children spent in the company of Velutha could afford them real happiness. But unfortunately, the secret love affair of Ammu and Velutha is reported by the latter's father to Mammachi. Mammachi could not bear Ammu's crosscaste affair, as a result, Velutha is grabbed by the police and killed on false case of rape. When Ammu goes to the police station to set the matter right, she is badly insulted: "Kottayam police does not take statement from Veshyas (prostitutes) and their illegitimate children."(58). But she rebels against such social structures and challenges marriage. In this regard, Debjani Gangulay rightly comments: "Mammachi's own marital experience has not enabled her to empathize with her daughter's brutalized married life. Rather, she sees Ammu's failed marriage as just retribution for her daughter who dared to marry outside her community. Her firm emotional investment in the hierarchies of class, caste and gender is illustrated at several points in the novel." (Caste, Colonialism and CounterModernity) Thus, Ammu is brutally treated at the hands of police-considered to bring the law breakers on to the right path. She is also cornered by the family structure and inheritance laws customarily prevalent among the Syrian Christian community in Kerala. In the end, Ammu is exiled from her home by her family members. She is separated from her children and not allowed to visit Ayemenem. She desperately tries to seek good job in anonymous places. This shows her quest for true identity but fails in her endeavours. Tired, exhausted, sick and finally defeated, she is found dead in a grimy room in Bharat Lodge in Aleppy. After death, her humiliation does not end, the church refuses to bury Ammu. Finally she is cremated in electric crematorium where only beggars, derelicts and police custody dead are cremated. Before Ammu's acceptance of such doom, in frantic attempts of self-realization, she becomes a symbolic personification of all subalterns, especially women, who challenge power structures of the social order. "Roy expresses her disillusionment with the social conditions of the postcolonial world in which the untouchables of the past still face a hostile society that does not let them live as free and independent individuals. Velutha, the God of small things, the outcast can never co-exist peacefully with the "touchable" communities for as long as the stigma of untouchability is attached to him and countless others like him. Ammu, another "untouchable" within the "touchable" cannot pursue happiness because doing so threatens the existing order, and the society takes every possible step to stop change." Thus, Ammu is severely marginalized by social institutions like family, marriage, religion and police and not only men but women like Mammachi and Baby Kochamma have equal share in her meeting the doom. RAHEL Rahel belongs to the third generation. She is less marginal character in comparison to Ammu and Mammachi. Unlike them, she never faces domestic violence, still she remains at the periphery because of being a daughter of neglected Ammu. She too experienced insult and humiliation in the childhood as her mother witnessed. Her life is totally disturbed and deserted because of tormenting memories of past. Everytime, Rahel protests against the adults, they threaten to send her away (148) and tell her that it makes "people love her a little less" (112). This scolding contributes to Rahel's self image as someone who may not be lovable. Ammu, who has learnt neither to love nor to trust anyone since terror can hide behind the façade, is frightened by her children's "willingness to love people who didn't really love them…… and (it) sometimes made her want to hurt them-just as an education, a protection" (43). Ammu's distrust of other people teaches Rahel that love is nothing to take for granted, that it is something conditional and limited, thus leaving Rahel with insecurity and anxiety. The fear of not being loved is constantly reflected in Rahel's character and her eagerness to receive punishments can be seen as a prolongation of this. "Ammu", Rahel said, 'shall I miss dinner as my punishment?' she was keen to exchange punishments. No dinner, in exchange for Ammu loving her the same as before" (11). When Ammu doesn't give her any punishment, Rahel is distressed and does not eat, "hoping that if she could somehow effect her own punishment, Ammu would rescind hers" (115). This shows Rahel's impassioned quest for love. Rahel is a woman who does not find any room either in her family or society. Living in her grandparent's house, she witnesses the stark injustices met out to her mother. As she grows up unwanted, she becomes a free woman, who unlike her mother, is not restricted by the confines of traditional values. Rahel too could not lead a successful married life as a result of the obsession with her twin brother Estha. Thus the novel depicts the desiccated souls of women of a particular social setup. The novel also exhibits attempts to break the patriarchal norms. Rahel and Estha's reading the posters backwards is the breaking of patriarchal conventions. The novel itself persuades the readers that it be read backwards. The characters dare to transgress their boundaries in several ways. Velutha dares to forget his untouchability; Ammu crosses the norm of womanly virtues and also dares to forget the very fact that she is a touchable who should not allow an untouchable near her. 'Locusts Stand I' (Locus Standi) is forgotten and Ammu dares to feel at home in Ayemenem. The norms of patriarchy are broken and this brings disaster. Only Chacko knows the norms: "What is mine is mine. What is yours is also mine."(28) This, in essence, is the law of patriarchy that must be obeyed. Roy's protagonists dare to break this law but not without paying a heavy price. The History House is the lawgiver; it punishes all misdemeanor that takes place in the Ayemenem House. In one sense, Roy defines her feminine aesthetics. Ammu breaks the boundaries of how much and who – she defies all phallocentric discourse only to be a harbinger of a new epoch when women will make their own choices, even if it involves death in isolation, in a despoiled place. CONCLUSION Thus, Ammu, aspiring to take control of her life (that is so much suppressed by a social order) is faced with a system where Chacko her "Marxist" brother exploits the poor women labourers in his factory, both monetarily and sexually and goes unchecked. Ammu witnesses characters such as Mammachi, being appropriated and smothered by patriarchy; Velutha being accused of the fortuitous drowning of Sophie Mol; Pappachi, Ammu's father, is skeptical of the fact that her Bengali Hindu husband wanted to prostitute her in order to please his white boss. The authority of the colonial rulers is challenged by Ammu-a subaltern who is both economically and socially marginalized. Stifled by social injustice, Ammu rebels against the very social norms that constitute the Syrian Christian community in Kerala. This insurgence is an act of resistance against the very foundations of this society. Her most significant act of becoming sexually involved with the "Untouchable", lower class Velutha, cannot be taken at its face value as an act of sexual transgression only. In brief, Ammu as a woman and as a subaltern resists the domineering and exploitive political and social structures. Though she fails in bringing about any substantial change, she puts up a brave fight for realizing her dreams. Ammu's uniqueness lies in the fact that she may not have deliberately worked for other subalterns but all her actions were directed towards the liberation of different kinds of subalterns. Thus, Roy's protagonists are women with great courage and gumption. They represent the litheness of tradition thereby challenging its imposition as a closed phenomenon. On one hand, the narrative takes up a cross-caste love relationship and its consequences and on the other hand, it tackles such issues as the daughter's right to inheritance in her parental property. The three generation of women depicted in the novel have their own views about life and they deal with their lives differently. The different treatment given to males and females in the novel creates imbalance in the society resulting in much of the unhappiness and discontentment prevailing in the families and the dilapidated lives of children. The outcome is a paralytic society unable and unwilling to grow. REFERENCES Ahmad, Aijaz. Reading Arundhati Roy politically. In Murari Prasad (edited). Arundhati Roy: Critical Perspectives. New Delhi, India: Pencraft International, 2006. Beavior, Simone de. The Second Sex, London: Vintage series, 2011. Print. Chandra, Tirthankar. "Sexual/Textual Strategies in The God of Small Things." Commonwealth Essays and Studies 20(1); (1997): pp 38-44 Darlymple, William, Harpers and Queen. Praise for the God of Small Things, TGST, New Delhi: Penguin Books, 2002. Print. Ganaie, Altaf Ahmad. "Social Realism in Arundhati Roy's Novel "The God of Small Things", Indian Journal of Applied Research 4(7); (2014): pp 284-285 Ganguly, Debjani. Caste, Colonialism and Counter-Modernity, Routledge, 2005. Print. Ismail. K. Mohammed. "Cultural Narratives in Arundhati Roy's the God of Small Things: A Critical Analysis", International Journal of English Language, Literature and Humanities l 2(2); (2014): 68-73 Kamble, S.D.& G.V.Jadhav. "Marginalization of Women in Arundhati Roy's The God of Small Things", Research Front 1(4); (2013): 1-4 Kunhambu. K. "Search for Identity in Arundhathi Roy's Novel", International Journal of Scientific & Technology Research, l3(7); (2014): 277-280 Prasad, Amar Nath. Arundhati Roy's The God of Small Things: A Critical Appraisal, New Delhi: Sarup & Sons, 2004. Print. Pandian, I.D. Arundhati Roy: Life and Work, Bhaskar Publication, 2009. Print. Prasad, Murari. Introduction. In Murari Prasad (edited). Arundhati Roy: Critical perspectives. New Delhi, India: Pencraft International, 2006. Rajimwale, Sharad. Arundhati Roy's The God of Small Things: A Critical Appraisal, New Delhi: Rama Brothers India Pvt. Ltd., 2006. Roy, Arundhati. The God of Small Things. New Delhi: Penguin Books India Pvt. Ltd., 2002. Roy, Amitabh. The God of small things: A Novel of Social Commitment. New Delhi: Atlantic Publishers and Distributors, 2005. Print. Sahu, Nandini.). The Post-Colonial Space: Writing the Self and the Nation, Atlantic, 2007. Print. Sonia. "Social Consciousness in Arundhati Roy's The God of Small Things", Language in India 13(5); (2013): 605613
RULE ADOPTION VOLUME 43, ISSUE 22 ISSUE DATE:NOVEMBER 21, 2011 LAW AND PUBLIC SAFETY DIVISION OF CONSUMER AFFAIRS NEW JERSEY BOARD OF DENTISTRY Adopted Amendment: N.J.A.C. 13:30-8.1 Adopted New Rule: N.J.A.C. 13:30-8.4A Fee Schedules; Administration of Injectable Pharmacologics Proposed: November 1, 2010 at 42 N.J.R. 2575(a). Adopted: February 2, 2011 by the New Jersey Board of Dentistry, Herbert Dolinsky, D.D.S., President. Filed: October 18, 2011 as R.2011 d.281, without change. Authority: N.J.S.A. 45:1-15.1 and 45:6-3. Effective Date: November 21, 2011. Expiration Date: January 5, 2018. Summary of Public Comments and Agency Responses: The New Jersey State Board of Dentistry (Board) received comments from the following: 1. Louis Malcmacher, D.D.S., M.A.G.D., President, American Academy of Facial Esthetics; 2. Lawrence Downs, Esq., General Counsel, Medical Society of New Jersey; 3. Bruce G. Freund, D.D.S., CEO, and Zev Schulhof, D.M.D., M.D., President, American Academy of Facial Cosmetics; 4. Phillip C. Haeck, M.D., F.A.C.S., President, American Society of Plastic Surgeons, and Gary Smotrich, M.D., F.A.C.S., President, New Jersey Society of Plastic Surgeons; 5. William D. James, M.D., F.A.A.D., President, American Academy of Dermatology Association; 6. Sandra E. Vause, M.D., President, Dermatological Society of New Jersey; 7. Richard G. Bennett, M.D., President, American Society of Dermatologic Surgery Association; and 8. Michael D. Maves, M.D., M.B.A., Executive Vice President, CEO, American Medical Association. 1. COMMENT: Dr. Vause, on behalf of the Dermatological Society of New Jersey, expressed concern about the proposed new rule, noting that there are certain risks associated with the use of dermal fillers and neurotoxins. The commenter noted that mild to severe complications may result when such injections are administered by individuals who do not have proper training in recognizing pre-existing conditions, selecting and preparing the proper product, and utilizing a specialized injection technique. The commenter believes that permitting dentists to administer such injections with only 21 hours of training may endanger patients. The commenter observed that the Dermatological Society of New Jersey has great respect for dentists' ability to perform dental procedures that are within dentists' scope of practice. The commenter, however, believes that the Board has exceeded its statutory authority in proposing the new rule because the rule authorizes dentists to engage in the practice of medicine. RESPONSE: Proposed new rule N.J.A.C. 13:30-8.4A does not authorize dentists to engage in the practice of medicine. N.J.A.C. 13:30-8.4A(m) expressly provides that nothing in the rule shall be construed to authorize a dentist to treat diseases, disorders or conditions that are outside of the scope of the practice of dentistry as defined in N.J.S.A. 45:6-19 of the Dental Practice Act. N.J.S.A. 45:6-19 defines the practice of dentistry to include "being able to diagnose, treat, prescribe or operate for any disease, pain, deformity, deficiency, injury, or physical condition of the human tooth, teeth, alveolar process, gums, cheek, or jaws, or oral cavity and associated tissues." Therefore, dentists are authorized by statute to diagnose, treat, prescribe or operate on teeth, the alveolar process, gums, cheek, jaws, or the oral cavity and associated tissue. Consistent with this statutory authority, the Board notes, some dentists are currently providing services that involve the administration of injectable pharmacologics. The Board's intention in proposing the new [page=3097] rule is to establish standards for the proper administration of such medications in order to help ensure the health, safety, and welfare of New Jersey consumers who seek such services from licensed dentists. Under the new rule, a dentist may only administer injectable pharmacologics for the cosmetic or functional enhancement of the perioral area, which is defined in N.J.A.C. 13:30-8.4A(a) as the gums, cheeks, jaws, lips, and oral cavity and associated tissue. This definition is consistent with the statutory parameters established under N.J.S.A. 45:6-19. Moreover, the new rule expressly limits a dentist's authority with respect to injectable pharmacologics to administrations of such medications in dental treatment settings under N.J.A.C. 13:30-8.4A(c), and only after the dentist has conducted an appropriate physical examination, obtained a completed medical history, and made an assessment of the patient's dental needs under N.J.A.C. 13:30-8.4A(i). The Board notes that prior to the proposal of the new rule, it consulted with representatives from the State Board of Medical Examiners (Board of Medical Examiners) to ensure that the new rule did not create unintended ambiguity with respect to the type of treatment dentists were authorized to provide. A Committee of the Board of Medical Examiners reviewed the proposed new rule and was satisfied that the rule adequately identified relevant areas of education and was consistent with the scope of dental practice. The Board also notes that the Board of Medical Examiners did not submit a comment expressing any concerns about the new rule in response to the formal notice of proposal. The Board disagrees with the commenter's assertion that dentists who complete the Board-approved training course mandated under the new rule will lack appropriate training to safely administer injectable pharmacologics. Dentists completing a Board-approved post-doctoral training course will receive supplemental instruction in the anatomy of the head and neck, neurophysiology, including facial tissues, parasympathetic, sympathetic, and peripheral nervous systems relative to peri-oral tissue, and facial architecture, as well as patient assessment, product selection, pharmacological effects and contraindications, and management of complications. Moreover, the Board notes that completion of this 21-hour Board-approved training course does not represent the totality of a dentist's education and training in the areas covered in the new rule. Rather, dentists receive extensive training in dental school in facial anatomy, physiology, neurophysiology, pharmacology, and injection technique. Indeed, the Board notes that the curriculum for first- and second-year students at dental schools is virtually identical to the curriculum used to instruct first- and second-year medical students. The 21-hour Board-approved training course is intended to refresh and/or supplement the education dentists receive in dental school in the areas of study relevant to the administration of injectable pharmacologics in the peri-oral area. Completion of this course will help ensure that dentists administering injectable pharmacologics do so in a safe and effective manner. 2. COMMENT: Dr. Malcmacher, on behalf of the American Academy of Facial Esthetics (AAFE), objected to the new rule's requirement that an approved training course be 21 hours in length and that it must be offered at an accredited dental school or in a hospital-based program. The commenter noted that the AAFE is an educational organization that has worked with a number of dental boards in developing educational guidelines for the training of dentists in the use of neurotoxins and dermal fillers. The commenter noted that the current educational standard for neurotoxin and dermal filler training in North America for all healthcare professionals is 16 hours of training, including didactic and live patient hands-on training. The commenter observed that training requirements comparable to those being proposed for dentists are not imposed on any other healthcare professionals in New Jersey who wish to provide this treatment. In addition, the commenter noted that the Board has not required dentists desiring to provide other more invasive dental treatments, such as implant therapy, to complete additional Board-approved training. The commenter recommended that the Board amend the rule to require dentists to complete a 16-hour continuing education course on neurotoxins and dermal fillers certified by either the American Dental Association or the Academy of General Dentistry. RESPONSE: The Board proposed the 21-hour training course requirement in the new rule following its review of various factors, including the number of content areas the Board believes must be covered as part of this training and the complexity of these areas of instruction. The Board disagrees with the commenter's assertion that 16 hours of training is sufficient, and notes that the Board is not obligated to establish training requirements for dentists that are comparable to the requirements imposed on other healthcare providers by their respective licensing boards. It is a reasonable exercise of the Board's statutory authority to require dentists to obtain additional instruction in order to perform certain procedures if the Board determines that the protection of the public health, safety, and welfare necessitates such heightened training. For example, existing Board rules N.J.A.C. 13:30-8.2 and 8.4 require dentists who seek to administer parenteral conscious sedation or enteral sedation to complete Board-approved post-doctoral coursework of 80 hours and 40 hours, respectively. Training in these areas must be completed at an accredited dental school, in a hospital-based program, or in a college or university setting, consistent with the training requirements the Board has proposed for dentists seeking to administer injectable pharmacologics. Moreover, the Board notes that whether a course has been certified as an approved continuing education program by the American Dental Association or the Academy of General Dentistry is irrelevant for purposes of determining whether the course meets the express content requirements imposed under the rule. The Board must review the course outline, course content, and objectives, and the instructor's qualifications to determine whether the course meets these requirements. The Board, therefore, declines to amend the training requirements in N.J.A.C. 13:30-8.4A as suggested by the commenter. 3. COMMENT: Mr. Downs, on behalf of the Medical Society of New Jersey (MSNJ), opposed the new rule, believing that it expands the scope of dental practice beyond what the Legislature authorized in N.J.S.A. 45:6-19 of the Dental Practice Act. The commenter does not believe that the New Jersey Legislature contemplated "dental practice" to include the administration of injectable pharmacologics for cosmetic purposes. The commenter also objected to the definition of "peri-oral area" in the proposed new rule, believing that the inclusion of the word "lips" in the definition is indicative of the Board's attempt to expand the term "associated tissues" in order to allow dentists to provide cosmetic procedures that are currently performed by medical doctors. The commenter notes that such expansion is not permitted through rulemaking, but is the province of the Legislature. The commenter also expressed concern that the proposed new rule will endanger patient safety, noting that the 21 hours of training mandated under the rule cannot replace the years of clinical training required to understand the pharmacologic issues and anatomical structures implicated by the rule. The commenter believes that the proposed new rule will jeopardize public health by permitting lesser trained professionals to provide medical procedures. The commenter also objected to the Board's classification of the administration of injectable pharmacologics as "dental services" in the Economic Impact statement of the notice of proposal, and observed that the Economic Impact statement fails to acknowledge the economic impact on patients for mistakes in the administration of toxic pharmacologic agents by inadequately trained individuals. RESPONSE: The Board disagrees with the commenter's assertion that the new rule expands the scope of dental practice in violation of the Dental Practice Act. As noted above, in the Response to Comment 1, N.J.S.A. 45:6-19 of the Dental Practice Act defines the practice of dentistry to include "being able to diagnose, treat, prescribe or operate for any disease, pain, deformity, deficiency, injury, or physical condition of the human tooth, teeth, alveolar process, gums, cheek, or jaws, or oral cavity and associated tissues." Therefore, dentists are authorized by statute to diagnose, treat, prescribe, or operate on teeth, the alveolar process, gums, cheek, jaws, or the oral cavity and associated tissue. The new rule limits a dentist's administration of injectable pharmacologics to the "peri-oral" area, as defined in N.J.A.C. 13:30-8.4A(a), the definition of which, including its reference to "lips," is consistent with N.J.S.A. 45:6-19. The Board believes that it is reasonable to interpret the statutory reference to gums, cheek, jaws, or oral cavity and associated tissue to also include "lips." Interpreting the statutory reference to these areas to exclude the treatment of lips would lead to absurd results. For example, the Board notes that in a case of a patient who has sustained traumatic injury to the mouth, a dentist could treat the patient's teeth, gums, cheeks, [page=3098] and jaw, but could not suture or otherwise treat the patient's injured lips under the commenter's interpretation of the statute. Moreover, the Board notes that its express reference to "lips" in the definition of peri-oral area is supported by the express reference to "lips" in N.J.S.A. 45:6-19, in relation to the use of artificial restorations and other dental appliances. In relevant part, the statute provides that artificial restorations and other dental appliances may be used to correct diseases or injury to "the jaws, teeth, lips, gums, cheeks, [and] palate ..." The Board strongly disagrees with the commenter's assertion that dentists are not adequately trained to administer injectable pharmacologics. As noted above in the Response to Comment 1, dentists receive extensive training in dental school in facial anatomy, physiology, neurophysiology, pharmacology, and injection technique. Dentists completing the Board-approved post-doctoral training course will receive supplemental instruction in the anatomy of the head and neck, neurophysiology, including facial tissues, parasympathetic, sympathetic, and peripheral nervous systems relative to peri-oral tissue, and facial architecture, as well as patient assessment, product selection, pharmacological effects and contraindications, and management of complications. Completion of this training will help ensure that dentists administering injectable pharmacologics do so in a safe and effective manner. The new rule does not authorize dentists to provide medical procedures or to engage in the practice of medicine, as the commenter suggests. As noted above in the Response to Comment 1, N.J.A.C. 13:30-8.4A(m) expressly provides that nothing in the rule shall be construed to authorize a dentist to treat diseases, disorders, or conditions that are outside of the scope of the practice of dentistry as defined in N.J.S.A. 45:6-19 of the Dental Practice Act. Dentists are authorized by statute to diagnose, treat, prescribe, or operate on the peri-oral area. The administration of injectable pharmacologics for the enhancement of peri-oral tissue is within the scope of dental practice and, therefore, may appropriately be referred to as a "dental service." Lastly, the Board disagrees with the commenter's assertion that the administration of injectable pharmacologics by licensed dentists will result in economic harm to patients. As noted above, the Board believes that the training mandated under the new rule will help to ensure that dentists administering injectable pharmacologics do so in a safe and effective manner. 4. COMMENT: Dr. Bennett, on behalf of the American Society for Dermatologic Surgery Association (ASDSA) believes that the training requirements in the new rule fail to offer sufficient patient safety protections. The commenter expressed concern about the number of non-physicians practicing medicine and the resulting impact on patient safety, and noted that the injection of dermal fillers and neurotoxins requires extensive, specialized physician knowledge in order to ensure the highest level of care. The commenter noted that complications resulting from the use of neurotoxins and dermal fillers, while rare, are frequently caused by poor injection technique. The commenter observed that proper management of complications requires experience with wound healing on the skin and, therefore, requires a medical, rather than dental, background. The commenter expressed concern that the training required under the rule will not adequately prepare dentists to administer these agents, noting that appropriate training should include instruction in: normal facial anatomy and the changes that occur with aging and illness; the location, thickness, and properties of the soft tissue layers, and the location and course of major arteries and nerves; injection techniques; post-operative care; and potential complications and their management. The commenter noted that medical specialties such as dermatology, plastic surgery, otolaryngology, and ophthalmology, include training in these areas as part of their residency curriculum. The commenter also noted that injectable fillers are not classified as "injectable pharmacologics" by the Food and Drug Administration (FDA), but rather as "medical devices." As such, the commenter believes that the definition of "injectable pharmacologic" in new rule N.J.A.C. 13:30-8.4A(a) contradicts the FDA classification of these products. The commenter believes that the Board has exceeded its statutory authority by authorizing dentists to practice medicine, noting that the injections of dermal fillers and neurotoxins do not constitute the practice of dentistry. The commenter notes that the Dental Practice Act defines "dental practice" to include treatment of the teeth and its associated oral cavity tissues. The commenter noted that the ASDSA is not aware of any use of dermal fillers, either FDA-approved or off-label, beyond the treatment of, and immediately below, the dermis of the skin. In addition, the commenter noted that neurotoxins are only approved to treat wrinkles between the eyebrows. RESPONSE: The Board disagrees with the commenter's assertions that dentists are not adequately trained to administer injectable pharmacologics in a safe manner, and that only physicians should be permitted to provide such services. As noted above in the Response to Comment 1, dentists receive extensive training in dental school in facial anatomy, physiology, neurophysiology, pharmacology, and injection technique. Dentists completing a Board-approved post-doctoral training course will receive supplemental instruction in the anatomy of the head and neck, neurophysiology, including facial tissues, parasympathetic, sympathetic, and peripheral nervous systems relative to peri-oral tissue, and facial architecture, as well as patient assessment, product selection, pharmacological effects and contraindications, and management of complications. The Board believes that completion of this training will help ensure that dentists administering injectable pharmacologics do so in a safe and effective manner. The Board also disagrees with the commenter's assertion that the definition of "injectable pharmacologic" in N.J.A.C. 13:30-8.4A(a) contradicts the Federal classification of the products referenced in the rule. The definition of "injectable pharmacologics" in N.J.A.C. 13:30-8.4A(a) provides that dentists may administer medications or similar products that have been "approved by the Federal Food and Drug Administration." The Board's definition is designed to capture medications that are classified as "injectable pharmacologics," as well as other products, such as injectable fillers, that the FDA classifies as medical devices. In addition, the new rule does not authorize dentists to practice medicine, as the commenter suggests. As noted above in the Response to Comment 1, N.J.A.C. 13:30-8.4A(m) expressly provides that nothing in the rule shall be construed to authorize a dentist to treat diseases, disorders, or conditions that are outside of the scope of the practice of dentistry as defined in N.J.S.A. 45:6-19 of the Dental Practice Act. N.J.S.A. 45:6-19 defines the practice of dentistry to include "being able to diagnose, treat, prescribe or operate for any disease, pain, deformity, deficiency, injury, or physical condition of the human tooth, teeth, alveolar process, gums, cheek, or jaws, or oral cavity and associated tissues." Under the new rule, a dentist may only administer injectable pharmacologics for the cosmetic or functional enhancement of the peri-oral area, which is defined in N.J.A.C. 13:30-8.4A(a) as the gums, cheeks, jaws, lips, and oral cavity and associated tissue. This definition is consistent with the statutory parameters established under N.J.S.A. 45:6-19. Lastly, as noted above in the Response to Comment 1, the Board consulted with the Board of Medical Examiners about the new rule prior to the publication of the notice of proposal, and the Board of Medical Examiners does not object to the rule. 5. COMMENT: Drs. Haeck and Smotrich, on behalf of the American Society of Plastic Surgeons (ASPS) and the New Jersey Society of Plastic Surgeons (NJSPS), believe that the new rule relates to the practice of medicine and is, therefore, outside the purview of the Board to regulate. The commenters believe that there are no uses for dermal fillers that relate, in any manner, to the maintenance of oral and dental health. Although the commenters note that there have been isolated instances when Botox<(R)> has been used by dentists in an off-label context for the treatment of TMJ disorders, they do not believe that this product has practical applications related to oral health. The commenters believe that injectable pharmacologics should only be administered by a licensed medical doctor or doctor of osteopathy. The commenters note that there are many injectable pharmacologics and fillers that would be covered under the proposed new rule, with each product presenting its own unique set of potential complications, including severe allergic or neurotoxic reactions, infection, granulomas, and disfiguring keloid or other scar formations. The commenters note that such complications, although rare, require the treating provider to have the extensive training and education that only medical schools provide. [page=3099] The commenters note that although some state laws permit properly trained non-medical personnel to perform minimally invasive medical procedures, such procedures must be performed under the direct supervision of a licensed physician, and the physician must maintain direct responsibility for all treatments being delegated to nonphysicians. The commenters, therefore, objected to proposed new rule N.J.A.C. 13:30-8A.4(j), which would allow non-physician dentists to supervise and delegate the administration of injectable pharmacologics to other licensed health care professionals. The commenters also observed that the Board of Medical Examiners currently prohibits physicians with a medical degree from delegating the administration of Botox<(R)> and dermal fillers to nonphysicians. RESPONSE: The Board disagrees with the commenters' assertions that the administration of injectable pharmacologics may only be performed by physicians and that dentists lack appropriate training to administer such medications in a safe and effective manner, and reiterates the Response provided above to Comment 1. The new rule authorizes appropriately trained dentists to administer injectable pharmacologics for the enhancement of peri-oral tissue, consistent with the scope of dental practice authorized pursuant to N.J.S.A. 45:6-19 and is, therefore, within the Board's statutory purview to regulate. In addition, the Board disagrees with the commenter's assessment of the new rule's delegation provision in N.J.A.C. 13:30-8.4A(j). N.J.A.C. 13:30-8.4A(j) does not allow a dentist to delegate the administration of an injectable pharmacologic to any licensed health care professional as the commenter suggests. The rule expressly provides that a dentist may only delegate such administrations to a licensed healthcare professional who is authorized by his or her scope of practice to provide injections at the direction of a dentist. Moreover, the new rule does not create any inconsistency or conflict with any rules or guidelines issued by the Board of Medical Examiners with respect to the delegation of such services to non-physicians because the administration of injectable pharmacologics for the functional enhancement of peri-oral tissue by licensed and appropriately trained dentists is squarely within the scope of dental practice. As noted above in the Response to Comment 1, the Board of Dentistry consulted with the Board of Medical Examiners about the new rule prior to the publication of the notice of proposal, and the Board of Medical Examiners does not object to the rule. 6. COMMENT: Drs. Freund and Schulhof, on behalf of the American Academy of Facial Cosmetics, which provides training for healthcare professionals in injectable pharmacologics, expressed support for the new rule, noting that dentists have more expertise than other healthcare professionals in facial anatomy and injecting techniques. The commenters, however, expressed concern regarding the requirement that the training course be offered at an accredited dental school, in a hospital-based program, or in a college or university clinical setting. The commenters observed that offering training programs in hospitals and universities may prove difficult because certain medical professionals view dentists as competitors for viable professional revenue. The commenters note that many healthcare professionals who are presently injecting these agents were primarily taught the procedures from a private trainer or from a product sales representative. The commenters, therefore, recommend that the Board amend the new rule to eliminate the requirement that the training course be offered at an accredited dental school, in a hospital-based program, or in a college or university clinical setting. The commenters also expressed concern regarding the new rule's restriction of injections to the peri-oral area. The commenters noted that most botulinum treatments are given further away than the direct peri-oral area. The commenters believe that dentists should be permitted to administer these agents to treat the full facial region, just as physicians are authorized to do. RESPONSE: The Board thanks the commenters for their support of the new rule. The Board, however, declines to amend the rule to eliminate the requirement that approved training courses must be offered at accredited dental schools, in hospital-based programs, or in college or university settings, as the commenters suggest. The Board believes that training courses offered in these settings provided licensees with a more structured learning experience than would be possible in less formal, non-academic, or non-clinical settings. The Board also notes that the new rule's requirement that the training course be offered at an accredited dental school, in a hospital-based program, or in a college or university clinical setting is consistent with the training requirements currently imposed by the Board on dentists seeking to administer parenteral conscious sedation or enteral sedation, as set forth in existing Board rules N.J.A.C. 13:30-8.2 and 8.4. As noted above in the Response to Comment 1, the new rule limits a dentist's administration of injectable pharmacologics to the peri-oral area consistent with the scope of dental practice established in N.J.S.A. 45:6-19 of the Dental Practice Act. Therefore, the Board cannot amend the rule to permit dentists to administer injectable pharmacologics outside of the peri-oral area, as the commenters suggest. 7. COMMENT: Dr. James, on behalf of the American Academy of Dermatology Association (AADA), believes that the use of injectable pharmacologics is the practice of medicine, specifically within the scope of dermatologic practice. The commenter noted that the practice of dermatology includes, but is not limited to, performing any act or procedure that can alter or cause biologic change or damage to the skin and subcutaneous tissue. Any procedure using any approved device that can alter or cause biologic change or damage, therefore, should be performed only by an appropriately trained physician or by non-physician personnel under the direct, on-site supervision of an appropriately trained physician. The commenter also believes that the rule's training requirements in N.J.A.C. 13:30-8.4A(d) and (f) will not ensure patient safety. The commenter noted that training to inject dermal fillers, which can damage living tissue, requires specific, long-term training, such as a residency, in cutaneous dermatologic procedures. The commenter does not believe that a dentist's education includes appropriate training in the use of dermal fillers, nor does he believe that the new rule's 21-hour training program will adequately prepare general dentists to use these products. The commenter notes that the focus of a general dentist's education in dental school is oral health, rather than the skin and soft tissue. The commenter noted that dentists are not required to demonstrate competency in procedures involving skin and soft tissue augmentation involving products that can alter or damage living tissue, such as dermal fillers. The commenter believes that the basic training authorized under the rule is not equivalent to a physician's training and understanding of this medical procedure. The commenter also noted that the use of FDA-approved injectable fillers in the dermis or mid-to-deep dermis require extensive knowledge of facial anatomy to ensure proper placement of the injections. In addition, the commenter noted that the FDA's Consumer Health Information materials suggest that patients should discuss the use of dermal fillers with a doctor who can refer the patient to a specialist in the fields of dermatology or aesthetic plastic surgery. RESPONSE: The Board disagrees with the commenter's assertions that the administration of injectable pharmacologics may only be performed by physicians and that dentists lack appropriate training to administer such medications in a safe and effective manner, and reiterates the Response provided above to Comment 1. The new rule authorizes appropriately trained dentists to administer injectable pharmacologics for the enhancement of peri-oral tissue in a dental treatment setting, consistent with the scope of dental practice authorized pursuant to N.J.S.A. 45:6-19. The new rule does not authorize a dentist to perform medical procedures. The Board also notes that the Federal Food and Drug Administration has not adopted any regulations, nor issued any pronouncements or guidelines, that preclude a dentist from administering injectable pharmacologics consistent with the scope of dental practice established in N.J.S.A. 45:6- 19. 8. COMMENT: Dr. Maves, on behalf of the American Medical Association (AMA), noted that medical school students receive comprehensive training in all organ systems, but dental students are trained in oral health. The commenter also noted that medical students received a broad-based, comprehensive education that enables them, as future physicians, to understand how different interventions, such as those contemplated in the new rule might affect a patient's overall health. The commenter also noted that in a medical student's education, pharmacology is integrated into the comprehensive content of biomedical sciences, whereas a dental student's pharmacology training is limited to [page=3100] oral health. The commenter believes that the "peri-oral area" created in the new rule is beyond the scope of a dentist's education and training. The commenter also noted that following medical school, medical residents typically enter into one of several specialty fields, which build on this comprehensive medical education with further emphasis on the treatment and management of disease, including how those treatments may affect other systems in the human body. Such specialties require an additional three-to-seven years of training before the resident is ready to independently perform procedures such as those identified in N.J.A.C. 13:30-8.4A. The commenter noted that dental students receive no such additional training, and that the procedures authorized under the rule require much more than the basic training in oral health that dental students receive. The commenter does not believe that the 21-hour course outlined in the new rule will adequately educate or train dentists to administer injectable pharmacologics. The commenter contends that the new rule seeks to provide legal authority for dentists to perform procedures that they are not legally authorized to perform. RESPONSE: The Board strongly disagrees with the commenter's assertion that a dental student's education is limited to "oral health." As noted above in the Response to Comment 1, dentists receive extensive training in dental school in facial anatomy, physiology, neurophysiology, pharmacology, and injection technique. In addition, dentists completing the Board-approved post-doctoral training course will receive supplemental instruction in the anatomy of the head and neck, neurophysiology, including facial tissues, parasympathetic, sympathetic, and peripheral nervous systems relative to peri-oral tissue, and facial architecture, as well as patient assessment, product selection, pharmacological effects and contraindications, and management of complications. Completion of this training will help ensure that dentists administering injectable pharmacologics do so in a safe and effective manner. Moreover, the Board disagrees with the commenter's assertion that dentists are not legally authorized to provide the services authorized under the rule and reiterates the Response provided above to Comment 1. Dentists are authorized under N.J.S.A. 45:6-19 of the Dental Practice Act to diagnose, treat, prescribe, or operate on teeth, the alveolar process, gums, cheek, jaws, or the oral cavity and associated tissue. The new rule authorizes appropriately trained dentists to administer injectable pharmacologics for the enhancement of peri-oral tissue, consistent with the scope of dental practice authorized pursuant to N.J.S.A. 45:6-19. Therefore, dentists are legally authorized to provide such services. The Board received no comments on its proposal to amend N.J.A.C. 13:30-8.1. (d) fee: . dental dental . . . . A Federal standards analysis is not required because the adopted amendment and new rule are governed by N.J.S.A. 45:6-1 et seq., and are not subject to any Federal requirements or standards. Full text of the adoption follows: SUBCHAPTER 8. GENERAL PROVISIONS 13:30-8.1 Fee schedules (a)-(c) (No change.) Divisional: DCA Home \| Complaint Forms \| Proposals \| Adoptions \| Contact DCA Departmental: OAG Home \| Contact OAG \| About OAG \| OAG News \| OAG FAQs Statewide: NJ Home \| Services A to Z \| Departments/Agencies \| Copyright © State of New Jersey This page is maintained by DCA. Comments/Questions: email Page last modified: undefined, undefined NaN, NaN Reinstatement 1. Dentists. . . $200.00 . . . . . . . . . . . . . . . . . . . . . . . . 2. Dental hygienists, registered assistants and limited $100.00 registered assistants. . . . . . . . . . . . . . . . (e)-(f) (No change.) 13:30-8.4A Administration of injectable pharmacologics (a) For purposes of this section, the following words and terms shall have the following meanings, unless the context clearly indicates otherwise. "Injectable pharmacologic" means any medication classified as a neurotoxin, adjuvant or therapeutic agent including, but not limited to, hyaluronic acid (such as Restylane<(R)>), fillers (such as collagen), Botulinum Toxin Type A (such as Botox<(R)>) or similar products that have been approved by the Federal Food and Drug Administration. "Peri-oral area" means the gums, cheeks, jaws, lips and oral cavity and associated tissues. (b) No dentist shall administer an injectable pharmacologic unless the minimum standards of training and procedure set forth in this section are satisfied. (c) A dentist may administer an injectable pharmacologic for the cosmetic or functional enhancement of peri-oral tissue only in a dental treatment setting. (d) A dentist may administer an injectable pharmacologic only after having completed a Board-approved post-doctoral course that is sufficient to prepare a dentist to satisfactorily administer injectable pharmacologics safely and effectively, as provided in (f) below. The course shall be offered at an accredited dental school, in a hospital-based program or in a college or university clinical setting. (e) Notwithstanding (d) above, a dentist who holds a specialty permit in oral and maxillofacial surgery issued by the Board pursuant to N.J.A.C. 13:30-6.1 shall not be required to complete the Board-approved course set forth in (f) below prior to administering injectable pharmacologics. (f) In order to obtain Board approval for a course on injectable pharmacologics, a course provider shall submit a course outline, including course content and objectives and the curriculum vitae of the instructor(s), for Board review and approval. The course outline shall indicate whether the training is visual, hands-on or lecture. An approved course shall be at least 21 hours in length and shall include instruction in the following: 1. Anatomy of head and neck; 2. Neurophysiology, including facial tissues, parasympathetic, sympathetic and peripheral nervous systems relative to peri-oral tissue, and facial architecture; 3. Patient selection, including indications and contraindications; 4. Pharmacological effects and contraindications, including potential drug interactions; 5. Management of complications; and 6. Informed consent. (g) The course administrator shall issue a certificate of completion to a dentist who successfully completes the approved course. (h) A dentist who desires to administer injectable pharmacologics shall submit to the Board, within 30 days of completing the course, a certified true copy of the certificate of course completion provided to the dentist by the course administrator. (i) Prior to administering, dispensing or prescribing injectable pharmacologics to a patient, the dentist shall conduct an appropriate physical examination within the scope of dental practice, obtain a complete medical history, including the patient's previous medications, allergies and Contact Us \| Privacy Notice \| Legal Statement \| Accessibility Statement sensitivities and comprehensively assess the dental needs of the patient. The patient history shall be maintained in the patient's record for a period of not less than seven years. Specific notations on the use of injectable pharmacologics, including the type of agent, dosage, duration and any untoward reactions, shall be recorded in the patient record. (j) A dentist shall not delegate the administration of an injectable pharmacologic, except to a licensed health care professional who is authorized pursuant to the laws and/or rules in this State governing the professional's health care practice to provide injections under the direction of a dentist. (k) The use of injectable pharmacologics without first having met the minimum standards for training and the procedures contained in this section shall constitute a deviation from the acceptable standards of practice required of a licensee and may subject a dentist to the penalties set forth in N.J.S.A. 45:1-21 et seq. (l) A dentist shall not advertise, offer or otherwise represent the provision of treatment or services related to injectable pharmacologics unless the dentist has completed the Board-approved course outlined in (f) above. (m) Nothing in this section shall be construed to authorize a dentist to treat diseases, disorders or conditions that are outside the scope of the practice of dentistry, as defined in N.J.S.A. 45:6-19.
Generating Multilingual Descriptions from Linguistically Annotated OWL Ontologies: the NaturalOWL System Dimitrios Galanis and Ion Androutsopoulos Department of Informatics Athens University of Economics and Business Patission 76, GR-104 34 Athens, Greece Abstract We introduce Natural owl , an open-source multilingual natural language generator that produces descriptions of instances and classes, starting from a linguistically annotated ontology. The generator is heavily based on ideas from ilex and m-piro , but it is in many ways simpler and it provides full support for owl dl ontologies with rdf linguistic annotations. Natural owl is written in Java, and it is supported by m-piro 's authoring tool, as well as an alternative plug-in for the Prot´eg´e ontology editor. 1 Introduction In recent years, considerable eﬀort has been devoted to the Semantic Web (Antoniou and van Harmelen, 2004), which can be thought of as an attempt to establish mechanisms that will allow computer applications to reason more easily about the semantics of the Web's resources (documents, services, etc.). Domain ontologies play a central role in this endeavour: in eﬀect, they establish domain-dependent semantic vocabularies (classes of entities; particular entities, called instances; properties of instances; axioms governing their use) that can be used to publish on the Web knowledge in shared machine-readable representations, and to annotate other resources (e.g., documents, videos) with machine-readable metadata describing aspects of their semantics. In the case of natural language documents, some semantic annotations can be produced automatically via ontology-aware information extraction (Bontcheva and Cunningham, 2003); but information extraction can currently provide reliably only relatively simple types of semantic information, mostly by identifying and classifying named entities, and, less reliably, relations between them. When texts are generated automatically from formal knowledge bases, however, the generator can easily annotate the texts with much richer information, including full representations of their semantics, expressed in machine-readable markup. In fact, an entire strand of work in natural language generation ( nlg ) has focused on generating textual descriptions of an ontology's classes or instances. A well-known example of such work is ilex (O'Donnell et al., 2001), which was demonstrated mostly with ontologies of museum exhibits. More recently, the m-piro project (Androutsopoulos et al., 2007) developed a multilingual extension of ilex , which was tested in several domains, including museum exhibits and computing equipment. In this type of work, the ontology's role is no longer simply to provide a semantic vocabulary; the ontology acts as a repository of knowledge, and parts of the knowledge (e.g., information pertaining to particular instances or classes) can be rendered automatically in multiple natural languages or in a machine-readable form that carries the same semantic content. For example, m-piro 's generator can deliver a description like the following to a human on-line shopper, A110: This is a laptop, manufactured by Toshiba. It has a Centrino Duo processor, 512 MB RAM, and an 80 GB hard disk. Its speed is 1.7 GHz and it costs 850 Euro. and the following semantically equivalent formal representation to a software agent. 1 Alternatively, each individual sentence of the text could be marked up with a machine readable semantic representation. <Laptop rdf:ID="A110"> <manufacturedBy rdf:resource="#toshiba" /> <hasProcessor rdf:resource="#centrinoDuo" /> <hasMemory rdf:datatype="...#string">512 MB</memory> <hasDisk rdf:datatype="...#string">80 GB</disk> <speed rdf:datatype="...#string">1.7 GHz</speed> <cost rdf:datatype="...#string">850 Euro</cost> </Laptop> The standard formalism for publishing ontologies on the Semantic Web ( sw ) is currently owl . 2 There are application domains (e.g., on-line shops) where one can envisage future sw sites that will maintain and publish their content entirely in the form of owl ontologies. Then, nlg technology, embedded in server or browser plug-ins, could be used to render parts of the owl ontologies in multiple natural 1 For simplicity, we show scalar values as strings that include the units of measurements. More principled, languageindependent representations of these values are also possible. 2 Consult http://www.w3.org/TR/owl-features/. languages or equivalent machine-readable representations on demand (Androutsopoulos et al., 2007). nlg can, thus, be seen as a key technology of the sw , which makes knowledge accessible to both humans and computers, a major target of the sw . In this paper, we introduce Natural owl , a prototype open-source natural language generator intended to demonstrate what nlg can oﬀer to the sw . 3 Natural owl is heavily based on ideas from ilex and m-piro , but unlike its predecessors it provides full support for owl dl , the most principled version of owl that corresponds to description logic (Baader et al., 2002); many nlg researchers will be familiar with this form of logic. Our previous attempts to support owl in m-piro 's generator ran into problems, because of incompatibilities between owl and m-piro 's ontological model (Androutsopoulos et al., 2005). Compared to ilex and m-piro , Natural owl is also simpler; for example, it is entirely template-based, as opposed to the Systemic Grammars its predecessors employed. 4 Although future work may enhance some of Natural owl 's components, the simplicity of the current system makes it easier to explain to sw researchers, who may not be familiar with nlg . It also simpliﬁes the task of extending the system to support additional natural languages. Natural owl currently supports English and Greek. It has been argued (Mellish and Sun, 2006) that in most owl ontologies, classes and properties are given names that are either English words (e.g., Laptop, cost) or concatenations of English words (e.g., manufacturedBy, hasMemory). Based on this observation, Sun and Mellish (2006) generate texts from rdf descriptions, rdf being the description formalism on which owl is based, without any domain-dependent linguistic resources. They use WordNet to tokenize the names of classes and properties, as well as to assign part-of-speech ( pos ) tags to tokens, and this allows them to guess that a class name like Laptop above is in fact a noun that can be used to refer to that class, or that <manufacturedBy rdf:resource="#toshiba" /> should be expressed in English as "[This laptop] was manufactured by Toshiba". Hewlett et al. (2005) adopt very similar techniques. This approach, however, is problematic when texts have to be generated in multiple languages. Even in the monolingual case, there are signiﬁcant problems: for example, a pos -tagger is often needed to distinguish between noun and verb uses of the same token, and morphological or even syntactic analysis is needed (especially in highly inﬂected languages) to extract tokens from class and 3 Natural owl and its Prot´eg´e plug-in can be downloaded from http://www.aueb.gr/users/ion/publications.html. 4 Consult http://www.ltg.ed.ac.uk/methodius/ for another oﬀspring of m-piro 's generator that uses ccg grammars. property names and convert them into grammatical phrases; in eﬀect, this re-introduces the need to interpret texts. Furthermore, our experience is that generating high-quality texts often requires linguistic information that is not present, not even indirectly, in owl ontologies, nor can it be embedded conveniently in them (Androutsopoulos et al., 2005). Below we present brieﬂy Natural owl 's processing stages and its annotations of owl ontologies. Following Wilcock (2003), the processing stages communicate in xml , but they are implemented in Java, instead of xslt , and there is a clearer separation between processing code and linguistic resources. We, therefore, propose to annotate owl ontologies with stand-oﬀ rdf markup that associates elements of the ontologies (e.g., classes, properties) with domain-dependent linguistic resources (e.g., lexicon entries, templates). We believe that this kind of linguistic annotation should be a standard part of ontology engineering for the sw ; apart from allowing parts of the ontology to be presented to end-users in natural language, it facilitates presenting ontologies to domain experts for validation; and the annotations can also be useful when querying or extending ontologies via natural language (Katz et al., 2002; Bernstein and Kaufmann, 2006). Natural owl 's rdf linguistic annotations will hopefully contribute towards a discussion in the nlg community on how to annotate owl ontologies with linguistic information, and this may eventually produce standards that will allow alternative nlg components to render owl ontologies in natural language, in the same way that alternative browsers can be used to view html pages. 2 Document planning When instructed to produce a natural language description of an instance, Natural owl ﬁrst selects from the ontology all the logical facts that are directly relevant to that instance; for example, when describing the laptop of the ﬁrst page, it would select the fact that the instance is a Laptop, the fact that its manufacturer is Toshiba, etc. 5 Natural owl may be instructed to include facts that are further away in a graph representation of the ontology, up to a maximum (conﬁgurable) distance; setting the distance to two when describing a statue, for example, would also include in the selected facts information about the statue's sculptor (e.g., the country and year they were born in). This is very similar 5 To save space, we restrict the discussion to descriptions of instances. Natural owl can also describe classes, but it conveys only information that is explicit in the ontology, unlike the work of Mellish and Sun (2005), where class descriptions also convey inferred facts. There are also separate stand-oﬀ annotations that specify how interesting each type of fact is per user type, and other user modelling information, much as in ilex and m-piro . The ordering annotations could also be made sensitive to user type and target language. to ilex 's content selection, but without employing rhetorical relations. The selected facts of distance one are then ordered by consulting ordering annotations (see owlnl:order below), which specify a partial order of properties (e.g., that the manufacturer should be mentioned ﬁrst, followed by the processor, memory and disk in any order, and then the price); is-a facts are always mentioned ﬁrst. Second distance facts are always placed right after the corresponding directly relevant facts, producing texts like "This is a statue. It was sculpted by Nikolaou, who was born in Athens in 1968. This statue is made of marble and it. . . ". In the application domains we have considered, this ordering scheme was adequate, although in other domains more elaborate text planning approaches may be needed; consult, for example, Bontcheva and Wilks (2004) for an application of text schemata to nlg from ontologies. 3 Microplanning, surface realisation For each property, one or more micro-plans need to be speciﬁed per language. Natural owl 's microplans are templates, each consisting of a sequence of slots. Each slot can be ﬁlled by an expression referring to the owner of the property (the laptop, in the case of manufacturedBy), the value (ﬁller) of the property (Toshiba), or a string. The following rdf annotations refer to the manufacturedBy property. 6 After setting the property's order, they deﬁne an English micro-plan, according to which <manufacturedBy rdf:resource="#toshiba" /> should be rendered in English as a phrase starting with (ﬁrst slot) a nominative expression referring to the owner (the laptop). The owlnl:retype element of the ﬁrst slot allows the system to select automatically among using the owner's name in natural language (if it has one), a noun phrase (e.g., "this laptop"), or a pronoun to refer to the owner, depending on context. The second slot will be ﬁlled by the string "was manufactured", which is marked up as being a past passive verb form; this additional markup is needed when aggregating phrases to form longer sentences. The third and fourth slots will be ﬁlled by the string "by" and an accusative automatically selected referring expression corresponding to the ﬁller, respectively. The micro-plan may generate, for example, a phrase like "It was manufactured by Toshiba". 7 6 The linguistic annotations are kept in separate ﬁles from the owl ontology, but they refer to its elements via their unique identiﬁers; we abbreviate the identiﬁers to save space. 7 Although owl properties (and other elements of owl ontologies) can be associated with strings in multiple languages via rdfs:label tags, this mechanism is inadequate for template micro-plans; for example, it provides no principled way to indicate positions where referring expressions should be placed, or to annotate sub-strings with syntactic categories. ``` <owlnl:property rdf:about="...#manufacturedBy"> <owlnl:order>1</owlnl:order> <owlnl:EnglishMicroplans ...> <owlnl:microplan ...> <owlnl:aggrAllowed>true</owlnl:aggrAllowed> <owlnl:slots ...> <owlnl:owner> <owlnl:case>nominative</owlnl:case> <owlnl:retype>re_auto</owlnl:retype> </owlnl:owner> <owlnl:verb> <owlnl:voice>passive</owlnl:voice> <owlnl:tense>past</owlnl:tense> <owlnl:val>was manufactured</owlnl:val> </owlnl:verb> <owlnl:text> <owlnl:val>by</owlnl:Val> </owlnl:text> <owlnl:filler> <owlnl:case>accusative</owlnl:case> <owlnl:retype>re_auto</owlnl:retype> </owlnl:filler> </owlnl:slots> </owlnl:microplan> </owlnl:EnglishMicroplans> <owlnl:GreekMicroplans ...> ``` ... </owlnl:Property> Natural owl currently employs a very simple algorithm for generating referring expressions: once the instance being described has been introduced by mentioning its class (e.g., "This is a statue."), it uses pronouns to refer to that instance (e.g., "It was sculpted by Nikolaou."), until the focus moves to another instance ("Nikolaou was born in Athens. He was born in 1968."). Then, when the focus returns to the original instance, a demonstrative is used ("This statue is made of. . . "). As in m-piro , some properties may contain canned strings, and there are special annotations to ﬂag canned strings that change the focus. Again, more elaborate referring expression generation algorithms can be added. To be able to generate expressions like "this is a statue" or "this laptop", Natural owl requires owl classes to be associated with noun phrases (more precisely n-bars). This is illustrated in the rdf statements below, where the class Laptop is associated with a noun phrase entry laptop-NP of Natural owl 's domain-dependent multilingual lexicon, also expressed in rdf . The lexicon entry lists the various forms of the noun phrase, provides information on gender etc. The nominative singular form in Greek would be "forhtìc upologist c" (portable computer). We have considered associating classes with WordNet (or EuroWordNet) synsets, but the domain ontologies we have experimented with contain highly technical concepts, which are not covered by WordNet. Nevertheless, we plan to consider emerging standards for linguistic annotations (Ide and Romary, 2004), especially regarding the lexicon. The phrases of the micro-plans are then aggregated in longer sentences, using roughly m-piro 's aggregation rules (Melengoglou, 2002). This produces the ﬁnal text, and, hence, there is no separate surface realization phase, apart from adding presentation markup, markup for speech synthesizers etc. ``` <owlnl:owlClass rdf:about="...#Laptop"> <owlnl:hasNP rdf:resource="#laptop-NP"/> </owlnl:owlClass> <owlnl:NP rdf:ID="laptop-NP"> <owlnl:LanguagesNP ...> <owlnl:EnglishNP> <owlnl:gender>nonpersonal</owlnl:gender> <owlnl:singular ...>laptop</owlnl:singular> <owlnl:plural ...>laptops</owlnl:plural> </owlnl:EnglishNP> <owlnl:GreekNP> <owlnl:gender>masculine</owlnl:gender> <owlnl:singularForms> <owlnl:nominative ...>...</owlnl:nominative> <owlnl:genitive ...>...</owlnl:genitive> <owlnl:accusative ...>...</owlnl:accusative> </owlnl:singularForms> ... </owlnl:NP> ``` 4 Source authoring Natural owl is supported by m-piro 's authoring tool (Androutsopoulos et al., 2007), which has been extended by ncsr "Demokritos" to be compatible with owl dl . The tool helps "authors" port Natural owl to new application domains, including the tasks of ontology construction, deﬁning micro-plans, creating the domain-dependent lexicon, etc. Natural owl is also accompanied by a plug-in for Prot´eg´e, an ontology editor most sw researchers are familiar with. 8 The plug-in provides the same functionality as m-piro 's authoring tool. Consult also Bontcheva (2004) for related work on authoring tools. 5 Conclusions and further work We introduced Natural owl , an open-source natural language generator for owl dl ontologies that currently supports English and Greek. The system is intended to demonstrate the beneﬁts of adopting nlg techniques in the Semantic Web, and to contribute towards a discussion in the nlg community on relevant annotation standards. Natural owl was partly developed and is being extended in project Xenios, where it is used by mobile robots acting as museum guides, an application that requires, among others, extensions to generate spatial expressions. 9 References I. Androutsopoulos, S. Kallonis, and V. Karkaletsis. 2005. Exploiting owl ontologies in the multilingual generation of object descriptions. In 10th European Workshop on nlg , pages 150–155, Aberdeen, uk . 8 See http://protege.stanford.edu/. 9 Xenios is funded by the European Union and the Greek General Secretariat for Research and Technology; consult http://www.ics.forth.gr/xenios/ for further information. I. Androutsopoulos, J. Oberlander, and V. Karkaletsis. 2007. Source authoring for multilingual generation of personalised object descriptions. Natural Language Engineering. In press, available on-line. G. Antoniou and F. van Harmelen. 2004. A Semantic Web Primer. mit Press. F. Baader, D. Calvanese, D.L. McGuinness, D. Nardi, and P.F. Patel-Schneider, editors. 2002. The Description Logic handbook: theory, implementation and application. Cambridge University Press. A. Bernstein and E. Kaufmann. 2006. gino – a guided input natural language ontology editor. In 5th Int. Semantic Web Conference, pages 144–157, Athens, ga . K. Bontcheva and H. Cunningham. 2003. The Semantic Web: a new opportunity & challenge for Human Language Technology. In Workshop on Human Language Technology for the Semantic Web and Web Services, 2nd Int. Semantic Web Conf., Sanibel Island, fl . K. Bontcheva and Y. Wilks. 2004. Automatic report generation from ontologies: the miakt approach. In 9th Int. Conf. on Applications of Natural Language to Information Systems, pages 324–335, Manchester, uk . K. Bontcheva. 2004. Open-source tools for creation, maintenance, and storage of lexical resources for language generation from ontologies. In 4th Conf. on Language Resources & Evaluation, Lisbon, Portugal. D. Hewlett, A. Kalyanpur, V. Kolovski, and C. Halaschek-Wiener. 2005. Eﬀective nl paraphrasing of ontologies on the Semantic Web. In Workshop on End-User Semantic Web Interaction, 4th Int. Semantic Web conference, Galway, Ireland. N. Ide and L. Romary. 2004. International standard for a linguistic annotation framework. Natural Language Engineering, 10(3/4):211–225. B. Katz, J. Lin, and D. Quan. 2002. Natural language annotations for the Semantic Web. In International Conference on Ontologies, Databases, and Application of Semantics, University of California, Irvine. A. Melengoglou. 2002. Multilingual aggregation in the m-piro system. Master's thesis, School of Informatics, University of Edinburgh, uk . C. Mellish and X. Sun. 2005. Natural language directed inference in the presentation of ontologies. In 10th European Workshop on nlg , Aberdeen, uk . C. Mellish and X. Sun. 2006. The Semantic Web as a linguistic resource: opportunities for Natural Language Generation. Knowledge Based Systems, 19:298–303. M. O'Donnell, C. Mellish, J. Oberlander, and A. Knott. 2001. ilex : an architecture for a dynamic hypertext generation system. Natural Language Engineering, 7(3):225–250. X. Sun and C. Mellish. 2006. Domain independent sentence generation from rdf representations for the Semantic Web. In Combined Workshop on LanguageEnabled Educational Technology and Development and Evaluation of Robust Spoken Dialogue Systems, European Conference on AI, Riva del Garda, Italy. G. Wilcock. 2003. Talking owl s: towards an ontology verbalizer. In Workshop on Human Language Technology for the Semantic Web, 2nd Int. Semantic Web Conf., pages 109–112, Sanibel Island, fl .
Contribution of Variables to the Role Performance of Char Women in Maintaining Sustainable Livelihoods in Bangladesh Sultana Al-Amin, Gono Kollayan Trust, Shamolli, Dhaka Md Mostarfipur Rahman, Dept. of Agronomy & Ag. Ext'n and A.B.M. Sharif Uddin, IBS, University of Rajshahi, Bangladesh Md. Abdul Momen Miah, Dept. of Ag. Ext'n Education, Bangladesh Agricultural University Abstract: The main purpose of the study was to determine the contributing variables to the role performance of char women in maintaining sustainable livelihoods. The study was carried out in two Upazila (administrative units) under Jamalpur district in Bangladesh from November 2006 to March 2007. Data were collected from 200 randomly selected char women by using interview schedules and s correlation, multiple regression and path analyses to know the contributing variables with their direct and indirect effects. Analysis revealed that char women performed 23.24% role by utilizing human capital, 20.33% by natural capital, 19.69% by physical capital, 19.94% by social capital and 16.80% by financial capital. Out of 15 characteristics, 8 had positive correlations with their role performance. Stepwise regression analysis revealed that six variables namely participation in income-generating activities (47.5%), agricultural knowledge (10%), social participation (4.3%), organizational participation (2.1%), innovativeness (1.6%) and family size (1.4%) were important contributing variables which combined explained 66.9% of total variation on role performance. Path analysis indicated that participation in income-generating activities had the highest positive direct effect while social participation had the highest positive indirect effects. Women in the char area who had more participation in income-generating activities, better agricultural knowledge, more social participation, involvement in different organizational participation, more innovative and large family size were found to achieve better role performance. Char: Char is a tract of land surrounded by the waters of an ocean, sea, lake or stream or pieces of land resulting from the accretion of silt in river channels. Chars are the areas of new lands formed through the continual process of erosion and deposition in the major rivers and coastal areas of Bangladesh. There are two different types of chars; islands chars and attached chars. Island chars are surrounded by water all year round and can be reached from the main land by crossing a main channel. Attached chars are connected to the mainland and accessible without crossing a main channel during the dry season, yet are inundated or surrounded by water during the peak of a normal flood (normal monsoon). The island chars are flood more extensively than attached chars . The women who live in char areas are called char women. Introduction: Bangladesh is a developing country where 76.47% of the total population lives in rural areas (Agricultural Diary, 2007). About half (48.6%) of the population are women who play different roles in the economic and noneconomic sectors to make their livelihoods sustainable by using available assets (FAO, 2003). They work to provide not only for their family's own consumption but also their other requirements. The fundamental requirement for the improvement of livelihoods of the household is to enhance people's strength and the activities essential for the means of living. The livelihood approach is founded on a belief that people require a range of assets to achieve a positive livelihood outcome. The major livelihood assets are human, natural, financial, physical and social capitals. Rural women are intimately involved in all phases of agricultural activities in rural areas. They primarily work as unpaid family workers, accounting for 45.6% of the total employment in agriculture (FAO, 2003). The daily life of rural women is characterized by the search for water, fuel and inputs for agriculture or household production. In Bangladesh more than 600,000 (6 to 7% of the population) people live in char areas (Sarker et al., 2003). The main occupation in the chars relates to crop agriculture. The intensity with which agriculture can be pursued on a char depends very much on the stage of its development. Rice, the main crop, is cultivated in three seasons in char areas. Char people cultivate vegetables, pulses, wheat, groundnuts, chillies and maize. Farming includes owner cultivation as well as sharecropping. Wage labour is used in various operations. In some chars, fishing, rearing of cattle and trading of miscellaneous commodities is the primary occupation for many households. Thus people of char areas contribute significantly to our national economy. Samantha (2005) stated that the contribution of rural women in agriculture and homestead was huge both quantitatively and qualitatively. Rural women spend 40.4% and 15.4% time in home and farm related activities respectively. Although the day-to-day life of rural women is full of hardship, deprivation and the struggle to survive, they supplement the family income by undertaking different incomegenerating activities (Rahman, 1996). They earn money by working in different small-scale industries such as the cottage, foodprocessing and tobacco industries. They sew clothes, make baskets, papers and flower bases and rear poultry, livestock, bees and mushrooms. They even sell fertilizer, seed and packaging products. In some areas, they are also involved in processing jute for the market (Abdullah and Zeidenstein, 1982). Women work as wage earners in different domestic services and crop processing activities. Landless females are more involved with agricultural activities to earn a direct income (Ahsan, 1986). However, women's roles become limited and undermined because of their poor access to social capital which is the most intimately connected to the transforming structure and process. Social institutions, organizations, policies and legislation hinder women's roles in development activities. The present study was undertaken to find out the contributing variables to the role performance of char women in maintaining sustainable livelihoods. Material and Methods: Locale of the study Two upazila (administrative units), Islampur and Dewanganj, were selected randomly from Jamalpur district in Bangladesh. From each of the two upazilas, one union, namely Belgacha of Islampur upazila and Chukaibari union of Dewanganj upazila, were purposively selected for the study because they are both considered proper char areas. Village Munniar and Ghunapara from Belgacha union of Islampur upazila, village Halkerchar and Balugram from Chukaibari union of Dewanganj upazila were randomly selected. The geographical location of Islampur upazila is at 25 0 00' to 25 0 10' north latitude and 89 0 40' to 89 0 52' east longitude and the geographical location of Dewanganj upazila is at 25 0 10' to 25 0 26' north latitude and 89 0 40' to 89 0 48' east longitude. Population and sample of the study The total number of housewives of the households of these four villages namely Munniar char, Ghunapara, Halkerchar and Balugram comprised the population. 10% women of this population were randomly selected by using simple random sampling methods. The total sample size was 200. Measurement of dependent variable The dependent variable role performance was measured by computing a 'composite role performance index' based on each of the five components of the livelihood asset pentagon: (i) human capital, (ii) natural capital, (iii) physical capital, (iv) social capital, and (v) financial capital role performance index. Ten appropriate roles/activities were selected going through a rigorous process of item collection, items screening through field verification, judge rating, piloting, development of instruments etc. Ten activities were used to determine the role performance of char women based on each of the capitals. The respondents were asked to indicate their extent of performance for each of the 10 selected activities, which were related in supporting and strengthening their livelihoods. Their role performance was measured by using a 5-point rating scale - high, medium, low, very low and not at all. They were asked to indicate to what extent they were involved in performing the activities by indicating any of the five responses under each of the capitals. Appropriate weights such as 5, 4, 3, 2 and 1 were assigned to each of these responses. The role performance score of a respondent was calculated individual capital-wise and then combined into overall performance. Independent variables such as age, education, family size and farm size were measured by using the measuring units of year, year of schooling, number of members and hectare respectively. The annual income was measured on the basis of total earnings annually by all members of the family and expressed in Taka. The training experience of a char woman was determined by computing a 'training experience score' on the basis of total number of days for which she received training on various subject matters related to farming and non-farming provided by different GOs and NGOs during her life time. In order to know the level of knowledge of a respondent for each of the six technical aspects (variety and its attributes; time of transplanting and spacing; fertilizer management; weeding and irrigation; plant protection measures; and environment and ecology), 36 (6×6) questions with six levels of cognitive behavior were included in the questionnaire to represent knowledge on vegetable cultivation. The total credit for the 36 questions was 60. Full scores were given for correct answers, zero for wrong and partial scores for partially correct answers. In calculating the social participation score, two dimensions - extent of participation and nature of participation in social activities - were considered. Scoring for extent of participation was '0' for not at all, '1' for low, '2' for moderate and '3' for regular participation. The scoring for nature of participation was '1' for indirect and '2' for direct. The social participation score was computed for each of the social activities by multiplying the score obtained from extent of participation with its corresponding scores from nature of participation. The scores for all the items were added together to have the total score of social participation of a char woman. Time spent in household and farming activities was measured in terms of hours per day as stated by the char woman for different activities related to agriculture and non-agriculture. Risk orientation was measured by using a 5 point Likert type scale on ten statements. Organizational participation, innovativeness, cosmopolitanism and extension media contact were measured by the usual methods in social science. Participation in income-generating activities was measured by computing a 'participation in income-generating activities score' on the basis of her extent of participation in selected income-generating activities related to char livelihoods. Statistical analysis Various statistical measures such as frequency distribution, range, mean, standard deviation (SD) and percentage were used to describe variables and findings. To explore the relationship between dependent and independent variables, Pearson's product moment correlation was used. Step-wise multiple regressions were analyzed to determine the contribution of the selected independent variables. Path analysis was computed to measure the direct and indirect effects of selected characteristics of the char women to their role performance in maintaining sustainable livelihoods. Results and Discussion: Role performance of char women This was determined in three steps: firstly determining weights for each of the selected roles/activities based on each of the five components of the livelihood asset pentagon; secondly, determining the weighted role performance index for each of the individual components; and finally, a composite role performance index based on the weights of these five components. The role performance of the char women ranged from 53.31 to 92.6, 28.24 to 91.90, 45.15 to 83.16, 35.94 to 85.19 and 20.0 to 77.7 against the possible range of 20 to 100 with mean values of 71.36, 62.41, 60.43, 61.21 and 51.56 and coefficient of variation of 11.36%, 21.95%, 10.56%, 15.06% and 21.62% for the five capitals respectively. The respondents were categorized on the basis of their performance score (possible range) into three categories - high, medium and low performance. For role performance based on human capital, 71.5% of the char women were found in the medium category, 28.5% in high performance and nobody in low. In natural capital, 70.5% were in medium, 15% in high and 14.5% in the low role performance category. For physical capital, 97.5% came under medium, 1% in low performance and 1.5% in high. With social capital, 87.5% performed medium roles compared to 7.5% in low and only 5% in high. In financial capital 68.5% of the respondents were found under medium, 30.5% under low and 1% in high. Thus it was found that the char women performed 23.24% by utilizing human capital, 20.33% by utilizing natural capital, 19.69% by utilizing physical capital, 19.94% by utilizing social capital and 16.80% role by utilizing financial capitals for maintaining their livelihoods. Variables related to role performance A total of 15 selected characteristics of the char women were considered as independent variables. To test the relationship of these characteristics to role performance, they were computed. For age, the coefficient was 0.113, for family size 0.206, for family education 0.053, for farm size 0.013, for annual income 0.083, for training experience 0.113, for agricultural knowledge 0.515, for social participation 0.421, for time spent in household and farming activities 0.351, for organizational participation 0.279, for innovativeness 0.373, for cosmopolitanism 0.115, for extension media contact 0.296, for risk orientation -0.017 and for participation in income-generating activities 0.689. (* significant at 0.01 level of probability) Out of 15 independent variables, 8 - family size, agricultural knowledge, social participation, time spent in household and farming activities, organizational participation, innovativeness, extension media contact and participation in income generating activities correlated positively with the women's role performance. analysis are presented in Table 1. The regression coefficients of only 6 variables were statistically significant. The other three had no significant contribution. The results of the general linear multiple regressions are also presented. The R 2 value was 0.669 with an F value of 64.91 (significant at 0.000 level). This final analysis indicated that 66.9 % of the total variation in role performance was explained by these six variables and the remaining 33.1% remain unexplained. Contribution of variables to role performance Linear multiple regression analysis was computed in order to determine the characteristics contributing to their role performance. Only those variables which had significant relationships with role performance, were included. Nine variables - family size, organizational participation, time spent in household and farming activities, social participation, agricultural knowledge, innovativeness, extension media contact and participation in income generating activities were included. The findings of the regression Table 1: Regression coefficient of role performance status of char women with their characteristics \| Characteristics of char women \| Regression coefficients \| \| t value \| \|---\|---\|---\|---\| \| \| Unstandardize d \| Standardized \| \| \| (constant) \| 34.819 \| \| 17.486 \| \| Participation in income generating activities \| 0.801 \| 0.517 \| 11.544 \| \| Agricultural knowledge \| 0.301 \| 0.252 \| 5.569 \| \| Social participation \| 0.267 \| 0.126 \| 2.632 \| \| Organizational participation \| 1.219 \| 0.179 \| 4.167 \| \| Innovativeness \| 0.750 \| 0.148 \| 3.174 \| \| Family size \| 0.564 \| 0.118 \| 2.804 \| Therefore, it can be concluded, based on these findings, that whatever variation was in the role performance, it was mainly due to the contributions of these six variables. The unique contribution by each of the variables was also determined by taking the changes in R 2 value for a particular variable in the stepwise regression model. Table 2: Stepwise multiple regression analysis showing contribution of the selected characteristics to role performance of char women \| Variable entered \| Multiple R2 \| Change in R2 \| Variation Explained (%) \| \|---\|---\|---\|---\| \| Participation in income generating activities \| 0.475 \| 0.475 \| 47.5 \| \| Agricultural knowledge \| 0.575 \| 0.1 \| 10 \| \| Social participation \| 0.618 \| 0.043 \| 4.3 \| \| Organizational participation \| 0.639 \| 0.021 \| 2.1 \| \| Innovativeness \| 0.655 \| 0.016 \| 1.6 \| \| Family size \| 0.669 \| 0.014 \| 1.4 \| Table 3 shows that among the six variables, participation in income-generating activities contributed 47.5%, agricultural knowledge 10%, social participation 4.3%, organizational participation 2.1%, innovativeness 1.6% and family size 1.4% to explained variation 66.9%. However, those women who had more participation in income-generating activities, better agricultural knowledge, more social participation, more organizational participation, higher innovativeness and large family size were found to perform better in maintaining sustainable livelihoods. Path analysis for measuring direct and indirect effects of selected independent variables on role performance of char women Since stepwise regression analysis does not show separately the direct and indirect effects of the independent variables on dependent variable, path analysis was performed in order to fulfill this shortcoming and to have a clear understanding of the direct and indirect effects of the selected six variables. Variables through which substantial indirect effects were channeled were also explored. The 'path coefficient' of selected independent variables with respect to role performance of char women is shown in Table 3. Table 5: Path coefficients showing the direct and indirect effects of selected independent variables on the role performance of char women \| \| \| \| value \| variable \| \|---\|---\|---\|---\|---\| \| Participation in income generating activities \| 0.517 \| 0.172 \| 0.07837 \| Agricultural knowledge \| \| \| \| \| 0.02671 \| Social participation \| \| \| \| \| 0.01969 \| Organizational participation \| \| \| \| \| 0.03566 \| Innovativeness \| \| \| \| \| 0.01156 \| Family size \| \| Agricultural knowledge \| 0.252 \| 0.262 \| 0.16078 \| Participation in income generating activities \| \| \| \| \| 0.0378 \| Social participation \| \| \| \| \| 0.02398 \| Organizational participation \| \| \| \| \| 0.03182 \| Innovativeness \| \| \| \| \| 0.00802 \| Family size \| \| Social participation \| 0.126 \| 0.294 \| 0.1096 \| Participation in income generating activities \| \| \| \| \| 0.0756 \| Agricultural knowledge \| \| \| \| \| 0.03132 \| Organizational participation \| \| \| \| \| 0.05905 \| Innovativeness \| \| \| \| \| 0.01876 \| Family size \| \| Organizational participation \| 0.179 \| 0.100 \| 0.05687 \| Participation in income generating activities \| \| \| \| \| 0.03376 \| Agricultural knowledge \| \| \| \| \| 0.02205 \| Social participation \| \| \| \| \| -0.00799 \| Innovativeness \| \| \| \| \| -0.00437 \| Family size \| \| Innovativeness \| 0.148 \| 0.224 \| 0.12459 \| Participation in income generating activities \| \| \| \| \| 0.05418 \| Agricultural knowledge \| \| \| \| \| 0.05027 \| Social participation \| \| \| \| \| -0.00967 \| Organizational participation \| \| \| \| \| 0.00531 \| Family size \| \| \| \| \| 0.05066 \| Participation in income generating activities \| \| \| \| \| 0.01713 \| Agricultural knowledge \| \| \| \| \| 0.02003 \| Social participation \| \| \| \| \| -0.00662 \| Organizational participation \| Data also indicated that six variables (participation in income-generating activities, agricultural knowledge, social participation, organizational participation, innovativeness and family size) had direct positive effects. Further data showed that among the independent variables, participation in incomegenerating activities had the highest positive value (0.517) of the direct effect on role performance; its total indirect effect was 0.172, which was exerted through agricultural knowledge (0.078), social participation (0.026), organizational participation (0.019), innovativeness (0.035) and family size (0.011). Agricultural knowledge had the second highest direct effect of 0.252. The total indirect effect of agricultural knowledge was 0.262, exerted through participation in income-generating activities (0.160), social participation (0.037), organizational participation (0.023), innovativeness (0.031) and family size (0.008). All six variables had indirect effects in various degrees and were channeled through each other. Social participation had the highest (0.294) substantial indirect effect, mostly channeled through participation in incomegenerating activities (0.109), agricultural knowledge (0.031), organizational participation (0.059), innovativeness and family size (0.018). 4. Conclusion and Recommendations: Char women performed best in human capital rather than other components of the livelihood asset pentagon. The overall role performance in the study area did not reach a satisfactory level, because of the geographical location, vulnerable conditions, lack of GO and NGO services and the personal, economic, social and psychological characteristics of char women. Out of fifteen characteristics, 8 were correlated with role performance and entered into only 6 in multiple regressions. These six cover 66.9% combined of total variation, containing direct and indirect effects on role performance. Therefore, attempts should be made by government and non-government organizations to carry out programs of upliftment and motivation for char women to increas participation in different incomegenerating activities, training for increasing agricultural knowledge and innovativeness and to encourage their involvement in social and organizational participation. References: Agricultural Diary (2007) Agricultural Information Services. Department of Agricultural Extension, Ministry of Agriculture, Government of the Peoples Republic of Bangladesh. Dhaka, Bangladesh. Abdullah, T. A. and Zeidenstein, S. A. (1982) Village Women of Bangladesh Prospects: Prospects for Change. Oxford: Pergamon Press. Ahsan, R.M. (1986) Proceeding of the workshop on Women in Agriculture. Comilla: Bangladesh Academy for Rural Development, 24-25 March. FAO (2003) Women in Agriculture, Environment and Rural Production-Bangladesh. <http://www.fao.org.> Samanta, R.K. (2005) Rural Development through Women Empowerment of Rural Women. In: R.K. Samanta (Ed.) Empowering Rural Women Issues, Opportunities and Approaches. Delhi: The Women Press. Sarker, M. H., Haque I. and Alam M. (2003) Rivers, Chars and Char Dwellers of Bangladesh. International Journal of River Basin Management, 1(1), pp. 61-80. Rahman, M. H. (1996) Participation of Women in Rural Development: An Experience of Comprehensive Village Development Programme. The Bangladesh Development Studies, 6 (1), pp. 47-57.
firstname.lastname@example.org Breaking News by Lauri Donahue FADE IN: EXT. SANTA FE PLAZA - DAY It's late afternoon on a brisk October day. The plaza's packed: campaign volunteers, tourists, journalists, curious locals. VIP guests on stage, behind a podium bristling with mics. The backdrop's hung with a green and white banner: "KATE BRODY - INDEPENDENT" Supporters carry signs. Some are homemade and have slogans like "Kate the Great!" "I (heart) Kate," "New Mexico's FAVORITE DAUGHTER!" "A CEO for the USA," and "This country needs an INDEPENDENT President!" A Mariachi band under the gazebo plays an uplifting pop tune - the campaign's theme song. Santa Fe police are on duty, along with armed private security guards -- all x-large and intimidating. The crowd CHEERS and surges forward as a convoy of hybrid SUVs pulls up. SENATOR KATE BRODY gets out of the lead car and waves to the crowd. She's 49 and photogenic, radiating charisma. Security guards clear a path; the candidate shakes hands along the way. Brody's campaign manager, LEO DiMARTINI, 40s, waits by the car, eying the crowd, lean and hungry. He turns slightly, and looks annoyed. LEO (directly to the camera) Would you mind getting that outta my face? ELSEWHERE AT THE RALLY Leo's face fills an iPad screen, shot by a handheld video camera at close range. JENNI (O.S.) Ask him about the poll results. OLIVIA (V.O.) Do you have a comment on the latest poll results? LEO (on screen) Yes, I do. And I just gave it to the New York Times . Now if you'll excuse me... On the iPad screen, he turns his back to the camera. JENNI COPLEY, 21, looks up from her lime-green iPad to scan the crowd. She's a cute preppy with the soul of a German Field Marshall, wearing a wireless headset and a press pass. She spots OLIVIA near Leo. Olivia's also 21, with a snarky Goth vibe, wearing the same headset and press pass and carrying a tiny hi-def video camera. JENNI (into headset mic) OK, forget about Leo. Head for the stage. She looks toward the stage, and sees a NETWORK REPORTER touching up her makeup. The woman's incredibly good-looking and polished. Jenni stares at her enviously, then shakes it off and taps the iPad screen. Now there are FOUR QUADRANTS: One shows the guests on stage and the others show the candidate and crowd from various angles. Jenni taps on the quadrant showing the stage, and it expands to fill the screen. JENNI (into headset mic) Chu Ni? Could you get me a better view of the guests? On the iPad, the image zooms to the faces of the guests, then pans slowly across them. Face recognition software makes little yellow boxes around each face, freezes the images, then brings up a name, bio, campaign contributions, and relevant news stories. One of the guests is a Native American in a business suit, with the notation: "Brody campaign donation: $2,500" Jenni touches one of the headlines: "CASINO CEO SEEKS FEDERAL LAND USE APPROVAL" She skims an article that starts "The US Senate Committee on Indian Affairs today heard testimony..." JENNI (to herself) Bingo... She calls up a number for "Andrea" on the iPad and listens to the phone RING through her headset. ANDREA (V.O.) (older woman) JENNI (into headset mic) Hi, it's Jenni. There's a donor on stage who appeared before the Senator's committee -- She taps the iPad screen. JENNI I'm sending it over now. She waits, scanning the crowd, looking for her team. She spots CHU NI, 21, near the stage -- the "Tiger Mom's" first-born daughter. Doggedly trailing the candidate through the crowd is serious, dark-eyed DAVID, 21. Jenni cranes her neck, then finally spots ELVIS, 21, a good ol' boy with a gymnast's physique, shinnying up a light pole as a security guard waves at him to get down. ANDREA (V.O.) Is that all you have? JENNI Well, I haven't had a chance to-- ANDREA (V.O.) You've got a lot on your plate already. It's not like in the movies -- you don't have time to chase down every clue, hoping it'll turn into some big conspiracy. JENNI I just thought-- ANDREA (V.O.) I've got to go -- sorry. The line GOES DEAD, leaving Jenni deflated. Yes? She taps the iPad screen. It returns to the four quadrants -now including Elvis' aerial view. JENNI (into headset mic) Very nice, Elvis -- just don't break your neck, OK? KARL NOVAK (O.S.) That's quite a set-up you have there. Jenni turns to a handsome, well-dressed man of fifty -- KARL NOVAK. KARL NOVAK (re: the iPad) Video editing, face recognition... He smiles, winningly, and offer his hand. KARL NOVAK Karl Novak. I've seen you at several of these events. Jenni's not sure how to respond -- is he hitting on her or what? But the guy doesn't look like a nutcase, and she doesn't want to be rude. She shakes his hand. JENNI Jenni Copley. KARL NOVAK (re: the iPad) Some kind of school project? JENNI We're on a student journalism fellowship. KARL NOVAK Break any big stories? JENNI Not yet... KARL NOVAK Well... good luck with it. He walks away, joining two others near the stage: a sleek mixed-race woman in her 20s, and a big guy in his early 30s, with a shaved head and an ex-Marine build. The three of them reek of money and seem out of place in the casually dressed crowd. Jenni turns on the iPad's video camera and pans across the crowd, stopping to focus on Karl Novak and his companions as she moves through the crowd and nears the stage. ON STAGE Brody steps to the podium and turns on her 1000-watt smile. SENATOR BRODY Hello, Santa Fe! The crowd CHEERS. SENATOR BRODY It's so good to be home! More CHEERS. CRAAAAAAAK! A SHOT rings out. There's a spray of blood behind the podium and the candidate falls. More SHOTS -- PING! PING! IN FRONT OF STAGE People SCREAM and run and hit the ground. Jenni turns in the direction of the shots, still holding up her iPad. PING! The man in front of her gets shot in the head. SPLAT! What's left of the man's face splatters all over Jenni's. WHOMP! Someone TACKLES her. Her iPad goes flying. She lies on the ground, her bloody face pushed into the grass, as people run or crawl past. Someone's on her back, covering her. MARC (O.S.) Are you hurt? JENNI I don't think so. But that guy-- MARC (O.S.) I saw. You see the bandstand? Jenni raises her eyes to see the gazebo... Yeah. MARC (O.S.) OK, on three let's make a run for it. One... two... THREE! He rolls off her and grabs her hand, dragging her in a running crouch toward the gazebo. BEHIND THE GAZEBO People are running and screaming, taking cover, crying, cursing, looking around frantically, calling names. Police and security guards with drawn weapons scan the rooftops for the shooter, yell orders, and hustle people out of the plaza. Jenni catches her breath and finally gets a look at her rescuer: MARC LUCERO (21), a good-looking guy with a warm smile. MARC I'm Marc. JENNI Jenni. Thanks for jumping on me. MARC No problemo. Any time. He studies her bloody face. MARC You got like... brains an' shit all over. Jenni grimaces and wipes her face with her hands. Marc takes a bandanna from his back pocket. MARC Here, let me.... He wipes her face as she squeezes her eyes shut. MARC You should get an H-I-V test. Coulda got some in your mouth. Jenni spits at the ground. She wipes her mouth, takes the bandanna from him, and scrubs her face. MARC I seen you before -- always starin' at that screen... JENNI She looks at him, a bit alarmed. MARC Not like a stalker or anything. We been at the same events. You never noticed? She shakes her head and takes out her phone. JENNI I've gotta check on my team. She calls up a number for Chu Ni. CHU NI (V.O.) (over phone) Thank God! We're OK. We're over by the Palace of the Governors. Jenni looks up to see Chu Ni, Olivia, and Elvis under the portal (covered porch) that borders the plaza. JENNI (into phone) Did they get the shooter? How many victims were there? Was the Senator killed? CHU NI (V.O.) I don't know... JENNI Well, find out! She HANGS UP, then puts the phone into video mode and reaches out to take a panoramic shot of the plaza. Marc looks at her with admiration. MARC Man, you don't give up, do you? Jenni keeps filming as two paramedics run across the plaza carrying a stretcher. They pick up the dead guy and hustle back toward an ambulance parked behind the stage. POLICE OFFICER (V.O.) (over bullhorn) Please clear the area! Attention! Please clear the area! Police and security hurry people out of the plaza. MARC Come on, we gotta go. Jenni hands him her phone. JENNI Shoot me first. MARC What? JENNI Get me on video, before they kick us out. MARC (re: her face) But you still got blood an' shit-- JENNI I know! MARC OK... He centers her face on the phone's screen. MARC Go... Jenni takes a breath and puts on her best "network reporter" face. JENNI (to phone) This is Jenni Copley in Santa Fe. New Mexico Senator Kate Brody has been shot, and her condition is not yet known. At least one man near the stage was killed. So far, there's no sign of the shooter or shooters or any indication of a possible motive. POLICE OFFICERS in body armor and helmets interrupt. POLICE OFFICER Come on, miss -- let's go. You gotta clear the area! Shooter's still at large. Jenni peeks around the gazebo, toward the stage. JENNI I want to get my iPad... MARC You crazy? It's not worth it. He takes Jenni's arm and hustles her toward the Palace of the Governors as she looks back toward the stage. JENNI All my footage is on there! MARC You wanna die so you can make a movie? JENNI I'm on a journalism fellowship -the Willans Foundation. Marc looks at her like he smells something bad. MARC That means you're, like, Republican? She give him a "so what if I am?" look. He grins. MARC Never met one your age before. Didn't know they existed. He shows her the press pass that's tucked inside his shirt. MARC Got a news gig myself... EXT. PALACE OF THE GOVERNORS - DAY Jenni and Marc meet up with Chu Ni, Olivia, and Elvis. They look at Jenni's blood-streaked face with horror. CHU NI Oh my God... Are you hurt? JENNI I'm OK -- it's not my blood. Olivia grimaces -- like that's even worse. Jenni taps away at her phone. JENNI I've gotta get this video up on the site. What've you found out? Marc sees that she's already forgotten about him. MARC I better go find my guys... He takes out his phone. MARC So -- I saved your life. Do I at least get your number? Jenni gives him a harried smile, then points her infrared port at his port and presses buttons. JENNI Sure... MARC Cool. I'll be in touch... He puts his phone away and nods at the others. MARC Later... He leaves them as the police approach, escorting them out of the area. EXT. SANTA FE - DAY Jenni and team are herded into a cordoned off area. Police check IDs and take statements. Paramedics treat people for minor injuries. JENNI Olivia -- talk to the paramedics. Find out how many were injured. Olivia gives her an ironic salute and heads off. JENNI David -- see what the police know about the shooter. Like, what kind of weapon was used? And I think it was four shots -- can you get that confirmed? DAVID (heading off) Got it... JENNI Chu Ni -- go online, see what's already posted. Did the shooter make threats on a Web site, stuff like that. Chu Ni takes out her phone and taps on it. JENNI And Elvis -- ? She looks around --
Iraqi women caught and the low level of economic participation* Mehdi M. AL-Alak. Ph. D in Statistics Central Statistical Organization Baghdad, Iraq E-mail: firstname.lastname@example.org, email@example.com Overview In Iraq, gender equality is both a human right and a national imperative, since the political economic, social and cultural changes for transforming the country cannot be completed without women‟s empowerment and participation. Moreover, women need their own voice in this transition. Experience shows that no group is capable of representing the interests of other groups effectively, however sincere their intentions may be. Women are best qualified to represent their own interests. The empowerment of women has fluctuated during the past three decades in Iraq but at no time has it done them the justice promised by human development. Long-standing cultural and social discrimination, coupled with a new sense of insecurity resulting from different forms of direct and indirect violence, present formidable challenges to Iraqi women today. As other countries have shown, transition to democratic rule can provide historic breakthroughs in the removal of institutional and cultural obstacles to women‟s empowerment. However, a basic requirement for this is that transition must motivate women to become their own advocates for equality and human rights. Moreover, while emerging democracies have the opportunity to reform societies by establishing basic freedoms, democratic government, free markets and human rights, the insecurity associated with times of struggle can nevertheless undermine such important outcomes. When transition takes place within a surrounding conflict, the need for a stable democratic system becomes the main priority and can eclipse the imperative of equality. If that happens, political transformation in the transitional phase may sometimes increase, rather than decrease, the prevalence of gender inequality. (Many Arab women who participated in their countries‟ struggles against colonialism learned that the fight for political independence does not guarantee women‟s independence and can indeed become a pretext for denying it). This study will examine how women in Iraq have been caught between conflict, transition and their legacy of cultural restrictions, and the impact of all these factors on the economic activity levels of Iraqi women. Empowerment: A Misunderstood Process Since its establishment, the Iraqi State has been inclined to create opportunities for the institutional empowerment of Iraqi women, by providing wider access to education, health services, and job training. Yet the State has shown no real awareness that empowerment is not achieved solely through enacting legislation; but rather, that it only comes about when society puts laws into practice, which in turn demands changes in the culture of discrimination. Women‟s empowerment requires a culture of equality of access and opportunity, with all its attendant values and psychological and legal dimensions. Moreover, such a culture must provide for the rights of both women and men, for there can be no rights for women where there are none for citizens as a whole. * This study is mainly based on Iraq human Development Report. The writer is the national coordinator and the chief of the statistical team of the report. 1 The argument this study presents is that empowerment is a process that requires more than institutional mechanisms and technical training. It should lead to a culture of equality beyond the formal means of empowerment, as provided through education and health services, legal acts and decrees. For example, an increase in expenditure on education may amount to nothing if the educational programmes themselves promote inequality. Similarly, expenditures on health may not yield positive outcomes if traditional practices and values prevail over the health system. Iraq has spent much on education and health programmes and passed many laws supporting the advancement of women. However, changes in societal values conducive to equality have not been pursued in parallel. Thus, a narrow focus on instituting social, educational and health services, which ignores the cultural aspects of empowerment and the problems of insecurity, can reverse the impact of such progress. This implies that women‟s empowerment goes beyond control of resources, the capacity building of existing and new institutions, or inclusion in decision-making processes. It necessitates the removal of cultural stereotypes in order to challenge inherent discrimination, inequality and violations of human rights, including and especially those of women. In Iraq, the imposition of sanctions and the growing political and economic crisis, with the insecurity and conflict it has bred, have meant that women have not fared well compared to men in recent decades. Women are worse off on several key human development indicators. In 2006, although women‟s life expectancy (62) was altogether higher than that of men (55), 30% of women aged 15 and up were illiterate, compared to a rate of 14% among men. Combined school enrolment rates (primary, intermediate and secondary) were 55% for females and 68% for males. Unemployment rates were also higher among women: 23% compared to 16% for men Women‟s earned income is only 11% of men‟s. Agricultural work constitutes 60 % of total working hours per week for women and only 22% for men. This fact helps explain their low income, as agricultural work for women is known to be mostly unpaid, or of lower productivity. The value of HDI was 0.627, while that of the GDI was 0.584. Education as a Tool for Empowerment Evidently, there is still much progress to be made towards the achievement of the MDGs, although women have scored remarkable gains in political participation. Education on the other hand continues to exhibit stubborn problems in female illiteracy, dropout rates, and inequality. Admissions policies at the universities and higher institutes were changed after 2003. Those that discriminated between males and females have been dropped so that instruction at Engineering and Medical Colleges is now equally available to all, where previously men were granted preference. One positive outcome of previous policies that deserves notice is the rise of female Enrolment in university education. The rate of enrolment for women for the academic year 2006-2007 was 59% for morning classes, 30% for evening classes and 30% for technical education. Iraqi women have achieved remarkable levels of education during the past decades as a result of the modernization of the economy and the need to fill jobs left vacant following the mobilization of men in the military sector. Women‟s professional levels have risen, especially in the more socially accepted fields of education and health services. In 1997-2004, 68% of teachers were women, and the overall rate of women's participation in the medical professions represented 30-60% of the total, as Table 1 shows. Box 1: Progress towards the Millennium Development Goals Goal 3: Promote Gender Equality and Empower Women The percentage of women in paid jobs in non-agricultural sectors was 15.3% in 2006, while it was 10.6% in 1990, a situation which requires a much greater commitment to progress and accelerated measures to reach the internationally set goal of 50% in 2015. The proportion of seats held by women in parliament was 27% in 2006, up from 7% in 1997, pointing to significant progress in the promotion of equality and the empowerment of women, with a reasonable chance of achieving the goal set for 2015. - The ratio of girls to boys in primary education in 2006 was 0.91 compared with 0.80 in 1990. This represents progress towards the goal set. - The ratio of women to men in university education in 2006 was 0.73 compared with 0.51 in 1990. This represents some progress, though it will need to improve faster if gender equality at this stage of education is to be achieved. - The ratio of girls to boys in secondary education in 2006 was 0.80 compared with 0.64 in 1990, which indicates progress towards the defined goals. - Ratio of women to men in tertiary education in 2006 was 0.59 compared to 0.25 in 1990. Clearly, deeper policy changes are necessary to ensure that gender equality is achieved by 2015. Source: COSIT, MDG reports p.3 Table 1: Women's Participation in Medical and Health Professions \| Professions/Years \| 1997 \| 2000 \| 2004 \| 2009 \| \|---\|---\|---\|---\|---\| \| Physicians \| 36.3 \| 38.4 \| 34.3 \| 35.9 \| \| Specialized Physicians \| 30.2 \| 33.4 \| 30.2 \| 28.1 \| \| Dentists \| 58.7 \| 59.4 \| 57.1 \| 54.2 \| \| Pharmacists \| 76 \| 69 \| 47.5 \| 49.8 \| \| Total \| 44.5 \| 45.5 \| 39.3 \| 40.9 \| Source: COSIT, Annual statistical abstract, different years, (Kurdistan Region not included) Annual Report ,Ministry of Health, Iraq. Box 2: Free Education for all Iraqis? First: Education is a fundamental factor in the progress of society and is a right guaranteed by the state. Primary education is mandatory and the state guarantees to eradicate illiteracy. Second: Free education is a right for all Iraqis in all its stages. Article 34, Iraqi Constitution, 2005 Solutions to continuing gender inequality in education are currently limited, as complicated living and security conditions exacerbate the problems. Commitment to compulsory education, as the text of the Constitution declares, will provide an opportunity to stop the decline in school attendance. In this connection, a paradox can be observed. While the proportion of women attending universities has gone up, many families are reluctant to send their younger daughters to primary school. Obviously, this trend would undermine the gains that women have secured in education so far. Furthermore, although education is considered essential for extending women's options and empowerment, cultural and traditional factors still make many urban families force their educated daughters to stay at home and not practise any profession. This restriction will undoubtedly curtail women‟s economic independence and full participation in society. Thus while society may offer both sexes the same opportunities for empowerment in principle, the hurdles women have to surmount to reach and retain those opportunities are higher and more numerous. Political Transition: Gains and Challenges for Women Women in Positions of Power Since the introduction of the quota system on September 4, 2003, political life has been enriched by affirmative action for women. In the 2005 elections, for example, 87 women gained seats out of 275 in the National Assembly, or 31% of the total. In local council elections from closed electoral lists they gained 28% of seats. Additionally, adherence to the quota system significantly raised the number of women elected to governorate councils. At the same time, the system of lists can lead to a decline in the rate of representation by women, when winning lists increase in elections. This was noticed in the parliamentary elections, where the number of women elected decreased from 87 in 2005 to 75 in 2007,and to 81 in 2010. A strong turnout of women was noted in the recent elections, especially in rural areas and lowincome neighbourhoods, though this showing has been attributed to the impact of a fatwa issued by high-ranking clerics. Indeed, one should not underestimate the role of traditional culture in shaping behaviour and attitudes in Iraq and the strong influence of religion in creating new images of socially accepted women's roles. Religious institutions therefore need to step up to the responsibility of helping to strengthen women‟s advancement. Such results place a question mark over the future of women‟s political participation in Iraq when the application of the quota system (which is confined to three parliamentary elections) comes to an end, or in the event that the electoral law is changed. As the experience of neighbouring countries shows, the position of women in politics is vulnerable. In 2007, Kuwaiti women failed to win any seat in parliament, and Omani women lost their seats on the Advisory Council in the most recent elections. Has The Gender Gap Narrowed? Since 2003, the number of women in administrative decision-making positions has also increased, from 12.7% to 22.4%. Although women represented only 2% of the judiciary in 2006, they fared better in the executive. In 2006, there were four female cabinet ministers, plus a total of 342 high-ranking officials, including 8 under- secretaries, 33 counsellors and inspectors general, 86 directors general, and 215 assistant directors general. The situation Of 2011 dose not significantly differ from that of 2006, except the decrese of the number of female cabinet ministers to only one. However, this improvement does not necessarily reflect progress towards narrowing the gap between men and women. The number of women in primary school administration decreased slightly in 2005, a field where women constitute the majority of staff. At the secondary school level, the number declined after 2005. This was largely due to the reinstatement of previously dismissed male staff, and, more specifically, to the increase in salaries which encouraged men to return to positions which they had left in the 1990s. Source: COSIT ,Annual Statistical Abstracts, different years Gender of Household Head and Deprivation The obstacles related to the gender is considered significant factor of deprivation in Iraq. It is important that each person should have the owner ship, insurance, education and dwelling especially in the case of women headed their family. The number of households headed by women is 11% of total households according to IHSES survey 2007 . 81% of these households headed by widows .The table below shows the systematic pattern of deprivaition rate between households headed by man and woman despite the great deference between men and women contribution in labor field and the low rate of women contribution in the economic activity. The household headed by women is more deprived than those headed by man represents in ownership of assets and durable goods. Table 2 : Percentage of deprived households in economic situation field by the gender of household head \| Gender \| Percentage \| Per capita \| Dependency \| Durable \| Ownership \| Lawns \| Guide of \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| of HH \| expenditure \| Rate \| goods \| of assets \| and \| economic \| \| \| \| \| \| \| \| advances \| situation field \| \| Man \| 88.7 \| 25.6 \| 53.0 \| 14.9 \| 17.8 \| 26.7 \| 32.0 \| \| Woman \| \| \| \| \| \| \| \| Source: COSIT . Deprivation Map Of Iraq, 2006 Does Legislation Guarantee the Protection and Empowerment of Women? Reforms to legislation in the context of democratic transformation are essential to the achievement of equality among citizens, notably between men and women. These should be followed by institutional mechanisms, interventions and procedures to ensure the solid establishment of a sound democratic society. If disparity in capabilities restricts options for women and limits their opportunities in economic or social activities, a state‟s legislation should under no circumstances exploit this to promote discrimination between men and women. In Iraq, there are a number of relatively progressive laws still in force, like the Personal Status Law No. 188 for the year 1959, Labour Law No. 71 for the year 1987, Minors' Welfare Act No. 78 for the year 1980 and Social Welfare Act No. 126 for the year 1980. As far as the last Act is concerned, the Ministry of Labour and Social Affairs is endeavouring to formulate an alternative law for the purpose of organizing the activities of social protection. All these laws could be considered as a solid basis on which to guarantee equal rights for women. The most important instrument that can be referred to as a foundation for women's empowerment – regardless of the criticism it often draws– is the new Iraqi Constitution of 2005 which strove to include a number of positive measures for women. The preamble of the Constitution states: "We, the people of Iraq…, men and women …have resolved... to respect the rule of law, to realize justice and equality…and to pay adequate attention to the woman and her rights." Under Article 20, the Constitution bestows on men and women equally the right of inclusion in public affairs and the exercise of political rights. It emphasizes the value of education and the role of the State in promoting and protecting this right for all the people (Article 34). Articles 31, 32 and 33 guarantee the rights of all Iraqi citizens to health services. In accordance with Article 18, women may pass on their nationality to their children. The Constitution also provides for affirmative action, granting in Article 49 a quota for women of no less than 25% of the seats in Parliament. The Electoral Law No. 6 of 2005 also stipulates that election candidate lists should abide by this quota. Yet the Constitution contains some articles, clauses and implications that could be considered discriminatory or unfavourable to women. For example, the preamble contains a total of 85 words specifically relating to men out of a total of 316 words, against only 4 for women. Furthermore, Clause „A‟ of Article 2 states that Islam is the essential source of all legislation: thus, it is not permissible to enact a law that contradicts the tenets of Islam. Article 41 states that "Iraqis are free to abide by their personal status according to their religion, beliefs, doctrines or choices…", which has also raised concerns. It is feared that such provisions may allow for different interpretations of the Islamic Sharia, resulting in barriers to legal equality, especially in matters of civil code, such as marriage and divorce. Varying interpretations could set up different practices in different provinces, or between rural and urban populations and between members of different religions. These provisions are seen as a step backwards when compared with provisions of Law No. 188 for the year 1959. The rationale behind the legislation of this 1959 law was the multiplicity of the sources of judicial power. It was feared that variations would lead to unstable family life and the lack of universal guarantees of individual rights. This was the motivation for formulating a law which combines the most important legislative provisions agreed upon by all. Indeed, Article 41 of the Constitution contradicts Article 14, which is considered to be a fundamental guarantee, namely: "Iraqis are equal before the law with no discrimination because of gender or race." Such a contradiction compromises the unity of universally applicable legislation. There could well be cases of non-correspondence or incompatibility between certain laws. This situation in turn removes the individual from the status of citizenship to the status of religious affiliation and further revokes the general rule of law with its comprehensive application to all people. (Source: Reviews of the Iraqi Constitution). When it comes to providing protection for women and prohibiting violence against them, constitutional and legal provisions alike may be inadequate. The Constitution, for example, avoids referring specifically to women when it addresses the issue of violence in the chapter on rights. Article 4, for example, offers a general prohibition against "all forms of violence and abuse in the family, school and society". Yet even though this provision covers women implicitly, the current Penal Law in Iraq is at odds with it, providing a legal cover for violence against women since it does not consider marital violence as a specific crime. Article 41 states "there is no crime if the act has befallen in exercise of an established right under the law and shall be considered as a use of the right, for example a husband‟s disciplining of his wife… within the extent of what is established by Sharia law or tradition". Again, a reference to men in the Constitution does not necessarily mean the inclusion of women. For example, Article 44 states that "the Iraqi is free to move, travel and reside inside or outside Iraq". Yet freedom of movement and travel for a woman under the age of 40 is not in practice guaranteed as the law does not allow her to obtain a passport without the permission of a guardian. Article 45 states that "the State shall adhere to the advancement of the Iraqi tribes and clans…. and promote their noble human values…, and shall prevent those tribal traditions that conflict with human rights". This wording is another source of concern for women‟s empowerment. The reference to the tribes recalls certain traditional violations to which women‟s rights and freedoms could be exposed. The unspecific wording of the Article could well lead to the continuation of such violations. It allows for various interpretations of "noble human values" as they concern the rights and freedoms of women, which could perpetuate traditions notorious for violating the human rights of women without fear of any consequences from the powers regulating tribal authority. Amnesty International referred to this issue in its Document No. 1423 for the year 2005. The law has never provided a binding deterrent or any form of punishment to put an end to honour killing. While local and international reports continuously decry the existence of honour crimes in Iraq, this form of murder is often registered as suicide. Thus, even where the Iraqi Constitution provides for de jure non-discrimination against women, legal, social and cultural factors often represent de facto obstacles in the way. For instance, women have the right to equal wages, but the law does not provide binding provisions to guarantee equal promotion. This paves the way for discrimination between men and women. Indeed, gaps and contradictions between constitutions and the laws which supposedly give effect to them are common throughout the Arab world, and are especially troublesome on matters of women‟s rights. In 1986, Iraq ratified the Convention on the Elimination of All Forms of Discrimination against Women (CEDAW), with reservations at the time on clauses (w) and (k) of Articles 2, 9, and 29. Those reservations effectively nullify the Convention‟s provisions for equality between men and women. Since the beginning of the transition in 2003, women‟s organizations have striven to remove these reservations, without success. The Constitution further does not include any article acknowledging that ratifications of international conventions are binding on the state. In any case, the new regime has rejected commitments to international conventions ratified by its predecessor, in particular CEDAW, on the basis of contradiction with Islamic Sharia. The same rejection applies to UN Security Council Resolution No. 1325 on Women, Peace and Security. In sum, it can be agreed that the Constitution and a host of other legislative initiatives together provide a basis for the empowerment of women in areas such as education, health and social services. Yet at the same time, these provisions often do not correspond with realities experienced by Iraqi women today. Despite the existence of anti-discriminatory laws and the Constitution, such provisions are often limited by traditional and cultural practices, all the more so in times of ongoing violence. Economic Transition: Losses and Sacrifices of Women Shrinking State Responsibilities Transitional stages often entail a review of the role of the state in order to better adjust to realities and enhance equality among citizens, including between men and women, through institutional mechanisms and government interventions. Yet such reforms often weaken the state when its strength is most crucial. In Iraq, while reforms resulted in a number of new legislations, they were also accompanied by the dismantling of the State, which could then no longer fulfil its responsibilities or provide key services in the transitional economy. These abrupt changes adversely impacted gender equality in Iraq. Before 2003, the State was the main employer of women in Iraq. Women represented 46% of public sector employees, and were the main providers of services and social benefits in the domains of health and education, especially in areas benefiting women. The State also provided legal protection against all forms of abuse against women and encouraged women‟s economic participation. However, during the transitional period, neither the private sector nor civil society has so far been able to fill the void created when the State was dismantled. Unequal Access to Assets One of the foundations of human development is to ensure women's access to, and control over resources such as land, means of production, and loans. Yet in Iraq women do not enjoy equality with men in that important respect. Although no data exist to measure ownership of such assets as land, property and businesses, it is safe to say that women in general possess fewer financial assets than men. For example, the vast majority of land and housing units are registered in the names of men, and men clearly dominate in private sector ownership and management. Female heads of household also own fewer assets. Box 3: The Predicament of Households Headed by Women The loss of state-sponsored support for women is especially felt among the growing number of households headed by women in Iraq today. In these households, the main breadwinners (fathers, husbands and sons) were lost as a result of continuous wars. The spread of armed conflict and the escalation of violence after the year 2003 have led to an increasing number of widows, although statistics vary on their precise number. A survey conducted by Iraq‟s Central Organization for Statistics and Information Technology in 2004 showed that 11% of Iraqi families were supported by women and 73% of these families were headed and supported by widows. The survey also pointed to a difference between the income of families supported by women and that of male-headed families. 40% of families headed by women were unable to earn 100,000 Dinars per week (about $85), compared to 26% of the families headed by men. Source: COSIT, Iraq Living Condition Survey, 2004 Article 23 of the 2005 Iraqi Constitution guarantees "the right of the Iraqi to ownership" without any discrimination based on gender. The Constitution does not, however, mention joint ownership of the family dwelling, as is stipulated in the constitutions of other Arab countries such as Tunisia and Morocco. Small micro-credit projects led by women represent an effective strategy for supporting women‟s empowerment in a market economy. Yet women are often unable to have access to these opportunities, given the prevailing insecurity, adverse family pressures, and, especially, lack of access to loans and collateral which banks require. Expanding access to micro-credit projects and home-based work could be a favourable solution for women with limited education p.8 and training, rural women, the elderly, and widows supporting families. This is especially so given that evidence points to the willingness of women, especially those with higher education, to engage in such activities. Yet at the macro level, opportunities for such initiatives are restricted. The Ministry of Industry provides operational loans to industrial entrepreneurs who were licensed before 2004, and not to new projects which could be beneficial for creating employment among women. The Ministry of Labour launched a plan for micro-credit projects in 2007, but the opportunities this initiative provided were limited in scope and favoured mostly men. The government could open up new opportunities through reform of the lending system in public banks, by lifting the requirement for real estate as collateral and by encouraging womenfriendly banking services such as those that distinguish the Grameen Bank of Bangladesh. Unequal and Insecure Job Opportunities The labour laws in Iraq guarantee equality, as is evident in the public sector, but in the private sector, they are not properly applied to ensure fairness and equal remuneration for women and men. This discrimination is not only due to a biased attitude in the labour market, but also to women‟s low level of skills, which in turn leads to poor productivity compared to men whom the education system favours. In general, the rate of women's participation in Iraqi economic activity (14% in 2003) is considerably lower than men's participation (74% in 2003). At the same time, however, the female rate of economic activity in rural areas is higher than in urban areas. This can be explained by two factors: first, economic activity in the rural areas depends on family cooperation to satisfy basic needs; second, the menial tasks rural women perform are more socially acceptable and it is thus easier for them to find work in agricultural production inside their homes. Furthermore, agricultural work requires less education and training, thus providing more opportunities to a larger number of women. Table 3 : Economic Activity Rate during 2003-2008 Source : COSIT, Employment and Unemployment survey for the years 2003-2008 \| Rate \| \| 2003 \| 2005 \| 2008 \| \|---\|---\|---\|---\|---\| \| Woman \| \| 14.2 \| 20.4 \| 18.0 \| \| Man \| 73.7 77.4 74.9 \| \| \| \| \| Total \| \| 44.1 \| 49.5 \| 46.8 \| \| Percentage of Woman to man in rural \| 26.6 42.0 31.4 \| \| \| \| \| Percentage of Woman to man in urban \| \| 15.0 \| 17.5 \| 20.2 \| Unemployment rates are strikingly high among women. Table 3 indicates that the unemployment rate among females rose to 19.6% in 2008 compared to 16.0% in 2003, while that of males dropped to 14.3% in 2008 compared to 30.2% in 2003. Policies taken to reduce unemployment in general have met with limited success. The transition towards an open market economy in Iraq may provide both more opportunities and more challenges for women. The opening of the market may provide new opportunities in the private sector, but will undoubtedly increase competition for jobs and require skills which the education system imparts unequally. It will also lead to fewer jobs in the public sector. Table 4:Unemployment Rates for Men and Women, 2003-2008. \| year \| \| Urban \| \| \| Rural \| \| \| Total \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| F \| M \| T \| F \| M \| T \| F \| M \| T \| \| 2003 \| 22.3 31.0 30.0 6.7 28.9 25.4 16.0 30.2 28.1 \| \| \| \| \| \| \| \| \| \| \| 2006 \| \| 36.8 \| 17.7 \| 20.8 \| 6.3 \| 15.6 \| 13.2 \| 22.6 \| 16.9 \| 17.5 \| \| 2008 \| 28.9 14.0 16.5 8.1 14.9 13.3 19.6 14.3 15.3 \| \| \| \| \| \| \| \| \| \| Source: COSIT, Employment and Unemployment Survey for the years 2003-2008 In the meantime, the insecure conditions in Iraq after 2003 have led to a decline in employment levels in the private sector. Women employed by the private sector account for 32% - 38% of all workers in agriculture, health, financial institutions and other areas. However, women in the private sector have been more vulnerable to job loss when the current economic situation forces companies and institutions to restructure. The private sector prefers to employ men citing that, unlike women, they do not take maternity leave and are less likely to need time off for family reasons. Social traditions and stereotypes regarding males, females and "the nature of women" sometimes determine the kinds of job opportunities women are given. For example, women are seen to be more suited to jobs like sewing and dress making. The worsening security situation has forced many factories that were employing numerous women to close down. Even the few remaining factories still face difficulties arising from a lack of infrastructure and the consequences of an unhealthy work environment with its attendant hazards for female workers. Since the 1990s, scattered work patterns have spread in the informal sector known for accommodating large numbers women in various trades involving the manufacture and marketing of home-made products such as foodstuffs, clothing and traditional handicrafts. Other means of livelihood in this category are household service and peddling, which women pursue in the absence of alternative options in more productive sectors. Informal sector employment opportunities of this kind have expanded, drawing even women with high levels of education and skills. Women resort to this sector in circumstances of unemployment, professional discrimination and family need for additional income. Female heads of household p.10 turn to it to provide for their families. Such work is marginal and does not provide financial, social or psychological stability for women. The disadvantages of working in this sector for women are many, not least the absence of benefits and rights that are guaranteed by law for workers in the public and private sectors. Box 4 :Iraqi women and Time Use Iraq Time Use Survey shows that Iraqi women spend more time in household works (approximately 28 hours weekly) than men do ( 3 hours weekly ). The total average of working hours of Iraqi women is 46.6 H/W compared to 31.2 H/W for men. This means that two thirds of the women working hours is spending on household works. Under Employment Employment and Unemployment Survey Results indicated the increasing rate of under employment (persons who work less than 35 hours). The rate has increased from (40.2%) in 2003 for women to(53.1%) in 2008 and from (19.4%) for men to (23.4%). Table 5 under Employment rate (15 year and more), urban and rural, during 2003-2008 (%) \| Year \| \| Under employment rate \| \| \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| Urban \| \| \| Rural \| \| \| Total \| \| \| \| \| women men total women men total women men Total \| \| \| \| \| \| \| \| \| \| \| 2003 \| \| 26.4 \| 14.0 \| 15.7 \| 62.5 \| 29.2 \| 26.2 \| 40.2 \| 19.4 \| 23.5 \| \| 2006 \| 35.0 20.9 23.2 70.8 28.6 43.4 52.6 23.6 31.0 \| \| \| \| \| \| \| \| \| \| \| 2008 \| \| 27.4 \| 19.0 \| 20.2 \| 77.5 \| 31.7 \| 43.0 \| 53.1 \| 23.4 \| 28.7 \| Source: COSIT, Employment and Unemployment Survey for the years 2003-2008 The Influence of Cultural Tradition in Violence against Women It was hoped that deliberations over the restructuring of institutional and administrative bodies in Iraq after 2003 would include serious consideration of women's issues. Unfortunately, the worsening security situation led to continued discrimination and inequality between the sexes. The mounting insecurity during the transition has thrown up new barriers preventing the majority of women from participating in the labour market, in political activities, and in gaining adequate access to medical care and educational opportunities. Women have not only suffered from discrimination and marginalization, but also from violent assault and sexual abuse during the crisis p.11 Box 5 : The Opinion Poll on Human Security – the Impact of Insecurity on Attitudes toward Discrimination against Women Does an Absence of Discrimination and Violence Against Women Increase Human Security? In 10 out of 15 governorates covered by the poll, 85 % of the people believed that absence of violence against women was an important factor in overall feelings of security. In three governorates only, where the level of violence was high and general feelings of insecurity were widespread, the absence of violence against women was not considered as important: Nineveh (39%) Kirkuk (27.3%) and Baghdad (16.7 %). Social discrimination against women reduces human security Absence of violence against women leads to greater human security Equal employment for women strengthens human security Women‟s equal participation in politics and decision-making strengthens human security Agree Don’t agree Don’t know No response Political and civil violence in Iraq has gravely affected women‟s safety, making them unwilling to be full participants in society and driving many to disappear from public life. Has Insecurity Increased Violence and Discrimination against Women? A majority of respondents in all governorates agreed that the security situation has worsened violence against women and social restrictions on them. Source: Ministry of Planning & Bayt Al _ Hikma,Iraq Human Development Report, 2008 Tension and open conflict in Iraq have affected family relations. Violence in the street has been reproduced in the form of self-inflicted violence or violence against women and children. A sample study of 250 women showed that all respondents had been exposed to some sort of violence, and 37.6% of them to physical violence. Other forms of violence include cursing, insult, harassment, and false accusations. Physical violence was inflicted on 62.6% of women, while 24% of the total number had been threatened by their husbands with divorce, desertion, expulsion, the taking of another wife or being kept from going to work. A disturbing outcome of the survey was that 65.2% of the women interviewed blamed themselves for being the cause of the violence they suffered (through their own negligence, for example); the majority agreed that keeping silent about the violence perpetuated the phenomenon. However, only 15.6% of those surveyed stated that men had no right to practise violence against women, against 84% who stated that men had the right to inflict violence on their wives, whether occasionally or on a regular basis. The role of traditional culture in conditioning women to accept male domination is quite clear. p.12 The evidence generated by the GDI and GEM shows a generally progressive trend in the status of Iraqi women but these indexes fail to reflect the realities of women‟s lives on the ground because their few components cannot capture the multiple dimensions of inequality. For a more accurate assessment of women‟s empowerment in Iraq, additional dimensions need be measured: violence against women, advocacy for equality, personal security and individual dignity. Cultural traditions transmit values, create life styles and guide human conduct. They are influenced by the social and economic environment, and exert influence on that environment in equal measure. There can be little doubt that the most formidable cultural constraint facing Iraqi women is the deep-seated value of family honour which is almost obsessively associated with the conduct and situation of female family members. Threatening to kill a woman to remove shame is a punishment and deterrence at the same time. It is supposed to make women more committed to family values, with their concomitant emphasis on reputation and honour. These traditions allow younger males to call older females to account in the event they are suspected of unacceptable conduct. Worse, those traditions allow them to kill those females if they succeed in marrying against the will of the family or if they perpetrate what is considered a sin. Judging women and their conduct draws legitimacy from social standards. In traditional societies, the individual is connected with heritage more than with the present or the future. For women, cultural heritage, which is formed by traditions rather than by religion, is one of the basic references in forming standardized notions of acceptable conduct. This becomes lodged in the collective consciousness and informs each individual‟s behaviour. These inherited traditions which guide individual perceptions see women as inferior and dependent beings. This view simply ignores the transformations that have taken place in women‟s contemporary lives. Women are still seen as inferior by nature. Honour killing, for example, is a phenomenon that has lasted for centuries. As far back as 1700 BC, the Codes of Hammurabi, the sixth king of old Babylon, stipulated that an adulterous woman should be thrown into the river. This stereotypical image of women has lasted for centuries because the State, throughout its history, has helped to perpetuate it, to avoid entering into conflict with society and its religious and cultural leaders. So ingrained has this image become that, as several studies have shown, the view some women themselves hold of their own sex is not altogether different from that held by men. Women‟s acceptance of this false image imposed by tradition provides the State with all the justification it needs to delay enacting legislation that would improve their situation. The seclusion of women is also justified by society as a means of ensuring their protection. Here too, women‟s acquiescence in such practices serves to reinforce the stereotypical image. In this way, the family remains the most resistant pocket of cultural bigotry against women, where male violence against women is accepted as a disciplinary or preventive right. Conclusions The empowerment of Iraqi women during the transitional period should be an overarching goal, not a side objective, as women have an equal part to play in overall economic, political and social development. Yet evidence shows that Iraqi women are disproportionately affected by the shrinking of the state‟s power, the insecurity arising from political instability, the breakdown of economic activities and the deterioration of social structures, all resulting from ongoing conflicts. Increased violence against women is currently the most dangerous consequence of the transitional phase and requires urgent interventions from all actors in society. The State should face its responsibilities for the provision of human security for women, as well as empowerment and protection, and the abolition of all forms of discrimination. Seeking p.13 protection, women have retreated to their community, sect or tribe, away from the state, thus reversing the gains of almost a full century of modernization undertaken by the State itself. Through long decades of wars and conflicts, the state neglected or condoned, intentionally or otherwise, all forms of discrimination against women, young and old, from all sects and minorities, whether workers, rural residents, housewives or widows. Women became victims of traditional practices with no recourse to the State and its laws for protection and care. The role of the State has weakened since 2003 while the transition to a market economy has been fraught with problems in the short term and questions about opportunities in the future. At the same time, the lack of security has hampered progress in human development and damaged mechanisms for genuine empowerment. However, there is still an opportunity to improve the situation of women. The transitional phase, when regulations and laws are being restructured, grants a historic opportunity to accomplish many tasks on the road to achieving equality. Yet what has been gained under the law in terms of political participation since 2003 may not be a lasting achievement since legal provisions expire or change. To nourish and protect those rights, women face a long and rocky road ahead. The State has specific responsibilities to help them complete their journey that should not be neglected. These include: - Amending laws (and the Constitution) to eliminate provisions, omissions and contradictions that perpetuate discrimination. - Creating a new labour environment that sets aside the present division of labour based on limited roles for women and their restriction as workers to sectors of weak productivity. - Ensuring freedom of opinion to encourage public debate and dialogue; there is a need for public consciousness-raising campaigns and deep changes in media stereotypes of women; - Confronting the culture of domination and marginalization and disseminating a culture of peace and tolerance to eliminate violence against women in all its forms and put an end to its perpetuation as part of accepted culture. - Reforming educational systems and curricula to change society's perceptions of violence against women, and instill a sense of common responsibility for ending it. By taking a firm stand on a culture of human rights, equal opportunities and gender equality, the centuries-old culture of discrimination against women in Iraq can at last be dispatched for good. References 1. Central Statistical Organization for Statistics and Information Technology (COSIT ); Annual statistical Abstracts 2. COSIT : Employment and Unemployment Survey (2003 – 2008 ) 3. COSIT : Iraq living Conditions survey , 2004 4. COSIT : Iraq Household Socio Economic Survey ( IHSES ) , 2007 5. COSIT : MDG Reports (2005 _ 2009 ) 6. COSIT : Deprivation Map of Iraq , 2006 7. Ministry of Health ; Annual Report , 2009 8. Ministry of planning & Bayt Al- Hikma , Iraq Human Development Report , 2008 p.14
Speaking Truth to "Wind" Power Submission to Legislative Committee on Bill 150 by Michael Trebilcock ♦ Speaking Truth to "Wind" Power Submission to Legislative Committee on Bill 150 by Michael Trebilcock ~ April 7, 2009 Michael Trebilcock, a renowned economist and friend of the environment, will be appearing at the Ontario legislature tonight, arguing against the Ontario government's proposed Green Energy Act. For the many good reason he outlines, this green act is anything but green. His excellent presentation appears below. I. INTRODUCTION leaving local residents no say in matters that will dramatically impact their lives and future generations. While we are obviously personally affected by this legislation, the following comments reflect a professional career studying economic regulation, including a year as Research Director of the Ontario Government's Electricity Market Design Committee (1998). I have four major objections to the legislation. My wife and I (like many other residents) chose a retirement home in Grey Highlands because it is one of the scenic treasures of southwestern Ontario, dominated by the Niagara Escarpment, Beaver Valley, Lake Eugenia, the Saugeen River, and rolling rural countryside, woodlands and wetlands. Now, however, the residents of Grey Highlands and the many tourists and visitors it attracts (major drivers of the local economy) are threatened with the prospect that its landscape will be blighted by 400 foot, 35-story high industrial wind turbines that cause documented health and environmental risks, dramatically lowering property values and impacting one's quality of life. The Green Energy Act (Bill 150), now before the Ontario Legislature, is designed to expedite this process by taking planning responsibilities away from local municipalities like ours and remitting key decisions to subsequent ministerial regulations, II. THE CASE AGAINST INDUSTRIAL WIND TURBINES 1) Industrial Wind Turbines Have Minimal Impact on Carbon Emissions There is no evidence that industrial wind power is likely to have a significant impact on carbon emissions. The European experience is instructive. Denmark, the world's most wind-intensive nation with more than 6,000 turbines generating 19% of its electricity, has yet to close a single fossil fuel plant. It requires 50% more coal-generated electricity to cover wind power's unpredictability, pollution and carbon dioxide emissions have risen (by 36% in 2006 alone). Flemming Nissen, the head of development at West Danish generating company ELSAM (one of Denmark's largest energy utilities) tells us that "wind turbines do not reduce carbon dioxide emissions."[1] The German experience is no different. Der Spiegel reports that "Germany's CO2 emissions haven't been reduced by even a single gram,"[2] and additional coal and gas-fired plants have been constructed to ensure reliable delivery. Indeed, recent academic research shows that wind power may actually increase greenhouse gas emissions in some cases, depending on the carbon-intensity of back-up generation required because of its intermittent character.[3] On the negative side of the environmental ledger are adverse impacts of industrial wind turbines on birdlife and other forms of wildlife, farm animals, wetlands, and viewsheds. 2) Industrial Wind Turbines Are Uneconomic Industrial wind power is not a viable economic alternative to other energy conservation options. Again, the Danish experience is instructive. Its electricity generation costs are the highest in Europe (15 cents/kwh compared to Ontario's current rate of about 6 cents). Niels Gram of the Danish Federation of Industries says, "windmills are a mistake and economically make no sense."[4] Aase Madsen , the Chair of Energy Policy in the Danish Parliament calls it "a terribly expensive disaster."[5] The U.S. Energy Information Administration reported in 2008, on a dollar per MWh basis, the U.S. government subsidizes wind at $23.34 - compared to reliable energy sources: natural gas at 25 cents; coal at 44 cents; hydro at 67 cents; and nuclear at $1.59, leading to what some U.S. commentators call "a huge corporate welfare feeding frenzy."[6] The Wall Street Journal advises that "wind generation is the prime example of what can go wrong when the government decides to pick winners."[7] The Economist magazine in a recent editorial, "Wasting Money on Climate Change"[8] notes that each tonne of emissions avoided due to subsidies to renewable energy such as wind power would cost somewhere between $69 and $137, whereas under a cap-and-trade scheme the price would be less than $15. Either a carbon tax or a cap-and-trade system creates incentives for consumers and producers on a myriad of margins to reduce energy use and emissions that, as these numbers show, completely overwhelm subsidies to renewables in terms of cost effectiveness. The Ontario Power Authority advises that wind producers will be paid 13.5 cents/kwh (more than twice what consumers are currently paying), even without accounting for the additional costs of interconnection, transmission and back-up generation. As the European experience confirms, this will inevitably lead to a dramatic increase in electricity costs with consequent detrimental effects on business and employment.[9] From this perspective, the government's promise of 55,000 new jobs is a cruel delusion. A recent detailed analysis (focusing mainly on Spain) finds that for every job created by state-funded support of renewables, particularly wind energy, 2.2 jobs are lost.[10] Each wind industry job created cost almost $2 million in subsidies. Why will the Ontario experience be different? 3) Industrial Wind Turbines Cause Insufficiently Researched Health Effects A growing body of scientific and medical evidence suggests that the health effects on those subjected to long and frequent periods of pulsating, low-frequency noise associated with wind turbines include sleep disturbances leading to depression, chronic stress, migraines, nausea and dizziness, exhaustion and anger, memory loss and cognitive difficulties, cardiac arrhythmias, increased heart rate and blood pressure. Kamperman and James[11] list no fewer than 13 studies that show noise from wind turbines at night can disturb residents more than 2 km away. Those living close to the source of noise can develop what has been termed "Vibroacoustic Disease (VAD). Noise from wind turbines exhibit the characteristics of noise experienced in various occupations (aircrews, aircraft maintenance workers, ship workers and an islander population exposed to environmental infra and low frequency noise) and has been shown to lead to VAD. Complaints from people living near wind turbines are the same as those from persons who have developed VAD.[12] Also, flicker from turbines at a minimum are disruptive and annoying. Flicker poses a potential risk of photosensitive seizures.[13] The refusal of the provincial government to order full independent environmental assessments, including assessments of health effects, of any wind turbine project, undermines the credibility of claims that there will be no such negative effects. 4) Industrial Wind Turbines Have Adverse Effects on Adjacent Property Values A three-year study of 600 property sales near the Melancton wind turbine developments north of Shelburne, Ontario showed that property values decreased by 20% to 25% (an average of $48,000), were on the market more than twice as long as properties in adjacent areas, and a large number (four times those that did sell) could not be sold at any price.[14] While wind developers deny that industrial wind turbines have any effect on property values of neighbouring residents, simple common sense suggests otherwise: how many readers familiar with this development would be prepared to buy recreational or retirement homes in this area, even at sharply discounted prices? In a recreational area that promotes its scenic attractions, like Grey Highlands, these effects on property values are likely to be even more pronounced. Refusal by either wind developers or the provincial government to provide legally enforceable guarantees of compensation for property value losses warrants further skepticism over the claim that there will be no such losses. III. MINIMIZING THE DAMAGE Even if one thinks (contrary to my views), that wind turbines are a good idea environmentally and economically, there is a simple solution to the impact on rural residents, who are being conscripted to bear most of the burden of solving a problem they mostly did not create. Ensure that set-backs from residences conform to international standards as endorsed by renowned medical and scientific bodies that have closely examined the health and environmental risks. The French Academy of Medicine recommends 1.5 km, pending further research on health effects of persistent exposure to low-intensity noise. Alternatively, the government could concentrate wind farms in more remote or sparsely populated areas, as has been done in Quebec and much of Europe. These measures would also minimize negative impacts on property values. But these are modest palliatives to the fundamental policy flaws in Bill 150 and do not address industrial wind power's failure to reduce significantly carbon emissions and its exorbitant cost to taxpayers and consumers. IV. GOOD POLITICS, BAD POLICY In debates over climate change, and in particular subsidies to renewable energy, there are two kinds of green. First there are some environmental greens who view the problem as so urgent that all measures that may have some impact on greenhouse gas emissions, whatever their cost or their impact on the economy and employment, should be undertaken immediately (see Bill McKibben, "The Fierce Urgency of Now," Toronto Star, 25th March, 2009: "We have to do everything we can imagine, all at once."). Then there are the fiscal greens, who being cool to carbon taxes and cap-and-trade systems that make polluters pay, favour massive public subsidies to themselves for renewable energy projects, whatever their relative impact on greenhouse gas emissions. These two groups are motivated by different kinds of green. The only point of convergence between them is their support for massive subsidies to renewable energy (such as wind turbines). This unholy alliance of these two kinds of greens (doomsdayers and rent seekers) - a classic Baptist-Bootlegger coalition, harking back to the Prohibition era - makes for very effective, if opportunistic, politics (as reflected in the Ontario government's Green Energy Act), just as it makes for lousy public policy: politicians attempt to pick winners at our expense in a fast-moving technological landscape, instead of creating a socially efficient set of incentives to which we can all respond. Michael J. Trebilcock Professor Law and Economics University of Toronto, Faculty of Law April 7, 2009 References [1] David J. White, "Danish Wind: Too Good to be True?" The Utilities Journal, July 2004. See also article by Angela Kelly, written for the magazine Green Places and available at http://www.countryguardian.net/Green%20Places.htm. [3] Arthur Campbell, "Hot Air? When Government Support for Intermittent Technologies Can Increase Emissions," MIT Department of Economics, November 21, 2008. Available at http://econ-www.mit.edu/files/3563. [2] Anselm Waldermann, "Wind Turbines in Europe Do Nothing for EmissionsReductions Goals," Der Spiegel, February 19, 2009. Available (in German) at www.spiegal.de/international/business/0.1518.606763.00.html <http://www.spiegal.de/international/business/0.1518.606763.00.html>. [4] See John Dyson, "Tilting Against Windmills," Reader's Digest, August 2003; also in the United Kingdom Parliament House of Lords-Science and TechnologyWritten Evidence, October 2003. Available at http://www.publications. parliament.uk/pa/cm200506/cmselect/cmwelaf/876/8...<http://www.publicatio ns.parliament.uk/pa/cm200506/cmselect/cmwelaf/876/876we14.htm;> and the Response to the 2006 Energy Review, April 2005. Available at http://www.berr.gov.uk/files/file31065.pdf. [5] See The United Kingdom Parliament House of Lords-Science and TechnologyWritten Evidence, October 2003. Available at http://www.publications. parliament.uk/pa/cm200506/cmselect/cmwelaf/876/8... <http://www.publications.parliament.uk/pa/cm200506/cmselect/cmwelaf/876/8 76we14.htm;> see also the Response to the 2006 Energy Review, April 2005. Available at http://www.berr.gov.uk/files/file31065.pdf. [7] William Tucker, Wall Street Journal, December 29, 2008; see also Patrick Sawyer, "Promoters overstated the environmental benefits of wind farms," Telegraph.co.uk <http://telegraph.co.uk/> ., December 21, 2008. Available at http://www.telegraph.co.uk/earth/energy/windpower/3867232/Promoters-over... <http://www.telegraph.co.uk/earth/energy/windpower/3867232/Promotersoverstated-the-environmental-benefit-of-wind-farms.html>. [6] Max Schulz, "Don't Count on Countless Green Jobs," Wall Street Journal, February 20, 2009. [8] "Wasting Money on Climate Change," Economist, March 14, 2009. [10] Study of the Effects on Employment of Public Aid to Renewable Energy Services, Universidad Rey Juan Carlos, March 2009; see also Seven Myths About Green Jobs, University of Illinois, March 16, 2009 and available at http://news. prnewswire.com/ViewContent.aspx?ACCT=109&STORY=/www/story/03... <http://news.prnewswire.com/ViewContent.aspx?ACCT=109&STORY=/ww w/story/03-16-2009/0004989090&EDATE=>. [9] Max Schulz, op. cit. [11] "Simple guidelines for siting wind turbines to prevent health risks," George W. Kamperman and Richard R. JamesDearborn, NOISE-CON 2008, Michigan, July 28-31, 2008. [13] "Wind turbines, flicker, and photosensitive epilepsy: Characterizing the flashing that may precipitate seizures and optimizing guidelines to prevent them," Graham Harding, Pamela Harding and Arnold Wilkins, Epilepsia (2008) 49 (6): 1095-1098. [12] "Vibroacoustic disease: Biological effects of infrasound and low-frequency noise explained by mechanotransduction cellular signaling." Mariana Alves-Pereira and Nuno A.A. Castelo Branco, Progress in Biophysics and Molecular Biology, (2007) 93: 256-279; see also, "On the Impact of Infrasound and Low Frequency Noise on Public Health - Two Cases of Residential Exposure," Mariana Alves-Pereira and Nuno A.A. Castelo Branco, Rev. Lusofona de Ciencias e Tecnologias da Saude, (2007) 2 (4): 186-200. [14] "Living With the Impact of Windmills," Chris Luxemburger, Director Brampton Real Estate Board, Chairperson of Real Estate By-laws Committee, paper 2008.
Evaluation of International Trade Centre (UNCTAD/WTO) Volume 5 Corporate Performance and Capacity HUMAN RESOURCE MANAGEMENT DMI ASSOCIATES in association with Ticon DCA Copenhagen DC Ace Global Table of Contents List of Acronyms ASG Assistant Secretary General BAS Business Advisory Services DPMD Division of Product and Market Development DTCC Division of Technical Cooperation and Coordination ETDU E–Trade Development Unit DPS Division of Program Support DTSS Division of Trade Support Services EMDS Enterprise Management Development Section FMS Financial Management Section GSPS General Services and Publications Section HR Human Resources HRM Human Resource Management HRS Human Resources Section IPSM International Purchasing and Supply Management ITC International Trade Centre ITSS Information Technology Services Section MAS Market Analysis Services MDS Market Development Services OA Office for Africa OAPLAC Office for Asia-Pacific, Latin America and the Caribbean OASEC Office for Arab States, Europe and the Commonwealth OD Office of Director OIOS Office of Internal Oversight Services OIP Office for Interregional Programmes PAS Performance Appraisal System TIS Trade Information Services TSS Trade in Services Section SMC Senior Management Committee UN United Nations UNDP United Nations Development Programme WTO World Trade Organisation 1 ITC's People: Human Resource Management in the International Trade Centre 1.1 Basic Principles The literature provides some basic principles that have to be followed in order to create effective Human Resource Management (HRM). These might be applied to the International Trade Centre, (ITC) as follows: * Effective HRM is the key to the effective operation of the ITC: most of the organisation's budget is spent on its people (or their associated costs – accommodation, travel, etc); * At the same time, the people are the only thing that ITC has that "adds value": all of its activities are dependent on the effective choice, allocation, deployment and motivation of capable people; * The corollary of these first two principles is that the effective management of Human Resources (HR) is key to the effective operation and success of ITC and should be a major priority for its management and governance structures; * Effective HRM means that the policies and practices related to the management of HR must be fully integrated with the strategic mission and future of the organisation; * Effective HRM is an activity carried out by all managers – acting as managers – with an HR section that provides enabling and supporting systems for them to carry out their work; * HRM includes all HR: permanent staff at all grades, short-term staff and consultants; * Although ITC operates within the United Nations (UN) Common System rules, which both provides benefits in terms of clear principles and procedures and provides difficulties in aligning HRM to the specific mission and future of ITC, it is clear that the organisation has more scope than is believed in the way that HRM may be managed within those rules; * There are no "right answers" in HRM: but it is possible to move continually towards better ways of working; * It is an axiom of HRM that policies propounded at a senior level rarely affect the staff in ways that create the results that those who propounded the policies believe they should have. It is therefore important continually to monitor the reality of HRM as well as the policies in force. 1.2 Summary of Main Findings * Amongst Permanent Professional and Directors staff, morale and commitment amongst the employees of ITC is good. This is not an unexpected finding in a small, professional and well-paid organisation. It may be because management is close to subordinates and some managers are intuitively managing them well; it may be because people are comfortable in individual niches that suit their personalities. Amongst General Service staff morale is not so good. * The Human Resource Section (HRS) in ITC appears to be fundamentally administrative in nature and is well-staffed to perform that role. * There is less Management Information available about employees or consultants than would be necessary to adopt a fully strategic approach to HRM. In particular information about consultants is limited and the roster of consultants and the format for Curriculum Vitae needs to be reviewed. * There is little evidence of strategic thinking about HRM within the organisation. It is not obvious that steps having been taken to address the connection between individuals' work and the mission of ITC; little evidence of forward thinking in terms of the kind of staff the organisation needs to employ, how they need to employ them, how to maintain their skills, etc Combined with the administrative role of the HR section, this means that there are few people in the organisation looking at the "bigger picture" in terms of HRM. There is little evidence of forward thinking about the role, composition and skills required by the management team. * Line management capability is lacking within ITC: - Promotion to managerial position within ITC has frequently been done in the past on the basis of technical capability (rather than management competence); - Many managers are very "hands-on", still doing the technical job and closely involved in the work of their subordinates, but abjuring responsibilities for the work or development of their subordinates; - No-one has a comprehensive overview of the HR used by ITC. Consultants, for example, are employed on a personal basis by the specialist responsible and a small number of consultants are employed virtually full-time by ITC (the data is incomplete but what is available indicates that 10% of those so employed do more than a third of the total work; there are 81 consultants doing more than 100 working days for ITC per year – including some doing more working days than there are working days in the year!) It should be noted that the expenditure on consultants is not wasteful: few consultants are paid more than a few hundred dollars a day and the ones that are paid significantly more are used for very few days, indicating a sensible ability to match prices against usage; - The UN Common System is seen within the organisation to be a significant barrier preventing various kinds of change in ITC. In fact, it is by no means the kind of constraint that ITC managers seem to believe it to be. It may be that there would be significant psychological value in the HRM policies of ITC reflecting the nature of the organisation and moving closer towards a World Trade Organisation (WTO) approach to HRM. 1.3 Methodology This report is an evaluation of HRM in ITC. It is based on various sources including: * Desk study of ITC documentation and procedures; * Information gathered throughout the process of the evaluation including response to questions by the Evaluation and comments of ITC management on various documents prepared by the Evaluation; * Specific meetings and interviews on this topic with all members of the senior management team, the staff responsible for the HR function of ITC, and members of the Staff Council; * Review and analysis of numerical data that was supplied by the HR function; and * A questionnaire sent to Professional and Management staff by the Joint Evaluation on management processes and communication which was responded to by 60 of 122 professional and management staff; * The results of 2003 questionnaire to all staff answered by 110 staff including general administration staff; and * The Office of Internal Oversight Services (OIOS) Report on Programme Management and Administrative Practices, 2004. All this data was analyzed carefully. The Evaluation met with representatives of HRM in the UN and WTO and with some Government representatives. The Evaluation is grateful to all those who gave so willingly of their time and were so helpful in assisting us to achieve our objectives. The Report takes the following shape: After presenting basic demographic data on ITC and a general introduction to atmosphere and morale in the organisation, the Evaluation explore ITC's approach to strategy in the management of people and the capacity of managers to adopt and develop effective ways of managing their subordinates. Then the report examines the process of filling posts, staff communications, staff development, career planning, succession planning and performance management. Finally, the report considers the role of the HR department. 1.4 Profile of Human Resources in ITC This section presents some summary descriptive data on the distribution of staff by section and the age profile of staff as well as the contract type. The data is limited by the manner in which the records are kept and collated, making it unduly costly to present more detailed information. Thus, for example, it is difficult for ITC to collate information to present a breakdown by professional training and background, by geographic origin, by gender. It would also be unduly expensive to correlate age groups with kind of contracts (permanent vs. fixed term), or to learn more about the length of stay with ITC. The following summary tables are provided: * The distribution by sections of all staff at ITC headquarters including permanent staff, temporary staff, consultants and interns1. * The distribution by section of staff positions funded from Regular Budget and Support Costs. * Analysis of the age profile and contract type for the categories: Assistant Secretary General (ASG), Director, Permanent Professional Staff, Contract Professional Staff and General Service Staff2. This descriptive data provides background for the analysis of HRM in ITC. 1 It should be taken into consideration that the Staff list, which has been analyzed, has been taken from the ITC Intranet on the 20/11/2004, as a pattern, and, as a result, the current number of ITC staff may differ from that in November 2004 2 Below-provided analysis of the categories has been prepared on the basis of the Table: 'Extract from Staffing', Including Short-Term, Temporary and Project Staff', provided by ITC in September 2004. Table 1: Distribution of all Staff at ITC Headquarter Source: ITC Intranet - List: 20/11/2004 Staff Positions: distribution of all staff resident in Geneva including permanent staff, contract staff, consultants and interns. Table 2: Staff Positions funded from Regular Budget and Support Costs Analysis of Age and Contract Type3 The analysis covers the categories: Assistant Secretary General, Directors, Permanent Professional Staff, Contract Professional Staff and General Service Staff. All Categories The total number of staff in these categories is 221. This includes the 173 staff funded from the Regular Budget and Support Costs. HUMAN RESOURCE MANAGEMENT Based on this data, it is evident, that the overall or aggregate age distribution of ITC staff is uniformly distributed. In the following charts a different picture emerges for particular categories. Categories Assistant Secretary General and Directors There are six people in this category: one Assistant Secretary General and five Directors. As is evident from Figure 3, the age distribution of Directors is tightly bunched. Indeed, all six of the senior management committee members are retiring within the next 18 months. Category Permanent Professional Staff The total number of Permanent Professional Staff is 72 people. More than 70% of the category permanent professional staff s is on long-term contracts, indicating that they have been with the ITC for more than five years. Permanent staff members on short-term contract are those that have not completed five years service with the organisation. Although there is some variation in the age distribution of the permanent professional staff (fewer are 47-51), the overall age distribution is quite uniform. Not withstanding the recent retirement of some long serving professional staff, there is a sizable group of permanent and experienced professional staff to give continuity to the organisation. Category Contract Professional Staff The total number of Contract Professional Staff is 41 people. Contracted professional staff members have the same grading levels as the permanent professional staff, but almost 90% of the contracted staff is on intermediate contracts, the reverse of the permanent staff. Although grade levels can be the same, the tendency for increments to be awarded on the basis of length of service suggests that compensation levels are higher for the permanent at similar grade levels to contracted staff. The overall age distribution of contracted professional staff is double peaked with 14 in the 52-61 group and 16 in the 32-41 age groups. Category General Service Staff The total number of General Service Staff is 102 people. The general service staff tends to be older as a group than the professional staff of ITC, 49 of the 102 General Service staff were between 47 and 61. ITC applies the UN staff rules, but does so selectively. It does not, for example, apply national quotas nor have gender targets. About 40 nationalities are represented among ITC staff members. None of the current senior management, however, is female, and only three section chiefs are women. About 22% of series 200 professionals are women, and about 33% of series 100 professionals. Recent recruitment of junior staff has reflected better gender balance. Regardless of the UN targets, it would appear that a substantial proportion of the available skilled workforce is not being fully utilised by ITC. 1.5 Management of People in ITC In recent years ITC management has successfully managed to start to change the culture of the organisation away from a bureaucratic mentality and towards a service minded, innovation based culture. This is a long-term process that requires careful management. The change of mentality cannot be carried out overnight, and requires skilful and balanced management. Corporate services will have to be developed not only for internal purposes, but also for the sake of improving customers' (beneficiary) services and satisfaction. ITC is a small organisation, with lots of people working on their own "pet projects" and having their own areas of responsibility and with few constraints from a strategic management system impinging on them. Hence, many of the staff is motivated to carry out their view of their role with individual job satisfaction. This is related to a pride in the organisation created by the development by the top management level of increased levels of visibility for ITC and the promotion of its role in the global context of trade and development. Our overall conclusions are much as those of the OIOS Report (2004) "ITC provides a supporting working environment for its generally well qualified, professional and motivated staff." There are inevitably some dangers here: * This rather "rosy" view of HRM in ITC, which is shared by top management, is not reflected throughout the system and morale manifestly declines at the lower levels. * It is not obvious that all the work, whilst satisfying to the individuals, has any direct relationship to the ITC targets or the overall ITC mission. Furthermore, some individuals are being overloaded and this has increased focus on resource allocation and mobilisation within the organisation. * Staff stress towards the end of each year is common in many organisations and needs to be carefully managed. In ITC this pressure is not formally recognized and therefore not managed. At the end of the year, overtime is not feasible (since the requirement to approve in advance doesn't fit work needs). Attitudes to time off in lieu of extra hours worked varies between managers. Furthermore, the Annual Report is prepared for the end of the year: the heaviest workload period. Annual reports could be prepared at other times of the year. * This inadequate/uneven distribution of tasks, if not addressed, will affect the quality of the work and the job satisfaction of individuals. * The staff surveys indicate that there is a substantial minority of staff who feel that their efforts are not recognized or appreciated. Strategic Human Resource Management ITC is not a status-quo organisation. Over the last decade, it has faced a number of managerial challenges and has responded to them effectively and succeeded in reorienting itself. It has opted in favour of constantly refining its operations on the basis of dialogue with its stakeholders. Given its importance (see above), HRM is a strategic activity: this is not obviously the case in ITC. (Again the Evaluation emphasize that it is discussing the management of HR by ITC, not just the role of the HR department). As a straightforward example, it is clear that succession plans for the retiring top management team, which should have been implemented from five years ago (preparing replacements and a judicious mix of, say, four internal and two external appointments), were not even identified as necessary until last year. HRM is seen as external to, not a key element of, managerial roles. HRM policies and practices need to be not only "vertically" consistent with the mission and targets of the organisation but also "horizontally" consistent, so that, for example, the outcomes of the performance management system lead on to obvious rewards and sanctions. This is always the case in ITC (see below). In addition, it is vital that the full set of HR available to ITC is considered holistically: at present the Permanent Professional staff, the Contract Professional staff, the Consultants, and the General Service staff (and the various combinations of these categories) are considered as separate and rarely considered together. In many cases these distinctions reflect tradition or budgetary drivers rather than the strategic needs of the organisation. The General Service staff/Permanent Professional staff boundary is a particular issue. There are highly qualified General Service staff frustrated by their managers' attitudes towards them and their inability to progress, often working alongside Permanent Professional staff who are no more qualified. There is little evidence of forward planning of HRM in ITC. The Evaluation could identify no policies relating to the kinds of HR skills and attributes ITC will need in the future and how it intends to make the transition towards those capabilities. Senior Management Committee and Management Framework ITC's operations are governed through a number of committees, the main one of which is the Senior Management Committee (SMC), which is composed of the Executive Director (chair), the Deputy Executive Director, the directors of each of the four divisions and the Senior Programme Officer (Secretary). The SMC is essential to the functioning of the organisation as it is the one venue where policy is developed and approved, projects and programmes are reviewed and approved, discussion (information exchange) takes place on events, activities, internal systems, financing, etc. A key feature of the SMC in terms of internal communication is that staffs are invited to participate when a topic relevant to their area of activity is being discussed/reviewed. The SMC also functions as a Project Approval and Clearance Committee that, if necessary, approves a project. In the normal course of events the lead division on a project takes the initiative to coordinate activities with other divisions. If no coordination problems arise, then a project (below a given size) does not have to go to Project Approval and Clearance Committee. The publication on the intranet of SMC (minutes) is considered by staff to be an effective internal communications mechanism. On the previous staff survey 92% of respondents felt SMC minutes were an average to very good communications tool. Within the next year all six members of the SMC reach retirement age4. This is a cause for concern as these individuals have guided ITC through one of its most difficult and at the same time most successful periods in its history. Dates of retirement are clearly known; three director posts will become open for replacement during the tenure of the current Executive Director, and two under the new Executive Director. A new Executive Director will be appointed based on processes in the UN and WTO systems. The succession issue is highly visible and needs to be addressed in a timely manner to ensure a smooth transition. Change management in general will be a major challenge for ITC over the next two to four years to ensure that management changes throughout the organisation as a result of changes at the most senior level take place with the least disruption to ongoing operations, while at the same time being significant enough to take the accumulated experience of ITC and develop an even stronger organisational structure to guide ITC over the next 10 years. Line Management Capacity for HRM There is a widespread feeling that past selection of higher level Permanent Professional and Director staff has been carried out with little attention to the people management competences required for these roles and that, as a consequence, ITC does not have a high proportion of excellent managers. Indeed, unlike many organisations in the UN system, ITC currently has no outline of managerial competences and has neither adopted the UN system recommendations nor developed its own list of managerial competences. The effect is that senior staff are promoted or selected on the basis of technical competence alone or as a reward for previously showing evidence of technical skill, rather than on the basis of competences for the job they are about to take up. It also means that management training (see below) is noticeable by its very limited and untargeted nature. Without a set of competency criteria against which to assess individual managers, it is difficult to see how such training needs could be identified. The OIOS report (2004) noted that "a comprehensive HR strategy was being developed", but stated that it "had not seen any documentation…" and that "important areas not cover by the indicators, such as recruitment and performance assessment". The position still seems to be the same. 4 An exception is the Executive Director who does not have a mandatory retirement age; however, he has clearly stated that he will not seek re-appointment. Management Development Like many other technical specialist International Organisations, ITC faces a dual dilemma in its development activities. On the one hand, these technical specialists are often in danger of failing to keep their expertise up to date as they become immersed in the immediate tasks and have limited opportunity for attending expert conferences, debating with university, government or scientific think-tank colleagues and reading and contributing to the latest journals. On the other hand, their jobs are arguably increasingly at the project management end of activities where technical expertise above a certain level is perhaps less crucial, but they rarely undertake project management or general management training. ITC should identify which staff are in managerial positions and which in senior technical specialist positions (numbers supervised would be an obvious way to determine that). Clarity about the role and competences required of staff in such positions would enable the training needs of such mission-critical staff to be assessed and addressed. There is a dearth of serious management training in ITC. It is important that people management responsibilities are clearly identified and monitored in the assessment system for all managerial staff. Contracts There is a trend towards hiring staff on a fixed term basis. Since the late 1990s, more than half of the chiefs of sections have been employed on a fixed-term basis5.. This provides the senior management with a large degree of flexibility, with respect to replacing senior staff, and opens up the option of internal mobility within the organisation. For employees hired on fixed terms, performance criteria can develop as an integral part of the employment contract. However, this form of employment can give serious motivational problems, with staff at the end of their contracts more concerned about their renewal than about the tasks they are charged to undertake. It also increases the administrative burden on the HR department. The use of staff at the General Service level on short-term contracts appears to be a particular problem. There are strategic HRM issues with the increased use of Contract Professional staff on short-term contracts. It is not clear, in other words, that this use is a thought through response to the exigencies and current and needs of ITC operations: in many cases it is entirely a short-term response to budget pressures. The General Service – Permanent Professional staff transfer option between General Service and Permanent Professional staff is a barrier in most UN common system organisations. The UN must be one of the few organisations left in the world that makes it difficult for itself to make the maximum use of all the talent available to it. 5 Extract from staffing Table, including short-term, temporary and project staff, data provided by HRS MANAGEMENT ITC should consider the option of more of the staff working on a part-time basis. Obviously, this is a different issue for internationally recruited staff but, nevertheless, there is a strong demand for this option amongst staff (one third would like to have the option available according to the 2003 staff council survey) and it has been shown to be a costefficient way of employing HR6. Consultants ITC maintains a "consultants" roster, which includes key information on each individual's qualifications and experience, and from which the staff can select potential candidates when external consultancies are needed. The form for Curriculum Vitae contains minimal information compared to that required by many organisations and consultancies when mobilising experts, which suggests that information on consultants is obtained through other channels such as recommendations and contacts. Consultants are identified through the network of the professional staff of ITC. The HRS screens candidates to ensure that they meet the minimum qualifications. The roster, as designed presently, is seen as an inefficient tool by the majority of the staff interviewed: * The system is mainly reactive as limited efforts are deployed to identify potential qualified consultants and attract new candidates; * The competence base is inadequate; getting qualified consultants in specialised fields is not always possible; and * There are time constraints for selection of consultants due to registration and approval procedures. Consultants are hired to provide a defined deliverable, which may be a study, training materials, report etc. The deliverable becomes the property of ITC and is integrated into its programme. A means of drawing on expertise and alleviating the pressure of resource mobilisation is to draw on experienced external consultants. And this is where the flexibility of the roster plays a very important role. Division of Program Support currently has on its work programme a project to enhance the system to facilitate collection and management of data in the consultants' roster and for intranet access. A new online system will be established for application and screening candidates and linked to the improvement of the consultants' roster and candidate selection process (ITC business plan 2003-2005). There is a general feeling within the organisation that the pressure to spend money before each year-end means that ITC staff tend to worry less about quality than about availability. Given the uneven use of consultants, the limited "pool" from which they are drawn, and the limited confirmation about consultants that is currently held, this new system will be a major step forward. 6 Brewster, C., (1997): "Flexible Working in Europe: extent, growth and the implications for HRM" in Sparrow (ed) HRM in Crisis. Institutional Memory Almost one third of ITC staff (at all levels) are 50 years of age or over with many years of experience in the organisation. Over two thirds of staff (some 130+ people) is 40 years of age or over. And all members of the SMC will be leaving the organisation in the next two years. It is obvious that there is a tremendous amount of information that is available from these people directly or indirectly, i.e. they either have the information themselves, or they know where to find it. In addition, ITC has fewer generalists than similar organisations and more specialists who have worked in their area of expertise for many years and have knowledge and judgment on what information should be used, how and when. Much of this information that is in people's heads is already captured in various databases, and more is being captured as an ongoing process. There remains a danger that ITC will lose much valuable "institutional memory"7. Institutional memory is the collective knowledge and history of an organisation held by its employees, especially those that have been there for a number of years. Different people in the same organisation regularly interact with the same beneficiary, partner, donor, etc. At these interaction points both the collection and use of information are crucial in providing the right mix of value and service either in real time or in the future. ITC's past and future successes are based on leveraging both new or existing information and requires creating, developing, and maintaining an institutional memory. Most organisations do not have a complete and contextual representation of their clients. ITC, like many organisations, creates multiple representations of its beneficiaries, which results in incomplete or inaccurate information of individual clients. An organisation's lack of complete knowledge and faulty memory of corporate history (not only recall of previous programmes, policies, procedures, etc., but the reasons for them) contributes to the loss of institutional memory. The result is often a failure to act on new information (because the organisation cannot place it in context) and duplication of effort. To create a useful institutional memory (not just a historical record) through the use of information technology requires substantial resources (people, time and money). The result will be a database of some kind that is composed of the following typical kinds of information, and that is cross-referenced internally and also cross-referenced to other information sources, e.g. in sister organisations. ITC is working on such systems. However, much of the information is intangible: why things were done that way, who was involved and what their attitudes were, the reactions of donors and clients, etc. Younger people working alongside more experienced staff prior to the latter's retirement best capture this sort of memory. 7 Adapted from Chettayar, K., Assistant Vice President, D&B Sales & Marketing Solutions, "Creating Institutional Memory: The Key to Successful Customer Relationship Management". ITC Field Presence Virtually all staff members are located at ITC's head office in Geneva. This is a result of history as, some 20 years ago; United Nations Development Programme (UNDP) was the "retail" arm of ITC and as such provided a field presence. With UNDP's change in focus from economic development (in the broadest sense) to social development (with, as a result, many fewer joint projects implemented), and the reduction in its economic development budget8, ITC's relationship with UNDP has changed. UNDP still assists ITC on request as the UNDP Resident Representative is also the UN Resident Coordinator. ITC's normal mode of operation is to work out of the head office in Geneva (with the exception of project offices – see below) and to make periodic visits to the field as and when required. This has led to some comment that ITC's experts (particularly external consultants) are not "on the ground" long enough in any country to be able to fully understand the issues and situation in that particular country. At the moment ITC's only field presence is five project-related offices outside Geneva (Vietnam, Cambodia, Laos, Kyrgyzstan and Bolivia) which are funded by State Secretariat for Economic Affairs (seco). There are likely to be additional seco-funded project offices in the near future. Given that the nature of Trade Related Technical Assistance is changing and that many donors are decentralizing operations, it may be necessary for ITC to re-think its policy of delivering most assistance from Geneva. It is recognized that building and operating a decentralized operational structure is more complicated and more expensive than conducting all operations from one central location (ITC will either need additional resources or will have to reallocate existing resources). A possible approach that falls between having ITC's own field offices (greatest control and strongest impact, but probably, despite cuts in travel costs and the availability of cheaper GS staff, most expensive) and a long-term representation partnership (relatively inexpensive, but low control and modest impact – see next section), is to adapt the manufacturer's agent model to ITC's needs. Under this model an individual (contracted fulltime or part-time as required) in certain countries would be ITC's official representative. Fees and expenses would be negotiated individually. The advantage with this approach is that from the client's point of view ITC has a permanent agent in the country or region, while from ITC's point of view it gives maximum representation and flexibility with lessthan-maximum financial expenditure. ITC has a variation of this in place in South Africa where a consultant is contracted to ITC for six months per year. In Asia ITC uses national consultants for projects and the same ones are used year after year. The limitation on these two approaches, satisfactory as they are given the current requirements, is that they are reactive not pro-active. 8 In 2004, only one half of 1% of ITC's regular budget funds comes from UNDP. The Employment Cycle in ITC Filling Posts ITC posts are not subject to the geographic or gender distribution rules applied in the UN common system organisations, but are increasingly based on the identification of competences and skills needed to fulfil the functions of the organisation, and based on the future expected performance of individuals. There is some evidence that ITC's recruitment is becoming more difficult. The Evaluation was quoted one example of a Head of Section advertised four times in a year: evidence that the organisation has problems both in its succession planning and in its capacity to attract good quality candidates from outside. Members of the SMC told us that ITC "needs more proper managers" and increasingly is looking to the private sector in an attempt to find them. This reflects the OIOS (2004) report conclusion that "efforts to streamline the recruitment process" were necessary and that "one of the main goals of the new staff selection system, i.e. to empower managers in making recruitment selection decisions, has not become part of the ITC recruitment process". Job Descriptions are still very technical and generally include nothing on people management skills. The 2003 staff survey found that almost half of those who responded either disagreed or strongly disagreed that selection for posts was transparent; a third did not believe that either General Service or Permanent Professional posts were awarded on the basis of merit. The Evaluation heard comments about the lack of transparency in appointments; about differences between departments; and about an "old boy network". However, the Evaluation has no evidence as to whether the system has improved since 2003. Communication A key element in a knowledge management based organisation such as ITC is internal communication. ITC has a number of communications mechanisms both formal and informal for keeping staff informed. The most useful formal communications mechanisms identified in the 2004 survey are considered to be number one: the Project Portal, number two the SMC minutes, and number three is the Division and Section meetings. The Project Portal is used at least once a week by 70% of respondents, and 87% found the information on the portal to be quite accurate to very accurate. Nevertheless, respondents also feel that communications could be improved. 27.7% felt that communication was "good" or "very good". 40% felt that consultation among staff of different divisions on product and program delivery was "good" or "very good". Some typical comments include the following (additional comments are included in Annex 2): * Annual Operations Plan (AOP) could be a very useful source of information if properly implemented; * Groups presenting their activities are also providing an excellent vehicle for cross functional communication. However, perhaps the most critical element is the fact the HUMAN RESOURCE MANAGEMENT Evaluation are missing the process of cascading down the Annual Business Plan and Operating Plan; * Informal gatherings such as coffee breaks, lunches and ITC parties provides useful information; and * Less formal, but still official, communications mechanisms such as lunch-time presentations appear to be working well. There is some evidence that internal communications have improved in the two years since the last staff survey. Thus, management's efforts to increase and improve communication appear to be yielding results. The evaluators can only encourage further activity in this direction. An excellent feature of the SMC functioning is the open and free discussions and exchange of views on issues at the highest management level. The sharing of decision making and transparency within higher management means that, as the 2004 OIOS report pointed out: "the SMCs practices enhance transparency of decision-making in ITC and constitute good practice" This is complemented by the policy of every Director holding weekly meeting with the Chiefs and every Chief periodically meeting their section staff with the aim of ensuring the free flow of information within the organisation in both directions. At the highest levels it is clear that significant steps are being taken to enhance communication within ITC. However, as the OIOS report also pointed out "while…information sharing had improved over time, communication was still seen as strongly hierarchical". The 2003 staff survey found a third of the staff felt unable to agree to the statement that they can contribute irrespective of level and without fear. There is a general belief that information does not flow as well as it could in sections and across sections and divisions. There is still room for improvement, and sharing of information. Internal communication across sections as indicated by many staff is mainly on an ad hoc basis, and relies on personal contacts developed among the staff. Sharing of information is essential for the development of ITC and increase in efficiency. The SMC has recognised the need to improve the coordination among divisions. Within the course of the year, the SMC undertook the following steps: * Allocating the value of the project work to the staff who is involved in the implementation of activities. Efforts are made to create transparency in the project portal; * Promoting agreements across divisions where technical staff act as sub contractors to project managers; and * Involving technical divisions in the early stages of project development to ensure the relevance of expertise, ensure professional input to project design, and increase the commitment of the technical staff to be involved. The results of the SMC efforts have a clear positive effect on the coordination across divisions. It has reduced the sub-optimisation of activities among sections, and enhanced the communication level across the organisation. There are signs that the level of communication and coordination has increased recently, as this issue has been the focus of the SMC and the Office of the Executive Director which have organised activities to enhance internal communication and sharing of knowledge. The latest initiatives such as interdivisional consultations, transparency in contribution of staff in project activities have enhanced the level of communication, sharing of knowledge and cooperation among sections. Training and Development HRS prepares the annual training plan: Division Directors are requested to indicate the skills gaps that have been identified among their staff. Gaps can be identified in the context of the Performance Appraisal process, or as part of overall programme performance evaluation. HRS endeavours to identify facilitators and organize courses that will address the identified needs. Training plans are then developed. Capacity-building is the core of the programmes and ITC staff members are expected to be qualified in this. Yet technical specialists may be recruited who are not trained in the skills and knowledge for capacity building and managing technical assistance projects. In addition, Division of Programme Support organizes courses such as Project Management, Presentation Skills, Public Speaking. Enterprise Management Development Section also has a programme for training of trainers. Like the OIOS, the Evaluation considers that there is a "need for more technical and substantive training". A report that had been prepared for ITC management in 1998 proposed more training and development activities, but the recommendations of the report have not been implemented. The Evaluation was unable to establish any reason for ITC ignoring this report, although it was suggested that this was simply because of costs. ITC has its own training budget, and courses can be organized directly by HRS using contracted facilitators, by participating in certain courses organized by UN Office Geneva, and by tapping into the services offered by the UN Staff College. There are three main problems here: 1. The ITC training and development budget is low for an organisation with ITC's scale and much of that budget is spent on Information Technology and language training. The Evaluation has already noted issues about management development above. 2. Managers are not necessarily good at identifying staff training needs and staff may not be aware of the options open to them. 3. Many people feel under too much pressure with their work to consider taking time to learn. This is, of course, a vicious circle as staff who do not learn will increasingly struggle to keep up with he work demands (the old joke: "I've got too much work to go on a time management course…"). Training and development are crucial not just to the effective achievement of the mission of ITC but also in motivation, by showing that the organisation cares about its employees' capacities. Good training and development is seen as a mutual gains reward for the employees, opening up the opportunity for career advancement or career change (it is recognized that in ITC opportunities for career advancement are relatively few as people like to work in the organisation and tend to stay for a long time). Even though it appears that progress has been made recently, there is an opportunity to undertake further research on the importance of training (in the broadest sense) as an employee motivator. Training in ITC is not part of a comprehensive HR strategy. Because resources for training are limited, much of it is done quickly "on the cheap", there is no proper training needs assessment, and too much focus on short-term training. Much of the training is seen by the recipients as poor quality training and/or is not followed through into practice. Only about one-third of the respondents to the e-questionnaire conducted by the Joint Evaluation expressed the view that there was ample opportunity for training and professional development and more than two-fifths expressed the view that training opportunities were too limited or constrained. There is a particular problem with new hires, including those who are theoretically on short-term contracts. The best development activities are not always in the class-room. The Evaluation found no clear rotation program within ITC. There is a secondment program available in ITC, but there are very few examples of it being used. Career Planning The Evaluation could find no evidence of career planning for staff and considerable concern about its absence. This is a particular challenge for ITC because it is a small agency employing technical specialists with limited internal opportunities for promotion. Paradoxically, in such circumstances, there is greater pressure on the organisation to show that it is concerned about people's futures, is actively seeking to provide variety and mobility, is thinking broadly and is clear about options. The 2004 survey of Permanent Professional staff conducted by the Evaluation found, like the wider 2003 staff council survey, that around half of the staff did not feel that they are treated equally in terms of career progression. In all surveys there is an element of disappointment about this issue, but these are comparatively high figures. There is also evidence that the selection of candidates for posts is not seen by everyone as being undertaken in a transparent manner or that posts are awarded on the basis of merit. Succession Planning Linking the issues of retirement of senior management with the concern for continuity and career planning in the context of a comprehensive HR strategy raises the related issue of succession planning. Clearly, the retirement of the whole SMC in the next year has made this issue very apparent, but it should go down through the organisation. The SMC argues that this will "Only become real in 2005" but that is obviously too late to have started making the necessary arrangements. The learning message is that there needs to be a succession plan for all managerial appointments. The Evaluation has not seen a succession plan or a relevant part of an HR strategy. As with all organisations, and particularly the case with more democratic and transparent organisations, there are limits to the rigidity of such planning: but that, combined with the aging employment structure within ITC, should emphasize the importance of establishing such a policy. Again, the lack of a competency framework will make this more difficult. Enhancing Staff Performance Even though professional employee satisfaction appears to be high, senior management is considering how to identify and reward top performers in order to keep them working at their peak. The ability to use financial rewards is circumscribed by the UN system rules although changes here are currently being piloted (ITC chose not to be such a pilot organisation). Most commonly high performers and average (or even below average) performers receive the same rewards at the same time, e.g. a jump in classification with its commensurate increase in pay. The opposite is also true – under the UN administrative framework it is difficult to rid the organisation of low or poor performers. This dual conundrum adds a degree of difficulty to the constant challenge of keeping high performers working at their peak at all times. The challenge is to both identify these high performers9 and, within the constraints of the UN administrative framework, to reward them, thus keeping them motivated and providing a significantly above-average contribution to ITC. The first issue is how to identify top performers. Senior management states that while "…ITC's ability to deliver larger quantities of Trade Related Technical Assistance is an important point; this is not done at the expense of quality. Outputs, outcomes and results are quality focused and do not, and cannot, be replaced by quantity alone." However, the 2004 survey indicates that the professional staff who responded feel that the primary performance measure is delivery rate (86% of respondents), followed by meeting budget (50%), with initiating new projects or projects in third place (40%). The Project Portal which tracks (dollar) delivery of products and services of professional staff in the three operational divisions10 is one identification tool that is already being used and that continues to be enhanced. A better tool may be Annual Operations Plan 2 which will capture dollar figures "allocated" to staff in other divisions, as up to now Division of Technical Cooperation and Coordination (DTCC) has "monopolized" delivery dollars in program delivery. While everyone knew that other divisions contributed to program delivery, there was no way of allocating this contribution in financial terms. In its 2004 report "OIOS recommend[ed] enhancing further its effectiveness in programme performance monitoring and reporting, increasing internal cohesion and strengthening human resource management" 9 Intuitively it is easy to identify staff who consistently perform at an above-average level; however, in order to minimize complaints (formal and informal) from a certain segment of staff, the identification and reward systems must be fair, and must be seen to be fair. 10 It is recognized that DTCC is the "marketing" division; however, both DPMD and DTSS also "market" their products and services. The concept of performance assessment is individually based through the use of the UN Performance Appraisal System (PAS). The OIOS report noted significant delays in the implementation of the PAS. The survey carried out by ITC Staff Council in 2003 indicated that 48% of the respondents believed that the PAS was not used effectively by the staff and supervisors (17% said that it was). Consistency in the use of the PAS and the quality of the indicators for performance measurement are issues of concern for management. Lately management reviewed a sample of PAS forms with the aim of improving the quality of the indicators of performance, and provided feedback to supervisors on ways to improve performance measurement. The question can also be raised about how performance is assessed. More than four-fifths of the respondents to survey of professional staff by the Joint Evaluation concluded that delivery rates in terms of spending technical assistance funds were the indicator used most intensively in judging performance as compared with other measures such as quality and timeliness. The existing PAS does not meet the requirements in the view of many staff and managers in ITC. Furthermore, the weaknesses of the existing PAS in term of identifying training and development needs were emphasized above. Consequently, the organisation is now looking to upgrade the system and has been training its managers in its use. It is doing so without using a "competencies" approach and this will create difficulties for the future and may put the investment of resources here at risk. Without an agreed set of competences against which to measure results, it is unlikely that the system will achieve the necessary acceptance levels. The challenge for the future will be to develop the PAS to support the implementation of Results Based Management. If indicators or achievement or targets are specified in advance either for sections or for individuals this provides a metric for performance evaluation. The Role of the Human Resource Department The HR department is generally viewed as an effective administrative function. The HR Information Systems are not modern and are a long way away from the electronically enabled and readily accessible "e-HRM" approach being adopted by some internationally operating private sector organisations. Without adequate and easily accessible information the function will be unable to develop the more strategic role to which it aspires. The UN Common System is seen within the organisation to be a significant barrier preventing various kinds of change in ITC. In fact, it is by no means the kind of constraint that ITC managers seem to believe it to be. This can be seen both in the range of HRM policies and practices pursued within the UN family of organisations and in the recent steps taken by the International Civil Service Commission of the UN to allow organisations to adopt innovative new practices (an option not taken up by ITC). As the OIOS report (2004) pointed out "ITC enjoys full delegation of authority in the recruitment and promotion of staff under all series of the staff rules up to the D-1 level". This can be seen in the way that ITC feels itself not to be bound by the gender and geographical distribution policies of the UN (OIOS Report 2004 "further efforts are clearly needed in order to reach the goal of gender parity set by the Secretary-General, particularly in high-level ad project posts"). Nor does it feel itself to be bound by the UN's flexible working or mobility policies. Following (selected elements of) the UN Common system allows ITC to take a "risk-averse" approach to HR issues: but this is not going to help the function to become more strategic. If the UN system is seen as a constraint ITC could consider moving to a position where it borrows more of its baseline policies form its other parent: WTO. Moving towards a more strategic approach to HRM, which would be of considerable benefit to ITC, would require line managers to accept their role in managing staff fully and will also need the function to review its internal capabilities: do the staff currently there have sufficient competence for the new role? 1.6 Recommendations 1. ITC needs to identify bottlenecks and ensure back-ups for staff with heavy workloads and to mobilize resources and distribute the tasks more evenly. ITC should explore the benefits of adopting an "annual hours" work contract. 2. ITC should improve the HR planning process to ensure smooth changes and continuity in the skills and competence needed at ITC. This should be a regular item on the senior management team agenda. ITC should develop and publicise a comprehensive HR strategy built around the development of a set of managerial and technical competencies. 3. When a new management team is in place, ITC should develop a formal change management process and program to take the organisation in the direction decided by the new SMC. 4. HRM in ITC needs to be considered and monitored holistically: all the HR, whatever contact they are on, are vital to the effective operation of such a tightly resourced organisation and need to be handled comprehensively. 5. The production of the comprehensive HR strategy is the responsibility of SMC and should be accelerated and linked to a set of clear strategic principles and criteria for the management of people, with managers selected against managerial competences and well-trained in management would be a valuable addition to the administrative HR management currently in place. 6. Training and development for managerial staff is crucial to ITC meeting its targets. Spending on training and development, as a proportion of the total budget, should be increased. 7. As the new PAS is brought on-stream it needs to emphasize staff management; and in particular the ability of such managers to develop subordinates. 8. ITC should examine carefully its use of different forms of employment contract to ensure that it is deriving the maximum advantage from the options available to it. 9. ITC should extend its pool of consultants, making sure that consultants are selected for "fit for purpose" reasons. That will mean using a wider pool and relying less on a small number of those currently being used. Project managers should be required to show that they have updated their list of consultants and that none have been used for more than 100 days per year. The new online system needs to be established as a priority, linked to application by and screening of candidates and to the improvement of the consultants' roster and candidate selection process. 10. ITC needs to examine its staff allocations and ensure that there are, wherever possible, younger people working alongside older people at every level. 11. ITC should evaluate establishing pro-active regional or country representation in order to be closer to both its clients and its stakeholders and partners. 12. Whilst recognizing the progress that has been made communication is an issue where no management can afford to relax its attention. The Evaluation would echo the OIOS report that "Enhanced horizontal communication and strengthened interdivisional and intersectional cooperation in project development and implementation would further increase the value of ITC activities". 13. With the OIOS report, the Evaluation believe that "the training strategy should be finalized expeditiously and should address the need for more extensive substantive training and organisation-wide sharing of professional expertise". 14. OIOS advised that "ways to facilitate movement of staff among ITC divisions should be explored". ITC should clarify and utilize a rotation program for staff, giving them the opportunity to move between departments. This should be monitored and the number of such movements be reported to the senior management team annually. New life should be breathed into ITC's mobility program and the opportunity for secondments, to and from UN or WTO, but also to governments, universities and other bodies, should be made to work effectively. 15. As a subsection of the HR strategy and linked to the training and development strategy, ITC should develop a consistent approach to career planning and development. 16. As part of its comprehensive HR strategy and linked to the development strategy, ITC should develop succession planning policies. 17. ITC should develop a comprehensive performance identification (measurement) system that takes into account both financial (objective) and non-financial (subjective) measures 11 . 18. Develop and implement reward systems for consistent high performers (within the limits of the UN administrative framework). Possible rewards could be attendance at conferences, events or training programs that have no direct benefit to ITC but do to the employee; provision for a "sabbatical" every few years 12 ; freedom to work on any project whatsoever (that is somewhat work-related) for a given period every year, e.g. two weeks. 19. The HR function should identify a comprehensive new HR strategy and sets of policies as outlined here and have them approved by the SMC. The function should also have approved by the SMC a clear mission for itself outlining how it will contribute to the wider mission of ITC and outlining the competences it will need to achieve that. 20. ITC needs to examine its staff allocations and ensure that there are, wherever possible, younger people working alongside older people at every level. 21. ITC should evaluate establishing pro-active regional or country representation in order to be closer to both its clients and its stakeholders and partners. 11 The following summarizes some key points by Levinson, H., Harvard Business Review, January 2003 on using Management by Objectives for evaluating and motivating employees; "Levinson's bottom line is that in order to have the most motivated and satisfied people (which in turn lead to more productive employees and overall organization success), the MBO process should always involve and incorporate the employee's objectives. This creates a sense of value for the employee and keeps everyone moving in the right direction." 12 ITC has such a sabbatical program and in the three years since it was started there have been no applications. 22. Enhanced horizontal communication and strengthened interdivisional and intersectional cooperation in project development and implementation would further increase the value of ITC activities. Annexes Annex 1: ITC Organisation Structure Annex 2: Staff Comments on Communications Annex 1: ITC Organisation Structure Department of Operations Mr. J. Smadja – Deputy Executive Director Division of Technical Cooperation Coordination Mr. H. Roelofsen Division of Product and Market Development Mr. P. Walters Division of Trade Support Services Mr. R. Badrinath Division of Programme Support Mr. G.P. Roz Office for Africa Mr. C. Krakoff Office for Arab States, Europe and the Commonwealth of Independent States Vacant Trade Information Section Vacant Business Advisory Services Section Ms. S. Meitzel Market Analysis Section Mr. F. von Kirchbach E-Trade Development Unit Mr. N. Semine Enterprise Management Development Section Mr. O. Atac Market Development Section Mr. P. Smit International Purchasing and Supply Management Section Mr. R. Smith-Gillespie Trade in Services Section Ms. D. Conrad Office for Asia-Pacific, Latin America and the Caribbean Mr. E. Alvarez Gurza Office for Interregional Programmes Mr. F. Geoffroy General Services and Publications Section Ms. V. Browning Financial Management Section Mr. K.C. Tan Human Resources Section Mr. J. Wormus Information Technology Services Section Mr. G. Niquille OFFICE OF THE EXECUTIVE DIRECTOR EXECUTIVE DIRECTOR Mr. J. Denis Bélisle - Executive Director Annex 2: Staff Responses and Comments on Communications 60 responders registered from the survey of professional staff 3. Internal communication in all ways (vertically, horizontally, across divisions, between different levels of employees, formal/informal, etc.) is very good? 1 = not at all accurate 5 = very accurate 60 responders registered (100.00 % from 60) 4. The most useful formal internal communications mechanism(s) are (indicate, in order of priority (mark 1, 2, 3, etc.), all that apply): 60 responders registered (100.00 % from 60 ) 2 3 4 5 6 7 8 9 The budgeting process 1 2 3 4 5 6 7 8 9 Forum magazine 1 2 3 4 5 6 7 8 9 The ITC intranet in general 1 2 3 4 5 6 7 8 9 Annual business plan 1 2 3 4 0 0.00% 4 6.67% 9 15.00% 8 13.33% 12 20.00% 15 25.00% 10 16.67% 2 3.33% Avg: 6.15 0 0.00% 0 0.00% 2 3.33% 6 10.00% 12 20.00% 12 20.00% 17 28.33% 11 18.33% 0 0.00% Avg: 6.25 0 0.00% 2 3.33% 2 3.33% 4 6.67% 8 13.33% 16 26.67% 11 18.33% 17 28.33% 0 0.00% Avg: 3.72 7 11.67% 11 18.33% 14 23.33% 9 15.00% 8 13.33% 3 5.00% 7 11.67% 0 0.00% 1 1.67% Avg: 6.03 1 1.67% 1 1.67% 2 3.33% 10 16.67% ANNEX 2 5 6 10.00% 6 15 25.00% 7 9 15.00% 8 14 23.33% 9 2 3.33% other (please specify below) Avg: 8.50 1 0 0.00% 2 1 1.67% 3 2 3.33% 4 1 1.67% 5 1 1.67% 6 0 0.00% 7 0 0.00% 8 2 3.33% 9 53 88.33% 4.1. Specify 15 responders registered (25.00 % from 60 ) * In the past two years, the ITC Intranet has emerged as the major platform where ITC staff can easily find and share a lot of "corporate" information, e.g.: project documents, reports, miscellaneous notes, etc. * ITC Cafeteria Section meetings, Lunch time meetings, other presentations at ITC. * Annual Report. * Minutes of the SMC, Project Portal, Annual Business Plan. * 1. Minutes of the SMC, 2.Budgeting process, 3.Project portal, 4. Annual Operations Plan, 5.Annual business plan, 6.ITC Intranet, 7.Forum magazine, 8.Division section meeting. * I have ranked the mechanisms in order of priority I don't see how you can include the Forum magazine as in internal communication mechanism - it adds nothing to enhancing internal communication. Same remark for the budgeting process. * Annual Operations Plan could be a very useful source of information if properly implemented. * PAS. * Other: informal discussions with colleagues from other sections/divisions. * The minutes could be very informative, if they were indeed transparent..!!! * Groups presenting their activities are also providing an excellent vehicle for cross functional communication. However, perhaps the most critical element is the fact that the Evaluation is missing the process of cascading down the Annual Business Plan and Operating Plan. * E-mails. * Informal gatherings such as, coffee breaks, lunch and ITC parties provide useful information. * As per order above. * I rank very highly meetings with project managers and direct (one to one) meetings with project staff or functional/product experts. This is to me the only "quality" and practical information. Annual Operations Plan could become a good source but for the moment the format. 5. There is a lot of consultation (both formal and informal) among staff of different divisions on all aspects of product and program delivery. 1 = not at all accurate 5 = very accurate 60 responders registered (100.00 % from 60 )
The Darts Hill Oracle A newsletter from the Darts Hill Garden Conservancy Trust Society Darts Hill Garden Park is located on 16 th Avenue, at 170 th Street, Surrey, B.C. Accessible by pre-booked tours only. Call 604-501-5050 for your tour. In This Issue: What's Blooming! By Doug Justice WHAT'S BLOOMING AT DARTS HILL? By Doug Justice: Chair of Darts Hill Garden Society, Curator of Collections & Research Scientist, UBC Botanical Garden Spring Ahead by Graham Laine Membership Corner By Marlene Gurvich Volunteer Opportunities By Mary Dunn Empress tree, Paulownia tomentosa, never fails to draw attention. One of the fastest growing temperate zone deciduous trees, Empress tree is usually grown from seed (as Francisca has done) and often reaches a meter (3 feet) or more in its first year. Subsequent growth is even more spectacular, as trees will easily grow a further 2 or 3 meters (6 to 10 feet) in their second year. The accompanying velvety, 3-lobed leaves are also epic in proportion, provided there is sufficient moisture for the agile growth. Perhaps to compensate for this reduction in exuberance, the Empress tree begins to flower. Emerging from exposed, fuzzy, brown buds on leafless branches, the flowers are truly impressive. Like cones of giant purple-blue foxgloves, flowering usually peaks around Mother's Day. Long-lasting in cooler weather, the flowers are deliciously fragrant to most people, but only faintly so to others (if you can smell freesias, you should be able to smell Paulownia). Plants are somewhat tender in youth, and the thick, fleshy shoots may die back considerably during cold winters or in periods of untimely frost. Once trees are a few years old and producing woodier tissues, they are better able to handle the cold. As the Empress tree begins to mature at around 6 m (20 feet), leaf size decreases to a respectable 40 cm (15 inches) across and the growth rate slows to around a meter per year. Paulownias are all native to eastern Asia, forming large, open trees up to 30 m (100 feet) tall or more. The wood is highly prized for its workability when freshly cut and its hardness and resilience when dry. It is variously used for a cabinetry and the manufacture of musical instruments and dowry boxes, and in Japan for making clogs. At Darts Hill, conditions for the Empress tree are ideal, and they produce copious seed, which regularly germinates NAME THE NEWSLETTER CONTEST The Society would like to thank all of the people who submitted suggestions for our newsletter. Winning submission was received from Sunny Phillips SPRING AHEAD By Graham Laine: Francisca's Assistant at the Garden We enjoyed a very mild winter at Darts Hill and the few dry weeks in February allowed us to get the new west loop pathway built. The wet weather since has slowed any work on regrading and repairing the grass edges to the path and on some larger grass areas that need to be completely redone. That cold week in early March was a little scary since so many rhododendrons and magnolias were in full bud. Last year at that time many of the buds were frozen off with a couple of very cold nights. We managed to keep the blooms of Rhododendron ririei from freezing off by placing a large patio umbrella over it each night, and those efforts paid off by the best display of purple coloured flowers in years. Many of the late winter flowering plants were exceptional this year, including the three varieties of flowering currant planted at the "meet and greet" area. These are the red Ribes sanguineum 'Pulborough Scarlet', a pink seedling R. sanguineum and the white Ribes sanguineum 'Alba'. Our earliest magnolia this year was the mature, 30-foot tall Magnolia 'Royal Crown' (Bed #2) with its masses of midpurple flowers. Close by in bed #1 West, is one of my favourite rhododendrons, R. arboreum, with its striking red flowers set against dark green leaves. Also in this area, another species, R. eximium, was, for the first time, in full flower with its pinkish-white blooms. All the andromeda shrubs (Pieris)—some the size of small trees—have been spectacular, with masses of flowers lasting week after week. There are many different daphnes in the garden, including several clumps of Daphne caucasica, which fill the surrounding air with a pleasant scent. Perhaps the most fragrant variety is Daphne odora (bed #39) with its long-lasting purple and white For many years Edgeworthia papyrifera continues to bloom in a shady, protected site below the house. This Chinese paper bush may be more correctly named E. chrysantha, as its flowers are more yellow than white in colour. Towering overhead is the early flowering cherry, Prunus subhirtella 'Whitcombei', always a first in the garden, and a very welcome sight in the late winter. VOLUNTEERING AT DARTS HILL GARDEN The Darts Hill Garden Guides are a group of keen volunteers who conduct tours for visitors to the garden. At present we have about 40 members. We would encourage anyone with an interest in and knowledge of gardening to join us. Guides must be committed to learning about the history of the garden and about the plants within it. If involved you should have a desire to share your knowledge and enthusiasm with visitors to the garden. As a guide you will have a great opportunity to learn more about the tremendous range of plant material in this wonderful garden. The big bonus meet new garden friends! For more information please contact Mary Dunn at 604.536.7966. MEMBERSHIP CORNER By Marlene Gurvich: Membership Coordinator, Darts Hill Garden Society; Garden Time – Shaw TV May is the absolute primo month to see Darts Hill in a glorious symphony of colour. The rhododendrons and azaleas carry masses of glowing flowers. Many of Francisca's collection of flowering trees and shrubs provide their blooms in late May through to June and beyond. Be on the lookout for varieties of Stryax, Kalmia, Viburnum and Cornus. Make sure you check out the yellow flowering Paeonia lutea. It is spectacular! Perennials weave their bloom and leaf through the beds. Two of my particular favourites include the fragrant white flowering Romneya coulteri (located on the hillside by the house) and the graceful Dierama pulcherrimum (Lower bed close to Tractor Road). This is truly the time to experience our West Coast growing season in its prime. One of the most striking specimens in the garden is the tree Paulownia tomentosa (commonly called The Empress Tree of China). This is a magnificent ornamental flowering tree. The flowers are of the softest lilac and resemble a foxglovelike panicle of flowers. The smell is what is most striking; sweet as candy and with a colour reminiscent of violets. "It smells like its colour" comments Francisca. She absolutely loves this tree and now has many different aged specimens located throughout the garden. It is an absolute car stopping sight (as attested by those driving along 16th Ave). The Paulownia is definitely worth the visit alone! That brings me to the upcoming Member's Days and our next open Public Day. If you are looking for an opportunity to bring the family and friends then you need to reserve Saturday May 24th for just that reason. Darts Hill Garden will be open to the public (free admission) from 10am to 4pm. There will be knowledgeable tour guides throughout the garden and they can answer your questions on plant material and general garden history. Dierama pulcherrimum Every month has its own special plant show. Please note the next upcoming garden dates and plan a visit. Saturday May 24th - Public Open House 10am to 4pm Sunday May 25th - Member Open House 11am to 3pm Sunday June 15th - Member Open House 11am to 3pm Sunday July 20th - Member Open House 11am to 3pm The garden is closed in August. We certainly encourage our members to visit the garden on the Member Open House days. Use your guest passes and entice others to join Darts Hill Garden Park Society. If you can spare some extra time and would like to help out on our Members Days, please call Marlene at 604.535.1302 or e-mail email@example.com. Primula francisca Rhododendron By Joan Rich Circulated to Master Gardeners Vancouver, April 2001 : from the Greek – rhodon – rose + dendron – tree GENUS: RHODODENDRON FAMILY: ERICACEAE ORIGINS Rhododendrons are found in the fossil record dating back 50 millions years; many of these ancient fossils found in North America are very similar to rhododendrons growing in Central Asia today. They grow mainly on the wetter mountain slopes of the northern hemisphere, and the majority are to be found in the Himalays and the lands stretching through Tibet, Burma, west and central China and south to the Malay States and Indonesia. More than 1,000 species have been found to date; there are 31 species in Japan, a few in western Canada and the northwestern States, 20 species in eastern North America between Labrador and Florida and 10 species found in Europe and Asia Minor. They grow from sea level to 18,000 ft (5,500 metres) and live in conditions of fog, mist, snow, monsoon rains, high humidity, desiccating winds and freezing temperatures to mild and warm conditions. The alpine rhododendrons have snow cover for six months of the year, and some are tiny plants a few centimetres high with leaves 1 centimetre long; whereas those rhododendrons growing in the shelter of the forests at low elevations may grow 80 ft (25 metres) tall and have leaves as long as 30 inches (75 cm). Rhododendrons are divided into two groups, according to their leaf structure: they are either lepidote or elepidote. Lepidotes are those with microscopic structures known as scales on their leaves, mostly on the underside of the leaf. Elepidotes have no scales. Scales and hairs on the leaves function to control the water balance in the plant. Azaleas are rhododendrons and they are all elepidotes (no scales). All azaleas have 5 lobes to the flower and usually 5 stamens. Most other rhododendrons have 10 or more stamens. Membership application: Francisca Darts with Rhododendron "The Rogue' Special thanks to Doug Justice, James Good and Kathy Piccott for their help in putting this newsletter together. Name: __________________________________________ Address: ________________________________________ City: ____________________ Prov. _________________ Postal code: ______________________________________ Please make cheque payable to: Darts Hill Society Mail cheque to: 909 – 164A Street, Surrey, B.C. V4A 8N1
Summary Rural Development, Preservation of People's Identity and Ecological Balance in the Era of Globalization Dr. Christoph Stückelberger General Secretary of the Swiss Development Organisation "Bread for all", Associate Professor of Ethics at Basel University, President of the Consultative WTO-Commission of the Swiss Governement 1. The concept of sustainable development is the basis of balanced land settlement 1.1 Definition of sustainable development A sustainable development allows a life in dignity for the present generations, without threatening the life in dignity of the future generations and of nature. 1.2 Five dimensions of sustainable development Sustainable development inseparably includes the ecological, economic und social dimension. So far, the cultural and religious dimension of sustainability has not yet been considered enough, although both ought to be inseparably included. 1.3 Interdependence of the five dimensions No biodiversity without cultural diversity. No economic sustainability without respect of religious diversity. No social and political sustainability without cultural and religious sustainability. 2. Different Speeds of Development are a Source of Tension Tension is created by the great differences of speed in the globalization of the five dimensions of sustainability. The fast-moving economic globalization needs to be slowed down, the relative slow political, ecological, ethical and in particular the cultural and religious globalization needs to be speeded up, in order to enable a sustainable development and a balanced land settlement. 3. We need Multilateral Social, Cultural and Religious Policies The multilateral institutions have to complement their globalised economic policy with their global social, cultural and religious policy. 4. Globalisation and Contextualisation are two sides of the same Balanced land settlement seeks to establish a balance between a globalised form of ethics and a contextualised form of ethics. Sustainability in a globalised world requires basic values globally agreed upon and at the same time a manifold differenciation of these basic values depending on the particular context and region. 5. Balanced land settlement needs strong legal instruments and good governance Land settlement in developing countries is often a question of illegal situations. Legal instruments are necessary in theequal distribution of land, land rights also in oral traditions, an International Soil Convention for sustainable land use, legal security and reduction of violence and programmes to combat corruption. 6. The role of the private sector, especially transnational companies The private sector, especially the transnational companies, can and should play an important role for balanced land settlement, preservation of peoples rights and sustainability. Instruments are: to include more cultural and social aspects in there business ethics, codes of conduct for companies and to include ethical criteria of sustainability in the financial sector. 9.3.99/CS\artikel/indone99a.doc Rural Development, Preservation of People's Identity and Ecological Balance in the Era of Globalization Dr. Christoph Stückelberger General Secretary of the Swiss Development Organisation "Bread for all", Associate Professor of Ethics at Basel University, President of the Consultative WTO-Commission of the Swiss Government 1. The concept of sustainable development as the basis of balanced land settlement At the end of the 20th century, freedom has become the primary guiding principle for development Ð yet, this freedom is understood as the economic freedom by way of liberalization of the global markets. Since the UN-Conference on Environment and Development in Rio in 1992, the principle of sustainability has been „promoted" to the second most important guiding principle. Since then, various concepts for a Sustainable Development have been elaborated on international, national and local level (local Agenda 21).i[1] Everybody favours sustainability, however, there are many interpretations of what it really means. Balanced land settlement in the era of global trade must hence be judged by the goals of sustainable development. 1.1 Definition of sustainable development A sustainable development allows a life in dignity for the present generations, without threatening the life in dignity of the future generations and of nature. This is my definition of sustainable development. It is similar to the one of the global Brundlandt report 1987ii[2] and the Rio-conference 1992, but having two important differences: What has been called „human needs" by the Brundtland report, I propose to be changed into „life in dignity". It includes our basic necessities like food, clothing, shelter, education, but it respects the local understanding more of what a dignified life might mean: Depending on the context it can include respecting the freedom of opinion, cultural or religious diversity, democratic participation. Life in dignity must include human rights! In addition, my definition includes life in dignity also for the animals and plants, the non-human creation. They have their own dignity being different from human dignity, but nevertheless it needs to be respected.iii[3] 1.2 Five dimensions of sustainable development Sustainable development inseparably includes the ecological, economic und social dimension. The point is that a general agreement exists on this point in theory - even on international level; but no agreement exists in practical terms. So far, the cultural and religious dimension of sustainability has not yet been considered enough, although both ought to be inseparably included. Economic Ecological dimension dimension Social/political cultural dimension dimension religious dimension The economic dimension of sustainable development includes the production and (just) distribution of goods and services for a life in dignity for the present and future generation and for nature. The ecological dimension of sustainable development includes the preservation of the necessaries of life, of resources and of the ecosystem for a life in dignity for the present and future generation and for nature. The social und political dimension of sustainable development include the just balance of interests through participation by everybody in all decisions essential for a life in dignity for the present and future generation and for nature. The cultural dimension of sustainable development includes the functions of culture that create identity and community for a life in dignity for the present and future generation and for nature. The religious dimension of sustainable development includes the functions of religion that create identity, community and a meaningful existence for a life in dignity for the present and future generation and for nature. Whenever there are conflicts because of mining resources on indigenous land in rural areas or because of growing religious fundamentalism in the case when development strategies neglect the religious dimension, we can interpret them as signals, that sustainability cannot work if apart from the economic, ecologic and social dimensions the cultural and religious dimensions are not included.iv[4] The social dimension of sustainable development includes in particular social freedom, as well. If we discuss with multinational corporations, the concept of sustainability is usually reduced to ecology and economy. However, we cannot talk about ecology and economy without touching upon the threat to and the promotion of peace, upon social freedom and the potential of conflicts emerging of a non-sustainable way of life. I remember the famous sentence of C. F. von Weizäcker: „There is no peace with nature without peace among people" - and the other way round. In many concepts of sustainability there is no clear picture of this kind of sustainability. If I may come back to the example of Indonesia during the Suharto regime: The riots that broke out, because trade union rights and freedoms werde demanded, clearly show that sustainability in such a context of Indonesian realities cannot be effective as long as social peace and a change in the forced relocation policies are not tackled at the same time. 1.3 Interdependence of the five dimensions No biodiversity without cultural diversity. No economic sustainability without respect of religious diversity. No social and political sustainability without cultural and religious sustainability. The five mentioned dimensions of sustainability are inseparably connected to each other and interdependent. Development cannot be sustainable if one of the dimensions is missing or is not linked up to the others. This relationship - this interdependence between the dimensions could be easily shown for all relational versions between the five dimensions in question. Two examples are enough to illustrate the mutuality of matters: There is a correlation between the decline of the biologic diversity of species and the decline of the cultural diversity of languagesv[5]: Globalization threatens both diversities, if misunderstood as a system of simple rules of action that are accepted worldwide and if complex diversities are reduced to the rules of mainstream society. A second example of interdependence of the five dimensions of sustainability: No economic sustainability without religious sustainability through respect of religious diversity. If development is forced by one-sided economic modernization strategies they keep failing or undergo severe setbacks, whenever these strategies do not include the deep-rooted religious value systems of the respective society and whenever no effort is made to implement a careful, appropriate transformation and to seek a dialogue between the different religions. Iran's one-sided modernization pushed through by the Shah, superseded by the Islamic fundamentalists; the seizure of power of the Hindu party and the aggravation of religious conflicts in India; the increasing potential of religious conflicts in Indonesia that has been exemplary for the co-existence of different religions Ð these are only three examples of how economic development (being a vital dimension of sustainability) suffers from setbacks, because the religious and cultural dimensions are not adequately considered. Just an example: On the Indonesian island of Kalimantan, its surface doubling the size of France, the outburst of forest fires triggered off an environmental disaster of global extent in 1997. At the same time churches were set on fire and Chinese shops pillaged. Sustainability understood as balanced land settlement is simply impossible to be realized under such circumstances, unless the cultural, religious, social and political conflicts are also taken into account. Hence, it is not possible to extinguish the burning forests of Indonesia, if the people are not allowed to discuss the issues of the burning churches, the government policy of forced relocation and the rights of the Dayak, the indigenous people of Kalimantan. 2. Different Speeds of Development – a Source of Tension Tension is created by the great differences of speed in the globalization of the five dimensions of sustainability. The fast-moving economic globalization needs to be slowed down, the relative slow political, ecological, ethical and in particular the cultural and religious globalization needs to be speeded up, in order to enable a sustainable development and a balanced land settlement. In liberalized and globalized markets, economic development processes linked to the technological developments move extremely fast. Biological development and transformation processes happen much slower by nature and can only be speeded up under certain limited conditions. Political development processes, that are supported by democratic participation of the population, also need alot of time: Conscientization and education programmes are the key to such processes Ð they move forward in a slow pace, even if democratic reforms of the governmental system allows to accelerate the process. Still, it needs several generations until cultural identities and ethical values of a society are transformed. Sustainability is threatened by dangerous tensions due to these different speeds of development. These tensions should be released (chart): The technological and economic development has to be slowed down in a way that the ecological, social, cultural and religious development can take place on equal terms and in a similar rhythm. Hence, before the start of the next WTO-negociation round, the governments should have to ask themselves the question whether not to take seriously the signs of overstrain and increasing resistance against the globalization and liberalization speed; and whether it would not make sense to reduce this speed for the benefit of respect and innovation of ecological, social, cultural and religious aspects of world trade. The respect of the cultural and socio-political dimension in the Multilateral Investment Agreement MAI is another example for this interdependence of sustainability. Ethically as well as ecologically, the man-made development speed and all possible changes need to consider the weekest. Nature and the people of rural areas are thus to be included in all decision-making processes. But on the contrary, the ecological, socio-political, cultural and religious developments need to be speeded up in order to release tensions in the technological and economical development. This means to extend global governance by strengthening the UN-system and other multilateral political institutions, by intensifying regional and global cultural and ethical dialogues and exchanges, etc. Chart: The necessity to adapt the speed of development Today Global economy global politics global ethics Vision Global economy global politics global ethics No world governement, no world culture, no world religion, but unity in diversity through: global human rights standards, international law, equal participation of all countries in multilateral institutions, respect of cultures and religions 3. Multilateral Social, Cultural and Religious Policies The multilateral institutions have to complement their globalised economic policy with their global social, cultural and religious policy. One of the consequences of the third thesis is the fact that the multilateral organisations (e.g. IMF, WB, WTO, OECD) have to include a social, cultural and religious policy into their globalised economic policy (which increasingly includes good governance-elements, as well; ex. OECD). Only in so doing the multilateral organisations take seriously the principle of sustainability which they have themselves consented to. The dimension of a global environmental policy must now be fully implemented, even more as its concept has already been generally accepted. At the UN-Social Summit of 1995 in Copenhagen, a sound approach to a global social policy was formulated. Yet, its results need to be consistently implemented in the national development policiesvi[6] and in the strategies of multilateral institutions. In the field of culture, the UNESCO-Conference of 1998 in Stockholm represents an important step of a growing consideration of this particular dimension of sustainability. The discussion about cultural development within the structures of globalisation has however only started and is of essential importance for the rural development.vii[7] Here, cultural rights are included as part of human rightsviii[8]. Yet, there is no prospect of a global religious policy. Although we find some endeavors for building up a world ethic concept including the active participation of the world religions, as well as for a dialogue between the different religions, all theses efforts are usually still undertaken by non-governmental bodies. Governments may deal with this matter within human rights' issues (the right to religious freedom), however only within the UN-Human Rights' Commission and hardly within the multilateral institutions mentioned before and hardly in relation to trade and economic policies. The growing religious fundamentalism with its economic effects should give enough reasons for economists and government representatives to deal with this matter. Most probably, the enlightened, secular understanding of a state system that is inherent to Western nations needs to be revised and further developed in the light of today's global communication. 4. Globalisation and Contextualisation Balanced land settlement seeks to establish a balance between a globalised form of ethics and a contextualised form of ethics. Sustainability in a globalised world requires basic values globally agreed upon and at the same time a manifold differenciation of these basic values depending on the particular context and region. No generation before ours existed with such an extensive worldwide integration as we today. Just to mention two examples to illustrate the times of change we live in: At the beginning of the nineties, almost all the countries of the world entered into the global market as it was formed after overcoming the polarising two block-model of international policy; world communication seems to be unlimited in its functions and tools. This integration of humanity into one world community is essential for world peace. In addition, it could serve the global increase of wealth and the just distribution of goods. Also from the ecological point of view it would make sense to consider the earth as one common living space of human kind (eg. the issue of global warming). On the other hand, global integration leads to gigantic ecological destructions, in particular in rural areas, due to excessive mobility, for example. The question arises whether isolation or self-sufficiency should be pursued as ethical and ecological guiding principles. Apart from the tendencies to more integration we cannot fail to see an upcoming of regionalisation: Together with the European integration we hear the call to a „Europe of the regions" and we witness the mushrooming of new forms of nationalism and ethnocentrisms. The so-called bio-regionalism, as eg. in depth ecology and as supported by many environmental movements in the US, pursues the „rootedness of living in place" by taking into account the distinct ecological, cultural and economic features of a particular regionix[9]. Global integration is ambivalent in ethical terms. From the point of view of peace ethics and of the principle of just distribution global integration may seem to be desirable. However, if we judge global integration by what it has caused to the environment and how the question of justice has been treated so far, then it is rather quesionable. Yet, bio-regionalism is also ambivalent in ethical terms: From the point of view of environmental issues, it is desirable, but there is a danger of a global disintegration of solidarity and the upcoming of new forms of ethnocentrism. Thus, when we talk about Sustainable Development we talk about „searching a new balance between global market and region"x[10], between globality and contextuality, about solidarity between urbanisation and rural development. The balance between globality and contextuality lies in the principle of subsidiarity, which is rooted in ethics. It means that as much as possible should be decided, produced and culturally embedded as close to the people concerned as possible. The most important tool to reach this goal is certainly the fixing of sales prices: If products would reflect the ecological input of the manufacturing process Ð i.e. transport costs would cost four times as much as today Ð, then automatically as many goods as possible would be produced as close to the place of consumption as possible. Hence, rural development would be promoted by control mechanisms of market economy. 5. Balanced land settlement needs strong legal instruments and good governance Land settlement in developing countries is often a question of illegal situations. 5.1 Land rights: The unequal distribution of land among the population is a source of conflicts and instability for a socially, ecologically and culturally sustainable land settlement. In Brazil, 60% of the land is in the hand of 1% of the population! The result is that 70% of the population live in towns bigger than 50'000 people. 5.2 Land rights in traditional societies are often based on oral tradition as I have seen in Cameroon or other countries. To legalize oral land rights in modern societies by written legal decisions (Notariate und Gerichte) is very costly and many people or institutions cannot afford it. Balanced land settlement therefore needs funds for legal procedures and competent advise. 5.3 The ecological aspect of soil fertility is very important for a balanced land settlement. To avoid the rapid soil destruction the proposal of an International Soil Convention is a very helpful step forward. It could bring forward the awareness and internationally coordinated efforts for the preservation of soils which is a condition for balanced land settlement. 5.4 In instable countries with civil wars or heavy internal tensions between different population groups or social classes, people often are affected by violence in the countryside and they go to town not only to look for jobs but also for security and protection. Legal security and reduction of violence is therefore an important part for rural development. 5.5 Corruption: In many countries the legal basis for the right to use forests are quite satisfactory but reality is much worse: In many countries (for example Thailand, Indonesia, Philippines) studies have shown that the clearcutting of tropical forests mostly happens illegally and is dominated by a vast system of Mafia and corruption. Therefore, internationally coordinated programs to combat corruption are essential for balanced land settlement and especially for sustainable forestry. The OECD-Convention about corruption (December 1997) and activities of Transparency International with so called "Island of Integrity" are concrete steps in this direction. 6. The role of the private sector, especially transnational companies The private sector, especially the transnational companies, can and should play an important role for balanced land settlement, preservation of peoples rights and sustainability. The national and transnational corporations play a key role in balanced land settlement. With there economic power they can weaken or they can strengthen the governmental plans for balanced land settlement. 6.1 Business ethics already includes in a broad way ecological aspects of sustainability. But it is very much necessary to include more cultural and social aspects. Especially transnational corporations with their common strategies for a company throughout the world need to respect cultural values, ethnic and religious diversity.xi[11] 6.2 These aspects should be included in codes of conduct for companies which already exist and which should be modified in the above sense including also anti-corruption clauses. The code of conduct of Shell as a result of the conflict with the OGONI in Nigeria are an example for that. 6.3 An important instrument for balanced land settlement could be the financial sector including the fast growing ethical investments and ethical funds as ETHOS in Geneva or the Sustainability Fund in Zurich are examples which could include criteria for balanced land settlement. 9.3.99/CS\artikel\indone99a.doc i[1] See: Christoph Stückelberger: Umwelt und Entwicklung, Stuttgart 1996; idem: Lingukan dan Pembangunan, Suatu Orientasi Etika-Sosial, Yogyakarta 1998, 122 p.; idem: Ethics of Global Trade, Geneva/London 2002. ii[2] Unsere gemeinsame Zukunft. The Brundtlandt-Report of the World Commission for Environment and Development, Greven 1987, 46. iii[3] As discussed in Stückelberger, Ch.: Umwelt und Entwicklung, see above, 263-273. iv[4] Refer e.g. Parwati Soepangat: The Impact of Globalization on the social and cultural life in Indonesia and the Asia Pacific Region, Manuskript, Yogjakarta April 1998, 12 S. v[5] Zum Recht auf seine Sprache als kulturellem Menschenrecht cf. Verdoodt, A.: Logique d'un droit culturel: Le droit de la langue, in: Meyer-Bisch, P.: (Hrsg.): Les droits culturels. Une catégorie sous-développée de droits de l'homme. VIIIe colloque interdisciplinaire sur les droits de l'homme à l'université de Fribourg 1991. Actes et documents de suivi, Fribourg 1993, 139-146. v[5] German NGO-Forum Weltsozialgipfel (UN-Social Summit), Arbeitsgruppe 20:20 (Hrsg.): Priorität für menschliche Entwicklung. Soziale Grunddienste als neuer Schwerpunkt der Entwicklungszusammenarbeit, Münster 1998; - Direktion für Entwicklung und Zusammenarbeit (DEZA) - the Swiss Agency for Development and Cooperation SDC of the Ministry of Exterior Affairs: DEZA-Strategie für soziale Entwicklung, Bern 1998. vii[7] Cf: Kramer, D.: Eine Ressource für Zukunftsfähigkeit. Die Debatte um Kultur und Entwicklung nach der Stockholmer UNESCO-Konferenz, epd-Entwicklungspolitik 12/98, 29-32; Stefan Krotz: Die Eine Welt und die vielen Kulturen, in: Brieskorn, N. (Hrsg.): Globale Solidarität. Die verschiedenen Kulturen und die Eine Welt, Stuttgart 1997, 41-88; viii[8] An interesting overview is written by Schulze-Engler, F.: McDonald's und die fremden Völker. Kulturwissenschftliche Perspektiven der Globalisierungsdebatte, epdEntwicklungspolitik 22/97, d7-d11; The presentations of an interdisciplinary colloqium are very valuable: - Meyer-Bisch, P.: (Hrsg.): Les droits culturels. Une catégorie sousdéveloppée de droits de l'homme. VIIIe colloque interdisciplinaire sur les droits de l'homme à l'université de Fribourg 1991. Actes et documents de suivi, Fribourg 1993, 139-146. ix[9] As mentioned by Spretnak, Ch.: Postmodern Directions, in: Griffin, D. (ed.): Spirituality and Society, New York 1988, 33-40 (37). Vgl. auch Sale, K.: Dwellers in the Land: The Bioregional Vision, San Franzisco 1985. x[10] As is the title of a future scenario by Jans Pirmin, Basel, one of many models developed in der region of Basel, in: Arras, H./ Bierter, W. (Hg.): Welche Zukunft wollen wir? Drei Scenarien im Gespräch. Ein Beitrag des Basler Regio Forum, Liestal/Basel 1989, 211-217. xi[11] Lange, H. et al (Hrsg.): Working across Cultures. Ethical Perspectives for Intercultural Management, Dordrecht/Boston/London 1998; Spicher, Ph.: Les droits de l'homme dans les chartes d'éthique économique, Bern/Fribourg 1996.
Spirometric and Haemodynamic Changes after Therapeutic Thoracocentesis Falah A Deli Haider Jabbar kadum Hasan Saleh Al Sader Teaching Hospital, Al-Najaf ,Iraq. Abstract: Objective: Pleural effusion is accumulation of plural fluid by different mechanisms. Thoracocentesis is associated with subjective improvement in many patients. The results of spirometric and haemodynamic changes after this procedure are controversial.We aimed to study the effect of therapeutic thoracocentesis on patients with pleural effusion by assessment of spirometric values and haemodynamic changes (blood pressure assessment). Materials and methods: This is a prospective study done in the medical ward, at Al Sader teaching hospital from 1 st march to the end of September 2008. Pleural effusions were documented clinically and by CXR. Pulmonary function was performed with a computed Spirometric analyzer. Spirometric measurements for forced expiratory volume in the first second (FEV1), forced vital capacity (FVC), forced expiratory volume in the first second percent (FEV1)%, and peak expiratory flow rate (PEF) were performed according to the American Thoracic Society criteria and blood pressure measurements were also done. The lung function test (spirometric assessment) and blood pressure measurement were repeated 24 hours after thoracocentesis. The data were analyzed by using the SPSS Version l0, X 2 (Chi square) and a (p-value of <0.05) was regarded as statistically significant. Results: The study population consisted of 20 patients 10(50%) male and 10(50%) female with a mean age of 59.25 years , average weight 58.15 Kg, average height 154.85cm and average of pleural aspirate 1367.5cc, Pulmonary function (spirometer) before thoracocentesis ( FVC/1.47,FEV1/1. 21, FEV1%84.92,PEF2.52)and pulmonary function (spirometer) post-thoracocentesis (FVC/1.841,FEV1 1.503 ,FEV1%82.845,PEF2.9) Conclusion: Statistically significant improvement in spirometric values following thoracocentesis was observed in patients with pleural effusion while no changes in blood pressure measurements Introduction leural effusion is accumulation of fluid in pleural cavity of different etiological causes ,it is divided in three grades of severity; mild, moderate and severe according to the amount of fluid and degree of obliteration of lungs field through clinical examination and chest x ray findings [1,2]. P angle on posterior-anterior view chest x ray.sometimes this view fails to demonstrate the effusion whereas the lateral decubitus view did.[1,2] Pleural effusion is suspected when there is blunting and medial displacement of the sharp costophrenic Therapeutic thoracocentesis involves removing a considerable amount of fluid but no more than 10001500ml should be apirated at one time because of pulmonary edema that may occur in the re-expansion of the underlying lung.[1,2] Lung function changes associated with the presence of pleural effusion include restrictive lung volumes and decreased lung compliance [3,4,5]. Patients with large pleural effusions often experience rapid relief from dyspnoea after removal of the pleural effusion. The physiological explanation of the subjective improvement is still unclear. When a pleural effusion is removed from a hemithorax, either the lung must expand to fill the space or the hemithorax must get smaller. Previous studies have shown either no definite improvement[3,6,7] in pulmonary function test and blood pressure changes or a relatively small improvement [8,9] in pulmonary function after therapeutic thoracocentesis. Patients and Methods This is a prospective study done in the medical ward, at Al Sader teaching hospital from 1 st march to the end of September 2008 Study population Inpatients in the medical ward, a large pleural effusion documented by CXR and the ability to perform pulmonary function test. A large pleural effusion was defined as obliteration of more than half the hemidiaphragm. At the time of investigation, all patients were clinically stable and each patient gave informed consent for the procedure, patient with longstanding pleural effusion and repeated aspirations were excluded. Pre-thoracocentesis assessment All patients were examined in an upright seated position, Spirometry was performed with a pulmonary function analyser (computed spirolap 11). Spirometric measurements for FEV1, FVC, FEV1%,PEF were performed according to the American Thoracic Society which defines acceptable spirometry as an expiratory effort that shows(1)minimal hesitation at the start ,(2)no cough in the first second of forced exhalation,and(3)meets 1of 3 criteria that define a valid end-of-test:(a)smooth curvilinear rise of the volume-time tracing to a plateau of at least 1-second duration;(b)if a test fails to exhibit an expiratory plateau, a forced expiratory time of 15 seconds;or(c)when the patient cannot or should not continue forced exhalation for valid medical reason. Blood pressure measure also done, the lying and sitting readings were taken and the mean was obtained for every patient, using mercury type sphygmomanometer. Thoracocentesis procedure Immediately after the assessment a therapeutic thoracocentesis was commenced and continued until one of two events occurred: no more fluid could be obtained or the patient developed symptoms such as chest pain, cough, or shortness of breath. The pleural effusion was aspirated slowly using a wide pore needle through the eighth or ninth intercostal space while the patient was seated, no more than 1.5 litter was aspirated. Post-thoracocentesis assessment lung function (spirometer) test and blood pressure meassrement, were repeated 24/ hour after thoracocentesis.. There were no post thoracocentesis complications such as pneumothorax, pulmonary oedema ,chest wall pain that could interfere with assessments. Statistical analysis Lung function test, blood pressure were compared before and after thoracocentesis.The data were analyzed by using the SPSS Version 10,X 2 and A p-value of <0.05 was regarded as statistically significant Results The study population consisted of 20 patients 10(50%) male and 10(50%) female with a mean age of 59.25 years , mean weight 58.15 Kg, mean height 154.85cm and average of pleural aspirate 1367.5cc As in table -1 Table-1 show demographic and Clinical Characteristics of patients \| Patients Characteristic \| \| Items \| \|---\|---\|---\| \| mean age \| \| 59.25 yr \| \| Sex \| Male \| 10(50%) \| \| \| Female \| 10(50%) \| \| Mean Weight \| \| 58.15 Kg \| \| Mean Height \| \| 154.85 Cm \| \| Mean Amount of Pleural effusion aspirate \| \| 1367.5 cc \| Pulmonary function (spirometry) before thoracocentesis (FVC/1.47, FEV1/1. 21 ,FEV1%84.92,PEF2.52)and pulmonary function (spirometer) post- thoracocentesis (FVC/1.841,FEV1 1.503 ,FEV1%82.845,PEF2.9) (Table 2). Table 2 Pulmonary function (spirometer) test before and after thoracocentesis \| Pulmonary function test \| Pre-thoracocentesis \| Post-thoracocentesis \| p-value \| \|---\|---\|---\|---\| \| FVC \| 1.47 \| 1.841 \| <0.05 \| \| FEV1 \| 1. 21 \| 1.503 \| <0.05 \| \| FEV1 % \| 84.92 \| 82.845 \| <0.05 \| \| PEF \| 2.52 \| 2.9 \| <0.05 \| The hemodynamic state ( blood pressure) show no significant changes after thoracocentesis p value = >0.05 in systolic B.p and p value = >0.05 in diastolic B.p as in figure -1 and figure -2 Discussion Previous studies have shown that pleural effusions are associated with restrictive impairment and hypoxaemia[4,5] and that any increase in lung volume after thoracocentesis is in proportion to the amount of fluid withdrawn.[8] The small increases in lung volumes reported are associated with a mild increase in static expiratory pulmonary compliance, and a shift of the pressure-volume curve of the lung so that the lung recoil pressure decreases at any comparable lung volume. The mechanism may be either a generalized decrease in the surface tension of the alveolar lining layer due to breathing at a higher lung volume [10] or decompression of the lung with reopening of some air spaces[8]. The improvement in dyspnoea in patients after thoracocentesis cannot be explained completely by the improvement in the pulmonary function test results, which is small relative to the amount of fluid withdrawn . Following thoracocentesis there will be either a decrease in the size of the thoracic cavity or an increase in pulmonary volume or both. The relative changes in pulmonary volume compared with the size of the thoracic cage will depend upon the compliance of the lung compared with the compliance of the chest wall/diaphragm. The more compliant the lung, the greater will be the change in pulmonary volume. If the chest wall/diaphragm is more compliant, then the size of the thoracic cage will have a greater change.Breathing at a higher than normal chest wall volume leads to the inspiratory muscles operating with abnormally low gain in converting a given neural input into a mechanical output[11] and respiratory discomfort would arise from the recognition that the volume displacement achieved is inappropriately small for the sense of effort made. The decrease in the volume of the chest cavity after removal of pleural fluid is associated with a lengthening of the inspiratory muscles at end-expiration[8] placing these muscles on a more advantageous portion of their lengthtension curve and allowing them to generate more pressure for the same or lesser neural input. In contrast to the findings in the current study, some studies have failed to show an improvement in pulmonary function after therapeutic thoracocentesis.[6] Ideally, the underlying diseases of the study participants should be similar across studies. The rate of pleural effusion reaccumulation may differ with disease states causing differing impact on lung function measurement. The length of time the effusion has been present and the volume aspirated may also affect the response. There may be increased interstitial capillary permeability[12] or an alteration of surfactant synthesis in the compressed lung that increases with time and volume[13] Some studies have demonstrated significant improvement after removal of as little as 800 mL pleural fluid[14] Uniform and slow withdrawal of the pleural fluid is essential. The incidence of re-expansion pulmonary oedema is increased by rapid removal of large volumes of fluid. Conclusions Statistically significant improvement in pulmonary function following thoracocentesis was observed in patients with pleural effusion while no changes in B.P References 1.Bartolome R. :Diseases Of The Diaphragm,Chest Wall,Pleura,And Mediastinum;from Golgman L, Ausiello D Cecil Medicine 22 nd ed. Saunders 2004;100:697-702. 2 .Thomas M. Habermann, M .Pleural effution.Mayo Clinic Internal Medicine Review 2006-2007;22:853-855. 3. Ahmed SH, Ouzounian SP, Dirusso S, Sullivan T, Savino J, Del Guercio L. Hemodynamic and pulmonary changes after drainage of significant pleural effusions in critically ill, mechanically ventilated surgical patients. J Trauma. 2004 Dec;57(6):1184-8 4 Yoo OH, Ting EY. The effects of pleural effusion on pulmonary function. Am. Rev. Respir. Dis. 1964; 89: 55–63. 5 Kokkola K. Pulmonary function in exudative pleurisy. Ann. Clin. Res. 1972; 4: 219–22. 6 Brown NB, Zamel N, Aberman A. Changes in pulmonary mechanics and gas exchange following thoracocentesis. Chest 1978; 74: 540–2. 7 Karetzky MS, Kothari GA, Fourre JA, Khan AU. Effect of thoracentesis on arterial oxygen tension. Respiration 1978; 36: 96–103. 8 Estenne M, Yernault JC, De Troyer A.Mechanism of relief of dyspnea after thoracocentesis in patients with large pleural effusion. Am. J. Med. 1983; 74: 813–19. 9 Perpina M, Benlloch E,Marco V, Abad F,Nauffal D. Effect of thoracentesis on pulmonary gas exchange. Thorax 1983; 38: 747–50. 10 Young SL, Tierney DF, Clements JA. Mechanism of compliance change in excised rat lungs at low transpulmonary pressure. J. Appl. Physiol. 1970; 29: 780–5. 11 Campbell EJM, Howell JBL. The sensation of breathlessness.Br. Med. Bull. 1963; 19: 36–40. 12 Brandstetter RD, Cohen RP. Hypoxemia after thoracentesis.JAMA 1979; 242: 1060–1. 13Trapnell DH, Thurston JOB. Unilateral pulmonaryoedema after pleural aspiration. Lancet 1970; 1: 1367– 9. 14Light RW, Stansbury DW, Brown SE. The relationshipbetween pleural pressures and changes in pulmonary function after therapeutic thoracentesis. Am.Rev.Respir.Dis. 1986; 133: 658–61.
Asymmetrical b-actin mRNA translation in growth cones mediates attractive turning to netrin-1 Kin-Mei Leung 1,3 , Francisca PG van Horck 1,3 , Andrew C Lin 1 , Rachel Allison 2 , Nancy Standart 2 & Christine E Holt 1 Local protein synthesis regulates the turning of growth cones to guidance cues, yet little is known about which proteins are synthesized or how they contribute to directional steering. Here we show that b-actin mRNA resides in Xenopus laevis retinal growth cones where it binds to the RNA-binding protein Vg1RBP. Netrin-1 induces the movement of Vg1RBP granules into ﬁlopodia, suggesting that it may direct the localization and translation of mRNAs in growth cones. Indeed, a gradient of netrin-1 activates a translation initiation regulator, eIF-4E-binding protein 1 (4EBP), asymmetrically and triggers a polarized increase in b-actin translation on the near side of the growth cone before growth cone turning. Inhibition of b-actin translation abolishes both the asymmetric rise in b-actin and attractive, but not repulsive, turning. Our data suggest that newly synthesized b-actin, concentrated near sites of signal reception, provides the directional bias for polymerizing actin in the direction of an attractive stimulus. Axonal growth cones navigate through the developing nervous system in response to guidance cues. To turn appropriately in response to guidance cue gradients, they transduce extracellular gradients into intracellular asymmetry. Previous studies have shown that guidance cue gradients induce asymmetries of signaling components such as calcium (Ca 2+ ; ref. 1) and receptor association with lipid rafts 2 . Similarly, turning can be induced by artiﬁcial asymmetries of Ca 2+ (refs. 3,4), lipid rafts 2 , phospholipase Cg activation 5 or cyclic AMP (cAMP) 6 . Previous ﬁndings showed that chemotropic responses to netrin-1, semaphorin 3A (Sema3A), Slit2 and brain-derived neurotrophic factor (BDNF) require local translation 7–10 , raising the question of whether asymmetrical protein synthesis inﬂuences growth cone turning in guidance cue gradients. b-actin is a candidate for asymmetrical cue-induced synthesis. Of the three isoforms of actin, a, b and g, b-actin is the isoform implicated in directional movement 11 . In situ hybridization shows that b-actin mRNA is present in axonal growth cones 9,12 , and stimulation with neurotrophins, such as neurotrophin 3 (NT-3), BDNF or nerve growth factor, increases the transport of b-actin mRNA in both embryonic and adult axons 13–15 . Asymmetric actin polymerization is thought to be important in growth cone turning, as asymmetrical application of cytochalasin, an actin depolymerizing drug, causes repulsive turning 16 . These ﬁndings suggest that asymmetrical b-actin synthesis may be involved in growth cone turning. RNA-binding proteins that bind to target mRNAs, transport them to a speciﬁc cytoplasmic compartment and, in some cases, help regulate or silence their translation 18 . The localization of b-actin mRNA requires a cis-acting element located in the 3¢ untranslated region (UTR) of the mRNA, called the 'zipcode' 19 . In chick, zipcode binding protein 1 (ZBP1) associates with the zipcode to regulate the localization of b-actin mRNA to the leading edge of ﬁbroblasts and growth cones 14,19 , and evidence showed that b-actin translation can be regulated by the phosphorylation of ZBP1 through Src kinase 20 . The X. laevis homolog of ZBP1, Vg1RBP (also known as Vera), is required for the motility of neural crest cells, binds several mRNAs such as those encoding Vg1, VegT and coﬁlin, and controls mRNA localization in X. laevis oocytes 8,21 . However, it is not known whether it binds to b-actin mRNA or whether it is present in developing retinal axons where it might help to regulate translationdependent steering. Protein synthesis is regulated by translation initiation factors that globally regulate the recruitment of ribosomes to mRNAs 17 . Guidance cues such as netrin-1 and Sema3A activate the rate-limiting translation initiation factor eIF4E 10 . mRNA-speciﬁc regulation can be achieved by Here we investigate the mechanisms that underlie protein synthesis– dependent steering of growth cones to netrin-1. We show that netrin-1 stimulates a rapid translocation of Vg1RBP granules into ﬁlopodia and increases b-actin synthesis. A directional gradient of netrin-1 induces a translation-dependent increase in b-actin on the side of the growth cone closest to the gradient source (near side) and a similarly asymmetric activation of a global translational regulator (4EBP). These asymmetric changes precede growth cone turning, and inhibition of b-actin synthesis by antisense morpholinos blocks the netrin-1–induced attractive turning, suggesting that spatially asymmetric translation of b-actin, biased to the near side, directs turning toward the stimulus. 1Departments of Physiology, Development and Neuroscience and 2Biochemistry, University of Cambridge, Downing Street, Cambridge CB2 3DY, UK. 3These authors contributed equally to this work. Correspondence should be addressed to C.E.H. (email@example.com). NATURE NEUROSCIENCEVOLUME 9 [ NUMBER 10 [ OCTOBER 2006 RESULTS Vg1RBP interacts with b-actin mRNA in retinal growth cones Immunostaining with an antibody to X. laevis Vg1RBP showed abundant expression of Vg1RBP in retinal growth cones in culture between stages 24 and 40 (Fig. 1a,b). Consistent with RNA-binding protein assembly in granules 22 , Vg1RBP protein has a punctate distribution along the axon shaft and in the growth cone central domain and ﬁlopodia (Fig. 1b). On western blot analysis, the Vg1RBP antibody detected a predominant band of the expected size (65 kDa) in both head and eye lysates, verifying the speciﬁcity of the antibody (Fig. 1c). Vg1RBP associates with b-actin mRNA as shown by immunoprecipitation followed by reverse transcription-polymerase chain reaction (RT-PCR; Fig. 1d). b-actin mRNA was detected by RT-PCR in samples immunoprecipitated from embryo head lysates using antibodies to endogenous Vg1RBP or expressed Vg1RBP-eGFP (Fig. 1d, lanes 3 and 4), but not in control immunoprecipitates (Fig. 1d, lanes 1 and 2). In contrast, the GAPDH and S1P1 (encoding sphingosine-1-phosphate receptor 1) mRNAs, the latter of which is present in retinal growth cones (L. Strochlic and C.E.H., unpublished data), did not associate with Vg1RBP (Fig. 1d, middle and bottom). Association of b-actin mRNA and Vg1RBP in vitro does not prove that Vg1RBP binds b-actin mRNA in vivo. To investigate whether Vg1RBP and b-actin mRNA interact in the growth cone, we performed 1248 Figure 1 Vg1RBP is expressed in retinal growth cones and interacts with b-actin mRNA. (a,b) Cultured stage 33/34 retinal explants were stained with Vg1RBP antibody (a, phase; b, antibody to Vg1RBP). Vg1RBP is detected in the axon shaft, central domain and ﬁlopodia. (c) Western blot analysis using Vg1RBP antibody shows a predominant 65-kDa band in stage 33/34 head or eye lysates. (d) Vg1RBP was immunoprecipitated from head lysates of stage 33/34 wild-type (WT) embryos, injected with Vg1RBP-eGFP mRNA or GFP mRNA. RNA extracted from the immunoprecipitates was subjected to RTPCR using primers to the 3¢ UTR of b-actin mRNA (top), GAPDH mRNA (middle) or S1P1 mRNA (bottom). Lane 1, protein A beads only; lane 2, puriﬁed rabbit IgG; lane 3, Vg1RBP antiserum; lane 4, GFP antiserum; lane 5, positive RT-PCR control; lane M, molecular DNA marker. The b-actin mRNA is immunoprecipitated with both Vg1RBP and Vg1RBP-eGFP. GAPDH and S1P1 mRNAs do not interact with Vg1RBP. (e–l) FISH using riboprobes directed against the 3¢ UTR of b-actin mRNA (j, antisense) or control RNA (f, sense) together with immunostaining of Vg1RBP (g,k) reveals partial colocalization of Vg1RBP and b-actin mRNA in the growth cone (e,i, phase; f, control sense RNA; j, b-actin antisense RNA; g,k, Vg1RBP; h,l, merge). Arrowheads refer to complexes of Vg1RBP and b-actin mRNA in a ﬁlopodium. Scale bars, 5 mm. ﬂuorescence in situ hybridization (FISH) with digoxigenin-labeled antisense probes to the b-actin 3¢ UTR followed by immunostaining for endogenous Vg1RBP (Fig. 1e–l). Consistent with previous studies 12,14 , we found a punctate pattern of the b-actin mRNA signal in growth cones (Fig. 1i–l). In contrast, FISH using sense probes detected only background signal (Fig. 1e–h). Vg1RBP granules overlapped with b-actin mRNA puncta compared with sense riboprobe puncta (antisense versus sense: 56.7% ± 1.2% versus 38.5% ± 1.0%, mean ± s.e.m., P o 0.0001 Mann-Whitney test), indicating signiﬁcant colocalization of Vg1RBP and b-actin mRNA. Vg1RBP/b-actin mRNA complexes were also detected in the growth cone ﬁlopodia (Fig. 1l, arrowheads). These data indicate that Vg1RBP interacts with b-actin mRNA and suggest that Vg1RBP may, like ZBP1, transport b-actin mRNA to and within retinal growth cones. Dynamic movements of Vg1RBP–eGFP granules in growth cones mRNA transport in neuronal cells involves both anterograde and retrograde movements of messenger ribonucleoprotein (mRNP) complexes 14 . mRNP complexes are actively transported along microtubules and actin ﬁlaments 23 . We therefore investigated whether Vg1RBP granules show characteristics of active transport (Fig. 2). To this end, we visualized Vg1RBP dynamics using live cell imaging of single growth cones expressing eGFP-tagged Vg1RBP. Vg1RBP-eGFP mRNA was introduced by blastomere injection at the eight-cell stage and retinal cultures were made from eGFP-expressing embryos at stage 33/34. Both endogenous and eGFP-tagged proteins were recognized by the Vg1RBP antibody using immunostaining or western blot analysis and show similar granular localization patterns and levels of expression (Fig. 2a–e). Furthermore, both endogenous Vg1RBP and Vg1RBP-eGFP can interact with b-actin mRNA in vitro (Fig. 1d). Live cell imaging revealed bidirectional movements of Vg1RBPeGFP granules in retinal growth cones (Fig. 2f–i and Supplementary Video 1 online). In unstimulated cultures, Vg1RBP-eGFP granules were enriched in the growth cone central domain and were also occasionally observed in ﬁlopodia. Granule movement patterns ranged from oscillations with no net movement, to unidirectional and bidirectional movements over short and longer (410 mm) distances. The average speed ranged from 0 to 0.7 mm s –1 . Interference with the actin cytoskeleton by cytochalasin D resulted in a complete retraction of Vg1RBP granules from the growth cone (Supplementary Video 2 VOLUME 9 [ NUMBER 10 [ OCTOBER 2006NATURE NEUROSCIENCE hypothesized that it might also elicit the transport of Vg1RBP granules into ﬁlopodia to bring mRNA close to sites of signal reception. To test this, we used live imaging to determine the percentage of Vg1RBP-eGFP granules in the central domain versus ﬁlopodia before and during global stimulation with netrin-1 (Fig. 2n–x). Bath application of netrin-1, but not control medium, increased the percentage of Vg1RBP granules present in ﬁlopodia after 5 and 10 min (Supplementary Video 4 online). The percentage of granules in the central 5–10 min 0–5 min –5–0 min online). In contrast, depolymerizing microtubules with nocodazole had no obvious effects on Vg1RBP movement in the growth cone (data not shown). Filopodia can be considered as the long-range (5- to 10-mm) sensors of the growth cone, enabling it to detect and respond to new cues along the pathway. It is interesting, therefore, that we occasionally observed Vg1RBP granules moving rapidly to the site where a ﬁlopodium forms a new contact with another ﬁlopodium or axon shaft (Fig. 2j–m). An example is shown (Fig. 2j–m and Supplementary Video 3 online) of anterograde transport of a Vg1RBP-eGFP granule moving to, and subsequently away from, a transient contact site between two ﬁlopodia (different cellular origins). This suggests that the trafﬁcking of Vg1RBP granules in ﬁlopodia might be regulated by external cues. Netrin-1 induces transport of Vg1RBP into ﬁlopodia The observation that Vg1RBP granules move to contact sites prompted us to investigate whether an axon guidance cue could alter granule movement. Netrin-1 has an important role in retinal axon guidance 24 and can trigger local protein synthesis in growth cones 10 ; therefore, we NATURE NEUROSCIENCEVOLUME 9 [ NUMBER 10 [ OCTOBER 2006 domain of the growth cone did not change signiﬁcantly (data not shown) and no obvious changes in growth cone morphology were observed. Netrin-1 also increased diffuse Vg1RBP signal in ﬁlopodia, which was not included in the quantiﬁcation (Fig. 2x). To test whether these Vg1RBP granules contain b-actin mRNA, we used quantitative immunoﬂuorescence (QIF)/FISH. Netrin-1 induced an increase in both Vg1RBP and b-actin mRNA signal in ﬁlopodia after 10 min. Moreover, similar levels of colocalization between Vg1RBP and b-actin mRNA in ﬁlopodia were detected before and after netrin-1 stimulation (Supplementary Fig. 1 online). These results show that netrin-1 induces the transport of Vg1RBP granules into the ﬁlopodia and suggest that a substantial fraction of these carry b-actin mRNA cargo. Netrin-1 triggers a translation-dependent rise in b-actin As netrin-1 regulates the movement of an RNA-binding protein that can interact with b-actin mRNA, we examined whether netrin-1 might trigger b-actin mRNA translation in growth cones (Fig. 3). QIF using an antibody to b-actin revealed a 30% increase in the average pixel intensity per unit area after 5-min stimulation with netrin-1 enabled us to restrict our analyses to growth cones known to contain AMOs (Supplementary Fig. 2 online). The b-actin QIF signal was signiﬁcantly lower in AMO-containing growth cones than in control growth cones (23%; P ¼ 0.02, Mann-Whitney test; Fig. 3a,e,g), verifying that the b-actin AMO inhibits b-actin translation. Moreover, netrin-1 did not signiﬁcantly alter b-actin QIF signal in AMO-containing growth cones P ¼ 0.10, Mann-Whitney test; indicating that the netrin-1–induced rise in b-actin abundance depends on translation of b-actin mRNA (Fig. 3f,g). (Fig. 3a,b,g) compared with unstimulated growth cones 8,10,25 . Cycloheximide (CHX), a protein synthesis inhibitor, blocked this increase (Fig. 3c,d,g) but did not signiﬁcantly affect growth cone b-actin mRNA abundance (control versus CHX: 100% ± 6.2% versus 93% ± 6.8%, mean ± s.e.m., P ¼ 0.106 Mann-Whitney test), suggesting that the netrin-1–induced increase in b-actin protein is mediated through protein synthesis. A blocking antibody to deleted in colorectal cancer (DCC), the receptor that mediates growth cone chemotropic responses to netrin-1 (ref. 24), also prevented this increase in b-actin QIF signal, indicating that the effects of netrin-1 on translation are mediated by DCC (Supplementary Fig. 2 online). To speciﬁcally inhibit b-actin translation, we used an antisense morpholino oligonucleotide (AMO) directed against the AUG start site of b-actin mRNA. Lissamine-tagged AMOs were injected into blastomeres fated to give rise to eyes. At the concentrations used, the AMOinjected embryos developed normally and retinal cultures were made from lissamine-positive eyes at stage 24. Fluorescence labeling of AMOs 1250 In contrast, the QIF signal of a noncytoskeletal protein, enolase, whose mRNA is abundant in retinal growth cones (L. Strochlic and C.E.H., unpublished data), remained unchanged after netrin-1 stimulation (Fig. 3h,i; control versus netrin-1: 100% ± 5% versus 97% ± 4%, mean ± s.e.m., P ¼ 0.648 unpaired t-test), indicating that netrin-1 does not elicit the translation of all mRNAs present in growth cones. Consistent with this, a previous study in X. laevis retinal growth cones showed that netrin-1 does not induce translation of coﬁlin mRNA, whereas Slit2, a repellent guidance factor, induces the translation of coﬁlin but not b-actin mRNA 8 . To test whether b-actin translation is a common response to attractants, we used a second chemoattractant, BDNF, that has been shown to increase protein synthesis in neurons 27 and elicits protein synthesis–dependent turning responses in X. laevis spinal neurons 7 . We found that exposure of retinal growth cones to BDNF increased the b-actin QIF signal by 61% in 10 min and that this rise was blocked by CHX (Supplementary Fig. 2 online). These results suggest that b-actin mRNA is translated locally in growth cones in response to chemoattractants. VOLUME 9 [ NUMBER 10 [ OCTOBER 2006NATURE NEUROSCIENCE b-actin 3¢ UTR mediates netrin-1–induced reporter synthesis The translation of mRNAs is commonly regulated by the UTRs 28 . To test directly whether the b-actin 3¢ UTR drives the synthesis of new protein in response to netrin-1, we constructed a photoconvertible ﬂuorescent protein 29 linked to the b-actin 3¢ UTR (Kaede–b-actin 3¢ UTR; Fig. 3j). Kaede protein is originally green but can be irreversibly, proteolytically converted to the red form by ultraviolet illumination, thereby permitting the detection of newly synthesized protein by visualizing the return of green ﬂuorescence. Plasmid cDNA encoding Kaede–b-actin 3¢ UTR was introduced by blastomere injection and stage 24 eyes were cultured. Kaede-positive growth cones were illuminated by ultraviolet light for 6 s, which efﬁciently converted the green into red ﬂuorescence (Fig. 3j,l–q). Netrin-1 stimulation signiﬁcantly increased the green, but not red, signal within 5 min (Fig. 3k,r–w). This increase occurred mainly in the body of the growth cone but, with time, could also be detected in ﬁlopodia (Fig. 3t, inset). The elevation in Kaede-green occurred even when axons were severed from their cell bodies, demonstrating that the increase was not from new protein transported from the soma (Fig. 3k). Green ﬂuorescence did not increase if the b-actin 3¢ UTR was replaced by a control UTR mutated to escape regulation by Vg1RBP (D3¢ UTR; Fig. 3k–q) or if growth cones received a control vehicle instead of netrin-1 (Fig. 3k). In fact, in these control conditions, there was a slight decrease in green ﬂuorescence due to photobleaching, suggesting that the netrin-1–induced increase in green ﬂuorescence is underestimated. The netrin-1–induced return of green ﬂuorescence was blocked by CHX added before photoconversion (Fig. 3k), indicating that it represented the synthesis of new protein, not just folding of Kaede protein synthesized immediately before photoconversion. These data indicate that the b-actin 3¢ UTR drives the translation of new protein in response to netrin-1. Netrin-1 gradient induces asymmetric Vg1RBP transport Our results with globally added netrin-1 suggest that guidance cues activate mechanisms that transport mRNA granules closer to sites of signal reception, potentially helping the growth cone respond to a NATURE NEUROSCIENCEVOLUME 9 [ NUMBER 10 [ OCTOBER 2006 Figure 4 Vg1RBP granules move into ﬁlopodia closest to a netrin-1 source. (a,b) The experimental design shows the pipette tip positioned 100 mm from the growth cone at an angle of 901; a dashed line divides the growth cone into near and far sides with respect to the pipette. (c–e) Vg1RBP-eGFP– expressing retinal growth cones were stimulated with a gradient of culture medium (control) or netrin-1 for 5 min and subsequently ﬁxed. Mean ﬂuorescence intensities as well as the number of granules per mm ﬁlopodia were calculated for both the near and far sides. A gradient of netrin-1 induces an increase in the number of Vg1RBP-eGFP granules per mm ﬁlopodia at the near side. No difference in Vg1RBP ﬂuorescence intensity was observed in the far versus the near side (e). Near-side and far-side ﬁlopodia are numbered n1–n5 and f1–f5, respectively. Arrowheads indicate ﬁlopodia containing low-density (gray arrowheads) and high-density (white arrowheads) areas of Vg1RBP-eGFP granules. *P o 0.03 Mann-Whitney test. Arrow indicates the direction of the pipette. Error bars are s.e.m. Scale bars, 5 mm. directional stimulus. Thus, we reasoned that a directional stimulus might produce polarized transport of granules. To test this, we applied a netrin-1 gradient to growth cones and determined whether it elicited asymmetric trafﬁcking of Vg1RBP. The gradient was produced by pulsatile ejection from a micropipette 6 positioned at a 901 angle to the growth cone (Fig. 4a,b) to achieve a steep difference between the 'near' and 'far' sides of the growth cone. The line of symmetry was determined by tracing the perpendicular from the pipette to the axon shaft. Retinal growth cones expressing Vg1RBP-eGFP were subjected to a gradient of netrin-1 or control medium for 5 min and then ﬁxed and imaged. The number of granules per micrometer ﬁlopodia, as well as the average pixel intensity per unit area, was compared between the near and far sides of the growth cone, yielding a near/far ratio (Fig. 4b). Netrin-1, but not control medium, increased the number of granules per micrometer in ﬁlopodia on the near side by approximately 30% (Fig. 4c–e). Prolonged netrin-1 stimulation has been shown to increase ﬁlopodial length in retinal growth cones 30 . However, a 5-min directional stimulation with netrin-1 did not signiﬁcantly change the average length of the ﬁlopodia at the far versus the near side (6.48 mm versus 6.22 mm; P ¼ 0.6, paired t-test). Furthermore, the overall ﬂuorescence intensity of each side did not change, indicating that the asymmetric distribution is due to local transport of granules (Fig. 4e). Thus, a netrin-1 gradient elicits the polarized transport of Vg1RBP into ﬁlopodia. Netrin-1 gradient induces asymmetric 4EBP phosphorylation Bath application of netrin-1 has been shown to cause the rapid phosphorylation of the translation initiation factor 4EBP 10 . The phosphorylation of 4EBP is a marker for cap-dependent translation initiation, because hypophosphorylated 4EBP blocks translation initiation by sequestering the rate-limiting translation initiation factor eIF-4E 17 .We therefore examined whether a gradient of netrin-1 could similarly induce asymmetric 4EBP phosphorylation. Growth cones were stimulated with a netrin-1 gradient for 5 min, ﬁxed and double-stained for Ser65-phosphorylated-4EBP and total4EBP (Fig. 5a). 4EBP is phosphorylated hierarchically, with Ser65 being the ﬁnal residue phosphorylated 31 . We used two methods to assess asymmetric phosphorylation. First, the degree of phosphorylation on the near and far sides was taken as the ratio of phospho-4EBP to total-4EBP intensity per unit area (Fig. 5b). Phosphorylation asymmetry was calculated as the near/far ratio of 4EBP phosphorylation. Second, phosphorylation asymmetry was calculated as the difference between the 'centers of mass' of phospho-4EBP and total-4EBP intensity (Fig. 5c). By both methods, the netrin-1 gradient produced a signiﬁcant asymmetry in 4EBP phosphorylation, whereas a control gradient did not (Fig. 5d–h). 4EBP is phosphorylated by the kinase target of rapamycin (TOR) 17 . To test whether asymmetrical phosphorylation of 4EBP is mediated by TOR, we used the inhibitor of TOR, rapamycin. Rapamycin-treated growth cones did not show any signiﬁcant asymmetry in 4EBP phosphorylation (Fig. 5d–h). Although we cannot formally rule out the possibility that phospho-4EBP is selectively transported across the growth cone in a rapamycin-sensitive manner, the more parsimonious explanation is that an external gradient of netrin-1 is translated into an internal gradient of translation initiation through asymmetrical activation of signal transduction pathways. Netrin-1 gradient elicits spatially asymmetric b-actin synthesis As a netrin-1 gradient stimulates asymmetric activation of 4EBP and movement of Vg1RBP, we next determined whether it elicits changes dependent on asymmetric protein synthesis in b -actin. Growth cones were stimulated with a netrin-1 gradient for 5 min and immunostained for b -actin, and the near/far ratio of average pixel intensity per unit area was determined ( Fig. 6 ). Growth cones stimulated with a netrin-1 gradient, but not control growth cones, commonly showed an asymmetric distribution of b -actin QIF signal with a near/far ratio of 1.35:1 ( Fig. 6a , b , f ). The netrin-1–induced near/far bias in b -actin QIF signal was abolished in growth cones treated with CHX or b -actin AMO ( Fig. 6c , d , f ). These observations show that a netrin-1 gradient induces an asymmetric rise in b -actin in growth cones that is abolished by inhibition of translation and speciﬁcally inhibition of b -actin mRNA translation, thereby implicating newly synthesized b -actin in establishing the asymmetry. 1252 VOLUME 9 [ NUMBER 10 [ OCTOBER 2006NATURE NEUROSCIENCE b-actin AMOs block netrin-1–induced attraction Finally, we hypothesized that the spatially asymmetric translation of b-actin mRNA was critical to the turning response to netrin-1. To test this, b-actin synthesis was inhibited with b-actin AMOs during a standard turning assay with netrin-1 (ref. 30 and Fig. 7). Consistent with previous studies 30 , growth cones were attracted by a netrin-1 gradient (Fig. 7a–c,f; mean turning angle 18.41) but not by a control gradient (Fig. 7c,f; 0.91). Growth cones containing control AMOs also turned toward the netrin-1 gradient (Fig. 7c,f; 13.11), but growth cones containing b-actin AMOs were not attracted to a netrin-1 gradient (Fig. 7c–f; –0.71). The absence of turning by the b-actin AMO growth cones was not due to compromised motility, because the average extension rate was not signiﬁcantly different between b-actin AMO for axon extension 10,32 . These results suggest that the attractive turning to netrin-1 requires rapid, local b-actin synthesis. To test whether AMOs inhibit the general responsiveness of growth cones to chemotropic cues, we examined whether b-actin AMOcontaining growth cones were sensitive to repulsive cues. First, we used Sema3A and found that both the collapse and repulsive turning responses of b-actin AMO growth cones were indistinguishable from control growth cones, demonstrating that the sensitivity to repellents was not compromised (Fig. 7j–l and Supplementary Fig. 2 online). Second, we used netrin-1 on growth cones grown on a high concentration of laminin (20 mg ml –1 ), which converts attraction to repulsion by lowering cAMP levels in retinal growth cones 26,33 . Under these repulsive conditions, growth cones containing b-actin AMOs were also and control AMO growth cones ( Fig. 7e ; 0.28 m m min –1 versus 0.30 m m min –1 ; P ¼ 0.7, unpaired t -test), consistent with previous ﬁndings that protein synthesis is not required NATURE NEUROSCIENCEVOLUME 9 [ NUMBER 10 [ OCTOBER 2006 repelled by a netrin-1 gradient (Fig. 7c,g–i; –13.21). b-actin AMO and control AMO growth cones grew on laminin at the same rate (0.5 mm min –1 ). Consistent with this, growth cones stimulated with a netrin-1 gradient for 5 min under these repulsive conditions did not show an asymmetric increase in b-actin QIF signal on the near side (Fig. 6e,f). A slight bias toward the far side was sometimes observed, but this was not statistically signiﬁcant. Our results show that inhibition of b-actin translation differentially affects attractive and repulsive responses and that b-actin translation is of particular importance for attractive turning. DISCUSSION Our study addressed the question of whether asymmetrical protein synthesis has a role in growth cone turning. Our results indicate that new b-actin protein is synthesized in response to netrin-1 and that an external gradient of netrin-1 causes a polarized increase of b-actin on the side of the growth cone nearest to the source. The increase occurs just 5 min after addition of netrin-1 and is abolished by inhibitors of translation. Notably, b-actin AMOs block attractive, but not repulsive, turning suggesting that b-actin synthesis is particularly important for directional guidance toward a positive cue. The ﬁnding that the b-actin AMOs abolished the netrin-1–induced increases in b-actin in growth cones indicates that the AMOs effectively inhibited b-actin translation over the time period examined (5–60 min). Overall, the AMOs caused a 20–25% drop in b-actin QIF signal. This relatively small knockdown of b-actin probably reﬂects the large maternal pool of actin that is recycled for the ﬁrst 24–36 h of embryonic development and most likely predominates in the pioneering population of retinal axons, which develop just 28 h after fertilization. Indeed, the knockdown in b-actin QIF signal was higher in older growth cones than in younger ones (approximately 40% in stage 35/36 versus 23% in stage 24; data not shown). AMO-containing axons grew at a normal rate and showed appropriate chemotropic responses to Sema3A and netrin-1 under repulsive conditions. It could be argued that attractive turning is more sensitive to b-actin levels (and hence actin polymerization rates) than axon extension or repulsive turning, and that the b-actin AMO knocks down baseline b-actin translation levels just enough to block attractive turning, but not extension or repulsion. Such an argument, however, would predict that the AMO would at least reduce axon extension and repulsive turning, whereas in fact we observed that extension and repulsion remained normal. These lines of evidence indicate that b-actin translation is speciﬁcally required in attractive turning, but not in undirected growth, repulsive turning or general responsiveness to netrin-1. What role does b-actin translation have in attractive turning? At ﬁrst glance it would seem that b-actin synthesis is not necessary for actin polymerization given that the pool of unpolymerized actin in growth cones is thought to be large 34 . Indeed, it has been estimated that b-actin synthesis provides only 7% of the total actin needed for polymerization in migrating ﬁbroblasts 19 , making it unlikely that asymmetrical b-actin synthesis makes the growth cone turn by sheer mass alone. It has been proposed that newly synthesized b-actin can polymerize or nucleate polymerization more efﬁciently than 'older' actin as a result of chaperone binding to the nascent b-actin chain 11,35 and protecting it from glutathionylation, which restricts the rate of polymerization 36 . Thus, given that the rate-limiting step of actin polymerization is nucleation, an appealing model is that local b-actin synthesis provides spatially localized nucleation sites for actin polymerization 11,19,37 . The restricted size of the growth cone compartment would concentrate newly synthesized b-actin monomers in a small volume, thereby contributing to rapid formation of nucleation sites. We therefore 1254 suggest that a gradient of netrin-1 elicits spatially biased actin polymerization by inducing the asymmetric synthesis of b-actin and nucleation sites on the side of the growth cone closest to the pipette (Supplementary Fig. 3 online). The netrin-1–stimulated increase in the b-actin signal is particularly evident in ﬁlopodia, suggesting that the new actin contributes to actin-ﬁlament bundles in these structures that radiate from the less-polarized actin mesh network in the body of the growth cone 38 . As b-actin synthesis occurs at least 10 min before overt turning, we hypothesize that asymmetrical b-actin translation preﬁgures the turn itself. Asymmetrical synthesis requires spatial regulation of b-actin translation. One possible mechanism is transport of b-actin mRNA to the side closest to the source of the gradient. Previous studies have shown that the neurotrophin NT-3 elicits the transport of the b-actin mRNAZBP1 complex into growth cones 14 and serum stimulation induces the transport of b-actin mRNA to the leading edge of ﬁbroblasts 39 . An independent study shows that both ZBP1 and b-actin mRNA become asymmetrically distributed in the growth cones of X. laevis spinal neurons upon BDNF stimulation 40 . In agreement with this study, our experiments show that Vg1RBP binds b-actin mRNA and that netrin-1 stimulation induces transport of Vg1RBP granules into ﬁlopodia, asymmetrically if netrin-1 is presented in a gradient. We also ﬁnd that sites of ﬁlopodial contact can induce the transport of Vg1RBP-eGFP granules into ﬁlopodia, suggesting that external cues recruit RNA-binding proteins and their mRNA cargo to local sites of stimulation. Although our dynamic imaging studies could not demonstrate that the Vg1RBP-eGFP granules moving into ﬁlopodia were speciﬁcally transporting b-actin mRNA, ﬁxed samples showed that Vg1RBP colocalizes with b-actin mRNA and the netrin-1–induced increase in ﬁlopodial Vg1RBP is accompanied by an increase in ﬁlopodial b-actin mRNA. Another mechanism for spatial regulation of b-actin synthesis is the asymmetrical activation of translation. We found that a gradient of netrin-1 induced a signiﬁcant asymmetry in the phosphorylation of the translation initiation factor 4EBP, suggesting a corresponding asymmetry in the global rate of translation. The translation of b-actin mRNA, like that of most eukaryotic mRNAs, is cap dependent 41 , making it subject to asymmetrical activation of translation-initiation factors. Both attractants and repellents stimulate activation of translation initiation factors 10,42 , although they presumably induce synthesis of different proteins. Indeed, in contrast to our result that netrin-1 stimulates synthesis of b-actin, the repellents Sema3A and Slit2 stimulate synthesis of RhoA and coﬁlin, respectively, which are proteins that promote actin depolymerization 8,9 . An external gradient can activate signaling cascades asymmetrically to generate an internal gradient of translation activation oriented toward both attractants and repellents, whereas the identity of the asymmetrically synthesized proteins and, hence, the polarity of the turning response are determined by mRNA-speciﬁc regulation. For class 1 (Ca 2+ -dependent) guidance cues like netrin-1, Ca 2+ is a candidate switch mechanism 3 , especially because laminin seems to switch netrin-induced attraction to repulsion by lowering cAMP and thereby reducing Ca 2+ -induced Ca 2+ release 26,33 . Global translation initiation regulation combined with mRNA-speciﬁc regulation is consistent with our ﬁnding that enolase protein levels do not change with netrin-1 stimulation, despite both the presence of enolase mRNA and the upregulation of global translation initiation 10 . Further studies will be needed to test this idea, especially the identity of proteins synthesized in attractive versus repulsive conditions. mRNA-speciﬁc regulation may not entail separate RNA-binding proteins. Proteomic and colocalization studies have shown that RNP VOLUME 9 [ NUMBER 10 [ OCTOBER 2006NATURE NEUROSCIENCE complexes consist of multiple RNA-binding proteins and can transport several different mRNAs 43 . Consistent with this, we have shown that Vg1RBP also interacts with coﬁlin mRNA, which is translated in response to the chemorepellent Slit2 (ref. 8). It may be that in attractive conditions, Vg1RBP activates b-actin translation after being phosphorylated by Src, as occurs for the chick homolog of Vg1RBP, ZBP1 (ref. 20), whereas an alternative signaling pathway causes Vg1RBP to activate coﬁlin translation but suppress b-actin translation in repulsive conditions. The exact sequence of signaling between DCC and Src remains largely unknown, but Src might in turn be activated by DCC through direct binding or via focal adhesion kinase (FAK), which interacts with DCC 44 . The differential sensitivity to b-actin translation inhibition of attraction versus repulsion and collapse suggests that repulsion and attraction are not simply mirror-symmetrical processes but rather operate through distinct pathways. This may not be surprising because attraction involves near-side ﬁlopodial extension, whereas repulsion involves near-side ﬁlopodial withdrawal 16 . Indeed, it is thought that repulsive turning is essentially localized collapse, because guidance cues or drugs that cause collapse when added globally generally elicit repulsive turning when presented asymmetrically 45 . Consistent with this, the repellent Slit2 does not induce b-actin synthesis, and indeed results in a signiﬁcant decrease in b-actin 8 , possibly caused by depolymerization due to Slit2-induced coﬁlin synthesis, combined with suppression of b-actin translation. Similarly, we observed that a gradient of netrin-1 in repulsive conditions did not induce near-side b-actin synthesis, but rather caused a slight, though nonsigniﬁcant, decrease of b-actin on the near side. This model predicts that although inhibition of b-actin synthesis does not block repulsive turning, deregulation of b-actin synthesis might. In agreement with this model, an independent study detects a decrease of b-actin on the near side in response to a repulsive gradient and shows that an antisense oligonucleotide directed against the zipcode in the 3¢ UTR of b-actin mRNA blocks both the asymmetrical decrease of b-actin and repulsive turning 40 . We have provided here evidence that netrin-1 induces a rapid, local, asymmetric increase in b-actin mRNA translation in retinal growth cones, which is necessary for the attractive turning response and might be achieved via directed transport of Vg1RBP and/or asymmetrical translation initiation. We speculate that newly synthesized b-actin may provide spatially targeted de novo nucleation sites for actin polymerization and hence direct the migration of the growth cone toward the cue (Supplementary Fig. 3 online). Our data agree with those previously obtained in ﬁbroblasts 19 and suggest that similar mechanisms occur to direct migration in the two cell types. Together with the fact that numerous cytoskeletal mRNAs and cytoskeletal-regulatory protein mRNAs have been identiﬁed in axons, this suggests that the ability of growth cones to transduce external gradients into matching internal asymmetries of cytoskeletal protein synthesis might be a conserved mechanism. METHODS Reagents. Puriﬁed netrin-1 (ref. 46) was used at 300 ng ml –1 for bathapplication, 10 mg ml –1 in turning assays and 5 mg ml –1 in eIF4E-BP1 assays. CHX (25 mM, Sigma) and rapamycin (10 nM, Calbiochem) were bath-applied to retinal cultures immediately before the addition of netrin-1. Antibodies were as follows: b-actin (1:400, AC15, Abcam), enolase (1:100, H300, Santa Cruz Biotechnologies), Vg1RBP antiserum 47 , Ser65-phosphorylated eIF-4EBP1 and total eIF-4EBP1 (1:50 and 1:67, Cell Signaling Technology). Vg1RBP antiserum was afﬁnity puriﬁed using recombinant Vg1RBP protein. The Zenon Rabbit IgG Labeling Kit (Molecular Probes) was used for 4EBP double staining (5:1 Zenon reagent/primary antibody ratio for phospho-4EBP, 3:1 for total-4EBP). NATURE NEUROSCIENCEVOLUME 9 [ NUMBER 10 [ OCTOBER 2006 Morpholinos and plasmids. AMOs conjugated to lissamine were designed and supplied by GeneTools: X. laevis b-actin AMO, 5¢-CAATATCGTCTTC CATTGTGATCTG-3¢; control, 5¢-CCTCTTACCTCAGTTACAATTTATA-3¢. pCS2 Kaede–3¢ UTR was generated by fusing CoralHue Kaede (MBL; accession no. AB085641) to the 3¢ UTR of X. laevis b-actin (Accession No. BC041203) into pCS2+. The Kaede–D3¢ UTR construct lacks the ﬁrst 419 bp of the 3¢-UTR. We used pET21d-Vg1RBP-GFP (accession no. AF064634) 48 and pSP64T-Vg1RBP-eGFP as described 49 . See Supplementary Methods online for cloning details. Immunoprecipitation and b-actin mRNA detection. Analysis of Vg1RBP and b-actin mRNA interaction was performed as described 8 . PCR was performed with the following primers: b-actin mRNA, 5¢-CCTGTGCAGGAAGATCAC AT-3¢ and 5¢-TGTTAAAGAGAATGAGCCCC-3¢; S1P1 mRNA, 5¢-ATCGGC AACTTGGCTCTTTCGG-3¢ and 5¢-ATTCCCCCTCATCTTTCTGCGG-3¢; GAPDH mRNA: 5¢-GACTCCACCCACGGCCGC-3¢ and 5¢-CCATTGAAGTC AGTGGAG-3¢. In situ hybridization. Probes were generated for a 446-bp fragment (1,172– 1,618 bp, accession no. BC041203) comprising the 3¢ UTR of b-actin mRNA, which was ampliﬁed by PCR using primers 5¢-AAAGGATCCAAGGACAG ACCCTTTCAACATG-3¢ and 5¢-AAAGAATTCGTGAAACAACATAAGTTT TATTTTTTC-3¢ and cloned into pBluescript. For FISH, retinal cultures from stage 33/34 embryos were ﬁxed in 4% PFA, 7.5% sucrose in PBS for 1 h at RT. Hybridization was performed using 0.6 ng ml –1 riboprobes and subsequent detection of b-actin mRNA and Vg1RBP (1:300) was perfomed as described 12,50 . Quantiﬁcation of ﬂuorescence intensity. Immunostaining, image capture and quantiﬁcation of ﬂuorescence intensity were carried out as described 8 . Statistical analyses were performed using InStat3 (GraphPad Software). Growth cone turning and gradient assay. Gradients of diffusible netrin-1 protein and Sema3A supernatant (or control) were established as described 10,30 . In 5-min gradient stimulation experiments, a source of netrin-1 was placed at 901 to the direction of the axon shaft. Images were taken every 30 s for 5 min. Samples were rapidly ﬁxed and analyzed immediately (in case of Vg1RBPeGFP), stained using b-actin antibodies to detect b-actin protein levels, or double-stained using phospho-4EBP and total-4EBP antibodies to detect 4EBP phosphorylation levels. For the 4EBP experiments, the pipette was placed 67 mm from the growth cone. For asymmetry experiments, the growth cone was bisected into two equal areas by a line drawn through the axon shaft (901 to the pipette) by an experimenter blind to the direction of the gradient. 4EBP phosphorylation on each side of the growth cone was calculated as phospho4EBP intensity divided by total-4EBP intensity. The center of mass was analyzed using ImageJ software (NIH). The background ﬂuorescence level was subtracted from all pixels of the growth cone. The centers of mass of phospho-4EBP and total-4EBP ﬂuorescence within the growth cone were calculated as the average of all pixel locations weighted by intensity. Filopodium length was measured using Openlab software (Improvision). Growth cones showing fewer than two ﬁlopodia on each side were excluded from the analysis, as were ﬁlopodia shorter than 1 mm. Live cell imaging. Stage 24 Kaede–b-actin 3¢ UTR injected retinal primordia were cultured for 24 h and imaged for 30 min. Kaede-positive growth cones were selected and the whole neurite including the axon shaft was photoconverted by exposure to 340- to 380-nm irradiation. Images were taken every 2.5 min and the intensities of the signals were quantiﬁed in each frame and averaged per 5 min. In some cases, axons were severed from their cell bodies before the photoconversion. Fluorescence intensity was normalized to the ﬁrst frame after photoconversion and presented against relative time (min). Stage 33/34 Vg1RBP-eGFP–injected retinal primordial cells were cultured for 24 h. Images of Vg1RBP-eGFP positive growth cones viewed at 100 with a Nikon inverted microscope equipped with a cooled CCD camera were captured every 12 s under reduced ﬂuorescence intensities to avoid bleaching. To measure granule speed, images were captured every second. Openlab and Volocity software (Improvision) were used to calculate the number and speed of granules. Note: Supplementary information is available on the Nature Neuroscience website. ACKNOWLEDGMENTS We thank M. Spira for suggesting use of Kaede–b-actin 3¢ UTR; R. Adams for suggesting use of the Zenon labeling kit; J. Ireland and B. Kvinlaug for preliminary data on b-actin translation; J. Zheng, D. Campbell and L. Strochlic for sharing unpublished data; A. Dwivedy, I. Pradel and K. Zivraj for technical assistance; L. Poggi and J. Falk for help with image analysis; and W. Harris, M. Piper and D. Campbell for comments on the manuscript. This work was supported by a Croucher Scholarship (K.-M.L.), an EMBO Long Term Fellowship (F.P.G.v.H.), an NSF Graduate Research Fellowship (A.C.L.), a BBSRC Studentship (R.A.) and a Wellcome Trust Programme Grant (C.E.H.). AUTHOR CONTRIBUTIONS K.-M.L. did the experiments on b-actin synthesis and function in Figures 3, 6, 7 and Supplementary Figure 2. F.P.G.v.H. did the experiments on Vg1RBP in Figures 1, 2, 4, Supplementary Figures 1 and 2k–o and Supplementary Videos 1–4. A.C.L. did the gradient assays on 4EBP and b-actin in Figures 5 and 6e. R.A. and N.S. provided Vg1RBP reagents and constructs and discussed experiments. K.-M.L., F.P.G.v.H., A.C.L. and C.E.H. wrote the manuscript and discussed experiments. COMPETING INTERESTS STATEMENT The authors declare that they have no competing ﬁnancial interests. Published online at http://www.nature.com/natureneuroscience Reprints and permissions information is available online at http://npg.nature.com/ reprintsandpermissions/ 1. Henley, J. & Poo, M.M. Guiding neuronal growth cones using Ca 2+ signals. Trends Cell Biol. 14, 320–330 (2004). 2. Guirland, C., Suzuki, S., Kojima, M., Lu, B. & Zheng, J.Q. Lipid rafts mediate chemotropic guidance of nerve growth cones. Neuron 42, 51–62 (2004). 3. Wen, Z., Guirland, C., Ming, G.L. & Zheng, J.Q.A. CaMKII/calcineurin switch controls the direction of Ca 2+ -dependent growth cone guidance. Neuron 43, 835–846 (2004). 4. Zheng, J.Q. Turning of nerve growth cones induced by localized increases in intracellular calcium ions. Nature 403, 89–93 (2000). 5. Li, Y. et al. Essential role of TRPC channels in the guidance of nerve growth cones by brain-derived neurotrophic factor. Nature 434, 894–898 (2005). 6. Lohof, A.M., Quillan, M., Dan, Y. & Poo, M.M. Asymmetric modulation of cytosolic cAMP activity induces growth cone turning. J. Neurosci. 12, 1253–1261 (1992). 7. Ming, G.L. et al. Adaptation in the chemotactic guidance of nerve growth cones. Nature 417, 411–418 (2002). 8. Piper, M. et al. Signaling mechanisms underlying slit2-induced collapse of Xenopus retinal growth cones. Neuron 49, 215–228 (2006). 9. Wu, K.Y. et al. Local translation of RhoA regulates growth cone collapse. Nature 436, 1020–1024 (2005). 10. Campbell, D.S. & Holt, C.E. Chemotropic responses of retinal growth cones mediated by rapid local protein synthesis and degradation. Neuron 32, 1013–1026 (2001). 11. Shestakova, E.A., Singer, R.H. & Condeelis, J. The physiological signiﬁcance of b-actin mRNA localization in determining cell polarity and directional motility. Proc. Natl. Acad. Sci. USA 98, 7045–7050 (2001). 12. Bassell, G.J. et al. Sorting of b-actin mRNA and protein to neurites and growth cones in culture. J. Neurosci. 18, 251–265 (1998). 13. Willis, D. et al. Differential transport and local translation of cytoskeletal, injuryresponse, and neurodegeneration protein mRNAs in axons. J. Neurosci. 25, 778–791 (2005). 14. Zhang, H.L. et al. Neurotrophin-induced transport of a b-actin mRNP complex increases b-actin levels and stimulates growth cone motility. Neuron 31, 261–275 (2001). 15. Zhang, H.L., Singer, R.H. & Bassell, G.J. Neurotrophin regulation of b-actin mRNA and protein localization within growth cones. J. Cell Biol. 147, 59–70 (1999). 16. Yuan, X.B. et al. Signalling and crosstalk of Rho GTPases in mediating axon guidance. Nat. Cell Biol. 5, 38–45 (2003). 17. Gebauer, F. & Hentze, M.W. Molecular mechanisms of translational control. Nat. Rev. Mol. Cell Biol. 5, 827–835 (2004). 18. Kloc, M., Zearfoss, N.R. & Etkin, L.D. Mechanisms of subcellular mRNA localization. Cell 108, 533–544 (2002). 19. Condeelis, J. & Singer, R.H. How and why does b-actin mRNA target? Biol. Cell 97, 97–110 (2005). 20. Huttelmaier, S. et al. Spatial regulation of b-actin translation by Src-dependent phosphorylation of ZBP1. Nature 438, 512–515 (2005). 21. Yisraeli, J.K. VICKZ proteins: a multi-talented family of regulatory RNA-binding proteins. Biol. Cell. 97, 87–96 (2005). 1256 22. Sundell, C.L. & Singer, R.H. Requirement of microﬁlaments in sorting of actin messenger RNA. Science 253, 1275–1277 (1991). 23. Lopez de Heredia, M. & Jansen, R.P. mRNA localization and the cytoskeleton. Curr. Opin. Cell Biol. 16, 80–85 (2004). 24. Deiner, M.S. et al. Netrin-1 and DCC mediate axon guidance locally at the optic disc: loss of function leads to optic nerve hypoplasia. Neuron 19, 575–589 (1997). 25. Campbell, D.S. et al. Semaphorin 3A elicits stage-dependent collapse, turning, and branching in Xenopus retinal growth cones. J. Neurosci. 21, 8538–8547 (2001). 26. Hopker, V.H., Shewan, D., Tessier-Lavigne, M., Poo, M. & Holt, C. Growth-cone attraction to netrin-1 is converted to repulsion by laminin-1. Nature 401, 69–73 (1999). 27. Takei, N., Kawamura, M., Hara, K., Yonezawa, K. & Nawa, H. Brain-derived neurotrophic factor enhances neuronal translation by activating multiple initiation processes: comparison with the effects of insulin. J. Biol. Chem. 276, 42818–42825 (2001). 28. Wilkie, G.S., Dickson, K.S. & Gray, N.K. Regulation of mRNA translation by 5¢- and 3¢UTR-binding factors. Trends Biochem. Sci. 28, 182–188 (2003). 29. Ando, R., Hama, H., Yamamoto-Hino, M., Mizuno, H. & Miyawaki, A. An optical marker based on the UV-induced green-to-red photoconversion of a ﬂuorescent protein. Proc. Natl. Acad. Sci. USA 99, 12651–12656 (2002). 30. de la Torre, J.R. et al. Turning of retinal growth cones in a netrin-1 gradient mediated by the netrin receptor DCC. Neuron 19, 1211–1224 (1997). 31. Gingras, A.C. et al. Hierarchical phosphorylation of the translation inhibitor 4E–BP1. Genes Dev. 15, 2852–2864 (2001). 32. Eng, H., Lund, K. & Campenot, R.B. Synthesis of beta-tubulin, actin, and other proteins in axons of sympathetic neurons in compartmented cultures. J. Neurosci. 19, 1–9 (1999). 33. Ooashi, N., Futatsugi, A., Yoshihara, F., Mikoshiba, K. & Kamiguchi, H. Cell adhesion molecules regulate Ca 2+ -mediated steering of growth cones via cyclic AMP and ryanodine receptor type 3. J. Cell Biol. 170, 1159–1167 (2005). 34. Kuhn, T.B., Brown, M.D., Wilcox, C.L., Raper, J.A. & Bamburg, J.R. Myelin and collapsin-1 induce motor neuron growth cone collapse through different pathways: inhibition of collapse by opposing mutants of rac1. J. Neurosci. 19, 1965–1975 (1999). 35. Hansen, W.J., Cowan, N.J. & Welch, W.J. Prefoldin-nascent chain complexes in the folding of cytoskeletal proteins. J. Cell Biol. 145, 265–277 (1999). 36. Wang, J. et al. Reversible glutathionylation regulates actin polymerization in A431 cells. J. Biol. Chem. 276, 47763–47766 (2001). 37. Kislauskis, E.H., Zhu, X. & Singer, R.H. b-actin messenger RNA localization and protein synthesis augment cell motility. J. Cell Biol. 136, 1263–1270 (1997). 38. Lewis, A.K. & Bridgman, P.C. Nerve growth cone lamellipodia contain two populations of actin ﬁlaments that differ in organization and polarity. J. Cell Biol. 119, 1219–1243 (1992). 39. Oleynikov, Y. & Singer, R.H. Real-time visualization of ZBP1 association with -actin mRNA during transcription and localization. b Curr. Biol. 13, 199–207 (2003). 40. Yao, J., Sasaki, Y., Wen, Z., Bassell, G.J. & Zheng, J.Q. An essential role for b-actin mRNA localization and translation in Ca 2+ -dependent growth cone guidance. Nat. Neurosci. 9, 1265–1273 (2006). 41. Rousseau, D., Kaspar, R., Rosenwald, I., Gehrke, L. & Sonenberg, N. Translation initiation of ornithine decarboxylase and nucleocytoplasmic transport of cyclin D1 mRNA are increased in cells overexpressing eukaryotic initiation factor 4E. Proc. Natl. Acad. Sci. USA 93, 1065–1070 (1996). 42. Brunet, I. et al. The transcription factor Engrailed-2 guides retinal axons. Nature 438, 94–98 (2005). 43. Kanai, Y., Dohmae, N. & Hirokawa, N. Kinesin transports RNA: isolation and characterization of an RNA-transporting granule. Neuron 43, 513–525 (2004). 44. Liu, G. et al. Netrin requires focal adhesion kinase and Src family kinases for axon outgrowth and attraction. Nat. Neurosci. 7, 1222–1232 (2004). 45. Fan, J. & Raper, J.A. Localized collapsing cues can steer growth cones without inducing their full collapse. Neuron 14, 263–274 (1995). 46. Shirasaki, R., Mirzayan, C., Tessier-Lavigne, M. & Murakami, F. Guidance of circumferentially growing axons by netrin-dependent and -independent ﬂoor plate chemotropism in the vertebrate brain. Neuron 17, 1079–1088 (1996). 47. Zhang, Q. et al. Vg1 RBP intracellular distribution and evolutionarily conserved expression at multiple stages during development. Mech. Dev. 88, 101–106 (1999). 48. Yaniv, K., Fainsod, A., Kalcheim, C. & Yisraeli, J.K. The RNA-binding protein Vg1 RBP is required for cell migration during early neural development. Development 130, 5649–5661 (2003). 49. Chang, P. et al. Localization of RNAs to the mitochondrial cloud in Xenopus oocytes through entrapment and association with endoplasmic reticulum. Mol. Biol. Cell 15, 4669–4681 (2004). 50. Blichenberg, A. et al. Identiﬁcation of a cis-acting dendritic targeting element in MAP2 mRNAs. J. Neurosci. 19, 8818–8829 (1999). VOLUME 9 [ NUMBER 10 [ OCTOBER 2006NATURE NEUROSCIENCE
On the Potential of Flow-Based Routing in Multihomed Environments Vlad Manilici 1 , 2 Andreas Wundsam 1 , 2 Anja Feldmann 1 , 2 Petros Zerfos 3 Robert Sombrutzki 1, 4 Jatinder Singh 5 1 Pablo Vidales Bericht-Nr. 2009-02 ISSN 1436-9915 3 5 Deutsche Telekom Inc., R&D Lab USA IBM T.J. Watson Humboldt Universit¨at Berlin Abstract The data rates provisioned by broadband Internet access connections continue to fall short of the requirements posed by emerging applications. Yet the potential of statistical multiplexing of the last mile broadband connections remains unexploited even as the average utilization of these connections remains low. Despite recent work in this area [15, 20], two key questions remain unanswered: a) What is the attainable beneﬁt of broadband access sharing? and b) How much of this beneﬁt is realizable given real-world constraints? In this work we quantify the attainable beneﬁt of a multihomed broadband access environment by proposing and evaluating several ﬂow-based access sharing policies using a custom ﬂow-based simulator. We then analyze how much of the performance beneﬁt is lost due to real-world constraints by migrating from simulations to a test-lab environment employing a wireless network. Our results show that in today's broadband Internet access scenarios, a signiﬁcant reduction in download times by up to a factor of 3 is achievable. Introduction Driven by the wide adoption of wireless-enabled broadband access connections and the fact that time-based tariffs have all but disappeared, a new, opportunistic, lowmobility communication paradigm [16, 17] has emerged over the past few years, in which residential users share their broadband access links over wireless 802.11 connections with neighbors and other nomadic urban users. Since the average utilization of a residential Internet connection still remains low [13], statistical multiplexing of user trafﬁc across multiple broadband access connections over a shared wireless medium can be used to accommodate nomadic users, increase the peak data rates and satisfy high instantaneous trafﬁc demand of bandwidth-intensive applications. Consider the scenario of Figure 1.1 depicting a community of users accessing the Internet via DSL links provisioned by different ISPs and sharing an ad-hoc wireless LAN. User 1 may experience congestion on her downlink connection due to serving a large download from mobile user Ext. 1. However, if User 3's Internet connection has spare bandwidth, User 1 may be able to redirect her trafﬁc to User 3's connection via multihoming. 1 Realities of current network infrastructure design and operation, such as inability of end users to reserve public IP addresses and lack of ISP support for packet striping, limit the extent to which statistical multiplexing can be leveraged for bandwidth aggregation. To overcome these limitations, several multihoming mechanisms, e.g., [15, 20], have been proposed to route one user's ﬂows via a wireless shared medium through another user's broadband connection. Complementary to these efforts, our work investigates the potential rather than a mechanism for multi-homing and attempts to answer a more fundamental question: what is the attainable beneﬁt of ﬂow-based re-routing in multihomed environments? To answer this question, we employ hybrid simulations and real testbed experiments in various settings, using both synthetic and measurement-based traces for representing user trafﬁc. We developed a ﬂow-level simulator, FlowSim, which simulates various ﬂow routing algorithms based on actual ﬂow traces from real networks as input, and deployed a testbed using commodity wireless home gateways and DSL links. Synthetic Web traces generated using Surge [3] and residential access traces from the Munich Scientiﬁc Network (MWN) serve as trafﬁc input. Our results show that for bandwidth intensive ﬂows the average download time can be reduced by up to a factor of 3. This emphasizes the substantial potential beneﬁt of ﬂow multiplexing among broadband connections in community networks. We expect further improvements by considering different delay distributions via different providers. But this is beyond the scope of this paper. To summarize, this work makes the following contributions: * A ﬂow-based simulator and an experimental setup for evaluating multi-homing: reproducible results are obtained and the difference between ideal and progressively realistic experiments is quantiﬁed. * Several multi-homing strategies, ranging from idealistic ones, in which full knowledge of links and ﬂows is assumed, to a practical and realizable one that is suitable for implementation on a router. * An evaluation of the beneﬁts and potential of the various ﬂow routing strategies in multihomed environments using synthetic and real trafﬁc loads. Related Work The areas of local community networking and connectivity sharing have been well explored, and some enterprise solutions [1, 7, 8] have even been deployed in the real world. Settings where neighbors share a DSL connection are common, although not contractually allowed by most ISPs [4]. Bundling connectivity by utilizing multiple links in parallel is often used in access networks as well as backbones, where it is commonly known by the term "trunking" or "channeling". Trunking assumes that the links are terminated at the same devices. The MultiNet project [6] proposes a multihomed single-card device by means of virtualization. In MultiNet the wireless card is continuously switched across multiple networks. In contrast to physically accessing multiple networks, our work brings forward the idea of routing ﬂows across the network in order to achieve better performance. Closely related to ﬂow management, MAR [15] provides a framework for leveraging the diversity of wireless access providers and channels to provide improved wireless data performance for the commuters via a wireless multihomed device that can be deployed in moving vehicles. The packet scheduling architecture requires the presence of a proxy server as a concentrator and support from the ISP side. Solutions for exploiting multiple paths between hosts at higher network layers have been proposed as well. At the transport layer, pTCP [10] is an extension of TCP that allows for bandwidth aggregation in multihomed devices. The protocol has been evaluated through simulations. Its mechanism is based on packet buffering and appears to us to require a huge management overhead. It is unclear what the performance beneﬁts in a real wireless environment would be. Recent work by Thompson et al. [20] evaluates a framework for end-host multihoming with ﬂow routing based on RTT measurements and prediction of the ﬂow sizes. However, the evaluation is limited to a proof of concept system consisting of two nodes and one speciﬁc ﬂow routing methodology proposed by the authors. Another example of ﬂow management is the work presented in [19]. The authors study the feasibility of improving performance by increasing path diversity through ﬂow-based path switching. This work was evaluated using a wired experimental setup but no evaluation in wireless environments has been reported. Habib et al. [9] propose the resurrection of the session layer for striping data from a single connection over several links. Implementing the proposal, however, requires extensive changes at the OS or the application level, which is also a requirement for the Stream Control Transmission Protocol [18] or the IPv6 shim6 layer [2]. Papadopouli and Schulzrinne [14] propose the integration of channels with largely different QoS characteristics for serving streams with adaptable bandwidth. Their prototype operates as a multicast application with variable bandwidth. Standard applications such as WWW and email are unable to take advantage of the proposed system. Lad et al. [11] propose a high-level architecture for sharing connectivity in a coalition peering without discussing its realization or presenting a performance evaluation. Complementary to the above approaches, the work reported in this paper offers an evaluation of multihoming in real wireless environments. There are a plethora of papers that have reported on the difﬁculties posed by wireless environments and their impact on urban networks, see [17] or [5] to mention a few. Setup To evaluate the attainable beneﬁt of ﬂow-based routing in multihomed environments, we use a combination of simulated and real testbed experiments in various settings. We employ as trafﬁc input user traces from the border router of the Munich Scientiﬁc Network to represent real user behavior and synthetic workloads generated by the Surge [3] Web trafﬁc generator. The latter is required to capture the reaction of the application and users to potential performance improvements, which is difﬁcult to assess via trace-based evaluations. 3.1 Flow Routing Strategies In this paper we investigate the following basic ﬂow routing strategies to obtain a baseline of the possible beneﬁts.This will serve as the basis for developing even better strategies in future work: Direct: the current practice in residential broadband connections: every ﬂow is routed on the direct link i.e., the DSL connection of the user originating the ﬂow. FatPipe: an "ideal case", which bundles all DSL links into one fat pipe with bandwidth equal to the sum of the capacities of the individual connections. The only restriction is that no ﬂow may exceed the bandwidth of the originating DSL connection. This strategy cannot be implemented in a real network and is only supported by the simulator. MinLargeFlows: assigns each new ﬂow to the link which, at that time, carries the least number of ﬂows that have already transmitted some number of bytes, say 8 KB. This strategy tries to minimize the number of bulky ﬂows that share any of the DSL links. Moving ﬂows from one link to another is difﬁcult as it requires either support by all end-systems or transparent movement of the TCP state. Therefore, we do not allow re-routing a ﬂow once it has been assigned to a certain link. 3.2 Flow Routing Testbed: FlowRoute A testbed for conducting realistic experiments has been deployed at our site, emulating the setup in Figure 1.1. Four nodes have been deployed on one ﬂoor in our building, coexisting with other wireless networks, as in real residential scenarios. The distribution of the testbed nodes was planned to achieve wireless connectivity among them. Each node consists of a wireless router with IEEE 802.11a/b/g interfaces and a client machine which is also equipped with a wireless interface. The routers are directly connected to the Internet via 2 Mbps DSL lines and to the corresponding client machines using an Ethernet interface. The client based ﬂow routing system FlowRoute allows us to evaluate the beneﬁts of ﬂow routing in real-world testbeds. Hence, effects not easily captured in a simulator, such as the impact of different shared interconnection mediums, wired vs. wireless Ethernet, etc., can be studied. The software prototype that enables ﬂow routing on the client machines, FlowRoute [21], consists of three main components: a preloaded shared library, called libConnect, which intercepts all client access to the Berkeley socket layer and delegates routing decisions. Routed, the unique central decision making module, has a global view on the link loads and makes the actual routing decisions based on the ﬂow routing strategies previously described. The third component, called Proxy, is responsible for re-directing the ﬂows between a client and its destination and for informing the routed about the load of all shared DSL connections. For some of the experiments we need the ﬂexibility to tune the bandwidth of the access lines to the Internet. This functionality is provided by using the NistNet network emulator [12]. The NistNet emulator is installed on a separate machine that is accessible by all testbed nodes via the management network. 3.3 Simulator: FlowSim We have developed a simulator, called FlowSim, to evaluate in a scalable way the potential of ﬂow routing strategies using ﬂow-level traces as input, captured from real networks or testbed experiments. Popular packet level simulators such as ns-2 or SSFNet are less suitable for our purpose, given the large number of ﬂows considered here. To validate the simulator, we reproduce the testbed experiments within FlowSim and compare the results. The role of the scheduler is to distribute the available bandwidth among competing ﬂows, while approximating the dynamics of the TCP protocol. In order to achieve reasonable performance, it uses a ﬂuid TCP model operating on discrete time slots, rather than on a per event basis. For details and download see: http://www.net.t-labs.tuberlin.de/ ˜vlad/FlowRoutingSoftware. We can use FlowSim to simulate network setups such as those shown in Figure 1.1, with various number of users, different capacities and delays for uplink and downlink directions and ﬂow routing algorithm parameters. The interconnection capacity between DSL subscribers is not supposed to be a bottleneck and thus modeled as inﬁnite. As such, the simulator cannot distinguish if the community is interconnected via a wireless or wired network. FlowSim consists of two main components: the router and the scheduler. The router identiﬁes interactive and bandwidth-limited ﬂows. Bandwidth-limited ﬂows are further classiﬁed by the direction (called dominant direction) in which they exceed a threshold into downlink-, uplink- and both-limited ﬂows. Once a ﬂow has been classiﬁed, it is routed using one of the ﬂow routing strategies. The simulation results do not show a signiﬁcant difference when using smaller time slots than 1/10 second, the current setting. The distribution of the available up and downstream bandwidth is done in a fair manner between all ﬂows that use one link. Each bandwidth-limited ﬂow exercises a TCP-style slow start before it is able to attain its fair share of the bandwidth. Connect and close delays are modeled as well, while ignoring packet losses. Comparisons with results obtained from the testbed for the same set of traces used as input show that the approximations are reasonable. For each bandwidth-limited ﬂow, its fair share of the bandwidth is computed based on its dominant direction(s). The bandwidth share for the non-dominant direction is then set in proportion to the transmitted bytes. The results are again scaled to the available bandwidth. Figure 3.1 plots the downlink bandwidth from an experiment on the testbed and on the simulator for the same conﬁguration. On the X axis we show the time and on the Y axis the normalized bandwidth. Data from each of the 4 clients is plotted in a separate "swim lane". We superimpose the two curves in different shades, one for the testbed and one for the simulator. With the exception of few outliers and lags, the two curves match closely, validating our FlowSim simulation. Results In this section, we begin by analyzing an experiment which uses artiﬁcial Web workload. Next we replay real-world TCP traces in a second experiment. For both of them, we analyze the beneﬁts of ﬂow routing using the testbed and compare them with the performance predicted by the simulator. 4.1 Synthetic Web Workload We use Surge [3] to generate a synthetic workload representative of Web trafﬁc and updated its parameters to reﬂect characteristics (e.g., the median and mean HTTP object size) of the current Web workload mix, including Web 2.0 and P2P, as observed in the MWN traces. As Web server software, we use the popular apache2 Web server. To impose a reasonable load, we use four Surge instances per household (host). This Web workload results in an average utilization of 0.39 Mbps per DSL link. 4.1.1 Testbed Results Figure 4.1 plots the complementary cumulative distribution function (CCDF) of the ﬂow durations on a logarithmic X-axis for an experiment with NistNet and a wired interconnection network. One can clearly see the beneﬁt of ﬂow routing, since durations with ﬂow routing are clearly shorter than without. Yet, we also see that there is some overhead imposed by ﬂow routing for short ﬂows. We next switch from NistNet to using the actual 2Mbps DSL lines, with the wired interconnection network. We observe that the results improve slightly in comparison to the emulated network. For all ﬂows, the mean beneﬁt is 1.20 (median 0.95). Flows that last longer than 0.5 seconds experience an improvement of 2.49 (median 2.03). The differences are explainable by small inaccuracies in NistNet. To quantify the achievable beneﬁt, we compute the ratio of the durations, more precisely, we compute duration(direct) / duration(routed). Larger values denote better performance under ﬂow routing. Considering all ﬂows, the mean beneﬁt is 1.11 with a median of 0.90. At ﬁrst, this might seem a bit disappointing. Yet, there are many short ﬂows and they in this scenario all suffer from the overhead of our prototype ﬂow routing implementation. But when we only consider ﬂows with a duration larger than 0.5 seconds the mean improvement increased to 2.47 (median 1.83). This implies that there is a signiﬁcant beneﬁt for bulky ﬂows. Finally, we use the well connected wireless network in 802.11a mode as our interconnection network within the community. Somewhat surprisingly, the overall results improve slightly when compared to using a wired network. The mean (median) improvements for longer ﬂows are 2.61 (2.11) and for all ﬂows 1.27 (1.0). This shows that the wireless network is not the bottleneck. We reroute only 75% of the ﬂows which imposes a load of less then 5 Mbs on the wireless network. Overall, we see that signiﬁcant improvements are possible by taking advantage of multihoming. 4.1.2 Simulator Results We investigate the upper bound of the routing performance by using the simulator on the traces gathered from the Web workload experiments. This allows us to estimate the potential beneﬁts and compare the performance prediction of the simulator against the performance improvements observed in the testbed. The simulator displays some deviations in ﬂow duration, which are in part due to the simulator's assumption that bandwidth is shared fairly between ﬂows. This assumption is known to work well on average but not on smaller time scales. As such, it is not surprising that the size of the deviations decrease as ﬂow durations increase. In total, the ratio of the durations for bandwidth-limited ﬂows in the simulation vs. the testbed experiment has a mean of 1.07 and a median of 0.97. This indicates that, while for individual ﬂows the predicted performance does not agree with the performance seen in the experiment, the overall results of the simulation match the experiment quite well. We then compare the performance as predicted by the simulator with the performance of the actual experiment using the MinLargeFlows routing policy. The simulator reports a mean(median) improvement for ﬂows longer than 0.5 seconds of 2.59 (2.09). In the synthetic Web workload experiment with the same strategy, the inter-arrival times between Web connections are shorter than with the Direct policy, and the load is also higher. These predictions match the actually observed beneﬁts of 2.47 very well. Interestingly, the predicted mean improvement by the simulator for FatPipe is only slightly better than for MinLargeFlows having 2.79 vs. 2.24 mean improvement. This conﬁrms that the achievable beneﬁt for this scenario is indeed limited by the trafﬁc properties of this speciﬁc Web workload. 4.2 Trace-Based Experiments 4.2.1 Workload Using traces of real trafﬁc to drive simulations as well as testbed experiments allows repeatability of results under realistic loads. We use connection-level summaries of trafﬁc traces captured at the border router of the Munich Scientiﬁc Network, MWN. The MWN provides 10 Gbps Internet upstream capacity to roughly 50,000 hosts at two major universities including student dormitories, with the daily trafﬁc amounting to 3-6 TB. Ample bandwidth is available to all users of this network via high-speed local area networks, thus Internet usage is not impaired by any bandwidth limitations of the access links. From this large collection of ﬂow data we selected a subset of ﬂows, referred to as MWN ﬂow trace, that originated from IP addresses that are assigned to student residences, to ensure that we consider only genuine residential trafﬁc. Students are provided Internet access only via 28 NAT gateways. The trafﬁc via those NAT gateways imposes a load of about 0.34 Mbs on the upstream and 5.74 Mbs on the downstream. We assigned these 28 NAT gateways to our DSL links randomly. Using such a dense trace allows us to investigate times with peak trafﬁc while keeping the durations of our experiments relatively short (30 minutes). In a typical 24 hour workday trace from April 24th 2007 we identify approximately 37 million ﬂows, out of which 21.1 million have incomplete connection information records, a typical component of todays trafﬁc mix, such as SYN attempts (56%), rejected connections (27%), in progress connections (8%), and missing information (9%). For our experiments, we consider the remaining 15.9 million ﬂows, through which 641 GB (182 GB) were transferred from (to) the Internet. These volumes correspond to an average bandwidth utilization of 60 Mbps (17 Mbps) downstream (upstream). To quantify the performance of our ﬂow re-routing against different trafﬁc loads, we run experiments on the testbed using the full MWN trace in addition to a random subselection of 1/3 of the total number of ﬂows (reduced set). 4.2.2 Performance Analysis Similar to the Surge experiment, we concentrate on bulky ﬂows longer than 0.5 seconds. Shorter ﬂows display the overhead imposed by our prototype. Figures 4.2(a) and 4.2(b) show the scatter plot of ﬂow durations. Each point represents a ﬂow, with the duration of the direct routing policy on the X axis and the duration of the re-routed policy on the Y axis. The overlaid contour lines plot the density of measurement points in one region. More points below the x = y diagonal imply more ﬂows that beneﬁt from routing. The density peak for the experiment with the full MWN trace is significantly below the diagonal, whereas the reduced MWN trace has a peak at about the level of the diagonal. The experiment achieves improvements in the ﬂow durations in the former case by a mean factor of 3.02 (median 1.98) and in the latter case by a factor of 2.04 (median (a) Full MWN trace (b) 1/3MWN trace Figure 4.2: Scatter plot with superimposed contour Figure 4.3: Bulky ﬂow (>0.5 sec.) speed boost 1.02). When considering all ﬂows including the short ones, the mean/median values are for the full MWN trace 2.21/1.12 and 1.17/0.94 for the reduced set. See Figure 4.3 for a summary. The experimental results on the testbed for the standard MinLargeFlows routing algorithm compare well with the simulation. The median ratio of ﬂow durations is 1.98 on the testbed and 1.99 in the simulator. Mean ratio of 3.02 is better on the testbed than 2.47 achieved on the simulator. This result is partly explained by a larger jitter on the testbed. Evaluating the FatPipe policy on the simulator, we achieve ﬂow duration improvement by a mean factor of 3.73 (median 2.40). We plot the logarithmic density (PDF) of the ﬂow durations ratio: duration(direct)/duration(routed) in Figure 4.4. We note that the shift towards right (values larger than 1) is much more pronounced for the full trace experiment. This means that ﬂow routing performs better in regions close to the link congestion. Figure 4.5 shows the CCDF of ﬂow durations with and without ﬂow routing. From the Figure, we observe that the ﬂows exhibit shorter durations when ﬂow routing is employed. The effect of the shared interconnection medium, wireless or wired, has also been evaluated on the testbed. Average and median ﬂow durations vary by less than 15% between a wireless shared medium with good connectivity and a wired one. The DSL emulation through NistNet achieves less than 3% average and median variation in ﬂow lengths. Figure 4.6 compares the density distribution of the ﬂow durations when using DSL lines or NistNet for the Internet connection and Ethernet or Wireless for the testbed backbone. duration Figure 4.5: CCDF of ﬂow durations with and without routing for the MWN trace-based workload Conclusion Broadband access connection sharing using wireless 802.11 technologies is emerging as an alternative approach towards nomadic broadband connectivity. Flow-based routing in conjunction with multihoming plays a key role in enabling such access sharing scenarios, by increasing the multiplexing of broadband connections. For this reason, it becomes important to evaluate the potential beneﬁts of ﬂow-based routing in multihomed environments. In this work, we evaluate several ﬂow re-routing strategies using synthetic workloads and captured user traces as trafﬁc input. Our encouraging results show improvements of up to a factor of 3 in the download times of bandwidth-limited ﬂows, with very small overhead. Bandwidth-demanding ﬂows and an unbalanced distribution of load among the users of the sharing community particularly beneﬁt from the ﬂowbased routing approach. More importantly, full knowledge of ﬂow characteristics is not needed, as the performance of MinLargeFlows exhibits. Bibliography [1] A. Akella, S. Seshan, and A. Shaikh. Multihoming performance beneﬁts: An experimental evaluation of practical enterprise strategies. In USENIX, 2004. [2] M. Bagnulo and E. Nordmark. Shim6: Level 3 Multihoming Shim Protocol for IPv6. draft-ietf-shim6-proto-08 (work in progress), April, 2007. [3] P. Barford and M. Crovella. Generating representative web workloads for network and server performance evaluation. In SIGMETRICS/PERFORMANCE, 1998. [4] BTFon. WiFi for everyone. website: http://btfon.com. [5] V. Bychkovsky, B. Hull, A. K. Miu, H. Balakrishnan, and S. Madden. A Measurement Study of Vehicular Internet Access Using In Situ Wi-Fi Networks. In MOBICOM, 2006. [6] R. Chandra, V. Bahl, and P. Bahl. Multinet: Connecting to multiple ieee 802.11 networks using a single wireless card. In INFOCOM, 2004. [7] D. Goldenberg, L. Qiu, H. Xie, Y. R. Yang, and Y. Zhang. Optimizing cost and performance for multihoming. In ACM SIGCOMM, 2004. [8] F. Guo, J. Chen, W. Li, and T. cker Chiueh. Experiences in building a multihoming load balancing system. In INFOCOM, 2004. [9] A. Habib, N. Christin, and J. Chuang. Taking Advantage of Multihoming with Session Layer Striping. In IEEE Global Internet, 2006. [10] H.-Y. Hsieh and R. Sivakumar. A transport layer approach for achieving aggregate bandwidths on multi-homed mobile hosts. In ACM MOBICOM, 2002. [11] M. Lad, S. Bhatti, S. Hailes, and P. Kirstein. Coalition-Based Peering for Flexible Connectivity. In PIMRC, 2006. [12] Nistnet home page. http://www-x.antd.nist.gov/nistnet/. [13] A. M. Odlyzko. Data networks are lightly utilized, and will stay that way. Review of Network Economics, 2003. [14] M. Papadopouli and H. Schulzrinne. Connection sharing in an ad hoc wireless network among collaborating hosts. In NOSSDAV, 1999. [15] P. Rodriguez, R. Chakravorty, J. Chesterﬁeld, I. Pratt, and S. Banerjee. Mar: a commuter router infrastructure for the mobile internet. In MobiSys, 2004. [16] N. Sastry, J. Crowcroft, , and K. Sollins. Architecting citywide ubiquitous Wi-Fi access. In ACM HotNets, 2007. [17] M. Solarski, P. Vidales, O. Schneider, P. Zerfos, and J. P. Singh. An experimental evaluation of urban networking using IEEE 802.11 technology. In Proc. IEEE OpComm, 2006. [18] R. Stewart and C. Metz. SCTP: new transport protocol for TCP/IP. IEEE Internet Computing, 2001. [19] S. Tao, K. Xu, Y. Xu, T. Fei, L. Gao, R. Guerin, J. Kurose, D. Towsley, and Z.L. Zhang. Exploring the performance beneﬁts of end-to-end path switching. In IEEE ICNP, 2004. [20] N. Thompson, G. He, and H. Luo. Flow Scheduling for End-host Multihoming. In IEEE Infocom, 2006. [21] A. Wundsam. Connection sharing in community networks - how to accomodate peak bandwidth demands. Diplomarbeit, TU Munich, Germany, April 2007.
FALSER THAN VOWS MADE IN WINE The snow deadened all sound in Clogherhead. Even the sea had gone quiet, lying still and dark in the cold. All was shut up. The inn was in darkness, the fishing shacks were quiet, and not a soul stirred. Even the birds seemed still asleep beneath their wings. As the boy approached the cliff, he heard the slightest sigh, which was not a sound he was used to hearing from the sea. Most days in winter, it was a raging demon throwing itself at the foot of the cliffs, determined to pull them down so it could snatch at those who refused to leave the safety of the hearth. But this winter's night had defeated the sullen beast. Cormac O'Hagan's favourite thing was to walk the cliff path just before sunrise, when he had the whole world to himself. As soon as the cock crowed, he threw off sleep, took his cloak from his straw pallet and fastened himself into it. Then he slipped his still-warm feet into cold clogs, and made for the door. His jobs would wait till he got back and his sleeping family had roused themselves. He went to the fire and stroked the dog's ears until she opened a grumpy terrier eye, showing no desire to leave the warmth. But the old cat stalked away from the embers on stiff legs, so Cormac opened the door a crack. Snow had drifted against the door, and a little fell over the threshold as the cat brushed through it. Cormac stepped out, pulling the door shut behind him, leaving everyone sound asleep under cloaks, rugs and whatever else they could lay their hands on to keep warm through the cruel night. The few plants outside were swaddled in white and the moonlight made everything look friendly. He followed the cat's paw prints until they vanished near the high wall on the way to the sea. 'Gone down to the caves in search of a fishy breakfast, have you, old girl?' The cold air made the boy gasp, so he buried his mouth back in his muffler, and crunched through the immaculate snow. It was not far to the cliff, certainly no more than a half-mile. As he walked, his warm breath made his muffler damp. Every day, as the sun began to rise, Cormac would hold out his arms, uncurl his stubby digits – and, in the same way that his hand could blot out the sun – his fingers could touch the surrounding shorelines of County Louth. With outstretched arms, he would twirl and trace the horizon with his fingertips. Today, he took up a position a little further back than usual for fear of slipping in the snow and falling into the silent sea. He waited, with arms wide open and eyes closed, for the sun to announce its arrival by casting a golden glow across his eyelids. When warmth finally bathed his eyes, he opened them to watch the sun shimmer into life on the eastern horizon. But something was wrong. He rubbed his eyes with his knuckles, wondering whether he had left his pallet at all, wondering whether he might still be dreaming. But all his rubbing changed nothing. When Cormac looked again, his heart began to pound and his hands began to tremble. He wondered whether he should fall to his knees, but his legs had locked, holding him in place. The boy held out his trembling hands and blocked out two of the monstrous suns that had risen. But it was impossible to block out the third sun. This solar triptych, of course, was God appearing to Cormac in his three forms. Father. Son. Ghost. The boy shivered in the glorious presence of the Holy Trinity. This must be a sign from God. But what sign could God be sending to Cormac O'Hagan, the boy with an eternally snot-ridden nose, and one so badly cursed with the sin of greed? Was it on account of his greed that God had shown Himself? Or was it, perhaps, that other thing? Cormac closed his eyes, his cheeks alight with shame. But all boys did that. They all tried hard not to. But still, surely God would not come down from on high for that? It must, then, be a good sign. God must have a special message of sorts, just for him. He swallowed the huge lump that had taken hold in his throat and tried to speak. His voice betrayed him, coming out in that terrible squeak it had taken on of late. 'Dearest Father, I do not know if it is me you have come for. But as there is only me here, then you must want me. Holy, holy, Father, if it is me that you want, then whatever it is that you want me for, I will do it. You have my word.' Cormac squinted into the three suns, bracing himself for the booming voice of God, but none came. He nodded, thinking to himself for a moment. 'So, then this must be a sign… a sign like the burning bush. I have to work out what sign you are sending me, Father.' He bit the inside of his cheek, hoping it would stop the tic that had flared up there. God would not want a boy with a tic, of that much he was sure. 'Dearest Father, this must be my calling. Straight from heaven. Is this my calling? You want me to work it out for myself, then? Well, Father, it is not something I hoped for, in truth, but here is my answer. Holy Father. I will do it. I will serve you, God, for all of my life. Amen.' As fast as the miracle had appeared, the second and third suns vanished, leaving only a single watery sun to continue rising into the sky. Cormac watched it for a while, then, newly promised to God, he ran straight home to break the news to his bleary-eyed family. * * * 'Mammy, I have had a sign from God. I am to be a priest and will soon be away to the seminary.' His mother hugged him hard. 'Cormac, I am filled with such a desperate joy. See, the eldest son is always destined for God.' 'Sure. One way or another, if you don't stop half-strangling the lad,' intoned his father. 'I suppose the useless lump may as well put his blather to some good use.' Naturally, young Cormac could not wait to explain his new-found vocation to his friends and the hefty nun who taught them. He arrived at the schoolroom, breathless and untidy, bursting with his tale, but he was forced to contain himself until after morning prayers. When the class had finished mumbling into their chests, they got to their feet and Sister Bronach glanced at Cormac with her hard, blue eyes. 'Go on then, O'Hagan. Tell your tale, since it seems we must all suffer until you do.' His broad face alight with being chosen, Cormac O'Hagan stood at the front of the class. With a full range of explanatory hand movements, he demonstrated how God had made His sign by showing Himself in the form of three suns. 'So now, I am called to give myself to God and become one of His priests.' His honest, brown eyes shone with wonder as he gazed around the schoolroom, waiting for the adulation to begin. 'Jesus, Mary and Joseph, O'Hagan!' The nun's jowls wobbled with mirth and the whole class smirked at Sister Bronach's interjection. 'Why on earth would the Holy Father waste His precious time talking to you when He has wonders to perform? You did not see God. You saw sun dogs, you thundering great ingot, two false suns that dog the real one. It was seen up and down the coast by the fishermen, and I doubt many of them are to give over catching fish to take to the cloth.' This set the class sniggering. Cormac stared forlornly at these boys with their holey jumpers, piss-stained britches and running sores. His own scabbed face burnt while the sister took vicious delight in explaining the parhelion that he had witnessed. * * * So that was the day Cormac O'Hagan knew that God had not revealed Himself in His infinite majesty. Now his vocation was gone, he would stop going to the cliff. No more would he trace the halo of his homeland with his fingertips. God had not spoken to him. God had not singled him out. There was no God. But still, the notion of becoming a priest hung over the boy. Each night, he lay awake, hot-eyed and fidgety on his straw pallet, until he determined that he would still become a priest. What else was there to do on these shores for a boy who could read and write? It would mean living a lie, with eyes downcast, but then so did half the congregation at church. And it would be a lie based on the best of intentions – how could he crush his dear mother's desperate joy? He would not do it in Ireland though. Far better to spread his lies where the congregation had not watched him growing up. Surely, a mother could tell a lie on her grown son's face at fifty feet because she had seen his first baby lies, watched them grow, seen the tics, and the lines they made as falsehood etched its worm-casts into the man's face. Juries should be composed of mothers. * * * The priest suggested that Cormac start by serving as altar boy. He would have to go to the church and practise for his first service. The honour made his heart race. Although he had almost changed his mind when Sister Bronach opened the vestry door to him. During the preparation session, the nun puffed between orders. 'Hang your own clothes here, on this peg. Wear this robe, the white one. Fasten the rope just so. Hold the candle still. Stand up straight. Sing along to all the hymns, don't just mouth the words. Hang your head and look suitably penitent. Keep your eyes shut during prayers. Do not peer under your eyelashes to see what the girls at the back are doing. Stop that now. No impure thoughts in God's house. Kneel right there. Rise without using your hands. Be filled with grace at all times. The Father looks after the wine. You do not touch the wine. And do not drop that candle. It is a sacrament, most particularly since it will be Candlemas. I do not know what the Father was thinking. But there you are, it is not for me to have an opinion on these matters.' Come Candlemas, Cormac's humours were so out of kilter that he left his breakfast for the first time in his life, even knowing it worried his mother sick. Today, the villagers would carry their candles into church to be blessed. Together, they would celebrate the purification of the Virgin with a shoreline procession, carrying the Blessed Virgin shoulder-high. Back at home, there would be the lighting of candles and the illicit cheer of seeking omens in the flames to make predictions for the coming year. The church was dark. There was no light shining from the windows, so Cormac walked round the back, shivering as he stepped through the graveyard, with only the moon and the snow for light. The stone angels and crosses were furred with frost, and the dead flowers were bowed under a coat of snow. A thin, orange light glowed from the window, but the stout door was locked. Cormac thumped it with the side of his fist, and waited. Delicious icicles hung from the vestry roof, shining in the moonlight, so he stretched up and snapped one off to suck. It was pure, cold and smooth against his lips, melting in the heat of his mouth. It tasted of cold nothingness with a tang of metal. His reverie was suddenly broken when a wet thump hit him between the shoulder blades, and he nearly choked on the icicle. 'So, O'Hagan? We locked out then?' 'The very youngest O'Neill. I might have known it.' 'What was in your gob?' 'Nothing. An icicle.' O'Neill snapped off two more, passing one to Cormac. 'Have you knocked?' 'Obviously, Fergal O'Neill, I am not soft-headed.' 'Then we wait. So, child, are you serving as well?' 'Child, yourself.' Cormac bristled. The O'Neill boy was scarce an inch taller than him. And he was the youngest of that dreadful brood. 'My mother says it is a sin against God to even let an O'Hagan into the chancel, unless it is to char. Especially a snot-nosed one like you, she says.' Cormac bit the end off his icicle, trying not to cringe at the pain in his teeth. 'What is that supposed to mean? What would your mother know about the church, the chancel or charring? Or about us O'Hagans? At least I am the eldest, Fergal, and not the runt of the litter like yourself.' But O'Neill was spared from answering by a grating noise as the door heaved open to reveal the verger. 'Come on in, lads, before you catch your deaths.' Fergal pushed through the door first, and they went into the vestry. Cormac opened a cupboard crammed with robes, sashes and ropes. How would he know what to wear? Sister Bronach bustled through the door just then. She was an unlikely saviour, but for the first time ever, Cormac was glad to see her. 'Now, O'Hagan, don't just stand there with your mouth open catching flies. O'Neill, pass him down a fitting robe.' Fergal smirked and passed Cormac a robe that looked as though it might fit an infant. 'Sure, Sister, O'Hagan will be wearing a Christening gown, no? He is so small!' Cormac glared at Fergal, wishing for thunderbolts. 'Now get ready, boys, since I must light the candles. Woe betide if either of you so much as think of raising voice or hand in God's house. Be sure I will hear of it first.' Sister Bronach bustled out, turning sideways so she could fit through the vestry door. Face burning, Cormac hauled the robe over his head to hide his shame. So, finally, the time had come. Candlemas. Holy Communion. Cormac and Fergal trailed down the aisle after Sister Bronach and several villagers disguised in black cloaks. At the front of the procession, was the priest. The church had been transformed with hundreds of candles flickering from every ledge, sill and pew. Cormac inhaled. Good beeswax candles, not the nasty tallow ones from home. The flames gave life to the glass saints in the windows, and they seemed to dance and wave to him. The boys' first job was to guard the big altar candles. Cormac's candlestick came up to his shoulder and the fat candle came up to his eyes. O'Neill's candle only came up to his chin, so his was an easier job. Normally, the church was freezing, but the flickering candles made it strangely warm today. Everyone else got to sit during the service, except for the altar boys who had to stand for the entire morning. Cormac stood so straight that his ankles rubbed together. Still, it kept him awake. Although staring at Fergal O'Neill's ugly mug for a whole morning without stopping was much more tiring than Cormac had expected. The old priest was renowned for his long and horrible sermons, and there were far too many hymns. The strange Latin and the strong incense began to have a lulling effect on Cormac, which was made worse by the monotonous voice of the priest, who clearly thought it a mortal sin to change his tone up or down. Cormac started to feel hot, due to having a thick robe over his outdoor clothes and also standing next to a giant candle. When the congregation stood up to sing, they seemed rather far away to the sweating boy. Cormac tried to concentrate on the tiled floor for a while, but all the little squares of red, white, blue and yellow dazzled his eyes, and he had to do a few big blinks to clear the whirling rainbow from his head. The candle was soothing to look at, though, so he stared into the flame to keep his eyes off the moving mosaic on the floor. During the singing, Cormac could hear the priest trying to keep up with the organist, who always played as if he were in a race against everyone else. Cormac could not remember half the words to 'Te Deum', so he just shuffled his lips, turning his head a little so that Sister Bronach did not see. The congregation were slightly out of time and hugely out of tune, and the words span around him. The cherubim, the seraphim, all that precious blood, the redeeming and the glory – everything combined with the heat and the noise, looking at O'Neill's stupid sneer, and the eternally spinning mosaic. Although now very far away, Fergal O'Neill was staring at him quite strangely. Cormac wished harder than ever for thunderbolts, but the effort made him feel peculiar, as if he had a head full of grey wool. It sounded as though the congregation were singing a different hymn to the priest. He could not stand still any more, and now the candle flame pulled him towards it, causing him to sway. The morning sun shone through the stained-glass windows, making patterns, and splintering saints all over the aisle. Cormac's face felt very hot now, and he could smell the acrid odour of burning hair. Black ash started to fall in front of his eyes and he wobbled. Fergal O'Neill's mouth was wide open. Everyone stopped singing and started chattering. Then the verger ran towards him and caught him as he sank to the hard floor. When he opened his eyes, Cormac was in the front pew, looking up at the ribs of the church roof. His mother's face swam above him and there was a sharp smell of hartshorn, which gave him a cough and made his eyes water. The verger pulled him to his feet and hurried him back to the vestry. Cormac hung his head, trying to avoid the sight of Fergal O'Neill's grinning face as he went. Back in the vestry, he slumped onto a wooden stool, hanging his head and watching the verger from the corner of his eye. The verger plucked a robe from the cupboard and wrestled his stout body into it. 'Now don't take on so, lad.' Cormac blinked hard. He was afraid to open his mouth for fear his squeaking voice would betray him and his terrible lies. 'Now then, son, it was only your first time. Plenty of lads come over as though they'd swallowed a poisoned pup on their first time out.' The verger's kind words made a terrible lump rise up in Cormac's throat and it made his chin start to quiver. He forced himself to smile at the verger, his lips pressed tight together, his eyes gleaming and his chin quivering. But how could the verger possibly know? That if God existed, then this was a sure sign from God that he was not meant for the priesthood. Who would want a boy that could not even be trusted with a candle, let alone a baby, a bride or a body? It would have to be the fishing for him, after all, or the teaching. The verger patted his shoulder. 'Come, lad. I will take your place for now. Stay there till you feel better and you might be well enough for the shoreline procession after. And next time you have a turn at being altar boy, eat a hearty breakfast first. Your rumbling belly nearly drowned out the sermon.' Cormac looked at the verger's kind face and knew that he could never possibly understand. He rubbed the charred remnants of hair from his face. The humiliation of being mocked by the very youngest O'Neill made him heartsick and he just wanted to go home. His chin wobbled some more, and a traitorous tear finally ran down his face. HE T ND E
Overview HP Pro Slate 8 Front View 1. Audio-out (headphone)/Audio-in (microphone) jack 2. Dual Front Facing Speakers 3. Front Camera 4. Ambient Light Sensor 5. Power Button 6. Volume Up/Down 7. Micro USB Overview 8. Zero-force Connector 10. Micro SD Card Tray Left Side / Rear View 11. Rear Camera 12. NFC (Behind Rear Cover) Overview AT A GLANCE - Grey, soft-touch back panel with UV coating - Android 5.0 or higher (Lollipop) with support for Android 4.4.4 (KitKat) - Qualcomm® Snapdragon® 801, Quad Core, 2.3 GHz - 7.9-inch diagonal (2048 x 1536) wide viewing angle IPS display with 10 point capacitive touch; 326 Pixels Per Inch featuring Corning ® Gorilla ® Glass 4, 4:3 Wide Aspect Ratio - Up to 10 hours of battery life* - 2 GB LPDDR3-1600 SDRAM (Transfer rates up to 1600 MT/s) - 16GB or 32GB embedded Multi Media Card (eMMC) - Micro SD Card Slot supported, expandable up to 32GB - 802.11 ac/a/b/g/n with antenna diversity (Miracast compatible*) - Bluetooth® 4.0 + LE connectivity NOTE: See important legal disclosures for all listed specs in their respective features sections. Tested by HP using continuous HD video playback, 720p (1280x720) resolution, 150 nits brightness, system audio level at 50%, player audio level at 100%, played from local storage, headphone attached, wireless off, auto dimming off, Actual battery life will vary depending on configuration and maximum capacity will naturally decrease with time and usage. *Miracast technology only works with other Miracast ready devices. High definition (HD) content is required to view high-definition images. For details see http://wi-fi.org/miracast. QuickSpecs Features RODUCT P NAME HP Pro Slate 8 OPERATING SYSTEM Preinstalled Android 5.0 or higher (Lollipop) with support for Android 4.4.4 (KitKat) PROCESSOR Qualcomm® Snapdragon® 801, Quad Core, 2.3 GHz DISPLAY Internal 7.9-inch diagonal capacitive multi-touch, wide viewing angle IPS display Features: - 2048 x1536 High Definition (HD) resolution** - Brightness (typical) - 450 nits (cd/m 2 ) - 326 PPI (Pixel Per Inch) - 4:3 Wide Aspect Ratio (orientation agnostic) - 10 point capacitive touch solution, Direct bonding - Anti-Smudge with Corning® Gorilla® Glass 4 External 24-bit per pixel color depth Micro USB-to-HDMI out, 1080p supported * High definition (HD) content is required to view high-definition images. ** Resolutions are dependent upon monitor capability, and resolution and color depth settings. INTERNAL STORAGE Internal Storage Device 16 GB embedded Multi Media Card (eMMC)* (Base SKU) or 32 GB embedded Multi Media Card (eMMC)* Micro SD Card Slot supported Supports MicroSD Cards up to 32GB** * GB = 1 billion bytes. Actual formatted capacity is less. ** MicroSD Card Sold separately MEMORY Standard 2 GB LPDDR3-1600 SDRAM (Transfer rates up to 1600 MT/s) * Transfer rates up to 1600 MT/s. Onboard memory not customer accessible/upgradeable Features NETWORKING/COMMUNICATIONS Wi-Fi 802.11 ac/a/b/g/n with antenna diversity* (Miracast compatible*) Bluetooth® Bluetooth® 4.0 + LE connectivity Communication Near Field Communication (NFC) supporting Android Beam Wireless access point and Internet service required and not included. Availability of public wireless access points limited. *Miracast technology only works with other Miracast ready devices. High definition (HD) content is required to view highdefinition images. For details see http://wi-fi.org/miracast. AUDIO/MULTIMEDIA Audio DTS Sound+™ 2Front Facing Stereo Speakers 2 Integrated audio Microphones 3.5 mm Combo headphone/microphone jack Cameras Front Camera: 2MP, Full HD video, Low light capable Rear Camera: 8MP, AF (Auto-Focus), HDR (High Dynamic Range), Low light capable, and Full HD** video playback/recording capability * Headphones are sold separately ** Full HD content required for Full HD video playback. SENSORS GPS Ambient Light Sensor Accelerometer e-Compass Gyroscope Proximity Sensor NFC Hall Effect Sensor Barometer (pressure sensor) Features SOFTWARE Android 5.0 (lollipop) or higher with support for Android 4.4 (KitKat) Google Mobile Services and Applications HP TouchPoint Manager HP Duet Pen ready HP Notes Corel Painter Mobile Kingsoft WPS Office Mocana FIPS 140-2 certified VPN Encryption Evernote Skype HP Print Services Avast Mobile Security SECURITY ARM® TrustZone® (trusted execution environment) Hardware key store Hardware encryption Security Enhanced Android Secure Boot FIPS 140-2 Certified VPN (256-bit encryption), 256-HW-accelerated encryption for Data-at-Rest (DAR) MANAGEABILITY HP TouchPoint Manager preloaded (HP MDM solution for Lite IT organizations) Anti-theft (locate, remote wipe & lock)Resistance to factory-reset Device security settings provisioning Lock & password settings Camera settings Compatible and/or certified with selected 3 rd party EMM (Enterprise Mobility Management) providers for Big IT organizations including, Citrix® and Mobile Iron. POWER Power Supply 10 W AC Charging Adapter with Micro USB 2.0 type B cable, Cable length 1m Battery 21 Whr lithium-polymer Video Playback Up to 10 hours* Power Conservation Standby QuickSpecs Features Tested by HP using continuous HD video playback, 720p (1280x720) resolution, 150 nits brightness, system audio level at 50%, player audio level at 100%, played from local storage, headphone attached, wireless off, auto dimming off, Actual battery life will vary depending on configuration and maximum capacity will naturally decrease with time and usage. WEIGHT & DIMENSIONS Weight 350 grams (0.77 lb) Dimensions (w x d x h) 136.99 x 206.99 x 7.99 mm (5.39 x 8.15 x 0.31 in)* * Weight and system dimensions may fluctuate due to configuration and manufacturing variances PORTS/SLOTS Ports Micro USB 2.0 HDMI capable (up to 1080p resolution) via Micro USB-to-HDMI adapter* 3.5 mm Combo headphone/microphone jack Expansion Slots MicroSD card slot* * USB-to-HDMI adapter sold separately. Headphones are sold separately * Up to 32GB of expandable storage. MicroSD card sold separately. IN THE BOX HP Pro Slate 8 10W AC charger HP Duet Pen Micro USB cable to USB cable SD Card tray eject tool Quick Start Guide SERVICE AND SUPPORT HP Services offers 3-year, 1-year and 90 day limited warranty options depending on country. Batteries have a default one year limited warranty except for Long Life batteries which will have same 1-year or 3-year limited warranty as the platform. On-site service and extended coverage is also available. HP Care Pack Services are optional extended service contracts that go beyond the standard limited warranties. To choose the right level of service for your HP product, use the HP Care Pack Services Lookup Tool at: http://www.hp.com/go/cpc. Features NOTE: Certain restrictions and exclusions apply. Consult the HP Customer Support Center for details. http://h20000.www2.hp.com/bizsupport/TechSupport/ProductRoot.jsp QuickSpecs Technical Specifications SYSTEM UNIT Stand-Alone Power Requirements (AC Power) Nominal Operating Voltage 100-240V, 50-60Hz Temperature Operating 32° to 104° F (0° to 40° C) Non-operating -4° to 140° F (-20° to 60° C) Relative Humidity Operating 10% to 90%, non-condensing Non-operating 5% to 95%, 101.6° F (38.7° C) maximum wet bulb temperature Shock Operating 40 G, 2 ms, half-sine Non-operating 200 G, 2 ms, half-sine Random Vibration Operating 0.75 grms Non-operating 1.50 grms Altitude (unpressurized) Operating -50 to 10,000 ft (-15.24 to 3,048 m) Non-operating -50 to 40,000 ft (-15.24 to 12,192 m) Industry Standard Certifications EMC Compliance - EU/FCC/IC CISPR 22 / EN 55022; CISPR 24 / EN 55024; FCC CFR 47 Part 15 / ICES-003 Yes Safety Compliance - UL/CSA/CB IEC/CSA/UL/EN 60950-1 Yes Telecom & SAR Compliance - EU/FCC/IC EN 300 328; EN 300 440; EN 301 489; EN 301 893; EN 301 908; EN 301; EN 62311; EN 62209; EN 62479; FCC 47 CFR Part 2; IC RSS102 Yes WW - Compliance Americas, APJ, EMEA Yes For accessibility information on HP products, please visit: http://www.hp.com/accessibility. DISPLAY Diagonal Size 7.9 inch Refresh Rate 60Hz Aspect Ratio 4:3 Wide Aspect Ratio Format 2048 x 1536 Brightness (typical)* 450 nits (cd/m 2 ) Pixels Per Inch 326 PPI ENVIRONMENTAL DATA Low Halogen* Mercury Free display backlights and arsenic-free display glass All HP computing products are delivered by SmartWay carriers Recycled Packaging Eligible for free recycling or cash back through HP’s Planet Partners Recycling and Consumer Consumer Buyback programs ( www.hp.com/go/easybuyback)* QuickSpecs Technical Specifications Hewlett-Packard Corporate Environmental Information For more information about HP's commitment to the environment: Global Citizenship Report http://www.hp.com/hpinfo/globalcitizenship/gcreport/index.ht m l Environment website http://www.hp.com/environment * External power supplies, power cords, cables and peripherals are not Low Halogen. Service parts obtained after purchase may not be Low Halogen. Designation based on actions to reduce transportation-related emissions. SmartWay: US only. (14e) Free recycling in select countries. Program may not be available in your area. Check www.hp.com/go/recycling to see if HP offers free recycling in your area COUNTRY OF ORIGIN China QuickSpecs Options and Accessories (sold separately and availability may vary by country) Available until January 2015 Copyright © 2015 Hewlett-Packard Development Company, L.P. All rights reserved. All trademarks are the property of their respective owners. Android, Google, Google Play, Google logo and other marks are trademarks of Google Inc. Bluetooth is a registered trademark of its proprietor and used by Hewlett-Packard Company under license. DTS, DTS-HD, the Symbol, & DTS or DTS-HD and the Symbol together are registered trademarks of DTS, Inc. Citrix® is a registered trademarks of Citrix Systems, Inc. and/or one more of its subsidiaries, and may be registered in the United States Patent and Trademark Office and in other countries. All other product names mentioned herein may be trademarks of their respective companies. The information contained herein is subject to change without notice and is provided "as is" without warranty of any kind. The only warranties for HP products are set forth in the express limited warranty statements accompanying such products. Nothing herein should be construed as constituting an additional warranty. HP shall not be liable for technical or editorial errors or omissions contained herein.
2016 First Quarter Report The Funcom®* Group Funcom N.V. and subsidiaries SUMMARY - Revenues in 1Q16 are USD 2,048 thousand compared to USD 2,772 thousand in 1Q15 following a gradual and expected decrease in sales from the current Live Games. - The total Equity of the Company decreased from USD -9,561 thousand at the end of 4Q15 to USD -9,953 thousand at the end of 1Q16. - Earnings before Interest and Tax (EBIT) for 1Q16 are USD -660 thousand compared to USD -269 thousand in 1Q15. - Earnings before Interest, Tax, Depreciation and Amortization (EBITDA) for 1Q16 are USD 263 thousand compared to USD 487 thousand in 1Q15. - The cash position improved from USD 616 thousand at the end of 4Q15 to USD 1,014 thousand at the end of 1Q16. - The Park®* was released for the Xbox One and PlayStation 4 platforms on 3 May. Initial sales figures indicate higher sales on the console platforms than on PC. The project's non-revenue related goals that include developing new internal competencies were also met successfully. - The Live Games – The Secret World®, Anarchy Online® and Age of Conan™ – were the major contributors to the revenues. - The Company revealed details of the game Conan Exiles based on the Conan the Barbarian IP in 1Q16. Conan Exiles will be the new game in development in the Oslo studio and is now scheduled for "Early Access" release during late summer 2016. - In January 2016 KGJ Investment S.A. SICAV-SIF (KGJ Investments) has confirmed that it is willing to continue to support the Company by postponing the maturity of the USD 6,200 thousand convertible bond from December 2016 to December 2018. - In line with the Company's strategy, prototyping and concept development for new titles continued to be undertaken during Q1. - On 13 April 2016, KGJ Investments and the Company signed an agreement to combine the USD 3,950 thousand working capital loan and the USD 4,000 thousand convertible loan into a new convertible loan of USD 7,950 thousand with maturity date of 30 June 2019, interest rate of 6%, and conversion price of USD 0.18 per share. - On 19 April 2016, KGJ Investments transferred USD 500 thousand to the Company as a bridge loan with 5% interest payable at maturity. The maturity date is the earlier of 1 st July 2016 and two business days after Funcom receives proceeds from the planned equity issue. FINANCIALS - Revenues in 1Q16 are USD 2,048 thousand compared to USD 2,772 thousand in 1Q15 following a gradual and expected decrease in sales from the current Live Games. - The company continued its cost-saving efforts in 1Q16 and realized operating cost savings of USD 500 thousand in comparison to 1Q15. The Earnings before Interest, Tax, Depreciation and Amortization (EBITDA) for 1Q16 are USD 263 thousand compared to USD 487 thousand in 1Q15. - The loss for the period was USD -761 thousand compared to USD -144 thousand in 1Q15, and USD -2,059 thousand in 4Q15. - Earnings before Interest and Tax (EBIT) for 1Q16 were USD -660 thousand compared to USD -269 thousand in 1Q15. - The cash position improved from USD 616 thousand at the end of 4Q15 to USD 1,014 thousand at the end of 1Q16 mainly due to the settlement of trade receivables during 1Q16. - The total Equity of the Company decreased from USD -9,561 thousand at the end of 4Q15 to USD -9,953 thousand at the end of 1Q16 mainly due to the loss recorded during 1Q16. THE FUNCOM STRATEGY - As previously communicated in the 2Q 2015 report, the Company decided to shift strategy, focusing on different types of products and production cycles. This new strategy consists of: o Developing larger games, focused on genres or game types where we can create products of higher production value than the competition, using our own or 3 rd party IPs and drawing from the innovation and experimentation of the smaller products to lower the overall risk; o Developing small and innovative games, focused on trying new concepts, experimenting with new technology and platforms and utilizing our IPs, while keeping the investment level low; o Upgrading the Dreamworld Technology to integrate with third party technologies; o Leveraging and growing the internal Intellectual Properties such as Anarchy Online, The Longest Journey and The Secret World for both internal and 3 rd party licensing. - As part of this strategy, market segments and platforms will be constantly evaluated as the trends in the gaming industry change very quickly and new opportunities are emerging such as "eSports", "VR", "AR", among others. - The product development and release plan for this strategy is a minimum of one small game released per year and one larger game to be in development at all times per development studio. - Additionally, the company will keep developing and supporting the existing MMORPGs as they are an important source of revenue and drive the internal IPs. - The strategy is meant to reduce the overall risk exposure of the company, control costs through careful budgeting and increase the financial stability by having more revenue sources. - Both development studios are scheduled to have fully switched to this strategy by 2Q16. - The first "smaller" game to be released under this new strategy was The Park, released on 27 October 2015. The first "larger" game is Conan Exiles, expected to be released in "Early Access" during Late Summer 2016. - The above mentioned statements and objectives are forward looking and are subject to change along with industry trends. The Company strongly encourages all investors, analysts, press and others to investigate and analyze the gaming industry. The industry has drastically changed over the past few years. It is the Company's clear goal to align itself with the market, leverage its technology and know-how and adapt its portfolio of products to address the current as well as future needs. GAMES IN OPERATION - For The Secret World, the following activities were done in 1Q16: o Released Issue 14 "Call of the Nameless" that sent players on a brand new epic adventure with six new missions in Egypt. o Launched the new Membership Program that greatly increased the rewards for being a subscriber, including the new Loyalty Rewards program. o Released a new PvP map "Shambala". For the first time players can battle against their own faction in this brand new 10 versus 10 PvP scenario. o Introduced the Group Finder social feature, which allows players to be automatically paired with other adventurers as they face the most difficulty challenges in The Secret World. - For Age of Conan a new game director was announced. In addition we announced The Pitmaster's Arena, a new play field where players can compete against each other and their pets to claim brand new rewards. - For Anarchy Online we released a brand new adventure playfield "The Reck". The new area offers new daily missions aimed at adventurers between level 90 and 170. - Overall, Funcom's large scale MMOs continue to generate a positive net contribution to the business and investment levels are constantly reviewed and aligned with expected revenue to ensure that they will continue to contribute positively to the Company in the future. . For all our games the Company will continue to tweak and optimize the shop, membership offer and entry cost. - The Park was released for the Xbox One and PlayStation 4 platforms on 3 May and the project is now finished. Overall sales are in line with internal expectations, with the initial data from the Console launch indicating larger sales than on PC. The project's non-revenue related goals were also met successfully: - For LEGO Minifigures Online a new Series of Minifigures, Series 15, was launched at the end of December. The license agreement with LEGO for this game will expire on 1 st October 2016 and the Company has no current plans to renew it. o Adapting to short development cycles and small budgets to allow for quick experimentation; o Learning a new technology (Unreal Engine 4) and starting to integrate it to the Dreamworld Technology engine; o Generating high amounts of press and community attention without a marketing budget; o Leverage the assets and content from The Secret World to speed up development of other products; o Grow the value of The Secret World IP by creating more products connected to it. o Release a game on the current generation of Console platforms to learn about their development, marketing and publishing processes GAMES IN DEVELOPMENT - The Company is working on switching to the new strategy while developing and operating the Live games. - The Park was developed for Xbox One and PlayStation 4 and was released on May 3 rd , to both bring additional revenue and develop internal competencies related to console development. - Details around Conan Exiles was announced and will be the new game in development in the Funcom Oslo studio. The game will be a game set in the "Open World Survival" genre and will be released first on PC on the "Steam" store in "Early Access" during late summer 2016 with full launch on PC and Consoles to take place at a later stage. The game will be commercialized using a "premium" or "Buy-to-Play" business model, details of which will be revealed closer to the release date. This game is the first of the "larger" games identified in the Company Strategy and will represent an estimated investment life time of between 4 and 10 Million USD, adjustable based on the reception and sales performance of the game to be measured starting with the Early Access release. Other titles in this market segment and platform are games such as "Ark: Survival Evolved", "Rust" and "Reign of Kings", among several others. - Prototyping and concept development for new titles will be a continuous part of normal operations for the business. As previously communicated, the Company will develop two additional games of the "smaller" type during 2016 as outlined in the Company Strategy. One such game has passed internal prototyping and approval, being a small multiplayer game based on "The Secret World" IP designed to experiment and innovate in a small niche market and build the internal competency of the North Carolina team in Unreal Engine 4. This game is preliminarily scheduled for release on PC in Q4 2016 and due to their budget limitation and experimental focus is expected to have limited revenue impact. TECHNOLOGY - The Unreal Engine 4 is the first game engine being integrated with Dreamworld Technology. It allows content creators to use the advance toolchain of that engine while keeping the Dreamworld Technology unique systems such as multiplayer backend, deployment systems, workflow and productivity pipelines. - The Dreamworld Technology is being upgraded to take advantage of the strengths of 3 rd party engines, integrating these technologies with the existing modules and systems of the Dreamworld Technology. MISCELLANEOUS Transactions with related parties - In January 2016 KGJI has confirmed that it is willing to continue to support the Company by restructuring the USD 3,950 thousand working capital loan into the existing USD 4,000 thousand convertible loan, and by subsequently deferring the maturity of the convertible loan from 27 June 2017 to 30 June 2019. - KGJ Investments also confirmed that it is willing to postpone the maturity of the USD 6,200 thousand convertible bond from 15 December 2016 to 31 December 2018. Risk factors - For information regarding risk factors for the Company and its games, please refer to note 27 in the 2015 Annual Report (http://www.funcom.com/investors/funcom_n.v._pu blishes_its_2015_annual_financial_statements). - For evaluations of the risks related to LEGO Minifigures Online, The Secret World and other Funcom games, Funcom encourages investors to seek information about the industry in general and Funcom in specific from analyst reports, industry reports, game reviews, etc. - Several different financial scenarios should be evaluated when analyzing the potential of any existing or future games. The financial performance of new games and refined business models is uncertain. Outlook - The medium and long term financial performance of the Company is influenced by a number of factors; being especially the performance of the current Live Games and new products to be released in the future being the most important. - The trend of slowly declining revenues on the current Live Game portfolio is expected to continue as in previous quarters due to the ageing of the games. The Company will continue to support the current Live Games as long as they continue to contribute positively to the Company's results. - The Company revealed details of the game Conan Exiles based on the Conan the Barbarian IP in 1Q16. Conan Exiles will be the new game in development in the Oslo studio and is now scheduled for "Early Access" release during late summer 2016. - The Park is the first game following the new product strategy and it is meeting internal goals and expectations. - A new game of the "smaller" type based on "The Secret World" IP is preliminarily scheduled for release in Q4 and, being an experimental project, is not expected to have significant impact on the Company's revenues. - On 19 April 2016, KGJ Investments transferred USD 500 thousand to the Company as a bridge loan with 5% interest payable at maturity. The - On April 13, 2016, KGJ Investments and the Company signed an agreement to combine the USD 3,950 thousand working capital loan (maturity date 15 December 2016 and 8% interest rate) and the USD 4,000 thousand convertible loan (maturity date 27 June 2017, 5% interest rate and USD 0.86 conversion price) into a new convertible loan of USD 7,950 thousand with maturity date of 30 June 2019, interest rate of 6%, and conversion price of USD 0.18 per share. maturity date is the earlier of 1 st July 2016 and two business days after Funcom receives proceeds from the planned equity issue. - Based on its current revenue and cost projections, on the recent postponement of the maturity of its debts to 31 December 2018 and beyond, and on the financial instruments at the disposal of the Company including but not restricted to financing and equity issues, the Company expects to have the ability to fund its operations for the next twelve months after the end of 1Q16. - The Company is currently undergoing a process with the aim to raise USD 5 to 10 million through one of the existing mechanisms for share issuance and intends to use the raised capital for the development of Conan Exiles and the two other titles to be developed this year, as well as for the related marketing expenses. The Company will also continue to reduce its structural costs. Badhoevedorp, The Netherlands, 19 May 2016 The Management Board of Funcom N.V. - This report is also available at http://www.newsweb.no Investors are encouraged to seek information regarding the Company and the industry. - For more information about Funcom, its games and its organization, please see www.funcom.com - This report contains forward-looking statements. These statements are based on current estimates and projections of Funcom's management and currently available information. They are not guarantees of future performance, involve certain risks and uncertainties that are difficult to predict and are based upon assumptions as to future events that may not prove to be accurate. Many factors could cause the actual results, performance or achievements of Funcom to be materially different from those that may be expressed or implied by such statements. Such factors include inter alia those discussed in the Funcom's Annual Report 2015 note 27. * "Funcom", "The Secret World", "Anarchy Online", "The Park" and "Dreamworld Technology" are registered trademarks of Funcom Oslo AS. (Figures in TUSD) Revenue Operating expenses Earnings Before Interest, Tax, Depreciation and Amortization (EBITDA) Depreciation, amortization and impairment charges Total operating expenses Operating result ("EBIT") from continuing operations Share of result from equity-accounted entities Net financial items Profit (loss) before income taxes from continuing operations Income taxes Profit (loss) for the period Attributable to shareholders of Funcom N.V. Earnings per share basic (USD) Earnings per share fully diluted (USD) CONDENSED CONSOLIDATED STATEMENT OF COMPREHENSIVE INCOME Profit (loss) for the period Foreign exchange translation difference FUNCOM N.V. - FIRST QUARTER FINANCIALS OF 2016 PRELIMINARY, NOT AUDITED, FIGURES CONDENSED CONSOLIDATED PROFIT AND LOSS ACCOUNT First Quarter 2016 2015 2,048 -1,785 263 -923 -2,708 -660 -101 -761 -761 -761 -0.01 -0.01 -761 280 2,772 -2,285 487 -756 -3,041 -269 34 71 -164 19 -144 -144 0.00 0.00 -144 -715 Accumulated 2016 2015 2,048 -1,785 263 -923 -2,708 -660 -101 -761 -761 -761 -0.01 -0.01 -761 280 2,772 -2,285 487 -756 -3,041 -269 34 71 -164 19 -144 -144 0.00 0.00 -144 -715 Full Year 2015 10,238 -9,845 393 -6,571 -16,417 -6,179 -173 -478 -6,829 40 -6,789 -6,789 -0.07 -0.07 -6,789 -1,415 Total comprehensive income for the period -480 -860 -480 -860 -8,204 \| (Figures in TUSD) ASSETS Non-current assets \| 2016 2015 \| \|---\|---\| \| Deferred tax assets Intangible assets Tangible fixed assets \| \| \| Financial investments \| \| \| Current assets Trade receivables Prepayments and other assets Income tax receivable \| \| \| Cash and cash equivalents Total assets EQUITY AND LIABILITIES Equity Share capital Reserves Retained earnings Liabilities Deferred tax liabilities Long-term liabilities Deferred revenue Short-term loans and borrowings Other short term liabilities Total equity and liabilities \| \| CONDENSED CONSOLIDATED STATEMENT OF CASH FLOWS First Quarter 2016 2015 -761 923 88 -186 1,196 1,261 -1,358 -1,358 -98 616 496 1,014 Period ended 31 March 2016 2015 -761 923 88 -186 1,196 1,261 -1,358 -1,358 -98 616 496 1,014 31 March 2016 -9,561 -480 88 -9,953 -164 756 280 -34 -480 -312 46 -1,076 -122 -1,198 -1,152 3,705 -101 2,452 2015 -2,756 -860 280 -3,336 Full Year 2015 -6,829 6,571 814 173 442 466 1,637 -3,412 11 -3,401 411 -23 388 -1,376 3,705 -1,714 616 Full Year 2015 -2,756 -8,204 411 173 814 -9,561 (Figures in TUSD) Cash flow from operating activities Profit (loss) before income tax Adjustments for: Depreciation, amortization and impairment Share-based payments Share of result from equity-accounted entities Effect of exchange rate fluctuations Changes in working capital Net cash from operating activities Cash flow from investing activities Purchase of equipment and investment in intangible assets Investment in/loan to (from) equity-accounted entities Net cash from investing activities Cash flow from financing activities Net proceeds from issue of share capital Proceeds / repayments from (of) borrowings and leases Net cash from financing activities Change in cash and cash equivalents Cash and cash equivalents, beginning of period Effect of exchange rate fluctuations Cash and cash equivalents, end of period CONDENSED CONSOLIDATED STATEMENT OF CHANGES IN EQUITY (Figures in TUSD) Opening balance Total comprehensive income for the period Equity issues Granting of warrants Conversion rights reserve Share-based payments Closing balance -164 756 280 -34 -480 -312 46 -1,076 -122 -1,198 -1,152 3,705 -101 2,452 NOTES TO THE INTERIM REPORT 1 Corporate information Funcom N.V. is a limited company registered in The Netherlands, and the shares are publicly traded on the Oslo Stock exchange under the ticker "FUNCOM". The principal activity of the Company is to develop, market and carry on business in computer games in the broadest sense. The unaudited interim condensed consolidated financial statements for the Company for the three months ended 31 March 2016 were approved for issue by the Supervisory Board on 18 May 2016. 2 Basis for preparation and selected significant accounting policies The financial result of the Company in 1Q16 reports slightly declining revenues from existing games and decreased operating costs due to internal cost-saving measures. There were no pervasive or material changes in 1Q16 that could negatively impact the management's assumptions behind the forecasted financial performance of the Company. The funding of the operations for a period of at least one year after the date of this quarterly report is realistic and achievable. Therefore management is of the opinion that the going concern assumption is justified and consequently the unaudited interim condensed consolidated financial statements of the Company for the three months ended 31 March 2016 have been prepared on a going concern basis. Notwithstanding the above, the Management Board of the Company emphasizes that the above assessments indicate the existence of material uncertainty with regards to the performance of the games and the outcome of the current strategic review of the Company. Therefore, the actual performance of the Company may deviate significantly from the projections which may cast significant doubt on the entity's ability to continue as a going concern. The unaudited interim condensed consolidated financial statements of the Company for the three months ended 31 March 2016 have been prepared in accordance with IAS 34. The latter means that these interim financial statements do not include all information and disclosures required in annual financial statements but only selected significant information. The principles applied are consistent with those used in the 2015 annual report. The Group has as of 1 January 2016 adopted the mandatory revised standards, amendments to existing standards and interpretations as adopted by the EU, applicable for this quarter. Their adoption has not had any significant impact on the amounts reported in this interim report but may affect the accounting for future transactions or arrangements. Management has not yet completed the evaluation of the impact on the financial statements of standards issued but which have an adoption date on 1 January 2017 or later. All amounts are in USD thousand unless stated otherwise. There may be some minor rounding differences or the total may deviate from the total of the individual amounts. This is due to the rounding to whole thousands of individual amounts. 2.1 Basis of consolidation The Company's Interim consolidated financial statements comprise of Funcom N.V. and companies in which Funcom N.V. has a controlling interest. 2.2 Intangible assets Intangible assets are recognized in the balance sheet if it can be proven that there are probable future economic benefits that can be attributed to the assets which are owned by the Company, and the assets' cost price can be reliably estimated. Intangible assets are initially recognized at their cost price and subsequently measured using the cost method (i.e. historical cost less accumulated amortization and accumulated impairment losses). A review to assess whether there are indicators of impairment is undertaken at the end of each reporting period. In addition, intangible assets not yet available for use are tested for impairment annually. 2.3 Equity Transaction costs relating to equity transactions are recognized directly in equity after deducting tax. 2.4 Deferred revenues Revenues from subscriptions are recognized over the subscription period which is from the date of subscription purchase until subscription end, normally 1 – 12 months. In-game items are items that can be purchased on-line from in-game stores or are awarded as incentive or compensation. Revenue from sales of in-game items is recognized at the time of sale. Revenues from the sales of game software, whether delivered via packaged goods (boxes) or via the Internet (game download) are recognized on a straight-line basis over the estimated customer life. The company enters into multiple-element revenue arrangements where it provides combinations of game software and subscription or subscription and ingame items. The Company accounts for revenues from each item separately following the revenue recognition policies above. Up-front payments for subscriptions and other up-front revenues are recognized in the statement of financial position as a liability. 3 Operating revenues The revenues mainly consist of sales of game software, subscriptions, in-game items and royalties. 4 Operating expenses Personnel cost, marketing, office rent and games operating cost are main elements of the operating expenses. 5 Depreciation, amortization and impairment charges The Company amortizes investment in the development of technology and game assets on a systematic basis over their useful life which normally does not exceed five years. The company applies the diminishing balance amortization method which reflects the pattern of consumption of the future economic benefits. If that pattern cannot be determined reliably the company uses the straight-line method. 6 Net financial items Net financial items mainly consist of interest earned, exchange rate differences, and interest incurred on loans. 7 Taxes In accordance with IAS 12, it is Funcom's assessment that no deferred tax asset can be recognized in the consolidated statement of financial position for the available tax losses carried forward. The accumulated unrecognized tax losses are primarily denominated in United States Dollars and in Swiss Francs. 8 Financial investments Financial investments consist of long term receivables. 9 Liabilities Long-term liabilities consist of USD 3,478 thousand convertible loan and USD 52 thousand rental deposits for the sublet of office space. The convertible loan was issued on 26 August 2014 after conversion from USD 2,450 thousand interest bearing loan and USD 1,550 thousand working capital loan. The convertible loan has 5% annual interest rate with maturity on 27 June 2017. The conversion price is 0.86 USD per share. As of 31 March 2016 the loan has a carrying amount of USD 3,478 thousand and an actual balance due of USD 4,000 thousand. Short-term liabilities consist of USD 6,200 thousand convertible bond and USD 3,950 thousand working capital loan. As of 31 March 2016 sixty two bonds issued on 22 December 2011 are still outstanding. These bonds have a face value of USD 100 thousand (total USD 6,200 thousand), 5% coupon and are due on 15 December 2016. They are convertible into common shares of Funcom N.V. at a price of 0.24 USD per share. The interest is payable at maturity or conversion in either cash or Funcom shares at the discretion of the bondholder. As of 31 March 2016 the bonds have a carrying amount of USD 6,200 thousand and an actual balance due of USD 6,200 thousand. In November 2013 the Company negotiated a working capital loan with KGJI with 8 percent annual interest rate and initial maturity in January 2015. As of 31 March 2016 the working capital loan has a balance of USD 3,950 thousand, and the reimbursement due date is 15 December 2016. The carrying value of the interest-bearing debt at the end of 1Q16 amounts to approximately USD 13,628 thousand. 10 Cash flows A significant part of Funcom's cash and cash equivalents are denominated in Norwegian kroner and in Euro. The Company's NOK and EUR cash holdings are a natural hedge against the expectedly large proportion of future operating expenses arising in NOK and EUR. 11 Average number of shares Average number of shares First quarter 2016 2015 92,208 90,445 Three months 2016 2015 92,208 90,445 12 Other comprehensive income In accordance with IAS 21, the Company reported in 1Q16 under the 'Other comprehensive income' a foreign exchange gain amounting to USD 280 thousand mainly related to the reconciliation of intercompany balances in foreign currencies and to the translation of foreign operations into the reporting currency. 13 Equity The equity of the Company declined from USD -9,561 thousand at the end of 4Q15 to USD 9,953 thousand at the end of 1Q16. It is considered that the revenue potential of the current and future games as well as the continuation of the cost-saving measures that started in 4Q12 will improve the profitability of the Company and will lead to a future increase of the equity position. The company also evaluates various strategic options which could also lead to an increase of equity. 14 Segments IFRS 8 requires operating segments to be identified on the basis of internal reports about components of the Group that are regularly reviewed by the chief operating decision maker in order to allocate resources to the segment and to assess its performance. The reportable operating segments of the group are defined as: - Online games - like The Secret World and Age of Conan - Offline games - like The Park, Dreamfall and The Longest Journey Segment information ) Segment profit (loss) is measured as revenue earned less personnel costs and other operating costs. General and administrative costs, depreciation, amortization, impairment charges, financial items and income tax are not allocated to the segments. ) Other activities refer to Funcom Games Canada subleasing activities. Segment profit (loss) is measured as revenue earned less original rental expenses. Online games Offline games Segment assets as at 31 March 2015 7,257 Segment assets as at 31 March 2016 4,774 Segment assets only include the book value of the games. No other assets are allocated to the segments. 15 Subsequent events On 13 April 2016, KGJ Investments and the Company signed an agreement to combine the USD 3,950 thousand working capital loan (maturity date 15 December 2016 and 8% interest rate) and the USD 4,000 thousand convertible loan (maturity date 27 June 2017, 5% interest rate and USD 0.86 conversion price) into a new convertible loan of USD 7,950 thousand with maturity date of 30 June 2019, interest rate of 6%, and conversion price of USD 0.18 per share. On 19 April 2016, KGJ Investments transferred USD 500 thousand to the Company as a bridge loan with 5% interest payable at maturity. The maturity date is the earlier of 1 st July 2016 and two business days after Funcom receives proceeds from the planned equity issue. The Company is currently undergoing a process with the aim to raise USD 5 to 10 million through one of the existing mechanisms for share issuance and intends to use the raised capital for the development of Conan Exiles and the two other titles to be developed this year, and for the related marketing expenses. The Company will also undertake any change required in order to reduce its structural costs.
A fine vintage Around the country those in the wine industry are starting to feel a bit more optimistic than they have in recent years. Part of the improvement has been thanks to favourable conditions for this year's harvest. In Marlborough many growers have reportedly managed to get a decent chunk of the harvest in before recent rain, while in the Hawke's Bay growers have largely completed a successful harvest in favourable weather conditions. And there are high hopes that 2014 will prove to be a high quality vintage thanks to favourable growing conditions through summer and into early autumn. But a more buoyant mood in the sector is not all just down to the weather. Conditions in New Zealand's key wine export markets are also gradually improving. Australia is New Zealand's top destination for wine exports (by value) followed by United States, United Kingdom, and Canada. The US and the UK in particular were hit hard by the global financial crisis, with the labour market conditions deteriorating rapidly and consumers responding with a sharp fall in spending. However, conditions have improved over the last few years. And while the repair job on the US and UK economies is by no means complete, unemployment rates have been falling and this should translate to stronger income growth and support further gradual improvement in spending. However, like other New Zealand exporters, major potential growth opportunities for those in the wine sector probably lie outside traditional markets. For example, New Zealand's wine exports to China have also grown very strongly over the last few years, albeit off a very low base. Internationally, China has become an increasingly important market for red wine in particular in recent years. And while it is still early days, we've seen with other food products what income growth, changing tastes and preferences, and westernisation of diets can do. Chinese consumers can quickly become an important source of international demand. A stronger backdrop for demand has probably buoyed confidence, and been one factor helping improve profitability in the sector. The 2013 annual financial benchmarking survey (conducted by Deloitte and New Zealand Winegrowers) showed improved profitability amongst wineries of most sizes (with the exception of the $1.5m-$5m category). That said there remained significant differences in profitability of smaller and larger wineries, with smaller wineries finding it more difficult to generate a decent return (with the 0-$1.5m category still reporting losses in the 2013 survey). Of course while conditions for wine growers are improving, challenges remain. Like other non-commodity exporters those in the wine industry are facing stiff headwinds from the high New Zealand dollar. We think this could remain the case for some time yet. Our own forecasts have the NZD easing a little from today's levels but remaining above the 83c against the USD (on average) this year and next. Interest rates are also forecast to rise substantially over the next few years. And New Zealand exporters will always face stiff competition in international markets. In particular competition from Chilean producers has been has been notable. Yet despite such challenges, it appears as if after a number of difficult years, the sector has grounds for its cautiously optimistic outlook. NZ Wine Exports $ Billions GlobalDairyTrade Auction Results, 16 April \| \| Change since last auction \| Price USD/Tonne \| \|---\|---\|---\| \| Anhydrous Milk Fat (AMF) \| 0.6% \| $4,086 \| \| Butter Milk Power (BMP) \| -8.6% \| $4,075 \| \| Butter \| -4.9% \| $3,832 \| \| Skim Milk Powder (SMP) \| -4.4% \| $3,969 \| \| Whole Milk Powder (WMP) \| -1.6% \| $3,990 \| \| Cheddar \| -3.3% \| $4,273 \| \| GDT Price Index \| -2.6% \| \| Payout Forecast Table \| \| 2013/14 \| \| 2014/15 \| \|---\|---\|---\|---\| \| \| Fonterra \| Westpac \| Westpac \| \| Milk Price \| $8.65 \| $8.65 \| $7.10 \| Anne Boniface Senior Economist Beyond the farm gate Dairy Lamb Dairy prices eased a little further in last night's GlobalDairyTrade auction, but registered a much smaller fall than in recent events. The trade weighted index was down 2.6%, with this measure now down 20% below its early February levels. Within this, there was a 4.9% fall in butter prices, a 4.4% fall in SMP prices and a more modest 1.6% fall in WMP prices. These developments are consistent with our view that increased supply (in New Zealand) and some seasonality around Chinese demand for dairy products have been key reasons for softer dairy prices. Indeed we could see prices soften a little further over the next few months, but we expect a bit of a rebound later in 2014. We see WMP prices averaging around $US4000/tonne over the 2014/15 season. Forestry Log prices remained at record highs in March, thanks in large part to strong demand from China. There are however now reports of growing Chinese inventories. While this is yet to be reflected in prices, there is the potential for higher inventories to weigh on prices over the next few months. A pickup in building activity is also supporting domestic demand for timbre. Excluding the volatile apartment category, residential building consent issuance rose to its highest level in 6 years in February, and continues to be driven by a pickup Auckland and Canterbury. We expect building activity to strengthen further from here. NB: Trend arrows indicate direction of change in world prices. International lamb prices have continued to move higher over the last couple of months. We think that with supplies still relatively tight in both Australia and New Zealand, and demand conditions improving in some key traditional markets such as the UK, prices could still increase further over the coming months. Demand from less traditional, but increasingly important markets such as China also appears solid. Internationally, NZ and Australia two dominant global exporters of lamb, however New Zealand has distinct trade advantages when it comes to exporting to China and the EU. New Zealand's Free Trade Agreement with China means New Zealand lamb exporters face much lower tariffs than their Australian counterparts, while New Zealand's tariff-free quota for exports to the EU is much larger than Australia's. 1997 1998 1999 2001 2002 2004 2005 2006 2008 2009 2011 2012 2014 Beef \| \| Current price level compared to 10 year average \| Next 6 months \| \|---\|---\|---\| \| Trend \| Above Average \| \| International beef prices have eased a touch, but remain at a high level. Global supplies remain tight (especially in the US), and this should continue to support international prices for some time yet. Australia (an important international beef exporter) has recently signed free trade agreements with South Korea and most recently Japan, both important destinations for Australian (and New Zealand) beef exports. While New Zealand is in the process of negotiating an agreement with Korea (and of course is involved in TPP negotiations) Australia's successful negotiations will undoubtedly help give Australian producers a leg up in these markets. For New Zealand perhaps the only silver lining would be potential opportunities in other regions if an increasing proportion of Australian product is destined for Korea and Japan. Westpac economics team contact details Dominick Stephens, Chief Economist +64 9 336 5671 Michael Gordon, Senior Economist +64 9 336 5670 Felix Delbrück, Senior Economist +64 9 336 5668 Anne Boniface, Senior Economist +64 9 336 5669 Any questions email: firstname.lastname@example.org For email address changes contact: email@example.com Disclaimer Things you should know: Each time someone visits our site, data is captured so that we can accurately evaluate the quality of our content and make improvements for you. We may at times use technology to capture data about you to help us to better understand you and your needs, including potentially for the purposes of assessing your individual reading habits and interests to allow us to provide suggestions regarding other reading material which may be suitable for you. If you are located in Australia, this material and access to this website is provided to you solely for your own use and in your own capacity as a wholesale client of Westpac Institutional Bank being a division of Westpac Banking Corporation ABN 33 007 457 141 AFSL 233714 ('Westpac'). If you are located outside of Australia, this material and access to this website is provided to you as outlined below. This material and this website contain general commentary only and does not constitute investment advice. Certain types of transactions, including those involving futures, options and high yield securities give rise to substantial risk and are not suitable for all investors. We recommend that you seek your own independent legal or financial advice before proceeding with any investment decision. This information has been prepared without taking account of your objectives, financial situation or needs. This material and this website may contain material provided by third parties. While such material is published with the necessary permission none of Westpac or its related entities accepts any responsibility for the accuracy or completeness of any such material. Although we have made every effort to ensure the information is free from error, none of Westpac or its related entities warrants the accuracy, adequacy or completeness of the information, or otherwise endorses it in any way. Except where contrary to law, Westpac and its related entities intend by this notice to exclude liability for the information. The information is subject to change without notice and none of Westpac or its related entities is under any obligation to update the information or correct any inaccuracy which may become apparent at a later date. The information contained in this material and this website does not constitute an offer, a solicitation of an offer, or an inducement to subscribe for, purchase or sell any financial instrument or to enter a legally binding contract. Past performance is not a reliable indicator of future performance. The forecasts given in this material and this website are predictive in character. Whilst every effort has been taken to ensure that the assumptions on which the forecasts are based are reasonable, the forecasts may be affected by incorrect assumptions or by known or unknown risks and uncertainties. The ultimate outcomes may differ substantially from these forecasts. Transactions involving carbon give rise to substantial risk (including regulatory risk) and are not suitable for all investors. We recommend that you seek your own independent legal or financial advice before proceeding with any investment decision. This information has been prepared without taking account of your objectives, financial situation or needs. Statements setting out a concise description of the characteristics of carbon units, Australian carbon credit units and eligible international emissions units (respectively) are available at www.cleanenergyregulator.gov.au as mentioned in section 202 of the Clean Energy Act 2011, section 162 of the Carbon Credits (Carbon Farming Initiative) Act 2011 and section 61 of the Australian National Registry of Emissions Units Act 2011. You should consider each such statement in deciding whether to acquire, or to continue to hold, any carbon unit, Australian carbon credit unit or eligible international emissions unit. Additional information if you are located outside of Australia New Zealand: The current disclosure statement for the New Zealand division of Westpac Banking Corporation ABN 33 007 457 141 or Westpac New Zealand Limited can be obtained at the internet address www.westpac.co.nz. Westpac Institutional Bank products and services are provided by either Westpac Banking Corporation ABN 33 007 457 141 incorporated in Australia (New Zealand division) or Westpac New Zealand Limited. For further information please refer to the Product Disclosure Statement (available from your Relationship Manager) for any product for which a Product Disclosure Statement is required, or applicable customer agreement. Download the Westpac NZ QFE Group Financial Advisers Act 2008 Disclosure Statement at www.westpac.co.nz. China, Hong Kong, Singapore and India: Westpac Singapore Branch holds a wholesale banking licence and is subject to supervision by the Monetary Authority of Singapore. Westpac Hong Kong Branch holds a banking license and is subject to supervision by the Hong Kong Monetary Authority. Westpac Hong Kong branch also holds a license issued by the Hong Kong Securities and Futures Commission (SFC) for Type 1 and Type 4 regulated activity. Disclaimer continued Westpac Shanghai and Beijing Branches hold banking licenses and are subject to supervision by the China Banking Regulatory Commission (CBRC). Westpac Mumbai Branch holds a banking license from Reserve Bank of India (RBI) and subject to regulation and supervision by the RBI. U.K.: Westpac Banking Corporation is registered in England as a branch (branch number BR000106), and is authorised and regulated by the Australian Prudential Regulatory Authority in Australia. WBC is authorised in the United Kingdom by the Prudential Regulation Authority. WBC is subject to regulation by the Financial Conduct Authority and limited regulation by the Prudential Regulation Authority in the United Kingdom. Details about the extent of our regulation by the Prudential Regulation Authority are available from us on request. Westpac Europe Limited is a company registered in England (number 05660023) and is authorised by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and the Prudential Regulation Authority. This material and this website and any information contained therein is directed at a) persons who have professional experience in matters relating to investments falling within Article 19(1) of the Financial Services Act 2000 (Financial Promotion) Order 2005 or (b) high net worth entities, and other persons to whom it may otherwise be lawfully communicated, falling within Article 49(1) of the Order (all such persons together being referred to as "relevant persons"). The investments to which this material and this website relates are only available to and any invitation, offer or agreement to subscribe, purchase or otherwise acquire such investments will be engaged in only with, relevant persons. Any person who is not a relevant person should not act or rely upon this material and this website or any of its contents. In the same way, the information contained in this material and this website is intended for "eligible counterparties" and "professional clients" as defined by the rules of the Financial Services Authority and is not intended for "retail clients". With this in mind, Westpac expressly prohibits you from passing on the information in this material and this website to any third party. In particular this material and this website, website content and, in each case, any copies thereof may not be taken, transmitted or distributed, directly or indirectly into any restricted jurisdiction. U.S.: Westpac operates in the United States of America as a federally licensed branch, regulated by the Office of the Comptroller of the Currency. Westpac is also registered with the US Commodity Futures Trading Commission ("CFTC") as a Swap Dealer, but is neither registered as, or affiliated with, a Futures Commission Merchant registered with the US CFTC. Westpac Capital Markets, LLC ('WCM'), a wholly-owned subsidiary of Westpac, is a broker-dealer registered under the U.S. Securities Exchange Act of 1934 ('the Exchange Act') and member of the Financial Industry Regulatory Authority ('FINRA'). This communication is provided for distribution to U.S. institutional investors in reliance on the exemption from registration provided by Rule 15a-6 under the Exchange Act and is not subject to all of the independence and disclosure standards applicable to debt research reports prepared for retail investors in the United States. WCM is the U.S. distributor of this communication and accepts responsibility for the contents of this communication. If you would like to speak to someone regarding any security mentioned herein, please contact WCM on +1 212 389 1269. All disclaimers set out with respect to Westpac apply equally to WCM. Investing in any non-U.S. securities or related financial instruments mentioned in this communication may present certain risks. The securities of non-U.S. issuers may not be registered with, or be subject to the regulations of, the SEC in the United States. Information on such non-U.S. securities or related financial instruments may be limited. Non-U.S. companies may not be subject to audit and reporting standards and regulatory requirements comparable to those in effect in the United States. The value of any investment or income from any securities or related derivative instruments denominated in a currency other than U.S. dollars is subject to exchange rate fluctuations that may have a positive or adverse effect on the value of or income from such securities or related derivative instruments. The author of this communication is employed by Westpac and is not registered or qualified as a research analyst, representative, or associated person under the rules of FINRA, any other U.S. self-regulatory organisation, or the laws, rules or regulations of any State. Unless otherwise specifically stated, the views expressed herein are solely those of the author and may differ from the information, views or analysis expressed by Westpac and/or its affiliates. For the purposes of Regulation AC only: Each analyst whose name appears in this report certifies that (1) the views expressed in this report accurately reflect the personal views of the analyst about any and all of the subject companies and their securities and (2) no part of the compensation of the analyst was, is, or will be, directly or indirectly related to the specific views or recommendations in this report.
SpineJet TM HydroSurgery System Product Manual Manufactured by: HydroCision, Inc. 22 Linnell Circle Billerica, Massachusetts 01821 USA (978) 474-9300 EU Representative: Joimax GmbH Raumfabrik 33a Amalienbadstrasse 76227 Karlsruhe, Germany +49 (0) 721 255 140 CONTENTS PRESCRIPTION INFORMATION Device Indications The HydroCision SpineJet System is indicated for orthopedic surgical procedures where the cutting and removal of soft tissue and the ablation and removal of hard tissue or bone is required. Specific functions include cutting, ablation and shaping of soft tissue, and decorticating and smoothing of bone, cartilage and other bone related tissue in a variety of surgical procedures including open and minimally invasive spinal surgeries. Warnings 1. The HydroCision SpineJet Disposable Assembly should not be activated in close proximity to, or come into contact with, the spinal cord, nerve roots, or major blood vessels to avoid the possibility of injury or damage from the Fluidjet cutting action, locally generated vacuum, or device edges or tip. 2. Do not touch the SpineJet handpiece assembly tip while activated. 3. Do not insert or withdraw the SpineJet handpiece assembly while activated. 4. Inadvertent activation or movement of the SpineJet handpiece assembly outside the field of vision or without adequate assurance of device placement via fluoroscopy or an alternate imaging technology may result in patient injury. Two depth markings are provided on the Curette instruments near the tip to assist in device placement: the narrow band marking serves as a visual warning to turn off the device prior to removal outside the annulotomy; the wide band marking serves as a 3-4 cm depth indicator to use caution and avoid unintended puncture of the annulus. 5. Do not reuse any system component or accessory labeled as SINGLE USE. 6. Attempts to bend the SpineJet handpiece assembly may render the tool unusable or unsafe. Precautions 1. A thorough understanding of the principles and techniques involved in spinal surgeries is essential to avoid injury to the patient and medical personnel, and damage to the device or other medical instruments. 2. Read all instructions carefully. Failure to properly follow instructions may lead to electrical, mechanical, or thermal injury and cause improper functioning of the device. 3. SpineJet Disposable Handpiece and Quick Connector packaging is supplied sterile. If the package is opened or damaged the sterility of the handpiece will be compromised. 4. Ensure complete connection of SpineJet Disposable Handpieces to the Quick Connector and connection of the Quick Connector to the power console and fluid supply prior to use. 5. The SpineJet handpiece should be inserted, manipulated, and withdrawn carefully from the operative site to avoid possible damage to the device and/or injury to the patient or surgical personnel. 6. Ensure complete connection of SpineJet Handpiece to the power console, fluid supply and waste container prior to use. 7. Particular precaution should be made to avoid unintended puncture of the annulus. 8. Use of the higher settings on the device console will lead to more aggressive tissue removal. Use caution near sensitive tissues, such as neurovascular bundles and blood vessels. 9. It is recommended that the SpineJet handpiece be used on console setting #10 for nucleus, annulus, and endplate cartilage removal. 10. To prevent clogging of the device tip, avoid applying excessive force with the cutting edge of the device that would release cartilage fragments larger than the device's evacuation tube opening. 11. This device can cut soft tissue. Rx Only PRODUCT DESCRIPTION Overview of the SpineJet TM HydroSurgery System The SpineJet product line is the first family of fluidjet product designed specifically for spine surgery. HydroCision products harness the power of water to safely and precisely cut and evacuate tissue within the disc space. The power console pressurizes sterile fluid from a standard 3-liter irrigant supply bag. The pressurized fluid is transported to the disposable handpiece and exits the distal tip as a high-velocity fluidjet. The fluidjet crosses a short gap and is collected in the evacuation tube. Tissue directed into the gap is excised and drawn into the evacuation tube along with the fluidjet. The evacuation tube connects to a standard waste container. Disposable handpiece distal tips may be configured to incorporate mechanical cutting features. Speed Display Power Switch User Interface Foot pedal plug receptacle System Components The SpineJet TM HydroSurgery System contains four basic components: the Disposable Quick Connector, the Disposable Handpiece, the Power Console, and the Foot Switch. The Quick Connector consists of the connect itself, a Pump Cartridge, and hoses. The Pump Cartridge mounts into the user interface located on the front of the Power Console; this connection provides power to the Disposable Handpiece. The Foot Switch provides remote actuation of the Power Console. The system is designed to work with any Disposable SpineJet Handpiece. Power Console (P/N 52700) Front Panel The Power Switch is on the lower left corner of the front panel. When the system is not in use, this switch should be in the off (0) position. The foot switch receptacle receives the cable connector from the external foot switch to allow remote operation of the system. The Foot Switch is the only means of actuating the device. It allows for direct surgeon control over console activation. The digital display, located to the left of the up and down-speed control arrows on the center of the panel, defaults to speed level 1, the lowest speed level for the system. The up and down arrows that are immediately adjacent to the digital display can be used to increase or decrease the speed respectively. Three indicator lights are located to the left of the digital display. Rear Panel Voltage Switch Ground test lug The Power Cord Receptacle and Power Cord utilized for connection to the electrical supply. Disposable Quick Connector with Pump Cartridge and Quick Connect The Disposable Quick Connector consists of two main components: the Connector and Pump Cartridge to pressurize the fluid. In addition to these main components, there are three hoses pre-assembled and included in the system. A bag spike hose allows the fluid from a sterile saline bag to enter the pump cartridge. A high-pressure hose then carries the pressurized fluid from the cartridge to the handpiece via the Quick Connect. The waste hose carries the saline solution and any material collected at the instrument tip from the handpiece to an appropriate waste container. The Connector consists of a small diameter high-pressure tube, and a larger evacuation tube. The Quick Connect is the point of connection for all SpineJet Disposable Handpieces. The Disposable Quick Connector controls the flow of sterile saline from the fluid supply bag through the pump cartridge, where it is pressurized, and then directed to the Disposable Handpiece for use at the surgical site. It also ensures removal of tissue debris from the instrument tip into an appropriate waste container. Foot Switch with Connector (P/N 51537) The Foot Switch is connected to the Power Console through the receptacle located under the front panel. It allows the surgeon to activate the instrument while working in the sterile surgical field. A missing or poorly connected Foot Switch is indicated when the "pedal" light is illuminated. Power Cord (P/N 51507) Domestic The Power Cord provides electrical power to the console from a wall socket. SYSTEM SPECIFICATIONS CAUTION Only HydroCision approved equipment should be connected to this device. CONSOLE (P/N 52700) FRONT PANEL: Illuminated Power Switch, On/Off (1/0) Foot Switch Receptacle Speed Control for levels 1 through 10 Amber "Door" indicator Light Amber "Pedal" indicator Light Red "Error" indicator Light REAR PANEL: Power Cord Receptacle Input Voltage Selector Switch (115/230) Ground Plug POWER CONSOLE: AC Power: Detachable cord with a three-pin Hospital Grade connector SIZE: 18" W x 13" D x 8" H (45.7 cm W x 33.0 cm D x 20.3 cm H) 28 pounds (12.7 kg) WEIGHT: POWER: 100-120 / 200-240 V ~ 6A / 3A 50/60 Hz FOOT SWITCH (P/N 51537) Size: 3" W x 9" D x 2.5" H (7.6 cm W x 22.9 cm D x 6.4 cm H Weight: 3 pounds (1.12 kg) POWER CORD (P/N 51507) Length: 15 feet (4.6 meters) DISPOSABLE HANDPIECE ENVIRONMENTAL CONDITIONS Unless otherwise stated, the following conditions apply for product use as well as shipping and handling: Temperature Range (Shipping & Handling): -40°F (-40°C) to 125°F (52°C) Temperature Range (Product Use): 40°F (4°C) to 100°F (38°C) Humidity Range: 0% to 100%, noncondensing Atmospheric Pressure: 500 to 1500 millibar POWER CONSOLE ENVIRONMENTAL CONDITIONS Unless otherwise stated, the following conditions apply for product use as well as shipping and handling: Temperature Range (Shipping & Handling): -4°F (-20°C) to 131° F (55°C) Temperature Range (Product Use): 40°F (4°C) to 100°F (38°C) Humidity Range: 0% to 100%, noncondensing Atmospheric Pressure: 500 to 1500 millibar ELECTROMAGNETIC INTERFERENCE RISK The power console meets the requirements of IEC 60601-1-2 (2001-09) SYSTEM SET-UP This section provides the procedures for assembling and testing the SpineJet TM HydroSurgery System. Set-up of the Console 1. Connect the Foot Switch Cord to the receptacle on the front of the Power Console. 2. Connect the Power Cord to the back of the console and to a 20 amp outlet. 3. Turn the Console on by pressing the Illuminated Power Switch located on the Front Panel. Set-up of the Quick Connector and Disposable Handpiece Note: The instructions below are illustrative, refer to the Instructions For Use accompanying disposable products for specific applicable operation details. 1. Circulating Nurse: Ensure that the sealed package is undamaged. Using sterile technique, carefully open the product outer package and present contents to sterile field personnel. 2. Scrub Nurse or Surgeon: Open inner pouch or lid. If present, carefully remove the two tape strips by pulling on the tabs, and release the product. If present, remove the plastic guard from the distal tip of the handpiece. Examine the handpiece assembly and Quick Connector; do not use if damaged. 3. Attach the selected SpineJet handpiece to the Quick Connector by aligning the alignment features on the handpiece handle with corresponding features on the Quick Connector and sliding them into place until the locking tabs click indicating the correct attachment. Do not force the connection. 4. Scrub Nurse or Surgeon: Clip the high-pressure hose/waste hose to the sterile drape. 5. Scrub Nurse or Surgeon: Pass the pump cartridge, high-pressure hose/waste hose, and coiled supply hose with bag spike to the Circulating Nurse. 6. Circulating Nurse: Open the Console nest by turning the knob to the right. Insert the pump cartridge into the nest by pushing the cartridge in until it is fully seated, and close the nest by turning the knob to the left. Attach the waste hose connector to a waste collection container – connection of the waste collection container to a vacuum source is not required and will create continuous suction at the device tip and affect device performance. Remove the sterile cover from the bag spike and insert into an irrigant supply bag. A 3 liter bag is recommended. Ensure that there are no kinks or external obstructions in the supply, high pressure, or waste hoses. 7. Circulating Nurse: Ensure that the foot switch is plugged into the connector on the front of the console and the power cord is plugged into the back of the console. Plug the power cord into a proper electrical outlet. Turn on the main power switch and check that the power switch is illuminated. 8. Nursing Staff: Once the system has been primed with saline, do not allow the saline bag to empty; an empty bag will allow air into the system and reduce the system's efficiency. Therefore, always change to a new saline bag before the bag in use empties. Take care when switching bags to prevent air from entering system by closing off the supply hose with the pinch clamp. A 3-liter irrigant supply bag will avoid encountering priming difficulties. 9. a) If the device tip becomes blocked with foreign matter, it will typically be noticed by a reduction in device efficiency or the presence of spray from the tip; b) Stop the jet flow by releasing the foot switch; c) Remove the handpiece from the surgical site using care not to come into contact with vital structures; d) Remove the obstruction with forceps taking care not to touch the opening in the high-pressure jet. Once removed, depress the foot switch and check that there is a single coherent jet flow. If the obstruction is not completely removed, repeat procedure. 10. To Change Tools a. Depress the two locking tabs at opposite sides on the proximal end of the tool (near the Quick Connector interface) and gently remove the tool from the Quick Connector while keeping the tabs depressed. b. Insert the next desired tool as above. 11. After completing the procedure, disconnect the SpineJet Disposable Assembly from the Power Console by turning the nest knob to the right and removing the pump cartridge by pulling it straight out. AFTER SURGERY The SpineJet handpiece assembly, Quick Connector, Saline Bag, and waste receptacle collection container may be discarded using standard biohazard disposal procedures. HOW SUPPLIED The SpineJet handpiece assembly and Quick Connector are provided sterile. The contents are sterile unless the package is opened or damaged. Do not resterilize. Do not use if package is opened or damaged. STORAGE Do not store product above 125°F (52°C) or below -40°F (-40°C). Avoid storage near moisture and direct heat. CAUTION Each Disposable Universal Connector and Handpiece is intended for SINGLE USE ONLY. Do not resterilize. Discard after use. MAINTENANCE Maintaining the Power Console There are no user serviceable parts within the console, however there are several maintenance items to be observed. CAUTION Unplug the unit before starting any maintenance on the console. The fan slots should be kept free from obstructions and periodically be inspected for excessive build up of dust and/or foreign material. A vacuum cleaner should be used to clean the fan slots of any loose debris. The slots on the bottom of the console should be kept free from obstructions and be periodically inspected for build up of dust and or foreign material. A vacuum cleaner should be used to clean the slots of any loose debris. The inside of the console user interface should be inspected periodically for buildup of deposits and or debris. A damp cloth soaked in mild detergent can be used to remove material. Do not soak the inside of the user interface opening. Excessive fluid could cause damage. At the end of the console's useful life, dispose of the console according to local regulations. Cleaning the Power Console Disconnect from electrical power source. Wipe down console and footswitch with a clean, damp cloth. Household all-purpose cleaners can be used to clean all surfaces. DO NOT IMMERSE. Do not sterilize or immerse in disinfectant solution. CAUTION Do not sterilize or immerse the Power Console or the Foot Switch. Replacing the Power Cord If the power cord is damaged, it can be removed from the Power Console. FIRST, REMOVE THE PLUG FROM THE WALL SOCKET. Do not pull on the cord itself. Remove plug from console, again without pulling on the cord. Contact HydroCision customer service (888) 747-4470 to order a replacement power cord. Replacing the Foot Switch If the foot switch is damaged, it should be removed from the Power Console. Contact a HydroCision representative to order a replacement foot switch. TROUBLESHOOTING YMPTOM S \| Excessive spray \| Obstruction of evacuation tube (bone chip, or other foreign material) \| Remove handpiece from surgical field and take foot off foot pedal and remove obstruction from instrument tip \| \|---\|---\|---\| \| \| Misaligned jet (striking edge of tube or shooting outside instrument) \| Stop! Do not use Replace handpiece \| \| \| Waste hose is not draining properly \| Raise waste hose so collector end of waste hose is lowest point of entire tube \| \| \| Waste hose is: Obstructed Kinked Pinched \| Remove obstruction Unkink hose Remove object causing pinch \| \| Motor is turning, but no fluidjet is visible in handpiece \| No fluid supply \| Attach saline bag or replace saline bag if empty \| \| \| Air in supply hose \| Pump fluid on high setting until system is purged of all air in supply hose. \| \| Motor does not run, Power Switch light is off \| Power cord not attached \| Assure power cord is attached to back of console and wall outlet \| \| \| Power switch in off position \| Turn on \| \| Motor does not run, Power Switch light is on, “Pedal” light is on \| Foot switch not attached \| Attach footswitch securely \| \| \| Footswitch is damaged \| Replace footswitch \| \| \| Cartridge knob is not fully closed \| Completely close cartridge knob \| \| Motor does not run, Power Switch light is on “Error” light is on \| Over-current situation has occurred (unknown cause) \| Turn off main power switch, wait 5 seconds, turn back power back on \| \| \| Over-current situation with a rigid high pressure hose. Handpiece high pressure hose is plugged. \| Discard handpiece assembly and replace with a new unit \| AUSE C EMEDY R EQUIPMENT SYMBOL DESCRIPTIONS 2 Single Use Only! See instructions for use Rx only USA law restricts this device to sale by or on the order of a physician "Door" User interface - knob "Pedal" Footswitch "Error" Consult operating instructions Type BF Applied Part Connection of the waste hose or any container connected to it, to a vacuum source is not required and will create continuous suction at the device tip and affect device performance. Off On Explosion Hazard: Do not use in the presence of flammable anesthetics Caution: Electrical Shock Hazard Protect packaged product from direct sunlight or heat source Keep packaged product in dry storage EQUIPMENT CLASSIFICATIONS * Class 1 Device * AC powered equipment * Type BF applied part * IEC BF enclosure rating— o Console: IPXO o Footswitch: IP68 Mode of Operation: Continuous operation ELECTRICAL SAFETY TESTING Product Description: Model 52700 – SpineJet Console Classification: Class I / Type BF equipment Requirements: IEC 60601-1:1990 \| Test \| \| Equipment \| Limit at 120 V \| \| Limit at \| \|---\|---\|---\|---\|---\|---\| \| \| \| Condition \| \| \| 240V \| \| Ground Integrity \| Normal \| \| 0.2 Ohms \| 0.2 Ohms \| \| \| Earth leakage \| Normal \| \| < 250 µ Amp \| < 500 µ Amp \| \| \| Earth leakage \| Single Fault \| \| < 500 µ Amp \| < 1000 µ Amp \| \| \| Enclosure leakage \| Normal \| \| < 50 µ Amp \| <100 µ Amp \| \| \| Enclosure leakage \| Single Fault \| \| < 250 µ Amp \| < 500 µ Amp \| \| \| Patient leakage \| Normal \| \| < 50 µ Amp \| <100 µ Amp \| \| \| Patient leakage \| Single Fault \| \| < 250 µ Amp \| < 500 µ Amp \| \| \| Input VAC applied to Patient applied part \| Single Fault \| \| <2500 µ A \| <5000 µ A \| \| User Interface – (Patient applied Part) Notes: * For EARTH LEAKAGE CURRENT, SINGLE-FAULT CONDITION shall mean the interruption of either power supply conductor, one at a time. * For ENCLOSURE LEAKAGE CURRENT or PATIENT LEAKAGE CURRENT, SINGLE-FAULT CONDITION shall mean the interruption of either power supply conductor or the PROTECTIVE EARTH conductor, one at a time. * For PATIENT LEAKAGE CURRENT, SINGLE-FAULT CONDITION shall also mean application of RATED MAINS VOLTAGE to the PATIENT APPLIED PART relative to the PROTECTIVE EARTH conductor. 1000-1643 REV. C
The trillion dollar gap Underfunded state retirement systems and the roads to reform FEBRUARY 2010 ii ii The Pew Center on the States is a division of The Pew Charitable Trusts that identifies and advances effective solutions to critical issues facing states. Pew is a nonprofit organization that applies a rigorous, analytical approach to improve public policy, inform the public and stimulate civic life. PEW CENTER ON THE STATES Susan K. Urahn, managing director Project Team Team Leaders Team Members Nancy Y. Augustine David Draine Stephen Fehr Kil Huh Ann Cloke Lori Grange Matt McKillop Morgan Shaw Design and Publications Team Evan Potler Carla Uriona Research Consultants Katherine Barrett and Richard Greene, Pew Center on the States' Senior Advisors ACKNOWLEDGMENTS This report benefited tremendously from the insights and expertise of two external reviewers: Ronald Snell of the National Conference of State Legislatures and Keith Brainard of the National Association of State Retirement Administrators. These experts provided feedback and guidance at critical stages in the project. While they have screened the report for accuracy, neither they nor their organizations necessarily endorses its findings or conclusions. We thank our Pew colleagues—Sean Greene, Natasha Kallay, Lauren Lambert, Molly Lyons, Matt Morse, Jason Newman, Gita Ram, Andy Snyder, Daniel C. Vock, Jessica Williams and Denise Wilson—for their feedback on the analysis. We thank Sarah Holt, Julia Hoppock, Andrew McDonald, Matthew Mulkey, Jennifer Peltak and Gaye Williams for their assistance with communications and dissemination. We also thank Kathleen Litzenberg for her editorial assistance and Joshua Rovner for his assistance with data collection. Finally, we thank the many state officials and other experts in the field who were so generous with their time, knowledge and expertise. For additional information on Pew and the Center on the States, please visit www.pewcenteronthestates.org. This report is intended for educational and informational purposes. References to specific policy makers or companies have been included solely to advance these purposes and do not constitute an endorsement, sponsorship or recommendation by The Pew Charitable Trusts. ©2010 The Pew Charitable Trusts. All Rights Reserved. Pew Center on the States Dear Reader: A $1 trillion gap. That is what exists between the $3.35 trillion in pension, health care and other retirement benefits states have promised their current and retired workers as of fiscal year 2008 and the $2.35 trillion they have on hand to pay for them, according to a new report by the Pew Center on the States. In fact, this figure likely underestimates the bill coming due for states' public sector retirement benefit obligations: Because most states assess their retirement plans on June 30, our calculation does not fully reflect severe investment declines in pension funds in the second half of 2008 before the modest recovery in 2009. While recent investment losses can account for a portion of the growing funding gap, many states fell behind on their payments to cover the cost of promised benefits even before the Great Recession. Our analysis found that many states shortchanged their pension plans in both good times and bad, and only a handful have set aside any meaningful funding for retiree health care and other non-pension benefits. In the midst of a severe budget crisis—with record-setting revenue declines, high unemployment, rising health care costs and fragile housing markets—state policy makers may be tempted to ignore this challenge. But they would do so at their peril. In many states, the bill for public sector retirement benefits already threatens strained budgets. It will continue to rise significantly if states do not bring down costs or set aside enough money to pay for them. The good news? While the economic downturn has exposed serious vulnerabilities in states' retirement systems, it also appears to be spurring policy makers across the country to consider reforms. This report illustrates that a growing number of states are taking action to change how retirement benefits are set, how they are funded and how costs are managed. Retirement benefits are an important part of how states can attract and retain a high-caliber workforce for the twenty-first century—and the bill coming due for these promises is an increasingly crucial issue affecting states' fiscal health and economic competitiveness. Later this year, Pew will release a study of cities' public sector retirement benefit obligations and their impact on states. And in the coming months, we will offer additional research on states' budgets and economies—from the main factors driving fiscal stress to policy options that could help states weather the storm. Sincerely, Susan Urahn Managing Director, Pew Center on the States Table of Contents Executive Summary Of all of the bills coming due to states, perhaps the most daunting is the cost of pensions, health care and other retirement benefits promised to their public sector employees. An analysis by the Pew Center on the States found that at the end of fiscal year 2008, there was a $1 trillion gap between the $2.35 trillion states and participating localities had set aside to pay for employees' retirement benefits and the $3.35 trillion price tag of those promises. 1 To a significant degree, the $1 trillion gap reflects states' own policy choices and lack of discipline: failing to make annual payments for pension systems at the levels recommended by their own actuaries; expanding benefits and offering costof-living increases without fully considering their long-term price tag or determining how to pay for them; and providing retiree health care without adequately funding it. When Pew first delved into the realm of public sector retirement benefits in December 2007, our report, Promises with a Price: Public Sector Retirement Benefits, found that only about a third of the states had consistently contributed at least 90 percent of what their actuaries said was necessary during the previous decade. 3 Since that time, pension liabilities have grown by $323 billion, outpacing asset growth by more than $87 billion. 4 Pew's analysis, both then and now, found that many states shortchanged their pension plans in both good times and bad. Meanwhile, a majority of states have set aside little to no money to pay for the burgeoning costs of retiree health care and other non-pension benefits. Pew's figure actually is conservative, for two reasons. First, it counts total assets in state-run public sector retirement benefit systems as of the end of fiscal year 2008, which for most states ended on June 30, 2008—so the total does not represent the second half of that year, when states' pension fund investments were devastated by the market downturn before recovering some ground in calendar year 2009. Second, most states' retirement systems allow for the "smoothing" of gains and losses over time, meaning that the pain of investment declines is felt over the course of several years. The funding gap will likely increase when the more than 25 percent loss states took in calendar year 2008 is factored in. 2 Many states had fallen behind on their payments to cover the cost of promised benefits even before they felt the full weight of the Great Recession. As pension funding levels declined over the past decade from states' failures to fully pay for their retirement obligations as well as investment losses from the bursting of the dot-com bubble, states found their annual required contributions going up. In 2000, when pension systems were well funded, states and participating local governments had to pay $27 billion to adequately fund promised benefits. By 2004, following the 2001 recession, their annual payment for state-run pensions should have increased to $42 billion. In fiscal year 2008, state and participating local governments were on the hook for more than $64 billion, a 135 percent increase from 2000. In 2009 and going forward, that number is certain to be substantially higher. Similarly, to have adequately funded retiree health care benefits in fiscal year 2008, state and local governments would have needed to contribute $43 billion, a number that will grow as more public employees retire and as health care costs increase. In sum, states and participating localities should have paid about $108 billion in fiscal year 2008 Executive Summary to adequately fund their public sector retirement benefit systems. Instead, they paid only about $72 billion. In states with severely underfunded public sector retirement benefit systems, policy makers often have ignored problems in the past. Today's decision-makers and taxpayers are left with the legacy of that approach: high annual costs that come with significant unfunded liabilities, lower bond ratings, less money available for services, higher taxes and the specter of worsening problems in the future. Although investment income and employee contributions help cover some of the costs, money to pay for public sector retirement benefits also comes from the same revenues that fund education, public safety and other critical needs— and the current fiscal crisis is putting a tight squeeze on those resources. Between the start of the recession in December 2007 and November 2009, states faced a combined budget gap of $304 billion, according to the National Conference of State Legislatures (NCSL)—and revenues are expected to continue to drop during the next two years. 5 Given these circumstances—and the certainty that the challenges will worsen if they are not addressed—a growing number of states are considering reforms that can put their public sector retirement benefit systems on better fiscal footing. (CAFRs), pension plan system annual reports and actuarial valuations. Once the information was assembled, researchers sent the data back to the states' pension directors to verify their accuracy. 6 In addition, interviews were conducted with representatives of pension plans in 50 states to provide perspective, case studies and an understanding of the trends and themes underlying the data. Pew researchers analyzed these data to assess the funding performance of 231 state-administered pension plans and 159 state-administered retiree health care and other benefit plans, including some plans covering teachers and local employees. To help policy makers and the public understand these challenges and their implications, Pew graded all 50 states on how well they are managing their public sector retirement benefit obligations. Pew's analysis comes from an intensive review of data compiled and reported by the states— information that is publicly available but not easily accessible. Pew collected data on all stateadministered retirement plans directly from states' own Comprehensive Annual Financial Reports Pew Center on the States States have a lot of leeway in how they compute their obligations and present their data, so three main challenges arise in comparing their numbers. First, states vary in their smoothing practices—that is, how and when they recognize investment gains and losses. While most states acknowledge them over a number of years, several show their full impact immediately. Second, most states conduct actuarial valuations on June 30, but 15 perform them at other times, such as December 31. The severe investment losses in the second half of 2008 mean that states that do not smooth and that conduct their asset valuations in December will show pension funding levels that will appear worse off than states that did so on June 30. However, this also means that such states' numbers are likely to show a faster recovery than other states. (In addition, when investments were doing extremely well, their data reflected the full gains immediately, while other states smoothed those gains over time.) Finally, other factors also can impact states' asset and liability estimates, such as assumptions of investment returns, retirement ages and life spans. (See Appendix A for a full explanation of our methodology.) Pew attempted to note these differences whenever possible. Executive Summary Key Findings Public sector retirement benefits provide a reliable source of post-employment income for government workers, and they help public employers retain qualified personnel to deliver essential public services. Some states have been disciplined about paying for their policy choices and promises on an ongoing basis. But for those that have not, the financial pressure builds each year. * Many states are struggling. While only 19 states had funding levels below the 80 percent mark in fiscal year 2006, 21 states were funded below that level in 2008: 8 Among the key findings of Pew's analysis: Pensions * In fiscal year 2008, which for most states ended on June 30, 2008, states' pension plans had $2.8 trillion in long-term liabilities, with more than $2.3 trillion socked away to cover those costs (see Exhibit 1). * In aggregate, states' systems were 84 percent funded—a relatively positive outcome, because most experts advise at least an 80 percent funding level. 7 Still, the unfunded portion—almost $452 billion—is substantial, and states' overall performance was down slightly from an 85 percent combined funding level, against a $2.3 trillion total liability, in fiscal year 2006. These pension bills come due over time, with the current liability representing benefits that will be paid out to both current and future retirees. Liabilities will continue to grow and, as more workers approach retirement, the consequences of delayed funding will become more pronounced. * Some states are doing a far better job than others of managing this bill coming due. States such as Florida, Idaho, New York, North Carolina and Wisconsin all entered the current recession with fully funded pensions. * In 2000, slightly more than half the states had fully funded pension systems. By 2006, that number had shrunk to six states. By 2008, only four—Florida, New York, Washington and Wisconsin—could make that claim. In eight states—Connecticut, Illinois, Kansas, Kentucky, Massachusetts, Oklahoma, Rhode Island and West Virginia—more than one-third of the total liability was unfunded. Two states had less than 60 percent of the necessary assets on hand to meet their longterm pension obligations: Illinois and Kansas. Illinois was in the worst shape of any state, with a funding level of 54 percent and an unfunded liability of more than $54 billion. * While states generally are more cautious about increasing benefits than they were in the early part of this decade, many have been lax in providing the annual funding that is necessary to pay for them. During the past five years, 21 states failed to make pension contributions that average out to at least 90 percent of their actuarially required contributions—the amount of money, determined by actuaries, that a state needs to pay in a current year for benefits to be fully funded in the long term. Executive Summary STATE PENSION FUNDING LEVELS Exhibit 1 \| Latest unfunded liability \| Annual required contribution \| Latest actual contribution \| \|---\|---\|---\| \| $1,549,503 \| $201,871 \| $211,914 \| \| 754,748 \| 169,068 \| 169,068 \| \| 7,281,752 \| 1,262,758 \| 1,174,837 \| \| 2,522,175 \| 251,764 \| 189,134 \| \| 34,434,055 \| 3,691,740 \| 2,107,243 \| \| 4,519,887 \| 667,691 \| 591,279 \| \| -10,428,000 \| 2,648,450 \| 2,648,450 \| \| 504,760 \| 675,704 \| 675,056 \| \| 546,500 \| 80,928 \| 59,900 \| \| 19,502,065 \| 2,632,521 \| 2,369,045 \| \| 13,172,407 \| 1,245,646 \| 986,163 \| \| 10,739,000 \| 707,400 \| 707,400 \| \| 13,724,480 \| 2,436,486 \| 986,670 \| \| 4,353,892 \| 219,864 \| 219,864 \| \| 12,052,684 \| 902,340 \| 902,365 \| \| 182,870 \| 95,766 \| 95,766 \| \| 1,602,802 \| 838,259 \| 825,259 \| \| 13,781,228 \| 1,871,409 \| 1,854,968 \| \| 3,611,399 \| 641,690 \| 641,690 \| \| 461,551 \| 83,579 \| 78,743 \| \| 10,723,000 \| 1,486,768 \| 1,375,894 \| \| -179,100 \| 1,545,600 \| 967,900 \| \| 4,968,709 \| 481,703 \| 510,258 \| \| 252,600 \| 644,800 \| 644,800 \| \| Figures are in thousands. Latest State liability \| Latest unfunded liability \| Annual required contribution \| Latest actual contribution \| \|---\|---\|---\|---\| \| Alabama $40,206,232 \| $9,228,918 \| $1,069,214 \| $1,069,214 \| \| Alaska 14,558,255 \| 3,522,661 \| 282,656 \| 300,534 \| \| Arizona 39,831,327 \| 7,871,120 \| 1,023,337 \| 1,035,557 \| \| Arkansas 21,551,547 \| 2,752,546 \| 555,147 \| 556,755 \| \| California 453,956,264 \| 59,492,498 \| 12,376,481 \| 10,469,213 \| \| Colorado 55,625,011 \| 16,813,048 \| 1,141,081 \| 779,644 \| \| Connecticut 41,311,400 \| 15,858,500 \| 1,248,860 \| 3,243,647 \| \| Delaware 7,334,478 \| 129,359 \| 149,614 \| 144,358 \| \| Florida 129,196,897 \| -1,798,789 \| 3,005,387 \| 3,130,378 \| \| Georgia 75,897,678 \| 6,384,903 \| 1,275,881 \| 1,275,881 \| \| Hawaii 16,549,069 \| 5,168,108 \| 488,770 \| 510,727 \| \| Idaho 11,526,600 \| 772,200 \| 256,400 \| 285,400 \| \| Illinois 119,084,440 \| 54,383,939 \| 3,729,181 \| 2,156,267 \| \| Indiana 35,640,073 \| 9,825,830 \| 1,232,347 \| 1,275,191 \| \| Iowa 24,552,217 \| 2,694,794 \| 453,980 \| 389,564 \| \| Kansas 20,106,787 \| 8,279,168 \| 607,662 \| 395,588 \| \| Kentucky 34,094,002 \| 12,328,429 \| 859,305 \| 569,913 \| \| Louisiana 38,350,804 \| 11,658,734 \| 1,160,051 \| 1,337,933 \| \| Maine 13,674,901 \| 2,782,173 \| 305,361 \| 305,361 \| \| Maryland 50,561,824 \| 10,926,099 \| 1,208,497 \| 1,077,796 \| \| Massachusetts 58,817,155 \| 21,759,452 \| 1,226,526 \| 1,368,788 \| \| Michigan 70,354,300 \| 11,514,600 \| 1,249,909 \| 1,392,709 \| \| Minnesota 57,841,634 \| 10,771,507 \| 1,036,509 \| 767,295 \| \| Mississippi 29,311,471 \| 7,971,277 \| 662,900 \| 643,356 \| \| Missouri 52,827,423 \| 9,025,293 \| 1,219,871 \| 1,072,027 \| SOURCE: Pew Center on the States, 2010. NOTE: All figures listed above for Ohio are for 2007. The 2008 contribution figures for Ohio are $2,263,766 (actuarially required) and $2,262,847 (actual). Pew Center on the States Executive Summary Health Care and Other Non-pension Benefits are not fully reflected in the fiscal year 2008 data, because most state pension systems use a fiscal year that ends on June 30. * A look at the 2008 investment losses for a selection of states suggests that despite the improvement in the market in 2009, the financial picture for states' retirement systems in fiscal year 2009 and beyond will be considerably worse (see Exhibit 3). * All but three states—Idaho, Oregon and West Virginia—use a smoothing process in which investment gains and losses are recognized over a number of years. 10 Smoothing is a way of managing state expenditures by preventing contribution rates from suddenly jumping or dropping. The number of smoothing years varies, with five years being the most common. Because only a portion of the 2008 losses will be recognized each year, there is a great likelihood that pension funding levels will be dropping for the next four to five years. This is what happened after state pension systems sustained the less extreme investment losses associated with the market downturn of 2001-2003. 11 Although investment returns were generally very good in 2004, 2005 and 2006, the funding levels for most pension systems continued on a downward path until 2007, when investment returns were strong and the bad years began to drop out of the calculations. * Given the experience of the past decade, pension plan investment losses in 2008 raise the question of whether it remains reasonable for states to count on an 8 percent investment return over time—the most common assumption for all 231 state-administered pension plans examined for this report. Some experts in the field suggest that an assumed 8 percent yield is unrealistic for the near future. 12 In addition, it will take consistently higher levels of investment returns over a number of years for states to make up their losses from 2008 and 2009. The Trillion Dollar Gap * Retiree health care and other non-pension benefits create another huge bill coming due: a $587 billion total liability to pay for current and future benefits, with only $32 billion—or just over 5 percent of the total cost—funded as of fiscal year 2008. Half of the states account for 95 percent of the liabilities. * In general, states continue to fund retiree health care and other non-pension benefits on a pay-as-you-go basis—paying medical costs or premiums as they are incurred by current retirees. For states offering minimal benefits, this may cause little problem. But for those that have made significant promises, the future fiscal burden will be enormous. * Only two states had more than 50 percent of the assets needed to meet their liabilities for retiree health care or other non-pension benefits: Alaska and Arizona (see Exhibit 2). Only four states contributed their entire actuarially required contribution for non-pension benefits in 2008: Alaska, Arizona, Maine and North Dakota. * Both health care costs and the number of retirees are growing substantially each year, so the price tag escalates far more quickly than average expenditures. States paid $15 billion for nonpension benefits in 2008. If they had started to set aside funding to pay for these long-term benefits on an actuarially sound basis, the total payments would have been $43 billion. Investment Losses and Future Implications * The recession, which officially began in December 2007, dealt a severe blow to all state pension systems. In calendar year 2008, public sector pension plans experienced a median 25 percent decline in their investments. 9 These losses generally Executive Summary STATE RETIREE HEALTH CARE AND OTHER NONPENSION BENEFITS Exhibit 2 \| Figures are in thousands. Latest State liability \| Latest unfunded liability \| Annual required contribution \| Latest actual contribution \| \|---\|---\|---\|---\| \| Alabama $15,950,194 \| $15,549,411 \| $1,313,998 \| $1,107,831 \| \| Alaska 9,146,629 \| 4,032,052 \| 558,041 \| 600,003 \| \| Arizona 2,322,720 \| 808,818 \| 146,198 \| 146,198 \| \| Arkansas 1,822,241 \| 1,822,241 \| 170,177 \| 38,119 \| \| California 62,466,000 \| 62,463,000 \| 5,178,789 \| 1,585,295 \| \| Colorado 1,385,954 \| 1,127,179 \| 81,523 \| 25,877 \| \| Connecticut 26,018,800 \| 26,018,800 \| 1,718,862 \| 484,467 \| \| Delaware 5,489,000 \| 5,409,600 \| 464,600 \| 176,548 \| \| Florida 3,081,834 \| 3,081,834 \| 200,973 \| 87,825 \| \| Georgia 19,100,171 \| 18,322,123 \| 1,583,008 \| 422,157 \| \| Hawaii 10,791,300 \| 10,791,300 \| 822,454 \| 299,466 \| \| Idaho 493,746 \| 489,421 \| 45,494 \| 17,695 \| \| Illinois 40,022,030 \| 39,946,678 \| 1,192,336 \| 159,751 \| \| Indiana 442,268 \| 442,268 \| 45,963 \| 10,218 \| \| Iowa 404,300 \| 404,300 \| 42,991 \| 16,613 \| \| Kansas 316,640 \| 316,640 \| 16,039 \| 5,105 \| \| Kentucky 13,008,572 \| 11,660,245 \| 1,051,372 \| 259,912 \| \| Louisiana 12,542,953 \| 12,542,953 \| 1,168,087 \| 269,841 \| \| Maine 4,399,800 \| 4,347,702 \| 164,045 \| 196,053 \| \| Maryland 14,842,304 \| 14,723,420 \| 1,086,240 \| 390,319 \| \| Massachusetts 15,305,100 \| 15,031,600 \| 838,700 \| 701,992 \| \| Michigan 40,668,800 \| 39,878,500 \| 3,946,416 \| 1,207,746 \| \| Minnesota 1,011,400 \| 1,011,400 \| 109,982 \| 46,677 \| \| Mississippi 570,248 \| 570,248 \| 43,627 \| 0 \| \| Missouri 2,867,472 \| 2,851,826 \| 262,215 \| 151,629 \| \| $631,918 \| $58,883 \| $0 \| \|---\|---\|---\| \| lity for retiree \| health care and ot \| her benefits. \| \| 2,211,439 \| 287,217 \| 59,167 \| \| 3,054,188 \| 268,848 \| 112,038 \| \| 68,900,000 \| 5,022,100 \| 1,249,500 \| \| 2,946,290 \| 286,538 \| 92,121 \| \| 56,286,000 \| 4,133,000 \| 1,264,000 \| \| 28,741,560 \| 2,459,469 \| 597,176 \| \| 81,276 \| 6,085 \| 6,450 \| \| 27,025,738 \| 2,717,364 \| 855,937 \| \| 359,800 \| 48,200 \| 0 \| \| 609,793 \| 67,126 \| 45,385 \| \| 9,956,800 \| 823,500 \| 745,600 \| \| 788,189 \| 46,125 \| 28,378 \| \| 8,638,076 \| 762,340 \| 241,383 \| \| 76,406 \| 9,429 \| 3,505 \| \| 1,746,879 \| 167,787 \| 63,140 \| \| 28,611,584 \| 2,236,952 \| 592,507 \| \| 672,843 \| 53,969 \| 53,289 \| \| 1,614,581 \| 107,506 \| 17,776 \| \| 2,621,000 \| 541,163 \| 446,321 \| \| 7,901,610 \| 682,797 \| 156,294 \| \| 6,108,398 \| 174,842 \| 143,582 \| \| 1,700,396 \| 205,116 \| 90,134 \| \| 174,161 \| 19,292 \| 7,324 \| SOURCE: Pew Center on the States, 2010. Pew Center on the States Executive Summary How States Have Responded For many years, lawmakers in a number of states put off dealing with the challenges posed by their public sector retirement systems. But for many governors and state legislators, a convergence of factors has made the issues too critical to ignore. Policy makers that have underfunded their states' liabilities in the past now find they owe far more annually as a result—and if they postpone paying the bill any longer, the debt will increase even more significantly. This will leave their states, and tomorrow's taxpayers, in even worse shape, since every dollar needed to feed that growing liability cannot be used for education, health care or other state priorities. Steep investment losses in pension plan funds in the past two years signal that states cannot simply sit back and hope the stock market delivers returns large enough to cover the costs. Meanwhile, more and more baby boomers in state and local government are nearing retirement, and many will live longer than earlier generations— meaning that if states do not get a handle on the costs of post-employment benefits now, the problem likely will get far worse, with states facing debilitating costs. Momentum for reform is building. Fifteen states passed legislation to reform some aspect of their state-run retirement systems in 2009, compared with 12 in 2008 and 11 in 2007. States similarly enacted a series of reforms following the 2001 recession, with 18 states making changes in 2003, compared with only five in 2002 and nine in 2001. 13 And many states are likely to explore options in their 2010 legislative sessions. At least a third of the states have study commissions, task forces or other research initiatives to examine the possibilities for reform. Because there are legal restrictions on reducing pensions for current employees in most states, the majority of changes in the past two years were made to new employee benefits. Ten states increased the contributions that current and future employees make to their own benefit INVESTMENT LOSSES IN 2008 FOR SELECT STATE PENSION PLANS Exhibit 3 \| Pennsylvania Pennsylvania State Employees’ Retirement System \| \| \|---\|---\| \| Ohio Ohio Public Employees Retirement System \| –26.8% \| \| Pennsylvania Pennsylvania Public School Employees’ Retirement System \| –26.5% \| \| California California Public Employees’ Retirement System \| –23.0% \| \| Illinois Teachers’ Retirement System of the State of Illinois \| –22.3% \| \| Oregon Oregon Public Employees Retirement System \| –22.2% \| \| Indiana Indiana Employees’ Retirement Fund \| –21.0% \| \| Virginia Virginia Retirement System \| –21.0% \| \| Maryland State Retirement and Pension System of Maryland \| –20.0% \| \| Missouri Missouri Public School Retirement System \| –19.3% \| \| New Jersey New Jersey Division of Pensions and Benefits \| –19.0% \| \| North Carolina North Carolina Retirement Systems \| –14.0% \| \| Georgia Georgia Teachers Retirement System \| –13.1% \| SOURCE: Pew Center on the States, 2010. Executive Summary systems, while ten states lowered benefits for new employees or set in place higher retirement ages or longer service requirements. 14 (See Exhibit 4.) teachers' pension system, with a covenant that required the state to fully fund that plan based on actuarial assessments. Reforms largely fell into five categories: 1) keeping up with funding requirements; 2) reducing benefits or increasing the retirement age; 3) sharing the risk with employees; 4) increasing employee contributions; and 5) improving governance and investment oversight. Keeping up with funding requirements Generally, the states in the best shape are those that have kept up with their annual funding requirements in both good times and bad. In some states, such as Arizona, a constitutional or statutory requirement dictates that this payment is made. In early 2008, Connecticut issued a $2 billion bond to help fund the Making the payment required by actuaries is only part of the battle. States also need to make sure the assumptions used in calculating the payment amount are accurate—for example, estimating the lifespan of retirees or the investment returns they expect. As noted earlier, some states are now questioning whether, over the long term, investment return assumptions have been too optimistic. In 2008, Utah reduced its investment assumption from 8 percent to 7.75 percent, 15 and in 2009 the Pennsylvania State Employees Retirement System lowered its assumption from 8.5 percent to 8 percent. 16 Although the median investment return for pension plans over the past 20 years averaged over 8 percent, some experts in the field, including STATE PENSION POLICY REFORMS, 20082009 Exhibit 4 SOURCE: Pew Center on the States, 2010. Pew Center on the States Executive Summary renowned financier and investor Warren Buffett, believe even those assumptions are too high. 17 By comparison, the Financial Accounting Standards Board requires that private sector defined benefit plans use investment return assumptions based on the rates on corporate bonds. As of December 2008 the top 100 private pensions had an average assumed return of 6.36 percent. 18 workers, not just new ones. New workers will have a retirement age of 62, up from 60, while the minimum retirement age for current workers will depend on their length of service. Reducing benefits or increasing the retirement age Several states reduced benefits for new employees either by altering the pension formula or raising retirement ages. In 2008 and 2009, Kentucky, Nevada, New Jersey, New York, Rhode Island and Texas reduced benefits offered to new employees or raised the retirement age, according to NCSL. 19 For example, in Nevada, employees hired after January 1, 2010, will have their annual pension benefits calculated using a new formula. In the past, the state multiplied the number of years of service by 2.67 to derive the percentage of salary to be replaced by pension benefits. That number has dropped to 2.5 percent. Nevada's employees also will have to work until age 62, instead of age 60, to retire with 10 years of service. New York lawmakers in December raised the minimum retirement age from 55 to 62 for new hires, increased the minimum years of service required to draw a pension from five years to 10, and capped the amount of overtime used in calculating benefits. Teachers have a separate benefit structure that raises the minimum retirement age from 55 to 57, boosts the employee contribution rate from 3 percent to 3.5 percent of annual wages and increases the 2 percent multiplier threshold for pension calculations from 20 to 25 years. 20 Rhode Island went a step further than other states by applying its change in retirement age to current Overall, four states took legislative action to reduce retiree health care and other non-pension benefits for employees in 2008, and seven did so in 2009. Vermont, for example, changed the vesting period for receiving full health care benefits so that a new employee now has to work 10 years to receive 40 percent coverage on health premiums and 20 years to get the full 80 percent coverage. Employees hired before July 1, 2008, only have to work five years to qualify for 80 percent coverage. 21 Some additional states reduced retiree health care benefits through administrative or executive branch actions. For instance, West Virginia's Public Employees Insurance Agency decided last summer that it would no longer pay its share of the premium for employees hired after July 1, 2010. It paid 71 percent of the costs for employees hired before that date. Several lawsuits have been filed in response. In the past, some states such as Georgia, North Carolina and Tennessee required that any proposals that will affect pension benefits or costs receive a full actuarial analysis to determine its long-term price tag. 22 This goes for changes in retirement ages, cost-of-living adjustments, any change in the time needed to vest in a system, or any adjustment to the pension formula. In 2008, California passed a law that requires both state and local decisionmaking bodies to review potential future costs before increasing any non-pension benefits. It also requires actuaries to be present when pension benefit increases are discussed. Forcing policy makers to responsibly identify the cost and potential funding sources for benefit increases can help states avoid offering unfunded benefit hikes. State and local governments still can Executive Summary offer or increase benefits, but this additional step ensures that costs will be thoroughly considered in advance. Although such reforms will not reduce existing liabilities, they can keep state policy makers from making the funding situation worse. Sharing the risk with employees A few states have taken a step toward sharing more of the risk of investment loss with employees by introducing benefit systems that combine elements of defined benefit and defined contribution plans. These hybrid systems generally offer a lower guaranteed benefit, while a portion of the contribution—usually the employees' share—goes into an account that is similar to a private sector 401(k). For example, Nebraska's "cash balance" plan, enacted in 2003, is described by one state official as a "defined benefit plan, with a defined contribution flair." 23 As in a traditional defined contribution account, the employee's payout on retirement is based on what is in the account, not on a set benefit. But some protection is offered to employees through a guaranteed annual investment return of 5 percent. In 2008, Georgia introduced its own hybrid system for new employees hired after January 1, 2009. The defined benefit portion provides about half the benefit of the plan for employees hired before that point, but there also is a defined contribution portion in which the state matches employee contributions in a 401(k)-style savings plan. New employees automatically are enrolled in the savings plan at a 1 percent contribution rate, but may opt out at any time. 24 No states moved completely away from defined benefit plans in the past two years. 25 The last two that took any steps in this direction were Alaska, which moved new employees to a defined contribution plan in 2005, and Pew Center on the States Michigan, which moved new state employees to a defined contribution approach in 1997. In light of severe investment losses in 2008 and 2009 that resulted in decreased pension funding levels, policy makers are once again openly discussing defined contribution plans. Louisiana lawmakers, for instance, are looking at the recommendations of a pension panel that studied making this switch. 26 Other states where this has been mentioned by policy makers include Florida, Kansas and Utah. 27 Because unions and other employee representatives often have vigorously opposed defined contribution plans, it is unclear whether any state will find such a switch viable, or if such plans are primarily being proposed as a starting point for hybrid plans or other compromises. Increasing employee contributions Employees already contribute about 40 percent of non-investment contributions to their own retirement. But states are looking toward their workers to pay for a larger share. In many states, the employee contribution is fixed at a lower rate than the employer contributions. But some states have more flexibility. In Arizona, for example, the pension system is designed so that general (non-public safety) employees and employers each pay equal shares of the annual contribution. If the employer contribution goes up, so does the employee's. According to Arizona pension officials, this tends to increase the attention that employees give to the health of the pension system and increases pressure to keep it well funded. 28 Some states, such as Iowa, Minnesota and Nebraska, have the ability to raise employee pension contributions if needed. Iowa and Minnesota have been raising employee contribution rates in the past several years, and in 2009, Nebraska increased its employee Executive Summary contribution rates for individuals in its defined benefit plans. Last year, New Mexico temporarily shifted 1.5 percent of the employer's contribution to employees. 29 New Hampshire and Texas increased payroll contributions required from new employees. 30 Several states also began asking employees and retirees to start making contributions for their retiree health care benefits. In 2008, Kentucky required new employees to contribute 1 percent of their pay to help fund their post-retirement health care and other non-pension benefits. In 2009, New Hampshire established a $65 monthly charge for retired employees under 65 who are covered by retiree health insurance. And Connecticut will now require new employees, and current employees with fewer than five years of service, 31 to put in 3 percent of their salaries. 32 sense, and that the composition of the board is balanced between members of the system and individuals who are independent of it. Several pension reform commissions are considering reforms similar to those enacted by Oregon in 2003, heightening qualifications for trustees and shifting membership so that boards are not dominated by pension recipients. Governance and investment oversight In recent years, some states have sought to professionalize the complex task of pension investments by shifting oversight away from boards of trustees to specialized bodies that focus on investment. For example, Vermont moved investment oversight from its pension boards to an entity called the Vermont Pension Investment Committee, which includes a representative elected by each of three boards and the state treasurer as an ex-officio member. 33 The change was designed to bring a higher level of expertise to the body responsible for investing the pension assets, to combine the assets of the three retirement systems to realize administrative savings, and to be able to act more quickly when making changes to the actual investment allocations. Pension systems also have continued to improve governance practices to ensure that the board of trustees is well trained, that the division of responsibilities between board and staff makes In 2009, some reforms grew out of specific problems that states had with investment practices or because of ethical questions that were raised. Illinois, for instance, put in place a number of protections to ensure that pension trustees, employees and consultants are barred from benefiting from investment transactions. More competitive processes for procuring consulting and investment services were introduced, and the state's pension systems were required to review the performance of consultants and managers and to establish ways of comparing costs. 34 Grading the States Based on all of this information, Pew graded all 50 states on how well they are managing their public sector retirement benefit. (See individual fact sheets for each of the 50 states at www. pewcenteronthestates.org/trilliondollargap.) Pensions Pew assessed states' pension systems on three criteria and awarded each state up to four points: two points for having a funding ratio of at least 80 percent; one point for having an unfunded liability below covered payroll; and one point for paying on average at least 90 percent of the actuarial required contribution during the past five years. States earning four points were solid performers. Those earning two or three points were deemed Executive Summary in need of improvement. And those earning zero or one point were labeled as meriting serious concerns. Health Care and Other Non-pension Benefits Overall, 16 states were solid performers, 15 states were in need of improvement and 19 states were cause for serious concerns (see Exhibit 5). All 16 states that were assessed as solid performers had funding levels over the 80 percent threshold, had manageable unfunded liabilities, and had contributed on average at least 90 percent of the actuarially required contribution during the past five years. Eight states—Alaska, Colorado, Illinois, Kansas, Kentucky, Maryland, New Jersey and Oklahoma—received no points, having failed to make any meaningful progress toward adequately funding their pension obligations. HOW ARE STATES DOING? Exhibit 5 \| \| AND NON-PENSION BENEFITS Number of states \| \|---\|---\| \| SOLID PERFORMER \| 9 AK, AZ, CO, KY, ND, OH, OR, VA, WI \| \| NEEDS IMPROVEMENT \| 40 AL, AR, CA, CT, DE, FL, GA, HI, ID, IL, IN, IA, KS, LA, ME, MD, MA, MI, MN, MS, MO, MT, NV, NH, NJ, NM, NY, NC, OK, PA, RI, SC, SD, TN, TX, UT, VT, WA, WV, WY \| NOTE: Nebraska does not provide any estimates of its retiree health care and other non-pension benefits obligation. SOURCE: Pew Center on the States, 2010. Pew Center on the States Pew's criteria for grading states' retiree health care and other non-pension benefit obligations were much simpler and more lenient than those used for the pension assessment. This is because states generally have set aside little funding to cover the costs of these obligations and because they only recently began to report on their non-pension assets and liabilities. In fact, states have an average funding rate of 7.1 percent—and 20 states have funded none of their liability. Because most states have only recently begun to account for and address these liabilities, Pew's grades measure the progress they are making toward pre-funding future benefit obligations. As a result, a "serious concerns" grade was not included. Pew rated as solid performers states that were above average at setting aside funds to cover the bill coming due. States below average were identified as needing improvement. Nine states earned the designation of being solid performers: Alaska, Arizona, Colorado, Kentucky, North Dakota, Ohio, Oregon, Virginia and Wisconsin. Only two of those—Alaska and Arizona—have set aside at least 50 percent of the assets needed. Forty states were in need of improvement, having put away less than 7.1 percent of the funds needed— and, as noted above, half of these have not set aside any funds at all. (Nebraska subsidizes retiree health benefits however the state has not calculated the amount of this obligation and therefore was not graded. See Exhibit 5.) Executive Summary NOTES 1 Pew Center on the States analysis of 231 state-administered pension plans and 159 retiree health care and other benefits plans. See Appendix A for more details on how data were collected and calculations were conducted. 11 Economic Report of the President: 2009 Report Spreadsheet Tables, Tables B95 and B96; accessed January 4, 2010, at http://www. gpoaccess.gov/eop/tables09.html. The market started to rebound by the end of calendar year 2003. 2 Keith Brainard, "Public Fund Survey Summary of Findings for FY2008," National Association of State Retirement Administrators, October 2009, p. 2. www.publicfundsurvey.org/publicfundsurvey/ index.htm. (accessed January 29, 2010). 3 Pew Center on the States, Promises with a Price: Public Sector Retirement Benefits, December 2007, p. 6. 4 At the time of publication of the 2007 report, a full set of figures for 2006 was not available. As noted in the methodology, "latest available" is the plan year ending in 2008 for all states except for Ohio, which were not available at the time of publication. 5 National Conference of State Legislatures, State Budget Update: November, 2009. December 2009. Investment returns comprise between 70 percent and 80 percent of pension plan funding when times are good, with employee and employer contributions making up the rest. In bad investment years, such as 2002 and 2008, investment returns are negative and employees and employers contribute all the money that goes to cover pension plan costs. In general, approximately 60 percent of non-investment contributions to pension plans comes from employers and 40 percent comes from employees." Employee Benefit Research Institute, "Public Pension Plan Asset Allocation," Notes 30, no. 4. April 2009, p. 2; at http://www.ebri.org/pdf/ notespdf/EBRI_Notes_04-Apr09.PblcPnsPlns1.pdf. (accessed on January 25, 2010). 6 Pew Center on the States researchers also took the extra step of cross checking our data with the Public Fund Survey (see www. publicfundsurvey.org/publicfundsurvey/index.htm), which collects pension data directly from the states. 7 U.S. Government Accountability Office, State and Local Government Retiree Benefits: Current Status of Benefit Structures, Protections and Fiscal Outlook for Funding Future Costs, report to the Committee on Finance, U.S. Senate, September 2007. 8 The funding levels in Alabama and Maryland were above 80 percent in 2006 but fell below 80 percent in 2008. 9 Keith Brainard, "Public Fund Survey Summary of Findings for FY2008," National Association of State Retirement Administrators, October 2009, p. 2. www.publicfundsurvey.org/publicfundsurvey/ index.htm. (accessed on January 29, 2010). 10 Through 2008, Illinois also was among the small group of states in which asset value was assessed on a fair market basis. It shifted to a five-year smoothing period in 2009. Also, South Dakota smoothes its investment gains but accounts for its losses based on market value. 12 "Warren Buffett Says That Pension Accounting Encourages Cheating," Bloomberg.com, July 17, 2009, accessed on December 4, 2009, at www.bloomberg.com/apps/news?pid=10000103&sid=a Cb9PTevRP3g&refer=news_index. 13 National Conference of State Legislatures, "Pension and Retirement Plan Enactments in State Legislatures," (2000 through 2009). www.ncsl.org/?tabid=13399. 14 Pew Center on the States analysis based on National Conference of State Legislatures, "Pension and Retirement Plan Enactments in State Legislatures," for 2008 and 2009, and a review of governors' and state legislative Web sites (October 1, 2009, to December 3, 2009), as well as interviews conducted June 1, 2009, to December 31, 2009. 15 This sounds like a minor change, but the impact is significant. This simple action reduced the state's funding level from 101 percent funded to 95 percent funded. An increase in the interest rate assumption to 8.5 percent would have caused the funding level to rise to 113 percent. The new interest rate assumption will cause contributions to go up in the short term, but Utah officials believe this is a more accurate portrayal of what the state will earn on its investments over time. 16 Pew Center on the States interview with Leonard Knepp, executive director, Pennsylvania State Employee Retirement System, June 24, 2009. 17 Median investment returns for public retirement plans between 1989 and 2008 are provided Callan Associates, a large investment consulting firm based in San Francisco, CA. "Warren Buffett Says That Pension Accounting Encourages Cheating," Bloomberg.com, July 17, 2009, accessed on December 4, 2009, at www.bloomberg. com/apps/news?pid=10000103&sid=aCb9PTevRP3g&refer=n ews_index. Mr. Buffett was referring to private sector pension assumptions. 18 Watson Wyatt, "Insider: Watson Wyatt Pension 100—2008 Disclosures of Funding, Discount Rates, Asset Allocations and Contributions," April 2009. www.watsonwyatt.com/us/pubs/ insider/showarticle.asp?ArticleID=20764. 19 Pew Center on the States interview with Cynthia Webster, Vermont State Employees Retirement System, November 2, 2009. 20 Governor David A. Paterson, news release, December 2, 2009, accessed December 4, 2009, at http://www.state.ny.us/governor/ press/press_1202092.html. EXECUTIVE SUMMARY 21 National Conference of State Legislatures, "State Pensions and Retirement Legislation 2009," accessed December 4, 2009, at www. ncsl.org/?tabid=17594; Pensions and Retirement Plan Enactments in 2008 State Legislatures, accessed December 4, 2009, at http://www. ncsl.org/default.aspx?tabid=13313. 22 Pew Center on the States interviews with Michael Williamson, director, North Carolina Retirement System, September 2, 2009; Tommy Hills, chief financial officer, Georgia, November 18, 2009; and Jill Bachus, director, Tennessee Consolidated Retirement System, September 3, 2009. 23 Pew Center on the States interview with Phyllis Chambers, director, Nebraska Public Employees Retirement Systems, October 6, 2009. 24 E-mail from Pamela Pharris, executive director, Georgia Employees Retirement System, December 15, 2009. 25 National Conference of State Legislatures, "State Pensions and Retirement Legislation 2009," accessed December 4, 2009, at www. ncsl.org/?tabid=17594; "Pensions and Retirement Plan Enactments in 2008 State Legislatures," accessed December 4, 2009, at http:// www.ncsl.org/default.aspx?tabid=13313. 26 Ronald K. Snell, "State Pensions and Retirement Legislation 2009," National Conference of State Legislatures, August 17, 2009. www. ncsl.org/?tabid=17594. (accessed on January 29, 2010). 27 Bill Cotterell, "Fasano Says Goodbye Pensions, Hello Savings," Tallahassee Democrat, November 16, 2009; "Parkinson Puts Major KPERS Changes on the Table," Lawrence (Kan.) Journal World (Associated Press), September 10, 2009; "Lawmaker: Utah's Retirement System Must Change," The Salt Lake City Tribune, Pew Center on the States November 13, 2009; Barry Poulson and Arthur Hall, "The Funding Crisis in the Kansas Public Employee Retirement System," Center for Applied Economics, University of Kansas, September 2009. 28 Pew Center on the States interview with Paul Matson, executive director, Arizona Retirement System, June 25, 2009. 29 Pew Center on the States interviews with Donna Mueller, chief executive officer, Iowa Public Employees Retirement System, August 4, 2009; David Bergstrom, executive director, Minnesota State Retirement System, September 8, 2009; Phyllis Chambers, executive director, Nebraska Public Employee Retirement Systems, October 6, 2009; Terry Slattery, executive director, New Mexico Public Employees Retirement Association, September 14, 2009. 30 National Conference of State Legislatures, "Pension and Retirement Plan Enactments in State Legislatures," accessed December 4, 2009, at http://www.ncsl.org/default. aspx?tabid=13313. 31 For employees with fewer than five years of service as of July 1, 2009, the 3 percent contribution will begin July 1, 2010. 32 E-mail from William Morico, Connecticut Retirement and Benefit Services coordinator, Healthcare Policy and Benefit Services Division, November 18, 2009. 33 Pew Center on the States interview with Cynthia Webster, Vermont State Employees Retirement System, November 2, 2009. 34 National Conference of State Legislatures, "State Pensions and Retirement Legislation 2009," accessed December 4, 2009, at www.ncsl.org/?tabid=17594. The Bill Coming Due: A Trillion Dollar Gap The Challenge An analysis by the Pew Center on the States shows that states and participating local governments face a collective liability of more than $3.35 trillion for the pensions, health care and other retirement benefits promised to their public sector employees. They have put away $2.35 trillion in assets to pay for those promises—leaving a shortfall of more than $1 trillion that state and local governments will have to pay in the next 30 years. 35 That amounts to more than $8,800 for every household in the United States. 36 (See Exhibit 6.) Pew's figure actually is conservative for two reasons. First, it counts total assets in states' public sector retirement benefit systems at the end of fiscal year 2008, which for most states ended on June 30, 2008—so the total does not represent the second half of that year, when states' pension 50STATE RETIREE BILL Exhibit 6 The pension bill is much larger than that of other benefits, but it is 84 percent funded; the bill for other benefits is only 5 percent funded. SOURCE: Pew Center on the States, 2010. fund investments were devastated by the collapse of the financial markets. Second, most states' retirement systems allow for "smoothing" of gains and losses over time, meaning that the pain of investment declines will be recognized over the course of several years. The funding gap will likely increase when that loss—more than 25 percent in calendar year 2008—is factored in. 37 Pensions States' pension bills come due over time, including both benefits that will be paid out next year and those that will be provided several decades in the future. These long-term liabilities represent obligations to current employees and retirees that will keep growing over time—which is why assets need to be put aside now to cover them. Actuarially Required Contribution Also known as the annual required contribution, this is the amount of money that actuaries calculate the employer needs to contribute to the plan during the current year for benefits to be fully funded by the end of a span of time of up to 30 years, known as the amortization period. This calculation assumes the employer will continue making the actuarially required contribution on a consistent basis and that actuarial assumptions, such as investment returns and rates of salary growth, will be reasonably accurate. This contribution is made up of the "normal cost" (sometimes referred to as the "service cost")—the cost of benefits earned by employees in the current year—and an additional amount that will enable the government to reduce unfunded past service costs to zero by the end of the amortization period. Making the full or almost full actuarially required contribution in any given year signifies that a state is making a serious effort to pay its bill coming due. The total actuarially required contribution for all state-run retirement plans for fiscal year 2008 was $64.4 billion. States paid 89.6 percent of that payment. THE BILL COMING DUE States know how much money they should be putting away each year to cover pension obligations for current and future public sector retirees. The "actuarially required contribution" is the amount of money that the state needs to pay to the plan during the current year for benefits to be fully funded in the long run, typically 30 years. Although it is called a "required" contribution, in many states funding is at the discretion of the legislature. In fiscal year 2008, states should have committed $64.4 billion to their pension plans. They ended up paying just $57.7 billion, or 89.6 percent, of that amount. PENSION FUNDING OVER TIME Exhibit 7 Pew's analysis shows that in fiscal year 2008, states' pension plans had $2.8 trillion in longterm liabilities. Total liabilities have grown over $323 billion since 2006, outpacing asset growth by more than $87 billion. Pew found that, in the aggregate, states' systems in fiscal year 2008 were 84 percent funded. This is relatively good news: Many experts in the field, including the U.S. Government Accountability Office, suggest that a healthy system is one that is at least 80 percent funded. 38 However, this is slightly down from an 85 percent funding level in fiscal year 2006. The actual shortfall, almost $452 billion, is substantial. One way to understand the magnitude of the unfunded liability is to compare it to the current annual payroll that is covered by the plan. States with a higher degree of excess are considered to have a higher burden. For fiscal year 2008, the unfunded liability exceeded covered payroll in 22 states. In four of these states, the excess was less than 10 percent. In seven states, the unfunded liability was more than twice the covered payroll. The current pension shortfall reflects an overall downward trajectory in pension funding. In 2000, state-run pension plans were actually running a $56 billion surplus. From 2000 to 2008, growth Pew Center on the States SOURCE: Pew Center on the States, 2010. in pension liabilities had outstripped growth in assets by more than $500 billion. In 2000, more than half the states were fully funded. By 2006, that number had shrunk to six states. By 2008, only Florida, New York, Washington and Wisconsin could make that claim. Furthermore, based on how investments have performed as well as on states' continuing shortfalls in making annual contributions, this trend will continue and the funding gap will grow if changes are not made (see Exhibit 7). The aggregate numbers, while impressive, do not tell the whole story. States are performing dramatically differently in managing this bill coming due. States such as Florida, Idaho, New York, North Carolina and Wisconsin all entered the current recession with fully funded pensions. As a result, these states will be in a better position to keep their plans on a solid financial footing in the immediate future. But many other states are struggling. At the end of fiscal year 2008, 21 states had funding levels below the 80 percent mark, compared with 19 below that level in 2006 (see Exhibit 8). THE BILL COMING DUE LAGGARDS IN STATE PENSION FUNDING Exhibit 8 SOURCE: Pew Center on the States, 2010. In eight states—Connecticut, Illinois, Kansas, Kentucky, Massachusetts, Oklahoma, Rhode Island and West Virginia—more than one-third of the total liability was unfunded. Two states—Kansas and Illinois—had less than 60 percent of the necessary assets on hand to meet long-term pension obligations at the end of 2008. Here is a snapshot of some of the states that had profound difficulties even before the Great Recession: 39 * Illinois. The state in the worst shape in fiscal year 2008 was Illinois. With a combined funding level of 54 percent, the five pension systems of Illinois had accumulated a total liability of $119 billion, $54 billion of which was unfunded. To start closing that gap and covering future expenses, the state should have made an actuarially required payment of $3.7 billion in 2008. Instead, it contributed a little less than $2.2 billion, meaning that the state will face a bigger gap in 2009 even apart from investment losses. For Illinois, the unfunded liability is more than three times annual payroll costs. * Oklahoma. The seven state-administered pension systems had a combined funding level of 60.7 percent in fiscal year 2008, a total liability of $33.5 billion and an unfunded liability that was 219 percent of total payroll. During the 1980s and 1990s Oklahoma increased benefits, but did not boost contributions enough to offset those increased liabilities. 40 By pushing the costs into the future, the state's actuarially required contribution has risen to almost 21 percent of payroll, annually. In addition, the state has lagged in making the required contributions, so funding levels would likely have continued on a downward path even without investment losses. THE BILL COMING DUE * Rhode Island. The four pension systems administered by Rhode Island had a combined funding level of 61.1 percent in fiscal year 2008, with a total liability of $11.2 billion and an unfunded liability that is close to three times payroll. While the state has made its actuarially required contributions in recent years, it is still trying to catch up. Rhode Island essentially operated its pension systems on a pay-as-yougo basis for nearly 40 years, ending that practice in the late 1970s. 41 The state recently increased the retirement age, instituted a new tier of lower benefits for new employees and tightened up requirements for disability pensions, among other changes. * Hawaii. The Hawaii Employees Retirement System had a funding level of 68.8 percent, a total liability of almost $16.6 billion in fiscal year 2008 and an unfunded liability that was about one and one-third times its payroll. Hawaii had several problems that contributed to its underfunded pension status. Its legislature diverted about $1.7 billion from annual contributions in the early years of this decade. Also, until 2006, all employees were in a non-contributory system, which means they did not pay anything for their pensions. This system is being phased out, with a new contributory plan that began in 2006. * Connecticut. With a combined funding level of 61.6 percent, Connecticut's three pension systems had a total liability of $41.3 billion in fiscal year 2008 and an unfunded liability that is nearly four and a half times its annual payroll cost. Its current funding level reflects an improvement in the teachers' pension system, which received an infusion of cash in 2008 from a $2 billion, 24-year pension bond that was issued that year. 42 The state's current collective bargaining agreement lasts until 2017, which limits reform options. * Kentucky. Kentucky's six pension systems had a combined funding level of 63.8 percent, and a total liability of $34 billion in fiscal year 2008. The Bluegrass State had an unfunded liability that was 234 percent of payroll. In 2000, the plans were well funded at 110 percent, but years of the state substantially underfunding its actuarially required contribution, plus significant benefit increases, led the funding level to plummet. This problem was compounded by unfunded, automatic cost-of-living adjustments for retirees' pensions and incentives that were offered for early retirement. 43 Pew Center on the States Retiree Health Care and Other Non-pension Benefits Retiree health care and other non-pension benefits represent the other half of the challenge facing states: a $587 billion long-term liability, with only 5.44 percent of that amount, or almost $32 billion, funded as of fiscal year 2008. Pew found that only two states have more than 50 percent of the assets needed to meet their liabilities for retiree medical or other non-pension benefits: Alaska and Arizona. An additional 19 states have funded between 1 percent and 50 percent of the assets needed to pay for these benefits (see Exhibit 9). Only four states contributed their entire actuarially required contribution for non-pension benefits in 2008: Alaska, Arizona, Maine and North Dakota. For many years, states offered their retirees health care benefits without ever identifying the long-term costs. That changed in 2004 when the Governmental Accounting Standards Board created statements 43 and 45 that required governments to report on their long-term liabilities for retiree health care and other nonpension benefits. 44 Pew's 2007 report, Promises THE BILL COMING DUE with a Price, provided the first 50-state assessment of the cost of these benefits by compiling valuation figures for large state plans. As much as state pension systems vary, the range of liabilities for non-pension benefits is even greater. Some states, including Iowa, Kansas, North Dakota, South Dakota and Wyoming, have very minimal obligations. They generally do not provide retirees with help in paying premiums, but such states may allow retirees to be on the same plan as active employees, thereby incurring some costs associated with having older plan members who are likely to have more health problems. Other states, such as Arizona, Florida, Oklahoma and Virginia, have controlled costs by capping the amount of benefits paid. 45 Still others have developed different ways of handling this issue. For example, Iowa allows retiring employees to use a sick leave balance to buy into the employee health plan for the period before they are eligible for Medicare. 46 Some states have liabilities that are very large. In fact, a couple of the states with the largest retiree health liabilities also have the most underfunded pension systems. Connecticut has a $26 billion retiree health care liability with no funding set aside as of 2008 to deal with that long-term bill, and Hawaii has an unfunded $10 billion liability. Illinois has a nearly $40 billion liability with only $75 million in funding set aside. Unlike pensions, states generally continue to fund retiree health and other non-pension benefits on a pay-as-you-go-basis—paying health care costs or premiums as they are incurred by current retirees. Some state officials argue that these liabilities are not as daunting as the pension bill, because there are fewer legal barriers to changing benefits or increasing employee contributions for retiree health care benefits. Still, because both medical costs and the number of retirees grow substantially each year, costs escalate far more quickly than average expenditures. States paid $15 billion for non-pension benefits in 2008. If they had funded these benefits on an actuarially sound basis by putting away adequate money to pay for future benefits, the total payments should have been $43 billion. RETIREE HEALTH CARE AND OTHER Exhibit 9 NON-PENSION BENEFITS FUNDING For all states that are at least 1 percent funded. SOURCE: Pew Center on the States, 2010. THE BILL COMING DUE While paying more now may sound like an unattractive option to states, it will keep costs from jumping substantially in the future. A 2007 study found that if Nevada continued to follow a pay-asyou-go approach, the $49 million annual cost in 2009 would grow to $105 million a year in 2015. 47 Similarly, barring any change in benefit structure, Maine's $94 million annual payment in 2009 would grow to $151 million a year in 2015. 48 New Jersey's retiree health benefit plans were expected to pay out $1.4 billion in 2009 for medical care and drug costs; this would more than double to $3.1 billion in 2017 assuming no major reforms occurred. 49 individuals. Cranston's system was only 15 percent funded in 2006, while the units in the Rhode Island municipal system were 87 percent funded on average. At that point, the Cranston plan had run out of options. It had 98 active members and 407 retirees who legally had to be paid. By putting off payments for so long, the city eventually faced a debilitating annual bill. The Implications In states with severely underfunded public sector retirement benefit systems, policy makers often have ignored the problem in the past. Today's decisionmakers and taxpayers are left with the legacy of that approach: high annual costs that come with significant unfunded liabilities, lower bond ratings, less money available for services, higher taxes and the specter of worsening problems in the future. To some extent, even with significantly underfunded systems, problems still can be put off. But policy makers who choose this course will leave their states—and tomorrow's taxpayers—in even worse shape. Each year that lawmakers delay taking action aggravates the problem in the future, putting the state at risk of major increases in annual costs. Rhode Island's auditor general vividly illustrated the problems with a severely underfunded pension system in an audit released several years ago. 50 The report pointed out that the City of Cranston's Police and Fire Employees Retirement System had paid $21.7 million in 2006 for 505 individuals, the vast majority already retired. By contrast, the 110 local units of Rhode Island's Municipal Employees Retirement System collectively paid $20 million that year for plans that covered more than 14,000 Pew Center on the States To prevent situations like this, actuarially sound pension systems ensure that employees and employers contribute sufficient money on an annual basis to cover benefits that are earned that year. Those payments—"normal costs"—are calculated by actuaries using a variety of assumptions about investment rates, retiree life span, salary growth and many other factors. In the rare instances where a plan has little or no unfunded liability, these normal costs make up the entirety of the actuarially required contribution. In those cases, as long as pension benefits are moderate, the annual contribution to the plan is a relatively low percentage of the plan's covered payroll. In North Carolina, for example, the actuarially required contribution was $675.7 million or 3.2 percent of payroll in fiscal year 2008. In Wisconsin, it was $644.8 million or 5 percent of payroll. Unfunded liabilities develop when governments fail to provide funding as benefits are earned and also when inaccurate assumptions are used to calculate payment amounts. For states with underfunded pension systems, those annual costs become more expensive. That is because a second payment is added to the actuarially required contribution that is intended to eliminate the unfunded liability over a period of no more than 30 years, according to rules set by the Governmental Accounting Standards Board. In Connecticut, with its large unfunded liability, the aggregate actuarially required contribution for the three state-administered pension systems was nearly THE BILL COMING DUE $1.25 billion or 35.3 percent of payroll in fiscal year 2008. For Nevada's three systems, it was almost 1.3 billion or just over 24 percent of payroll. When states do not meet the actuarially required contribution, the unfunded liability continues to rise (see Exhibit 10), and required payments in future years grow even larger. The latest figures show that collectively states fell significantly short of their actuarially required contributions, skipping some $6.6 billion in pension payments and almost $28.2 billion in payments for retiree health care and other non-pension benefits. At the same time, unfunded pension liabilities went up by $87.8 billion. To cover this added amount during the next 30 years, assuming 8 percent investment returns, states will have to pony up an additional $7 billion in payments each year. As the number of retirees increases over time, extremely underfunded systems confront an additional problem: their assets need to be kept more liquid to pay benefit checks. As a result, investment opportunities that can prove advantageous to a large investor with a long horizon are closed off. In Kentucky, the pension system's cash flow problems "definitely impact our ability to recover," said Mike Burnside, executive director of the Kentucky Retirement Systems. "If you have to focus on shorter-term investments and more liquid assets, you can't take advantage of the longer yield over the longer period of time." 51 The Pressure Mounts Some underfunded pension systems already were straining to increase contributions prior to the Great Recession. These increased contributions fall on the state and other public sector employers. For Oklahoma's state employers, for example, the state's pension contribution rates have been going up about 1 percentage point a year for the past five years. They are still falling short of what is necessary to meet actuarial demands. By 2010, the contribution reaches 15.5 percent of payroll, and current law has it topping out at 16.5 percent in 2011. 52 Illinois was able to contribute only about 58 percent of the $986.4 million it should have set aside in fiscal year 2008—and the burden continues to grow. For fiscal year 2010, Illinois' employer contribution went from 21.5 percent to 28.4 percent of payroll for the State Retirement Systems, which include state employees, judicial employees and the General Assembly. 53 A GROWING BILL: 50STATE TOTAL REQUIRED CONTRIBUTION Exhibit 10 SOURCE: Pew Center on the States, 2010. THE BILL COMING DUE In the vast majority of states, the effect of significant investment losses from 2008 and early 2009 have not yet been fully factored into contribution rates. But given the extent of the losses, it is likely that even states that have funded their pension plans well in the past will face large increases in annual payments. Oregon provides a unique early warning of the impact of the dramatic drop in pension investments. It is one of 15 states in which the 2008 asset valuations for at least some of the plans were calculated as of the end of the calendar year and, as a result, show the effects of the devastating second half of the year. In addition, Oregon, like Idaho and West Virginia, calculates its pension assets based on fair market value. All the other plans smooth out their investment gains and losses over a set number of years, recording only a portion of the impact each year. 54 This means that Oregon took the full brunt of its 27 percent loss in 2008—while other states' funding levels will likely continue to drop for the next four or five years, as the major losses experienced in 2008 and the first quarter of 2009 are gradually incorporated. 55 The critical question for states is whether the investment returns of the past two years are anomalous or whether they signal a fundamental change in how the markets will be operating. 58 As with other state systems, Oregon's returns in 2009 have been considerably better, at 13.8 percent as of September 30, 2009. 59 But even if their returns continue to improve, states will take a very long time to recover the ground they lost. Barry Kozak, an actuary and faculty member of the Center for Tax Law and Employee Benefits at the John Marshall Law School in Chicago, was asked to determine how long it would take for a pension fund to recover from a one-time, 24 percent loss in value. Kozak said the fund would have to make 16 percent in annual investment returns for the next five years to accumulate as much as would have been accrued if they had consistently received the historically anticipated 8 percent rate of return over the same period of time. 60 Oregon's loss contributed to a massive drop in its pension funding level, from 112 percent in 2007 to 80 percent in fiscal year 2008. While the state's pension liabilities went up by almost $1.4 billion, the state's assets dropped by $15.8 billion. Oregon went from having a pension surplus of $6.5 billion to having an unfunded liability of $10.7 billion. Paul Cleary, executive director of the Oregon Employees' Retirement System, expects that because of investment losses, its employer contributions will rise from 12 percent of payroll paid in the state's current biennium to 18 percent 56 of payroll in the 2011–2013 biennium, about a $750 million increase. 57 "When we look at cumulative investment returns over the last 10-year period, it was worse than the decade that included the Great Depression," said Cleary. Pew Center on the States Montana provides a good example of what states are up against in trying to recover using investment returns alone. The investment loss for the state's Public Employees' System was 20.7 percent in fiscal year 2009 and 4.9 percent in fiscal year 2008, said Carroll South, executive director of the Montana Board of Investments. But because the pension fund also did not make its expected 8 percent rate of return, the shortfall is really almost 28.7 percent and almost 12.9 percent for each of those fiscal years respectively. 61 The almost unavoidable upcoming increases in employer contributions could not come at a worse time. These actuarial demands have hit just as states' revenues have been squeezed by the recession. Employer contributions come out of the same pot of money that funds education, Medicaid, public safety and other critical needs. Between the start of the recession in December 2007 and November 2009, states faced a combined budget gap of $304 billion, according to the National Conference of State Legislatures (NCSL). 62 Budgets have continued THE BILL COMING DUE to deteriorate in the current fiscal year, 63 with more than half of the states scaling back spending in response to ongoing shortfalls. 64 And revenues are expected to continue to drop still more during the next two years. 65 Under these conditions, many states have been and will continue to be forced to make difficult decisions about where to invest their limited resources. The Roots of the Problem The recession exacerbated the challenges—but many states entered the recent downturn with fundamental weaknesses in their retirement systems that stemmed from earlier mistakes and decisions. States that were prudent in the past might ride out this financial storm without being forced to make drastic changes, but those that were not likely will have to make some painful choices. A number of factors contributed to the problems states now face. Pew examined four of the most significant: (1) the volatility of pension plan investments; (2) states falling behind in their payments; (3) ill-considered benefit increases; and (4) other structural issues. The Volatility of Pension Plan Investments As noted earlier, in calendar year 2008, the median investment loss for public pension funds was 25.3 percent. 66 For the vast majority of states, this extensive loss was not fully factored into the fiscal year 2008 financial documents used for Pew's analysis. The gap between assets and liabilities when data from fiscal year 2009 are released will be even more alarming. In fiscal year 2009, retirement systems in such states as Tennessee, New Jersey, North Carolina, Oklahoma and West Virginia lost between 14 percent and 16 percent; 67 the California Public Employees Retirement System's (CalPERS) investments declined by 24 percent; 68 the Louisiana Teachers System lost nearly 23 percent; 69 and New Mexico's Public Employee Retirement Association lost more than 24 percent. These losses represent massive drops in asset levels; CalPERS' 24 percent loss, for instance, equated to a $57 billion drop. 70 "There was no place to hide," said Terry Slattery, executive director of the New Mexico fund. 71 Focus on: Pennsylvania Pennsylvania offers a useful case study of a state affected by the volatility of pension plan investments. In the 1990s, Pennsylvania had robust investment returns, which encouraged leaders to dramatically raise retirement benefits. This amounted to a 25 percent increase for Pennsylvania employees and teachers in 2001, with subsequent cost-of-living increases for retirees. 72 At the time, Pennsylvania's pension system was funded at more than 126 percent, so it appeared that the increases could easily be absorbed. But the dot-com bust, 9/11 and the attendant stock market drop occurred from 2001 to 2003, all of which led to a decline in pension assets. To prevent a major increase in annual contributions, state leaders decided to account for investment losses and gains on two different time frames. The gains from the 1990s were spread out over 10 years while the losses and the costs for increased pension benefits were spread out over the next 30 years. Pennsylvania officials were optimistic that strong investment returns would diminish and perhaps erase entirely the impact of the spike in employer payments that was expected. 73 For a while, that looked as if it were happening. By the close of 2007, both the state employees' and school systems had four years of good investment returns, including a more than 17 percent yield in calendar year 2007. 74 Then came 2008 and enormous across-theboard investment declines. The Pennsylvania State Employees Retirement System lost more than 28 percent of its assets in that year. As a result of these investment losses as well as the state's unorthodox funding approach, officials in Pennsylvania's state employee pension system are projecting a jump in contribution rate from 4 percent of payroll today to 28.3 percent in the fiscal year that begins July 1, 2012, and 31.3 percent the following year. 75 If Pennsylvania were required to make that jump today, the state would need to find an extra $1.38 billion to pay the 2012 rate and an extra $1.55 billion to pay the 2013 rate. THE BILL COMING DUE Back in the 1970s, state pension systems generally relied on conservative investments that delivered a low but relatively consistent rate of return. During the next several decades, however, pension systems loosened up their restrictions on making investments in equity, real estate and, more recently, private equity. In 1990, 38 percent of pension plan assets were invested in equities, broadly defined. By 2007, equity investments accounted for 70 percent of all state pension plan assets, according to Federal Reserve Board data. 76 In the 1990s, states enjoyed strong returns and pension assets shot up so dramatically that by 2000, some pension funds began to lower contribution rates because they were over-funded. But the experience of the early part of this decade and the past two years, in particular, provided state officials with a vivid view of the downside of the more aggressive investment strategies that many states adopted. employees, and the checks going out the door took up a larger and larger portion of state revenues. Indiana's State Teacher Retirement fund is a good example. In 2007, when it had its latest actuarial valuation, it was only about 45 percent funded. Before 1996, there was no intent to fund this plan. Only after that year was a new pension system designed that was based on actuarially sound practices. 77 The same problem affects Rhode Island's severely underfunded Employees Retirement System, which operated essentially on a pay-as-you-go basis from 1936 to the late 1970s. It still is only about 57 percent funded even though it has made 100 percent of its actuarial contributions since the early 1980s. "You're paying for the sins of the past," said Frank Karpinski, executive director of the Rhode Island system. Little attention was paid in the early years to actuarial questions; in those days, you passed legislation and asked questions later, Karpinski said. 78 The double blows of negative investment returns in 2008 and the first quarter of 2009 shattered expectations and sent pension boards and staff into waves of self-examination even after returns began to resuscitate after March 2009. Are investment expectations, typically around 8 percent, set too high? Are investment portfolios properly diversified? Has the drive for greater returns subjected pension systems to excessive risks? Solid, data-based answers are still few and far between. Falling Behind in Payments A new pension system can make a variety of attractive promises at what appears to be a relatively low cost because, at first, the number of retirees who collect benefits is small. Pension systems with really severe problems often started out as "pay-as-you-go" plans in which retirees derived their benefits from current state revenues, not any pool of accumulated cash. Inevitably, the number of retirees grew relative to the number of current Pew Center on the States As state pension systems matured, they moved away from a pay-as-you-go approach to one in which benefits are funded as they are earned. As noted above, actuaries in each system calculate the annual required contribution based on the normal cost and a portion of the unfunded liability. But in the vast majority of states, legislatures set the amount that is paid, which may differ substantially from the actuarially required contribution. In tough economic times, this may be one of many decisions a legislature makes in prioritizing expenditures. But states also made limited contributions when times were flush. During the past five years, 21 states failed to make pension payments that averaged out to at least 90 percent of their actuarially required contributions. "You need to make contributions in all market environments," said Michael Travaglini, executive director of the Massachusetts Pension Reserves Investment Management Board. 79 States often have given themselves a funding holiday in response to favorable investment returns. By 2000, fully half of the states had reached 100 percent funding of their pension systems, due to the THE BILL COMING DUE strong market performance of that decade. At the time, it seemed as if pension funding could only go in one direction: up. Governments such as Kentucky, New Jersey and Oklahoma began to pull back on their contributions. "Maybe a decade ago the system was over 100 percent funded," said Burnside, executive director of the Kentucky Retirement Systems. "It is easy when you're building government budgets to say, 'We don't need to contribute to the retirement plan because they have all the money they need,' and you start backing off of your retirement contribution." 80 Until the Governmental Accounting Standards Board set a new standard for financial reporting in 2004, most governments did not even calculate the long-term impact of offering retiree health care and other non-pension benefits, and only a few were actually putting aside any funding. 83 As noted earlier, Pew's 2007 report, Promises with a Price, was the first to report the assets and liabilities of all 50 states' non-pension benefit systems. Pew's current analysis found that in fiscal year 2008, only Alaska, Arizona, Maine and North Dakota met their actuarially required contributions for these systems. Focus on: Oklahoma and New Jersey In the late 1990s, Oklahoma's Public Employees Retirement System's 12.5 percent employer contribution rate exceeded its actuarially required contribution. The legislature wanted to find a way to finance a state across-the-board pay increase—so it cut the employer contribution to 10 percent of payroll, providing money for raises for state agencies. Investments turned sour in the early 2000s, costing the state assets it had counted on. The contribution rate stayed at 10 percent through fiscal year 2005, while liabilities continued to go up. 81 In 2004 and 2005, the state's payments covered less than 60 percent of the required contribution. In New Jersey, with a pension system that was about 106 percent funded in 1998, the state legislature began to dramatically underfund its annual contributions. Between 2000 and 2006, the state never exceeded 30 percent of the required contribution. By 2008, the total funding level had fallen below 73 percent. Recently defeated Governor Jon Corzine (D) emphasized the need to improve the state's pension situation and increased funding in 2007 and 2008, but during the financial crisis, the resolve to do a better job of supporting the pension system all but vanished. According to Frederick Beaver, director of the New Jersey Division of Pensions and Benefits, New Jersey was supposed to pay about $2.3 billion in 2009 but contributed just $105 million. For 2010, the amount required was about $2.5 billion, but just $150 million was budgeted. "There was just not money to go around for everything," said Beaver. "Any time that I see less than a fully funded contribution I get really worried, but all we can do is emphasize our concerns." 82 Unfunded Benefit Increases Once a state promises a retirement benefit, it is extremely difficult to take it away. This is true in every state in the country, albeit to varying degrees. In general, pension benefits that already have been earned have strict constitutional or contractual protections, although the right to continue to accrue benefits going forward is slightly less certain, according to Keith Brainard, research director for the National Association of State Retirement Administrators. 84 In some states, retiree health benefits also are protected. 85 Even in states that have more flexibility to change benefits for current employees, the political difficulties are formidable. No legislature wants to antagonize government employees who, at the least, vote in elections and, at worst, can turn into powerful political foes. There also is a question of fairness. Should employees who have been counting on retirement benefits and who have considered them to be part of ongoing compensation suddenly discover that those benefits have disappeared? Despite the difficulty of retracting benefits once they are given, some states made the commitment to significantly increase benefits, particularly in the 1990s and in the early part of this decade. There are various reasons for this; for instance, some states have raised employee benefit levels in lieu of raising salaries but they were inattentive to the cost of added benefits. THE BILL COMING DUE For instance, when Oklahoma increased benefits in the 1980s and 1990s, leaders simply did not focus on the size of the unfunded liability that was building up, according to Tom Spencer, executive director of the Oklahoma Public Employees Retirement System. "Frankly, I don't think our legislature was paying attention to the actuarial statistics when passing legislation. It is obvious that in some local plans and some state plans, the benefits have just gone way too high," Spencer said. "[E]very government needs to be able to afford the pensions they've promised. In Oklahoma, there's been a gigantic disconnect between what's been promised and what they're willing to pay." 86 percent funded, with full funding envisioned in a little less than 10 years. In 2008, the funding level had dropped to about 73 percent, with full funding now almost 30 years away. The actuarially required contribution vaulted from $362 million in 2000 to nearly $637 million in fiscal year 2008. From 1999 to 2002, Mississippi increased its pension benefits substantially without putting in place a funding mechanism. "A lot of people were riding that wave of euphoria from investment returns," said Pat Robertson, executive director of the Mississippi Public Employee Retirement System. 87 Much of the increase in benefits came in the form of unfunded cost-of-living increases to retirees. Retirement formulas also were changed for current employees, effectively providing an unfunded retroactive benefit increase. By 1998, the Mississippi Public Employee Retirement System was about 85 Increasing Benefits There are several ways in which benefits can be raised. Most of them are tied to altering one of the factors involved in the calculation of the amount retirees receive. This formula includes some measurement of an employee's final average salary, the number of years worked and a pension multiplier (for each year worked, employees receive a certain percentage of their final salary as an annual benefit). The cost of the benefits also is affected by the age at which employees are allowed to retire, the length of time it takes to vest in the system, and the state's policy toward cost-of-living increases. Any unplanned increase will throw off past actuarial calculations of the funding necessary to support the system. Pew Center on the States For a long time, New Mexico periodically granted benefit increases in lieu of salary increases, creating a benefit structure that became one of the most generous in the country. One notable aspect of New Mexico's pension systems has been its early retirement age: general employees can retire with full pensions after 25 years of service at any age, and law enforcement personnel can retire at any age with only 20 years of service. 88 New Mexico's funding level has dropped from 96 percent in 2000 to nearly 83 percent now. The actuarially required contribution was about $334 million in 2000; today it is more than $667 million. In addition, a significant lobbying push by the state's municipalities led to the removal of the cap on what individuals could earn if they retired and returned to government work. Without the cap, workers could earn both a full salary and a full pension simultaneously. The case to permit retirees to return to work was strengthened by shortages in police departments. But the legislation was not limited to public safety—the income caps for retirees who returned to work were removed for everyone. 89 Similar stories abound in the realm of non-pension benefits. In Vermont, back in the 1970s, employees had to work for 10 years before they qualified for either pensions or retiree health care. But the vesting period was lowered to five years in 1981. In 1991, the state began to allow employees to retire at age 62 with no vesting requirement. This meant an employee could work for the state a few months, and as long as he or she retired directly from state employment, Vermont would pay 80 percent of medical premiums for the employee and spouse THE BILL COMING DUE for the rest of their lives and for other dependents until they reach an age at which they are no longer covered, according to Cynthia Webster, director of the Vermont State Employees Retirement System. 90 at 15 years, and finally 80 percent after 20 years of service. Employees hired before the reforms are still covered under the old arrangement. 91 Vermont went back to a five-year vesting period in 2004 and, in 2008, put reforms in place that further pulled back on retiree health care offerings for new employees. Individuals hired after July 1, 2008, now must work 10 years before they receive retiree health benefits, and the state will pay 40 percent of the premium at that point, escalating to 60 percent The urge to provide benefit increases has abated a good deal, following the sobering increase in unfunded liabilities after the 2001–2003 stock market downturn. But given that the market will eventually recover, there will likely come another day when states are tempted to increase benefits again. The lessons learned in the past provide important considerations for policy makers. Focus on: Colorado In 2008, Colorado's aggregate pension funding level—the combined results for state, school, judicial and local employees that are part of the state-administered system—dropped to just under 70 percent from slightly more than 75 percent the previous year. Like most states, Colorado smoothes out investment losses—in its case, over four years. So the state's 2008 funding figure takes into account only about 25 percent of the losses sustained in 2008, with the rest to be factored in over the next three years. 92 Even if the state has reasonably solid returns going forward, it is likely that its funding level will continue to drop through 2012 at least. Before the economic downturn, the state developed a plan to reach full funding within 30 years, which included a gradual increase in actual contributions, but the decline in state revenues coupled with the loss of investment income derailed those plans. The dramatic decline from Colorado's 105 percent funding level in 2000 can be attributed to three factors: 93 1. Increased benefits. In the late 1990s, Colorado made several benefit enhancements, including automatic cost-of-living increases for retirees and a drop in the age of normal retirement from 55 to 50 with 30 years of service. 94 Colorado's liabilities increased by 115 percent since 1999, rising from nearly $26 billion to almost $56 billion in fiscal year 2008. Meanwhile, the state's assets increased by only 45 percent, growing from nearly $27 billion in 1999 to almost $39 billion in fiscal year 2008. 2. Missed contributions. Up until 2002, the state paid its contributions regularly. But the dot-com bust and investment losses in the early part of this decade led to a jump in required contributions that the state could not meet. Over the past six years, the state paid only between 50 percent and 70 percent of its actuarially required contribution, for a total of $2.4 billion in payments that were skipped. 95 These missed payments are added to future payments with the result that the contribution requirement goes up. The required contribution was more than 11 percent of payroll in 2004 and had grown to about 17.9 percent of payroll in 2008. While the plans paid $2.8 billion in actual benefits to retirees in 2008, contributions that came in from employers and employees amounted to only $1.6 billion. 96 3. Investment losses. In calendar year 2008, Colorado's investment losses were 26 percent, generally on par with other retirement systems. On a fair market basis, the state's pension funds had a decline of $11 billion. But all of the calculations that are made by the state's actuaries—including the estimate of the annual funding needed—are based on the idea that the state will see returns of 8.5 percent annually. This means, in effect, that the state lost not only $11 billion, but also the $3.46 billion it was expecting to earn that year to stay even. THE BILL COMING DUE Other Structural Issues 2) Cost-of-living adjustments A number of other factors—many of them self imposed by states—have made it even more difficult for states to keep up with the needs of current workers and retirees. Pew examined five significant factors—early retirement, cost-of-living adjustments, sharing excess returns, double dipping, and spiking final salaries—that impact states' current challenges. 1) Early retirement In tough times, governments often offer incentives to encourage early retirement to reduce the size of the workforce. In 2009, this action was taken by Vermont, Maine and Connecticut. 97 While this may cut personnel costs in the short term, the positions often end up being filled again, while the retirement system ends up with increased expenses over time. Special early retirement programs turn pension plan enrollees into beneficiaries sooner than expected or may offer additional benefits as an enticement to leave. This disrupts actuarial assumptions and adds years of retirement benefits for each individual who signs up. Connecticut has had a series of early retirement programs, allowing employees with at least 10 years of service to retire at age 52 instead of 55, or providing employees with credit for three extra years of service if they were already at least 55. "These incentive programs really whacked the system," said Jeanne Kopek, assistant director of the Connecticut Comptroller Retirement Services Division. The state ran early retirement programs in 1991, 1997, 2003 and again in 2009. It added an additional 3,800 people to the pension payroll this year that had not been planned. "This may save money on the normal budget, but it is on the back of the retirement system," said Kopek. "You're not really saving anything. You're taking from Peter to pay Paul." 98 Pew Center on the States States that offer a regular cost-of-living adjustment to retirees often will incorporate the annual increase into their actuarial calculations. This may be expensive, but at least actuaries know it is coming and have factored the increased pension checks into their calculations of liabilities and adjusted funding requirements to cover the additional amount. Some states, however, offer cost-of-living adjustments on an ad-hoc basis, introducing an additional strain on the pension system because it has not been accounted for. For example, a 2 percent cost-ofliving increase in 2008 in Georgia added $188 million of unfunded liability into the pension system, according to Pamela Pharris, executive director of the Georgia Employees Retirement System. The Georgia legislature passed a law this past year that ends cost-of-living adjustments for newly hired state employees when they retire. "If you're coming in the door and you know you won't get a COLA [cost-ofliving adjustment] when you retire, you won't be planning on it," said Pharris. 99 3) Sharing excess returns Some pension systems have run into trouble because their retirement systems were designed to credit employees with additional retirement earnings when times were good, but did not take any money away when times were bad. 100 That was the idea behind Oregon's now frozen money match system, in which employees' 6 percent contributions were placed in a member account and guaranteed an 8 percent annual return. If the actual return from state pension investments was more than 8 percent, the increased amount was credited to their account. 101 If the state had not credited the accounts with the surplus returns, then good years and bad years should even one another out, and the state could hope to have sufficient cash in reserve to fund the 8 percent guarantee in bad years. But when returns that exceeded the 8 percent annual return THE BILL COMING DUE assumption were credited to member accounts rather than reserved, there was no way to balance the down years with good years. In the robust years of the late 1990s, Oregon's 30-year career retirees got a windfall, with many ending up with pensions that exceeded their final salaries. The pension system itself was well funded until the market downturn of 2001–2003 sent investment returns into a tailspin. In early 2003, state projections showed the pension system dropping from 100 percent funded to 65 percent funded. At that time, substantial reforms were introduced, the state took out a pension bond to cover some of its unfunded liability, and the money match system was frozen. Subsequent member contributions were diverted to new accounts, and the state ended the practice of crediting amounts above an 8 percent return to members and began to put excess returns from good years in reserve instead. 102 While Oregon's reforms were challenged legally, the state prevailed on most points. 103 4) Double dipping One of the major issues that is likely to surface in state legislatures in the next two years centers around retirees who are given their pensions and then come back to work for a new salary. 104 This practice, often dubbed "double dipping," has attracted a lot of attention in the press and has become a public relations issue for many state governments. In Utah, the legislative auditor released a report in November 2009 saying that the number of state retirees who were returning to work had grown from 125 individuals in 1995 to 2,166 in 2008. 105 The report identified a $401 million cost impact on the state stemming from retirees returning to work between 2000 and 2008 and identified an $897 million impact during the next 10 years if laws are not changed. 106 Utah, however, is not alone in wanting to retain experienced and talented staff eligible for retirement. States have created Deferred Retirement Option Plans (DROP) in an attempt to avoid the rise in costs with paying both a pension and salary to a worker. DROPs are designed to help retiring employees stay in their jobs for a fixed amount of time, perhaps a year or two, to train and transfer knowledge to other employees. These programs keep them on salary and allow them to save in special accounts the pension benefits they would have been earning if not working. DROP plans can be hard to design and controversy has ensued regarding the ways these programs are used. In Arizona, for instance, the legislature passed a DROP about seven years ago, but repealed it a year or two later, before it ever went into effect, after a study demonstrated that the new program would require a $45 million annual increase in employer contributions. 107 5) Spiking final salaries Another issue that has caused concern is the way final salaries—a key element of the pension formula—are calculated. Pension benefits are supposed to reflect the employee's salary level and are thus based on the worker's wages in the final years of his or her employment. Workers have found ways to boost their salaries in those final years, greatly increasing the level of benefits to which they are entitled. Common ways to boost salaries include ensuring that overtime goes to the most senior workers, saving sick leave and getting temporary promotions or last-minute raises. When states allow such actions to occur, retirees who manipulated the system get a higher benefit and states suddenly face an increased liability. In Delaware in 2008, newspaper reports detailed ways in which correctional officers' overtime payments led to higher pension benefits. 108 Georgia recently cracked down on agencies that were giving large raises to employees at the end of employment as a way of increasing pension benefits. 109 The Road to Reform Factors Driving Change A convergence of factors is creating growing momentum for reforms to states' public sector retirement systems. In the past two years, states have suffered from enormous budgetary troubles. As noted in Pew's November 2009 report, Beyond California: States in Fiscal Peril, every state except for North Dakota and Montana encountered budget shortfalls in fiscal year 2010. 110 In the last quarter of fiscal year 2009, state tax collections were 16.6 percent below the same period in 2008. In total, tax collections dropped $63 billion or 8.2 percent from the previous year, according to the Nelson A. Rockefeller Institute of Government. 111 Through the fall, revenues in 31 states were coming in below already lowered expectations. 112 As noted earlier, states' pension systems will suffer from their recent investment losses for many years to come. These losses affected virtually every large state pension system in the country, 113 sending assets plummeting and leading some policy makers and experts in the field to question longstanding assumptions about asset growth. 114 The financial pressures add to other forces that are creating a groundswell for reform. One impetus for change comes from increasing public awareness of the gulf between retirement benefits in the public and private sector—a gap that continues to grow. According to the Bureau of Labor Statistics, 86 percent of state and local government employees participate in a retirement plan compared with 51 percent of private sector workers. 115 Defined benefit plans also are far more prevalent in the public sector. While only 20 percent of private sector employees have access to defined benefit plans, 90 percent of public sector employees do. 116 Pew Center on the States This gap in coverage, and the fact that taxpayers are asked to fund benefits that they often lack themselves, has created a politically potent push to alter the status quo. In the midst of the budget crisis facing states, several business groups and organizations advocating for smaller government have sought to generate public outrage around what they perceive to be largesse for government workers. The California Foundation for Fiscal Responsibility, for example, launched a campaign in 2009 to publicize the benefits of 5,115 public sector employees whose pension benefits top $100,000. 117 (The California Public Employees Retirement System countered the resultant onslaught of newspaper stories by arguing that the average annual payment was $23,820. 118 ) In Illinois, the Civic Committee of the Commercial Club of Chicago came out with a series of reform ideas in summer 2009 centered around lowering pension benefits, requiring pension and retiree health contributions from all employees, requiring retirees to pay a greater share of health plan costs and increasing the retirement age. 119 The Civic Committee pointed out that many companies have turned away from defined benefit plans and that "state retirees currently receive more generous pension benefits than those available to Illinois taxpayers." 120 Public opinion polls in several states indicate these arguments might be finding traction. A poll last fall in California, for instance, showed that a majority of registered voters supported reducing pension benefits for new workers. 121 In Illinois, the percentage of voters in favor of cutting state spending on worker pensions was nearly 40 percent in 2009, an increase of more than 15 percentage points since 2008. 122 THE R OAD TO REFORM At the same time, the media focus on public sector retirement systems has sharpened. One analysis identified 524 newspaper articles written in 2008 on state pensions compared with 399 in 2007 and only 169 in 1998. 123 A particular focus of these articles has been on scandals and abuses in state systems. While there is no evidence of rampant abuse through the retirement systems of the 50 states, specific incidents have received significant press attention. Recently, stories have appeared on alleged pay-toplay arrangements in New York, 124 and salary spiking in Massachusetts 125 and California. 126 to make the change, effective July 1, 2008. At the time, the legislature also passed a three-year moratorium on benefit increases until 2011. 129 With these kinds of accumulated pressures, many states are considering reforms. This is a topic that can no longer be put off until some uncertain tomorrow. Policy makers, particularly those in states with extremely underfunded systems, are increasingly concerned about their problems now. Some factors driving interest in reform are the same ones that Pew described in its Promises with a Price report in December 2007. The explosion of the baby boom generation into the ranks of retirees is causing a major demographic shift. By 2030, one in five Americans will be over 65. 127 People also are living longer. Life expectancy at birth was 70 for an American born in 1960 and 78 for someone born in 2005. A 65-year-old in 1950 could expect to live 14 more years. Someone of that age in 2005 could expect to live 19 more years. 128 This increased lifespan has dramatic effects on the expense of retiree benefits. For example, when Hawaii reviewed and analyzed the data and actuarial assumptions used for the five-year period ending June 30, 2005, it found that retirees were living longer and employees were retiring earlier than projected. This information, coupled with higher salary growth than expected, meant that even with 100 percent of the actuarially required contribution funded, the state still would fall behind on the money needed to fund its pension system. The Board of Trustees requested that the legislature increase the employer contribution rate from 13.75 percent to 15 percent of payroll for general employees and from 15.75 percent to 19.7 percent for police officers and firefighters. In 2007, the legislature agreed It is not an easy topic to tackle. In 2008, nearly four of every 10 state and local government employees belonged to unions, a rate higher than any other workplace sector in the nation. 130 Historically, unions have fought hard against any infringement to the compensation they have received, although there may be signs of compromise in the air. (See "Unions and Reform" sidebar on page 32.) In addition, state constitutions and statutes generally protect pension benefits, and judges frequently have held that states cannot modify pension contracts with existing employees. "[O]nce granted, a pension is a contractual obligation of the employer, so that in most states it is impossible to cut the promise of a future benefit," said Ron Snell, director of the State Services Division at the National Conference of State Legislatures in Denver. 131 While these prohibitions appear to be ironclad in most states, some pension officials noted areas in which there is distinct uncertainty. "There are some pretty gray areas in the legal environment," said Meredith Williams, executive director of the Colorado Public Employees Retirement Association. "If you have someone with a number of years in the system, can you change their accrual of benefits going forward? Good question. Can you change the rate at which they contribute going forward? That's also an interesting question. There are significant gray areas in the legal thinking and not a lot of case law." 132 THE R OAD TO REFORM Unions and Reform In a number of states, notably those with strong unions, public sector retirement benefit reform has been a struggle, whether the obstacles come directly from the unions or through elected officials who are committed to defending state workers' benefits. In New Mexico, for example, public employee unions filed a lawsuit after state lawmakers in 2009 hiked existing employee contributions to their pension fund and reduced the state's share of the cost to save $43 million a year. Arcy Baca, president of the American Federation of State, County and Municipal Employees (AFSCME) Local 477 in Santa Fe, said that while the union understands the state's budget predicament, the additional 1.5 percent in pension contributions taken from employee paychecks amounted to a tax increase on state employees. 133 Similarly, at least seven of Rhode Island's public employee unions have threatened to challenge the pension reforms enacted by the state legislature in 2009, which established a minimum retirement age of 62 and changed the way final salary is calculated for workers eligible to retire October 1, 2009. The reforms are supposed to save the state $59 million in the budget year that ends June 30, 2010. The unions objected that the new provisions apply to employees who are vested with more than 10 years in the system. 134 unsustainable. 138 At the same time, the 7,000-member Las Vegas Chamber of Commerce, the state's largest business group, mobilized to persuade lawmakers to overhaul the pension system. Kara Kelly, the chamber's executive director, said business leaders believed Nevada had one of the most generous plans in the nation but needed an outside expert "to see if our hunches were true." 139 The analysis that followed, by Hobbs, Ong and Associates and Applied Analysis, a Las Vegas-based consulting firm, concluded that Nevada public employees had among the nation's highest average salaries and favorable retirement benefits. 140 The chamber presented the study to a legislature already looking at deep cuts to programs and services and the prospect of tax increases. But some experts say there may be a greater willingness among unions to accept pension plan changes now than any time in the recent past. Gary Chaison, a professor of industrial relations at Clark University in Massachusetts, said he believes state employee unions eventually will accept reforms especially because most of them apply to new hires. "During hard times, there's a greater union flexibility on pensions," he said. "Workers are pragmatic in their judgment about what they agree to change for future retirees before changing for themselves." 135 Nevada is an example of a heavily unionized state that was able to overcome objections to alterations in the pension plan. For about 15 years, unions had blocked attempts by business leaders to persuade the legislature to trim retirement and health benefits for new hires, 136 but the state's $3 billion budget gap for the 2009–2011 biennium helped set the stage for change. 137 In Fall 2008, Clark County Commission Chairman Rory Reid (D) convened a meeting of top union officials in Las Vegas to tell them current labor costs were Pew Center on the States The path to reform was eased as different sides of the political spectrum gave ground. The Chamber of Commerce dropped its longstanding support of a defined contribution plan for public sector employees and endorsed a broad tax increase package to help balance the state budget. Republican lawmakers said they would support a tax increase but only if Democrats agreed to tighten the pension system for new hires. The budget passed. 141 Under the reform, new workers cannot begin receiving benefits until age 62, while current employees can retire at 60 with 10 years' service or at any age with 30 years. The plan also reduces the cost-of-living adjustment and the multiplier used to calculate benefits after an employee retires. 142 Union officials also played a role in negotiating this deal. 143 Nevada Senate Majority Leader Steven Horsford (D) called the pension reforms "a major shift" for new state employees. Asked how hard it was to oppose unions by agreeing to the reforms, Horsford said, "We can't protect all sacred cows. Otherwise, you can't meet all essential government services such as education and health care." 144 This deal was possible because concerns related to retirement security of workers were addressed along with the need to control costs. Union officials say that other states often fail to ask hard questions about how the systems are managed or what led to the unfunded liabilities before they turn to unions for givebacks or major alterations. The real test, said Gerri Madrid Davis, director of the National Public Pension Coalition, is whether states are willing to look for solutions that address both employees' needs and pension funds' sustainability. 145 THE R OAD TO REFORM Promising Approaches: Setting the Stage for a More Secure Future PAYING THE BILL, OR NOT Exhibit 11 A growing number of states are showing interest in exploring policy options to address the bill coming due for their public sector retirement benefit obligations. Given the size of the bill and the challenges to reform, there are no quick fixes—but there is considerable momentum for change. This momentum stems not only from the fiscal and social pressures described earlier, but also from the track record of states that have moved forward to reduce the cost of their systems while still providing retirement security to their employees. A Menu of Reforms States have several different ways to improve their retirement systems and more than one viable path to success. In 2009, 11 states, established a task force or study commission or asked an existing entity to examine options and make recommendations for reform. 146 Other groups previously set up were finishing their work—for example, a special pension commission in Massachusetts released its final report in October, 147 and a Maryland commission on retiree health care is expected to release its final report in December 2011. 148 At least five other states were exploring changes through ad-hoc studies in the legislature or the pension administration or through reviews of benefits and pension structure by boards of trustees. 149 "We want legislators and stakeholders to understand the set of choices they have," said North Carolina Treasurer Janet Cowell, who launched such a commission. "What would a good system look like? What's a reasonable amount of money for retirement? Can we support 40-year retirements? What should the retirement age be? Then, how do we fund it?" The 10 states that most recently paid the highest percentage of their annual required contribution for pension plans—and the 10 states that paid the lowest percentage. 10 LEADING STATES 10 LAGGING STATES SOURCE: Pew Center on the States, 2010. Based on an examination of states' policy changes and practices over time, Pew identified five key reforms that largely have proven politically feasible and that offer the opportunity to improve the performance of public sector retirement systems in both large and small ways. Keeping Up with Funding Requirements The make or break factor for keeping a retirement system well funded is to pay the actuarially required contribution consistently (see Exhibit 11). Several of the states that pay the full amount required each year for their pension systems THE R OAD TO REFORM have statutes or even constitutional requirements that dictate this practice. Arizona, for example, has a constitutional requirement that provides for full funding of the pension system each year. 150 Tennessee has a similar statute in place. 151 In Alaska, where many employees are still on a defined benefit plan, employer contributions are set in statute at 22 percent of payroll for the Public Employees Retirement System and at 12.6 percent for the Teachers Retirement and Pension System. Funding contributions go both to pensions and retiree health care, making Alaska one of the few states to provide ongoing funding for non-pension long-term obligations. When the statutorily set employer contribution rates fall short of what actuaries require, another Alaska law requires the state to make up the difference. 152 In 2008 and 2009, in the midst of a severe budget crisis, other states were unlikely to create new rules requiring themselves to make full payments. Connecticut was an exception—in early 2008, the state issued a $2 billion bond to help support the underfunded teachers' pension system, with a covenant that required the state to fully fund that plan based on actuarial assessments as long as the bonds are outstanding. 153 Pension Obligation Bonds One of the options many states consider when their pension obligations appear to be careening out of control is the use of pension bonds. With these instruments, a state or local government can borrow money from investors in the bond market for up to 30 years and put it in its pension fund. The lump sum the government receives from the sale of the bonds is then invested with the intent of generating a highenough return to adequately fund the pension plan and perhaps even raise additional cash. (Similar bonds can be used to pay for retiree health care benefits.) Of course, states run the risk that their actual returns will be lower than expected—and lower than their borrowing costs. In that case, they may end up losing billions on these deals. senior strategist for retirement plans and investments with the PFM Group, retirement bonds "should only be issued during recessions or during the early stages of economic recovery, when stock prices are depressed." 156 Based on Miller's analysis, state governments that want to use retirement obligation bonds should be ready to issue them in the near future to ride out the eventual recovery. Alaska, Illinois and Wisconsin authorized either their state retirement system or localities to issue such bonds to pay for retiree benefits in 2008 and 2009. 154 Other states authorized the use of bonds in earlier years. As a result of the pressures caused by dwindling investment returns and looming budget gaps, a number of states likely will be considering pension obligation bonds. For these states to make sensible decisions about the use of such instruments, they must avoid the temptation to use the bonds as a way to paper over their recent investment losses and make their plans appear to be in good shape. The Government Finance Officers Association recommends that "state and local governments use caution when issuing pension obligation bonds." 155 Simply put, states need to muster convincing evidence that the timing is right. According to Girard Miller, a Pew Center on the States Pension obligation bonds are sensitive to market conditions, and the net return can vary from year to year. Illinois, for example, sold $10 billion in pension obligation bonds in 2003. Following four years of robust returns, it looked like the state had made a wise investment decision. But as returns have faltered, the decision appears somewhat more questionable. Based on results through March 2009, the return on the money invested from the bonds falls short. 157 While it will be impossible to assess the ultimate success or failure of the bonds without knowing what future investment returns will be, the experience of Illinois and other states illustrates the risky nature of these financial instruments. Some states have viewed pension bonds as an opportunity for reform. Connecticut issued $2 billion in pension obligation bonds for its teachers' retirement system in early 2008. These bonds came attached with a strict covenant binding the state to adequately fund the plan. This approach has the potential to improve how states and municipalities manage their retirement obligations by making sure appropriate contributions are consistently made. THE R OAD TO REFORM In a related issue, several states moved to change their assumptions of returns on their investment funds to more accurately estimate their long-term funding needs. For example, in 2008, Utah shifted from an 8 percent interest rate assumption to 7.75 percent, and in April 2009, the Pennsylvania State Employees Retirement System lowered its assumption from 8.5 percent to 8 percent. 158 As noted earlier, some experts believe even those reduced rates are still unrealistically high. Assuming a lower rate of return increases the actuarially required contribution because the state expects investments to cover less of the cost. More conservative investment assumptions protect states from sudden increases in contributions when investment returns fail to meet expectations. Plans vary in how risky or conservative their investment assumptions are. The assumed rates of return of the largest plan in each state ranges from 7.25 percent to 8.5 percent (see Exhibit 12). Pension officials interviewed by Pew generally agreed about the desirability of keeping contributions consistent from one year to the next. A state that has accomplished this—and put itself on much better fiscal footing—is Ohio. The state's maximum pension contribution was set in statute at 14 percent of payroll for general employees in the Ohio Public Employees Retirement System—one of five statewide systems. In many years, this has exceeded the actuarially required contribution. But the state took the extra money and put it aside to fund future retiree health care benefits. 159 While most other states were ignoring the long-term liability for those obligations, Ohio was continuing to save. The result is that its nonpension liabilities were 38 percent funded in 2008, one of the best performances among states that provide meaningful post-retirement benefits other than pensions. Still, like most states, Ohio's public pension funds suffered double-digit investment losses after the Wall Street collapse in 2008, and lawmakers are discussing a series of cost-cutting reforms this year, including reduced benefits and higher employer contributions. INVESTMENT RETURN ASSUMPTIONS Exhibit 12 \| 7.25% \| 2 NC, SC \| \|---\|---\| \| 7.50% \| 7 GA, IN, IA, KY, TN, VA, WV \| \| 7.75% \| 7 CA, FL, ID, ME, MD, SD, UT \| \| 7.80% \| 1 WI \| \| 8.00% \| 22 AL, AZ, AR, DE, HI, KS, MI, MS, MO, MT, NE, NV, NM, NY, ND, OH, OK, OR, PA, TX, WA, WY \| \| 8.25% \| 6 AK, LA, MA, NJ, RI, VT \| \| 8.50% \| 5 CO, CT, IL, MN, NH \| While the recession kept many states from their plans to follow through on funding of non-pension benefits, Pew's research shows that a handful began to set aside money between 2006 and 2008. New Mexico increased its funding from $0 to $170 million or 5.5 percent of its actuarial liability. New Hampshire increased its funding from $0 to $170 million or 5.4 percent of its actuarial liability. Georgia went from $0 to 4 percent funded with contributions of $778 million. Virginia now has 33 percent of its modest long-term needs in hand, compared with 23 percent in 2006. Lowering Benefits and Increasing the Retirement Age Even small changes to the benefits offered can have significant effects on liabilities over the long term. For example, in 1989, when Minnesota raised the retirement age by one year, from 65 to 66, for its three major retirement systems—moving in the opposite direction of many other states—it saved THE R OAD TO REFORM $650 million over the next 20 years. The savings accelerated over time; while the change affected only new employees, 70 percent of the current workforce was hired after 1989. 160 If states want to realize substantial savings through changing the benefits for new employees, they need to enact these policies sooner rather than later. According to NCSL, in 2008 and 2009 Kentucky, Nevada, New Jersey, New York, Rhode Island and Texas reduced benefits offered to new employees or raised the retirement age. In Nevada, employees hired after January 1, 2010, will have their annual pension benefits calculated using a new formula. In the past, the state multiplied the number of years of service by 2.67 to derive the percentage of final salary to be replaced by pension benefits. That "multiplier" has been dropped to 2.5 percent. Nevada's employees will have to work until age 62 with 10 years of service, instead of age 60. 161 In 2008, the Kentucky legislature passed a series of reforms to the pension benefits of new employees. Salaries no longer will be calculated based on the highest five years of pay, but rather, the final five years. The legislature also implemented a graduated tier system for new employees that establishes a sliding scale of multipliers for calculating benefits, ranging from 1.1 percent for 10 years of service to 2 percent for 30 or more years, and rewards employees for staying with the state. In West Virginia, the Finance Board of the Public Employees Insurance Agency decided last summer to stop paying part of the health premium for retirees in the future. This would affect anyone hired after July 1, 2010. The agency picks up 71 percent of retirees' health premiums for employees hired before that point. The American Federation of Teachers of West Virginia and the West Virginia Education Association have filed lawsuits contesting this action. 162 Pew Center on the States Another reform is aimed at ensuring that the financial ramifications of any future benefit increases are thoroughly considered. This includes cost-of-living increases, adjustments to retirement ages, vesting periods, employee contributions and multiple other changes that can affect longterm pension or retiree health liabilities. Georgia, North Carolina and Tennessee, for example, require that any proposal that will affect pension benefits or costs receive a full actuarial analysis to determine the long-term price tag. 163 Last year, a two-pronged request for an increase in benefits for members of the Tennessee Retirement System was rejected by the state legislature. A fiscal note revealed a $114 million first-year cost and a longterm tab of $1.7 billion. 164 In 2008, California passed a law that requires both state and local decision-making bodies to review potential future costs before increasing any nonpension benefits. It also requires actuaries to be present when pension benefit increases are discussed. Other states, such as South Dakota and West Virginia, have established laws that prohibit adding benefits unless the pension system reaches a pre-set level of funding. 165 Sharing Risk with Employees Some of the states in which pension systems are in better fiscal shape have developed ways to share at least some of the risk of investment volatility with employees. Wisconsin, for instance, has substituted a dividend process for standard cost-of-living increases. If the investment returns are positive in a year, the system can declare a dividend that gets paid to retirees. But this is not guaranteed. If a good year is followed by a year with poor investment returns, retirees can see their pensions reduced. 166 In fact, in May 2009, pensions were reduced by 2.1 percent in Wisconsin for all members who had received prior dividends. The only guarantee is the base benefit. "We spent a long time educating our THE R OAD TO REFORM members that they are at risk. They understand it," said Dave Stella, secretary of the State of Wisconsin Department of Employee Trust Funds. "They understand the risk and reward feature. They're more than happy to take the gains, and they know they also have to take the reductions." 167 Wisconsin's system was nearly 100 percent funded as of fiscal year 2008. losses. The $2.2 billion that had been set aside in member investment accounts—the defined contribution part of the benefit—dropped to $1.6 billion in 2008. 169 States also share risk through hybrid systems that combine elements of defined contribution and defined benefit plans. While defined contribution plans place all investment risk in the laps of employees, these hybrid plans share the risk. They provide a lower guaranteed benefit to retirees, but accompany that defined benefit element with a defined contribution element that does not guarantee any returns—similar to the 401(k) programs that are common in the private sector. Nebraska provides one example with its cash balance system (see sidebar, "States to Watch"). Georgia lawmakers voted in 2008 to establish a hybrid retirement plan for state employees hired after January 1, 2009. The program offers a defined benefit plan that provides about half of the benefit of the existing plan. New employees also will be automatically enrolled in the 401(k)-style plan at a 1 percent contribution rate, but may opt out at any time. 168 In 2003, Oregon shifted to a hybrid pension plan for individuals hired after August 29 of that year, which provides substantially less than what the state offers employees hired before that date. All employees bear the risks for investments on the 6 percent salary contribution they make to the pension account. Before the change, pension system liabilities grew at 10 percent to 12 percent a year. The new plan has cut that to 3 percent a year. Of course, there has been a tradeoff, as employees have had to bear stock market Another option for states is to switch entirely to a defined contribution plan, although in recent years states have shied away from moving in this direction. With this arrangement, employee and employer contributions are invested, usually according to choices made by employees. Upon retirement, employees receive the cash that has accrued instead of a guaranteed set of benefits. In defined contribution plans, employers may still make generous contributions but employees bear the risk of how investments fare. In recent years, only two states have exchanged the defined benefit approach for defined contribution: Alaska and Michigan. Michigan shifted its state public employees (though not teachers) to a defined contribution plan in 1997. At the time, this affected only new employees, but by 2009, about 50 percent of the Michigan state employee workforce was in defined contribution rather than defined benefit plans. 170 Alaska put all of its new employees in a defined contribution plan in 2005. With the recent losses in individual employee portfolios this continues to be a controversial and emotionally charged issue, and a number of bills were introduced in Alaska's legislature last year to repeal the decision. Pension officials say the move to defined contribution has had no apparent impact on Alaska's ability to retain or recruit employees, but solid data on the effect of the switch are still years away. "One of the challenges facing us in this conversation is bringing the data back to the table and showing what the facts are rather than the emotions," said Pat Shier, executive director of the Alaska Public Employees Retirement System. 171 THE R OAD TO REFORM Increasing Employee Contributions In many state systems, the employee contribution is fixed at a lower rate than the employer contribution. But in some states, contributions vary for employees as well as the employer. This is the case in Arizona, where the contribution rate for general (non-public safety) employees' pension plan is split equally between both employees and employers and can vary depending on the funding needs of the system. In the view of Paul Matson, executive director of the Arizona Retirement System, this method works well because employees have a direct interest in maintaining a well-funded pension plan. "It makes both the employer and employee very interested in the equity and cost of the program. If you do not split them equally and make them variable, it is more difficult to obtain mutual concern," Matson said. 172 Some states have the ability to raise employee pension contributions if needed. In the past several years, Iowa and Minnesota have been raising employee contribution rates along with employer contribution rates, and in 2009, Nebraska increased its employee contribution rates for individuals in its defined benefit plans. In reaction to the state's fiscal difficulties, the New Mexico legislature passed a bill in 2009 that affects all employees who make annual salaries greater than $20,000, shifting 1.5 percent of the employer contribution to employees for the next two years. A lawsuit on this action is pending. 173 New Hampshire and Texas increased payroll contributions required from new employees. Several states also have asked employees to start making contributions for their retiree health care benefits. Kentucky, for instance, requires that new employees put in 1 percent of their pay. New Hampshire established a $65 monthly charge for retired employees under 65 who are covered Pew Center on the States by retiree health insurance. And Connecticut now will require new employees, and current employees with less than five years service, 174 to put in 3 percent of their salaries. 175 Improving Governance and Investment Oversight Over the long term, states also can help protect their public sector retirement benefit systems by ensuring strong oversight by their legislatures and consistent governance practices. Thoughtful polices help guide the selection and performance of pension fund boards and establish clear and distinct roles for trustees and staff. Some states have rules in place to ensure that boards are not dominated by individuals who receive benefits. In Idaho, for example, three of the five positions cannot be members of the pension fund. 176 In Utah, the seven-member board is made up of the state treasurer, four financial professionals who are independent of the pension system and two individuals within the system—a public employee and an educator. 177 This stands in contrast to a state such as New Mexico, in which every member of the 12-member board is in a position that is eligible for a pension. 178 Oregon in 2003 made some dramatic changes to its pension board, reducing it from 12 to five members and requiring that three members be independent. The actuarial services manager in Oregon, Dale Orr, has been with the system since 1992, and said he sees a dramatic change in the behavior of the board since the reform went into effect. "The important thing is that the new board members have some experience in financial matters," said Orr. "They've taken a much more financial focus on the system, rather than a member-benefit focus, which the previous board tended to have. They're THE R OAD TO REFORM engaging the actuary a lot more to do special studies and 'what if' scenarios to see what the cost of the current system is." 179 In recent years, some states have been professionalizing oversight by shifting the complex task of pension investment from more general boards of trustees to specialized boards that focus on the topic. For example, Vermont in 2005 moved investment oversight from its pension boards to an entity called the Vermont Pension Investment Committee, which includes a representative elected by each of three boards, two gubernatorial appointees, and the state treasurer as an ex-officio member. 180 The change was designed to bring a higher level of expertise to the body responsible for investing the pension assets, to combine the assets of the three retirement systems to realize administrative savings, and to be able to act more quickly when making changes to the actual investment allocations. and consultants are barred from benefiting from investment transactions. More competitive processes for procuring consulting and investment services were introduced, and the state's pension systems were required to review the performance of consultants and managers and establish ways of comparing costs. 182 In 2005, the South Carolina legislature created the South Carolina Retirement System Investment Commission and spelled out the level of education and experience needed by individuals to serve. A previous board had advisory responsibility but no authority or real oversight of the investments, which were entirely the province of the state treasurer and the board he or she sits on. Now there are four members on the investment commission besides the treasurer—"[I]ndividuals who have the skills and expertise to invest our funds," said Peggy Boykin, director of the South Carolina Retirement System. She said this was critical in moving forward with a diversified portfolio. 181 In 2009, Illinois set up a number of protections to make sure that pension trustees, employees In both New York and California, pension fund scandals involving placement agents— intermediaries who connect investment managers with the states—provoked some action. New York Attorney General Andrew Cuomo has proposed a series of governance reforms, including strict limits on political contributions, extensive disclosures from investment fund personnel, the creation of a code of conduct, a requirement that any licensed professional report conflicts of interest, and a prohibition on investment firms from using placement agents or lobbyists to get business from the state pension fund. He also proposed changing supervision of the pension fund from a sole trustee to a 13-member board of trustees. Only New York, Connecticut and North Carolina have pension funds with a sole trustee. 183 California lawmakers, meanwhile, are considering similar legislation cracking down on placement agents. The legislation, drafted by two state officials who sit on CalPERS' board, would require agents to register as lobbyists. It also would prohibit investment firms from paying agents a commission or contingency. 184 In addition, in 2009, California passed a law that will improve and speed up financial reporting for its pension systems. The state also created the California Actuarial Advisory Panel to provide best practices and impartial input on retiree benefits to public agencies. 185 THE R OAD TO REFORM STates to Watch: Models for success Pew has identified four states that demonstrate different successful approaches to designing and managing retirement systems: Florida, Nebraska, Iowa and Georgia. Nebraska: Reducing Risk through a Cash Balance Plan Florida: PROVIDING ConsistEnt FUnding As of fiscal year 2008, Florida's pension system had assets that were over 101 percent of its liabilities, resulting in a surplus of $1.8 billion. The state consistently has funded its actuarially required contribution and follows conservative policies in managing its obligations. Since 2000, Florida has managed to pay at least 90 percent of its actuarially required contribution each year. While the state failed to pay the entire contribution in four of the past 12 years, it overcontributed in other years, averaging 102 percent of what it was required to pay. Florida is not the only state that has created a well-funded pension system by consistently funding its actuarially required contributions. New York, for example, has a funding level of more than 107 percent, while Wisconsin is nearly 100 percent funded. Florida's method for calculating annual contribution rates exemplifies the state's careful approach to funding its retirement promises. When states have an unfunded liability in their pension system, they are obligated to incorporate a portion of it into upcoming actuarially required contributions so that the bill is paid off over time. Similarly, when states have a surplus, some typically use it to reduce future annual contributions. However, Florida has legally mandated that pension surpluses of less than 5 percent of total liabilities will be reserved to pay for unexpected losses in the system—and even if the surplus is greater than 5 percent of total liabilities, only a fraction can be used to reduce the state's contributions. 186 This policy has helped Florida offer a traditionally structured defined benefits plan while maintaining funding at sustainable levels. Pew Center on the States In 2003, Nebraska instituted a relatively new concept for state pensions called a cash balance plan. It was mandated for new workers, but state and county employees hired prior to 2003 were given the option of joining that year and again in 2007. The cash balance plan was set up as an alternative to a defined contribution plan that the state put in place in the 1960s for state and county employees. Currently, 65 percent of the employees are covered through the cash balance plan while 35 percent remain in the defined contribution plan. Annually, workers contribute 4.8 percent of their salaries to the plan and employers put in a 6.8 percent salary match. This money is invested by the state for the benefit of retirees. (Nebraska educators, judges and state patrol employees participate in separate defined benefit plans. 187 ) The Nebraska plan is similar to a defined contribution plan in that employees receive a payout upon retirement based on the actual amount of money in their account. The big difference is that Nebraska has dramatically cut the risk to employees by guaranteeing a 5 percent annual investment return. 188 It also provides dividends to employees when funding exceeds 100 percent and the investments do particularly well. That dividend amounted to a distribution of an additional $41 million to workers' accounts in October 2006, $13.5 million in 2007 and $21 million in October 2008. (Those amounts were based on investment account balances at the end of the previous year, which meant that the most recent payout stemmed from information that preceded the stock market decline.) Cash balance plan members did not receive a dividend in 2009. Unlike defined benefit plans, the cash balance plan uses no pension formula, so there is no calculation of final salary and, thus, no incentive for spiking. Employees can take the retirement sum in the form of a protected annuity with a 2.5 percent annual costof-living increase. Employees also have the option of receiving a rollover or lump sum distribution when they retire. THE R OAD TO REFORM STates to Watch: Models for success Nebraska's shift to the cash balance plan stemmed from research that it conducted on its defined contribution approach. In 2000, the state compared the retirement income of its state and county employees in the defined contribution plan with state teachers, who have a defined benefit plan. The results were bleak, showing that employees in the defined contribution plan tended to invest extremely conservatively, amassing dramatically fewer dollars by retirement than the state's investment team generated for the defined benefit teacher fund. The cash balance approach was established as a compromise, offering employees the higher returns and greater security of a defined benefit plan and the flexibility of a defined contribution plan, while protecting the state from the risks inherent with a defined benefit plan. Iowa: Benefit Caps and Adjustable Employee Contributions Iowa has put a number of protections in place to keep its pension fund in good shape. That job has been somewhat easier because the state's constitution does not guarantee retirement benefits. Iowa's practices are instead governed by statute, providing the state with more flexibility in making adjustments. 189 For example, several years ago, Iowa's legislature reduced employees' ability to increase their pensions by artificially buoying income in the last several years on the job—the years on which pension benefit payouts are usually calculated. One change was to remove bonuses and car or housing allowances from the calculation of final salary; another was to put in place a cap on salary growth, so that a "final average salary," computed with the three highest years, cannot be greater than 121 percent of the fourth highest year. That change was put into effect in 2007 for all employees (not just new workers) and so far has resulted in 241 pensioners seeing reductions in the benefits they otherwise would have received. Iowa's flexibility also allows it to adjust the contribution rates paid by employees—a factor that is set in stone in many other states. The rate was established at a combined 9.45 percent in 1979, with employers paying 60 percent and employees paying 40 percent. But in 2004, when the state's actuarially required contribution began to climb, officials started to increase the combined rate by half a percent each year. In 2010, it had moved up to 10.95 percent. When employees share a significant part of pension costs, it reduces the incentive for them to continuously push for greater benefits. 190 With investment returns for the Iowa Public Employee Retirement System down by 16.1 percent in fiscal year 2009, an advisory committee has been set up to figure out how to manage the funding drop. 191 "Everything is on the table," said Donna Mueller, the system's chief executive officer. Iowa may consider changes that could reduce benefits for non-vested employees—a gray area in the law. If undertaken, the move would be closely watched by other states. "We just have to keep the mission in mind," said Mueller, "to provide a secure retirement for public employees in a cost-effective way." 192 Georgia: Understanding the Impact of Reform For more than 20 years, Georgia has had laws in place that require any legislation affecting retiree benefits— whether a reduction or increase—to undergo an actuarial study to determine the long-term financial impact on the system. This practice has helped the state avoid the kinds of costly and irreversible benefit changes that have made pension systems more expensive in other states. The initial legislation followed the development of a new Georgia constitution that called for "funding standards that would ensure the actuarial soundness of any pension or retirement system supported wholly, or partially, from public funds." 193 Tommy Hills, the state's chief financial officer, said he believes that the law has helped the state greatly. "There's essentially a year lag on retirement bills," said Hills. "It provides a cooling off period." This practice forces legislators to consider how any change could affect the state for the next 30 years, Hills said. 194 Recent legislation that has passed the Georgia Senate, though not the House, goes a step further, mandating that all changes be fully funded at inception. 195 Several other states have similar requirements for actuarial analysis in place. In North Carolina, every retirement-related bill must contain actuarial notes from both the General Assembly's actuary and the North Carolina Retirement System. 196 In 2006, Oklahoma passed its own Actuarial Analysis Act, modeled on Georgia's system. 197 Grading the States To help policy makers and the public understand these challenges and their implications, Pew graded all 50 states on how well they are managing their public sector retirement benefit obligations, assessing how well they are handling their bills coming due both for pensions and retiree health care and other benefits. Pensions Pew assessed states' pension systems on three criteria and awarded each state up to four points: two points for having a funding ratio of at least 80 percent; one point for having an unfunded liability below covered payroll; and one point for paying on average at least 90 percent of the actuarially required contribution during the past five years. (See Appendix A for a more detailed description of the grading criteria.) In need of improvement. Fifteen states were deemed in need of improvement. California is an example. The state's pension funding levels are not dangerously low, its plans are more than 80 percent funded and the unfunded liability is less than covered payroll. However, California has failed to consistently pay the actuarially required contribution, spurring a funding decline from a $9 billion pension surplus in 2000 to a $53 billion unfunded liability in 2007, based on the most recently available data. Alabama is another example. The state consistently has made its required contributions in full and its unfunded liability is manageable. However, Alabama's pension plans are under the minimum 80 percent funding threshold that the Government Accountability Office says is preferred by experts. States earning four points were solid performers. Those earning two or three points were deemed in need of improvement. And those earning zero or one point were cause for serious concerns (see Exhibit 13). Solid performers. Sixteen states received a perfect score of four out of four points and earned the label of solid performer. One example is Georgia—its state pension plans are well funded (at 92 percent) with an unfunded liability that is only 49 percent of covered payroll, and the state has consistently made its actuarially required contributions. All states that earned the grade of solid performer had adequately funded pension plans, had a manageable unfunded liability and were able to consistently pay their required contributions as of 2008. Of course, being a solid performer does not mean a state has solved all of its pension and other fiscal challenges. Pew Center on the States Meriting serious concerns. Nineteen states were rated as meriting serious concerns. Illinois—the worst-performing state—was one of eight to earn zero points toward its pension grade. (The other seven were Alaska, Colorado, Kansas, Kentucky, Maryland, New Jersey and Oklahoma.) The state's pension plans are underfunded (at 54 percent), have high unfunded liabilities (340 percent of covered payroll) and have insufficient contributions (less than 60 percent of the actuarially required contribution was paid in 2008). All in all, Pew's research found serious concerns with Illinois and 18 other states' lack of progress with taking the necessary steps to ensure their pension plans are financially secure. Health care and Other Non-pension Benefits Pew's criteria for grading states' retiree health care and other non-pension benefit obligations were much simpler and more lenient than those used GRADING THE STATES HOW WELL ARE STATES MANAGING THEIR PENSION OBLIGATIONS? Exhibit 13 SOURCE: Pew Center on the States, 2010. for the pension assessment. This is because most states have only recently begun to recognize these liabilities and many still have not put aside any assets to pay for these bills coming due. The Governmental Accounting Standards Board's (GASB) Statements 43 and 45, which were released in 2004 and first went into effect in 2006, marked the first time that states had to acknowledge and report their retiree health and other benefit obligations. States have started putting aside money for these benefits, but for most, the work has just begun. On average, states have only put aside 7.1 percent of the assets needed to adequately fund their retiree health care liabilities. Twenty states have not set aside any funds. Because most states have only recently begun to account for and address these liabilities, Pew's grades measure the progress they are making toward pre-funding. As a result, a grade indicating serious concerns was not included. Pew rated as solid performers those states that had set aside more than 7.1 percent, the state average, of funds to cover the bill coming due. All states that had set aside less than that amount were identified as needing improvement. This allowed Pew researchers to highlight and give credit to states that have begun to fund their retiree health care and other nonpension benefits while acknowledging that it is still too soon to expect states to have made meaningful progress. Pew made no distinction between states with implicit (e.g., health care subsidies) and explicit (e.g., health care plans) liabilities because GASB does not do so, requiring states to report on these obligations in exactly the same way. Nine states earned the grade of solid performer. Forty states were in need of improvement—with GRADING THE STATES HOW WELL ARE STATES MANAGING THEIR NON-PENSION OBLIGATIONS? Exhibit 14 SOURCE: Pew Center on the States, 2010. half of those failing to set aside any funds, as noted above. Nebraska had a long-term liability for retiree health care and other benefits, but this obligation is likely to be relatively small. The state does not provide not provide an actuarial valuation of its retiree health care liabilities and as a result Nebraska did not receive a grade regarding those obligations (see Exhibit 14). Irrespective of the size of the liabilities—whether small or large, implicit or explicit—there was a great deal of variation among states and how they handled their bill coming due for retiree health care and other non-pension benefits. For example, New Jersey's liability of $68.9 billion was the largest of any state and wholly unfunded. Virginia's bill coming due was nearly $4 billion and almost 39 percent funded. Kansas' obligations totaled $316 million, a fraction of Pew Center on the States New Jersey's, but Kansas had not set aside any funding either. Solid performers. Only two states—Arizona and Alaska—had set aside 50 percent or more of the assets needed to cover their future health care and other non-pension benefit obligations. Arizona was 65 percent funded, leading all states, and Alaska had nearly 56 percent in assets to cover its liabilities. Another seven states—Colorado, Kentucky, North Dakota, Ohio, Oregon, Virginia and Wisconsin—were also solid performers, ranging from 10.4 percent to 38.2 percent. Needs improvement. Forty states were deemed in need of improvement, having set aside less than 7.1 percent of the funds needed to cover future health care and other non-pension benefit obligations. Twenty states had failed to put aside any assets. Conclusion With most 2010 legislative sessions under way, the encouraging news is that many state officials grasp the depth of the funding challenges for their public sector retirement benefit systems and the need to respond. But the pressure in an election year to channel money to competing priorities such as education may tempt lawmakers to neglect the problem. That will only widen the gap between what states have promised their employees and what they have set aside to pay the costs—and make the bill coming due even larger. The states that are meeting their commitments have demonstrated that public sector retirement benefits can be adequately funded during good and bad times, with care taken to identify the long-term costs of short-term decisions. Due to mounting financial pressures, other states have been on an unsustainable course and will be forced to make tough choices. As lawmakers consider proposals to deal with the bill coming due, they have an opportunity to enact reforms that will have a lasting impact on their states' fiscal health. Endnotes 35 Analysis by Pew Center on the States, 2009. 30 Based on the total number of households in the United States as of 2008, see American Community Survey, December 4, 2009, http://factfinder.census.gov. 37 Keith Brainard, "Public Fund Survey Summary of Findings for FY2008," National Association of State Retirement Administrators, October 2009, p. 2. 38 U.S. Government Accountability Office, State and Local Government Retiree Benefits: Current Status of Benefit Structures, Protections and Fiscal Outlook for Funding Future Costs, report to the Committee on Finance, U.S. Senate, September 2007. 39 Falling below the 80 percent level has been cited by some experts, including the federal Government Accountability Office, as a sign that a pension system may be heading for trouble. This is only a benchmark, however. While pensions generally strive toward full funding, there is no particular magic about a 100 percent funded pension. It simply means that the government has the money on hand to pay for all benefits that have already been earned. When this is true, each subsequent annual contribution needs to cover only the additional benefits that employees earn in each year. When pension plans are not fully funded, governments also need to pay a portion of the unfunded liability each year— basically paying for benefits that were earned, but not paid for, in past years. The annual cost goes higher as the state drifts farther away from 100 percent funding. 40 Pew Center on the States interview with Tom Spencer, executive director of the Oklahoma Public Employees Retirement System, June 23, 2009. 41 Pew Center on the States interview with Frank Karpinksi, executive director, Rhode Island Employees Retirement System, September 3, 2009. 42 "Nappier announces landmark bond sale," news release, Connecticut Office of the State Treasurer, April 22, 2008. 43 Pew Center on the States interview with Mike Burnside, executive director, Kentucky Retirement Systems, July 28, 2009. 44 Governmental Accounting Standards Board, "Summary of Statement No. 43, Financial Reporting for Postemployment Benefit Plans Other Than Pension Plans" (Issued 4/04), http://www. gasb.org/st/summary/gstsm43.html. "Summary of Statement No. 45 Accounting and Financial Reporting by Employers for Postemployment Benefits Other Than Pensions" (Issued 6/04), http://www.gasb.org/st/summary/gstsm45.html. 45 Center for State and Local Government Excellence, "The Crisis in State and Local Government Retiree Health Benefit Plans" November 2009, p. 8. http://www.slge.org/vertical/ Sites/%7BA260E1DF-5AEE-459D-84C4-876EFE1E4032%7D/ uploads/%7BDA8CD136a-5814-4AEA-AF21-067EF733C619%7D. PDF. Pew Center on the States interview with Tom Spencer, Pew Center on the States executive director of the Oklahoma Public Employees Retirement System, June 23, 2009. Pew Center on the States, Promises with a Price: Public Sector Retirement Benefits, December 2007, p47-48. Pew Center on the States interview with Bob Schultze, director of the Virginia Retirement System, June 21, 2009. 46 Pew Center on the States Interview with Donna Mueller, chief executive officer, Iowa Public Employees Retirement System, August 4, 2009. 47 "GASB 43 and 45 Supplemental Information," memorandum by Leslie Johnstone, executive officer, State of Nevada Public Employees Benefits Program, p. 11, January 24, 2007. 48 Pew Center on the States, Promises with a Price: Public Sector Retirement Benefits, December 2007, p. 45 49 Aon Consulting, "State of New Jersey Postemployment Benefits Other Than Pensions Actuarial Valuation, July 1, 2007," September 2008. www.state.nj.us/treasury/pensions/gasb-43-sept2008.pdf. 50 Rhode Island Office of the Auditor General, "Status of Pension Plans Administered by Rhode Island Municipalities," audit summary, July 2007. www.oag.state.ri.us/reports/Local_ Pensions0707summ.pdf. 51 Pew Center on the States interview with Mike Burnside, executive director, Kentucky Retirement Systems, July 28, 2009. 52 Pew Center on the States interview with Tom Spencer, Oklahoma Public Employees Retirement System, June 23, 2009. 53 Pew Center on the States interview with Timothy Blair, acting executive secretary of the State Retirement Systems of Illinois, October 11, 2009. 54 The median time period that states use to "smooth" investment returns is five years. 55 Oregon Public Employees Retirement System, "Quarterly Investment Report," December 31, 2008. 56 Oregon also has a "collar" on its rates. This means that rates cannot go up or down more than 3 percentage points between one biennium and the next if the pension funding level is between 80 percent and 120 percent. If funding falls below 80 percent (as pension actuaries expect in 2009), then the contribution cannot go up more than 6 percentage points. That is why the actual rise will be from 12 percent to 18 percent. 57 Pew Center on the States interview with Paul Cleary, executive director, Oregon Employees Retirement System, June 29, 2009. 58 Ibid. 59 Oregon Public Employees Retirement System, "Quarterly Investment Report," September 30, 2009. 60 E-mail, interview with Barry Kozak, John Marshall Law School, November 11, 2009. Endnotes 61 E-mail, interview with Carroll South, Montana Board of Investments, November 12, 2009. 75 Pennsylvania State Employees Retirement System, "SERS Projected Funded Status and Employer Contributions," December 14, 2009. 62 National Conference of State Legislatures, State Budget Update: November, 2009, December, 2009. 63 For 46 states, the 2010 fiscal year began on July 1, 2009. The exceptions are New York (April 1); Texas (September 1); and Alabama and Michigan (October 1). See "Budget Processes in the States," National Associations of State Budget Officers (NASBO), Summer 2008, accessed October 22, 2009, at http://www.nasbo. org/Publications/PDFs/2008%20Budget%20Processes%20in%20 the%20States.pdf. 64 National Conference of State Legislatures, "FY 2010 PostEnactment Budget Gaps and Budget Cuts," accessed December 2, 2009, at www.ncsl.org/default.aspx?tabid=18690. 65 National Conference of State Legislators, "State Budget Update," July 2009, accessed at www.ncsl.org/documents/fiscal/ StateBudgetUpdateJulyFinal.pdf. 66 Keith Brainard, "Public Fund Survey Summary of Findings for FY2008," National Association of State Retirement Administrators, October 2009, p. 2. 67 Pew Center on the States interviews with Jill Bachus, director, Tennessee Consolidated Retirement System, September 3, 2009; Frederick Beaver, director, New Jersey Division of Pension and Benefits, October 27, 2009; Michael Williamson, director, North Carolina Retirement Systems, September 2, 2009; Tom Spencer, executive director, Oklahoma Public Employees Retirement System, June 23, 2009; Anne Werum Lambright, executive director, West Virginia Consolidated Public Retirement Board, September 10, 2009. 68 California Public Employees' Retirement System, "Facts at a Glance: Investments," December 2009. www.calpers.ca.gov/eip-docs/ about/facts/investme.pdf. 69 Teachers' Retirement System of Louisiana, 2009 Comprehensive Annual Financial Report, page 71. http://trsl.org/ezedit/ pdfs/09CAFR.pdf. 70 California Public Employees' Retirement System, "Facts at a Glance: Investments," December 2009. www.calpers.ca.gov/eip-docs/ about/facts/investme.pdf. 71 Pew Center on the States interview with Terry Slattery, executive director, New Mexico Public Employees Retirement Association, September 14, 2009. 72 Commonwealth of Pennsylvania, "Pension Bills Enacted Since 2001," Public Employees Retirement Commission. www.perc.state. pa.us/portal/server.pt/community/perc_home/2513/pension_ bills_enacted_since_2001/525841. 73 Pew Center on the States interview with Leonard Knepp, executive director, Pennsylvania State Employee Retirement System, June 24, 2009. 74 Michael J. Masch, "Retiring Pennsylvania's Pension Challenge: Eliminating the 2012–13 Rate Spike," a pension reform white paper, June 8, 2008, p. 6. 76 Total assets of retirement plan and their allocation are based on Federal Reserve Board's "Flow of Funds Accounts of the United States," Z1, June 7, 2007. 77 Pew Center on the States interview with Terren Magid, executive director, Indiana Public Employees Retirement Fund, July 24, 2009. 78 Pew Center on the States interview with Frank Karpinski, executive director, Employees Retirement System of Rhode Island, September 3, 2009. 79 Pew Center on the States interview with Michael Travaglini, executive director, Massachusetts Pensions Reserve Investment Management Board, July 28, 2009. 80 Pew Center on the States interview with Mike Burnside, executive director, Kentucky Retirement Systems, July 28, 2009. 81 Pew Center on the States interview with Tom Spencer, executive director of the Oklahoma Public Employees Retirement System, June 23, 2009. 82 Pew Center on the States interview with Frederick J. Beaver, director, New Jersey Division of Pension and Benefits, October 27, 2009. 83 Governmental Accounting Standards Board, "Summary of Statement 45, Accounting and Financial Reporting by Employers for Postemployment Benefits Other than Pensions," issued June 2004, http://gasb.org/st/index.html. 84 National Conference on Public Employee Retirement Systems, "State Constitutional Protections for Public Sector Retirement Benefits," March 15, 2007. http://www.ncpers.org/Files/News/ 03152007RetireBenefitProtections.pdf. 85 National Conference on Public Employee Retirement Systems, "State Cases Addressing Public Sector Health Benefits, March 15, 2007. http://www.ncpers.org/Files/News/ 03152007HealthBenefitProtections.pdf. 86 PCS interview with Tom Spencer, executive director of the Oklahoma Public Employees Retirement System, June 23, 2009. 87 Pew Center on the States interview with Pat Robertson, executive director, Mississippi Public Employee Retirement System, August 7, 2009. 88 Pew Center on the States interview with Terry Slattery, executive director, New Mexico Public Employees Retirement Association, September 14, 2009. 89 Ibid. 90 Pew Center on the States interview with Cynthia Webster, director, Vermont State Employees Retirement System, November 17, 2009. 91 Ibid. 92 Colorado is one of the states in which 2008 results reflect the full calendar year. The Colorado Public Employees Retirement Association experienced a 26 percent loss, according to Executive Director Meredith Williams. Endnotes 93 Pew Center on the States interview with Meredith Williams, executive director, Colorado Public Employees Retirement Association, July 29, 2009. 109 Pew Center on the States interview with Pamela Pharris, executive director, Georgia Employees Retirement System, December 15, 2009. 94 In 2006, the Colorado General Assembly increased the retirement age back to 55 for new employees. 95 Colorado Public Employee Retirement Association, "Comprehensive Annual Financial Report," December 31, 2008. 96 General employees contribute 8 percent of their salary to the pension fund each year, while state troopers contribute 10 percent—a total of $557 million in 2008. State, school, judicial and local employers contributed another $857 million in 2008, according to the Colorado PERA CAFR, December 31, 2008, p. 23. 97 National Conference of State Legislatures, "State Pensions and Retirement Legislation 2009," accessed December 4, 2009, at www.ncsl.org/?tabid=17594. 98 Pew Center on the States interview with Jeanne Kopek, assistant director, Comptroller Retirement Services Division, September 15, 2009. 99 Pew Center on the States interview with Pamela Pharris, executive director of the Georgia Employees Retirement System, August 7, 2009. 100 Two other states that fall into this category include New Hampshire and Minnesota. See "Impasse broken on public works retirement plan rescue," by Tom Fahey, Union Leader, May 8, 2007. See also "Public Pensions in Minnesota: Re-Definable Benefits and Under-Reported Performance," Center for Public Finance Research, May 2006, p. iv. 101 Pew Center on the States interview with Paul Cleary, executive director, Oregon Employees Retirement System, June 29, 2009, and December 18, 2009.) 102 Pew Center on the States interview with Paul Cleary, executive director, Oregon Employees Retirement System, June 29, 2009. 103 Appeals continue on certain legal points, but Oregon prevailed on a number of key aspects of the reforms. 104 During Pew Center on the States interviews with representatives of pension systems in all 50 states, many predicted that this would become a significant legislative issue in coming years. 105 State of Utah, "A Performance Audit of the Cost of Benefits for Reemployed Retirees and Part-Time Employees," Office of the Legislative Auditor, November 2009, p.ii. 106 State of Utah, "A Performance Audit of the Cost of Benefits for Reemployed Retirees and Part-Time Employees," Office of the Legislative Auditor, November 2009, p. i. 107 Pew Center on the States interview with Paul Matson, executive director, Arizona Retirement System, June 25, 2009. 108 Pew Center on the States interview with David Craik, executive director, Delaware Public Employees Retirement System, September 23, 2009. Pew Center on the States 110 Pew Center on the States, Beyond California: States in Fiscal Peril, November 2009, page 2. http://downloads. pewcenteronthestates.org/BeyondCalifornia.pdf 111 Lucy Dadayan and Donald J. Boyd, "State Tax Revenues Show Record Drop for Second Consecutive Quarter," The Nelson A. Rockefeller Institute of Government, October 2009, No. 77, p. 1. 112 National Governors Association and National Association of State Budget Officers, "The Fiscal Survey of States," December 2009. 113 The Texas Municipal Retirement System may be the only large public sector pension system that was relatively unaffected by investment losses because of its very high bond allocation, according to Keith Brainard, research director at the National Association of State Retirement Administrators. 114 Experts from the National Association of State Retirement Administrators, Moody's, and S&P, among others, have weighed in on this issue. See Keith Brainard, "Public Fund Survey Summary of Findings for FY2008," National Association of State Retirement Administrators, October 2009, p. 5. www.publicfundsurvey. org/publicfundsurvey/index.htm. Moody's U.S. Public Finance, "Employee Pension Costs Pressure State and Local Governments," November, 2009. www.nasra.org/resources/Moodys0911.pdf. Standard & Poor's, "No Immediate Pension Hardship For State and Local Governments, But Plenty of Long Term Worries," June 8, 2009. http://www.nasra.org/resources/sandp0906.pdf. 115 Bureau of Labor Statistics, "National Compensation Survey," March 2009. 116 Pew Center on the States, Promises with a Price: Public Sector Retirement Benefits, December 2007, p. 11. 117 Bob Cuddy, AnnMarie Cornejo and Larissa Puro, "California's budget crisis: Locals make $100,000 pension list," The San Luis Obispo Tribune, July19, 2009. 118 Ibid. 119 Civic Committee of the Commercial Club of Chicago, "Civic Committee Reform Proposal," summary, August 19, 2009, p. 1. 120 Ibid, p. 11. 121 Field Research Corporation, "Voters Favor Limiting the Pension Benefits of Newly Hired Government Workers," The Field Poll, October 16, 2009, p. 3. http://field.com/fieldpollonline/ subscribers/Rls2318.pdf. 122 Paul Simon Public Policy Institute, "Illinois Voters Want Budget Cuts but Can't Say Where," Southern Illinois University Carbondale, October 1, 2009, p. 4. http://paulsimoninstitute.org/ images/PDF/budget_poll_data.pdf. 123 Based on a search of the Dow Jones Factiva tool for newspaper articles that included the string "state pension" twice. Factiva was accessed on December 2, 2009. Endnotes 124 Craig Karmin, "Pay-to-Play Probe Turns to Venture Capitalist," Wall Street Journal, December 3, 2009. 143 Cathy Bussewitz, "Public employee reform bill advances," Associated Press, May 29, 2009. 125 Hillary Chabot. "Charles Baker Cooks up Plan to Cut Pension Abuse," Boston Herald, November 20, 2009. 126 Craig Karmin, "Pension Calculus Draws New Scrutiny," Wall Street Journal, July20, 2009. 127 Pew Center on the States, Promises with a Price: Public Sector Retirement Benefits, December 2007, p. 11 128 National Center for Health Statistics, "Health United States 2008," Table 26, March 2009, p. 203. 129 Pew Center on the States interview with David Shimabukuro, administrator, Hawaii Employees Retirement System, September 23, 2009, and January 4, 2010. 130 U.S. Bureau of Labor Statistics, news release, "Union Members in 2008," January 28, 2009. http://www.bls.gov/news.release/pdf/ union2.pdf. 131 Ron Snell, "Pension Tension," State Legislatures, National Conference of State Legislatures, May, 2008. 132 Pew Center on the States interview with Meredith Williams, executive director, Colorado Public Employees Retirement Association, July 29, 2009. 133 Pew Center on the States interview with Arcy Baca, president of the American Federation of State, County and Municipal Employees (AFSCME) Local 477 (Santa Fe, New Mexico), October 2009. 134 Steve Peoples, "R.I. Public Employee Unions Align to Sue Over Pension Changes," The Providence Journal, July 30, 2009. Retirement date provided through Pew Center on the States interview with Frank Karpinski, September 3, 2009. 135 Pew Center on the States interview with Gary Chaison, professor of industrial relations, Clark University, November 4, 2009. 136 Pew Center on the States interview with Kara Kelly, executive director, Las Vegas Chamber of Commerce, October 2009. 137 Geoff Dornan, "State Confronts $3 Billion Shortfall," Nevada Appeal, September 16, 2009. 138 Michael Mishak and Megan McCloskey, "Revisiting Public Workers' Pay," Las Vegas Sun, November 22, 2008. 139 Pew Center on the States interview with Kara Kelly, executive director, Las Vegas Chamber of Commerce, October 2009. 140 Las Vegas Chamber of Commerce, "An Overview and Comparative Analysis of the Nevada Public Employees' Retirement System," Fiscal Analysis Brief (1)3, September 2008. 141 Pew Center on the States interview with Kara Kelly, October, 2009; Steven Horsford, Nevada Senate majority leader, September 18, 2009. 142 Pew Center on the States interview with Dana Bilyeu, executive officer, The Public Employees Retirement System of Nevada, September 9, 2009. 144 Pew Center on the States interview with Steven Horsford, majority leader, Nevada Senate, September 18, 2009. 145 Pew Center on the States interview with Gerri Madrid Davis, director of the National Public Pension Coalition, November 13, 2009. 146 National Conference of State Legislatures, State Pensions and Retirement Legislation 2009, accessed December 4, 2009, at www. ncsl.org/?tabid=17594. 147 "Final Report of the Special Commission to Study the Massachusetts Contributory Retirement Systems," accessed January 4, 2010, at http://www.mass.gov/mtrs/commission.pdf. 148 "Blue Ribbon Commission to Study Retiree Health Care Funding Options," Maryland Manual On-Line, July 2006. http://www.msa. md.gov/msa/mdmanual/26excom/html/31retiree.html. Email from Michael Rubenstein, principal policy analyst and staff, Blue Ribbon Commission to Study Retiree Health Care Funding Options, January 5, 2010. 149 According to interviews with pension officials: the board for Colorado's Public Employees Retirement Association embarked on an "eight-stop listening tour" around the state to gather input from plan participants and the public on pension reform; an advisory committee was set up to work with the Iowa Public Employees Retirement System to study potential actions that can help the state deal with large investment losses, including possible benefit changes; Minnesota's State Employee Retirement System Board has been looking at questions of sustainability; the Ohio Public Employees Retirement System has embarked on a strategic planning process to re-examine its benefits structure; Utah has engaged in an ad hoc exploration, with the legislature holding hearings to invite employees and employers to provide impact on the topic of pension reform. 150 Pew Center on the States interview with Paul Matson, executive director, Arizona Retirement System, June 25, 2009. 151 Pew Center on the States interview with Jill Bachus, director, Tennessee Consolidated Retirement System, September 3, 2009. 152 Pew Center on the States interview with Pat Shier, Alaska Public Employees Retirement System, September 11, 2009. 153 "Treasurer Nappier announces unprecedented bond sale," news release, Connecticut Office of the State Treasurer, April 8, 2008. 154 National Conference of State Legislatures, State Pensions and Retirement Legislation 2009, accessed December 4, 2009, at www.ncsl.org/?tabid=17594; Pensions and Retirement Plan Enactments in 2008 State Legislatures, accessed December 4, 2009, at http://www.ncsl.org/default.aspx?tabid=13313. 155 Government Finance Officers Association, "Evaluating the Use of Pension Obligation Bonds (2005)" Recommended Practice. http:// www.gfoa.org/downloads/debtevalusepensionobligbonds.pdf. 156 Girard Miller, "Bonding for Benefits: POBs and 'OPEB-OBs,'" Governing, January 15, 2009. www.governing.com/column/ bonding-benefits-pobs-and-%E2%80%98opeb-obs%E2%80%99. Endnotes 157 Based on a Pew Center on the States analysis using information on the 2003 Illinois bonds available through the Illinois State Comptroller, available at http://www.comptroller.state.il.us/ FiscalFocus/article.cfm?ID=286, and based on investment returns for Illinois available at the Illinois State Board of Investments, available at http://www.isbi.illinois.gov/pdf/ISBI_ Annual_Report_2008.pdf and http://www.isbi.illinois.gov/pdf/ ExecutiveSummary.pdf. 158 Pew Center on the States interview with Leonard Knepp, executive director, Pennsylvania State Employee Retirement System, June 24, 2009. 159 Pew Center on the States interview with Chris DeRose, executive director, Ohio Public Employees Retirement System, September 17, 2009. 160 E-mail from David Bergstrom, executive director, Minnesota State Retirement System, September 22, 2009. 161 The state did not change the 65/5 provision, allowing employees to retire at age 65 with at least 5 years of service. Police and firefighters eligibility remains at 65/5, 55/10, 50/20, but a 25-andout option was removed. 162 Pew Center on the States interview with Ted Cheatham, director of the West Virginia Public Employees Insurance Agency, December 15, 2009. 163 Pew Center on the States interviews with Michael Williamson, director, North Carolina Retirement System, September 2, 2009; Tommy Hills, chief financial officer, Georgia, November 18, 2009; Jill Bachus, director, Tennessee Consolidated Retirement System, September 3, 2009. 164 Tennessee Senate Fiscal Note, SB1826. http://www.capitol.tn.gov/ Bills/106/Fiscal/SB1826.pdf, accessed February 20, 2009. 165 Pew Center on the States interviews with Anne Werum Lambright, executive director, West Virginia Consolidated Public Retirement Board, September 10, 2009; and Rob Wylie, executive director, South Dakota Retirement System, September 8, 2009. 166 Wisconsin's system contrasts with other states that ran into trouble from sharing gains from good years with employees. The difference is that Wisconsin shares losses as well as gains. When Minnesota and Oregon shared "excess returns" with retirees, they ran into trouble because the states took on all the risk in years when returns were low or negative. 167 Pew Center on the States interview with Dave Stella, secretary, Wisconsin Retirement System, September 1, 2009. 168 E-mail from Pamela Pharris, executive director, Georgia Employees Retirement System, December 15, 2009. 169 Pew Center on the States interview with Paul Cleary, executive director, Oregon Employees Retirement System, June 29, 2009. 170 Pew Center on the States interview with Phillip Stoddard, director, Michigan State Employees Retirement System, June 21, 2009. 171 Pew Center on the States interview with Pat Shier, Alaska Public Employees Retirement System, September 11, 2009. Pew Center on the States 172 Pew Center on the States interview with Paul Matson, executive director, Arizona Retirement System, June 25, 2009. 173 Pew Center on the States interview with Terry Slattery, executive director, New Mexico Public Employees Retirement Association, December 14, 2009. 174 For employees with fewer than five years service as of July 1, 2009, the 3 percent contribution will begin July 1, 2010. 175 E-mail from William Morico, Retirement and Benefit Services Coordinator, Healthcare Policy and Benefit Services Division, State of Connecticut, November 18, 2009. 176 Pew Center on the States interview with Don Drum, executive director, Idaho Public Employees Retirement System, September 26, 2009. 177 Pew Center on the States interview with Robert Newman, executive director, Utah Retirement Systems, October 5, 2009. 178 The 12 members include two ex officio members—the State Treasurer and the Secretary of State. The other 10 are elected by the Public Employees Retirement Association membership and include four state members, four municipal members and two retirees. Pew Center on the States interview with Terry Slattery, executive director of the New Mexico Public Employees Retirement Association, September 14, 2009. 179 Pew Center on the States interview with Dale Orr, actuarial services manager, Oregon Public Employees Retirement System, June 29, 2009. 180 Pew Center on the States interview with Cynthia Webster, Vermont State Employees Retirement System, November 2, 2009. 181 Pew Center on the States interview with Peggy Boykin, director, South Carolina Retirement Systems, July 2, 2009. 182 National Conference of State Legislatures, State Pensions and Retirement Legislation 2009, accessed December 4, 2009, at www.ncsl.org/?tabid=17594. 183 News release, New York Attorney General Andrew Cuomo, October 8, 2009. http://www.ag.ny.gov/media_center/2009/oct/ oct8a_09.html. 184 News release, California Public Employees Retirement System, November 23, 2009. http://www.calpers.ca.gov/index.jsp?bc=/ about/press/pr-2009/nov/placement-agents-lobbyists.xml. 185 California Senate Bill 1123, August 29, 2008. http://info.sen.ca.gov/ pub/07-08/bill/sen/sb_1101-1150/sb_1123_bill_20080831_ enrolled.pdf. 186 Florida Legislature, "Florida Retirement System Pension Plan Fully Funded and Valuation Met Standards," Office of Program Policy Analysis and Government Accountability, February 2004, p. 22. http://www.oppaga.state.fl.us/MonitorDocs/Reports/pdf/0413rpt. pdf. 187 Pew Center on the States interview with Phyllis Chambers, executive director, Nebraska Retirement System, October 6, 2009. Endnotes 188 Participants are guaranteed a 5 percent return, but they also can receive a higher return if the Federal Mid-term rate (as published by the Internal Revenue Service) plus 1.5 percent is greater than 5 percent. 189 Pew Center on the States interview with Donna Mueller, chief executive officer, Iowa Public Employees Retirement System, August 4, 2009. 190 Ibid. 191 Iowa Public Employees' Retirement System Comprehensive Annual Financial Report, FY2009, p. 4 http://www.ipers.org/publications/ misc/pdf/financial/cafr/cafr.pdf. 192 Pew Center on the States interview with Donna Mueller, chief executive officer, Iowa Public Employees Retirement System, August 4, 2009. 193 Georgia Constitution, Section X, Retirement Systems, Paragraph V, http://www.sos.ga.gov/elections/constitution_2007.pdf. 194 Pew Center on the States interview with Tommy Hills, chief financial officer, Georgia, November 18, 2009. 195 Pew Center on the States interview with Pamela Pharris, director, Georgia Employees Retirement System, December 14, 2009. 196 Pew Center on the States interview with Michael Williamson, director, North Carolina Retirement System, September 2, 2009. 197 Ronald K. Snell, "Pension and Retirement Plan Enactments in 2006 State Legislatures," National Conference of State Legislatures, October 2006. Methodology Data Sources The main data source used for this project was the Comprehensive Annual Financial Report (CAFR) produced by each state for fiscal year 2008. The CAFR is an annually released publication that details the financial situation and key data for the state. The Governmental Accounting Standards Board (GASB) stipulates that the CAFR should include certain disclosures regarding pension and retiree health finances. Because CAFRs contain standard information in a consistent format, they are a valuable source for data on state-run retirement systems. In addition to the state CAFR, many pension plans also release their CAFRs. In most cases, Pew staff found the plan CAFRs to offer more detailed and useful data than the state CAFRs and tried to use the plan documents when available. Another key information source was actuarial valuations. These are documents outlining the calculations made to assess the current and future costs of pension plans and retiree health plans. Finally, in some instances data were not available and we contacted state pension officials directly. Scope of Data Collection Plans included in the data collection were limited to the pension plans and retiree health and other benefit plans listed in the state CAFR. In some cases, a state will include a plan in its CAFR while indicating that it has no financial interest in that plan; such plans were excluded from this study. Many states allow local governments to participate in the same plans set up for their own government agencies. As a result, this study includes plans for municipal workers or teachers Pew Center on the States when those plans are run by the state and the state maintains a financial interest. Locally run pension plans were excluded. While this means that the data for some states includes local workers while the data for others states do not, this does not affect the analysis in this report. Pew's assessment is based on indicators that scale with the size of the system; if a state's retirement system is only 50 percent funded, it is graded as meriting serious concerns regardless of whether municipal workers are included. Another limit of the data collection is that it includes only defined benefit plans and cash balance plans. A defined benefit plan promises its recipients a set level of benefits, generally for life. In the case of pension benefits, it is based on a "defining" formula that usually includes the number of years served and an employee's salary multiplied by a preset figure (e.g., 30 years x $30,000 x 1.75). In the case of retiree health care, the promised benefit is typically the payment of a portion of the (or the entire) medical insurance premium. However, it can also be based on a defined formula much like a pension. In this case, a certain monthly income is promised that must be used for health expenses. A cash balance plan requires the employer and employees to make annual contributions, and, as with a defined benefit plan, they are assured a preset payment. Employees are guaranteed a 5 percent yearly rate of return, although successful investments may push the rate even higher. Pew's data collection focused on the schedule of funding progress and the schedule of employer contributions. The schedule of funding progress indicates how well funded a pension or retiree health plan is and includes the actuarial value Appendix A of assets, the actuarial value of liabilities, the unfunded liability and the percentage of the liability that has been funded. The schedule of employer contributions shows the actuarially required contribution—the amount of money that the employers sponsoring the plan need to contribute annually to pay for future benefits as they are earned by employees, and to pay for previously earned benefits that remain unfunded. The schedule of funding progress also includes the actual annual contributions that the employers made and the percentage of the actuarially required contribution that was actually made. Together these data give a basic impression of the financial status of a retirement plan. the actuaries to estimate how much money would be needed to pay for future liabilities. Among the most important is the assumed rate of return, which is the annual expected gain on investments. When actual experience differs from actuarial assumptions, plans can find themselves facing unexpectedly high or low liabilities. For example, a state could have higher than expected pension liabilities because employee life spans turned out to be greater than anticipated or investment returns came in lower than predicted. In the case of pension plans, Pew researchers also collected other key data points: membership numbers, covered payroll and actuarial assumptions. * Membership numbers show the size of a plan and its composition—the number of currently active members who are accruing benefits and paying into the plan and currently retired members who are drawing benefits from the plan. * Covered payroll helps show the scale of a pension plan. Large plans can afford greater liabilities and, in fact, comparing the covered payroll to the unfunded liability is a highly effective way of determining whether the unfunded liabilities of a plan are reaching dangerously high levels. * Actuarial assumptions are the building blocks for estimating future liabilities. Pew staff collected each pension plan's actuarial cost method, estimated rate of return and use of smoothing methods. Each of these assumptions, along with others that Pew did not collect from the CAFRs, is used by Pew was able to obtain fiscal year 2008 data for all major state pension plans for all states except for Ohio. For that state, we used fiscal year 2007 data. The data collection stretches back to 1997 for most states, allowing Pew to look at changes over time. In the case of retiree health plans, data have only recently become available because of a 2004 ruling by the Governmental Accounting Standards Board (Statements Nos. 43 and 45) that mandated that states collect and present data on their actuarial liabilities for retiree health and other benefits. Because of this, past data for most states are unavailable. Many states also lack the infrastructure to regularly release data on retiree health and other benefits, so only data from 2007 or 2006 are available for many staterun retiree health plans. Because of the dearth of data, Pew also was unable to consistently collect supplementary information for most retiree health plans such as membership numbers or covered payroll. Accuracy and Comprehensiveness To ensure the accuracy of the data presented in this report, Pew staff implemented numerous quality control measures. First, Pew identified Appendix A and double-checked all instances where data changed dramatically over time as a means of identifying potential errors in transcribing or interpreting data. Second, all data were compared when possible with pension data included in the Public Fund Survey, a survey of public pension plans run by the National Association of State Retirement Administrators, or with retiree health data included in the Center for State and Local Government Excellence report, At a Crossroads. Pew staff checked for discrepancies and made adjustments as necessary. Finally, retirement and finance officials in each state were given the opportunity to review Pew's data for accuracy and in many cases offered useful feedback. Data Analysis Pew's analysis focused on the funding level of retirement plans. The percent of a plan that is funded is the single best indicator of a retirement plan's fiscal health. States should try to ensure that the retirement plans that they run are 100 percent funded—that enough assets have been put into the plan to match the actuarially accrued liability. While Pew collected data on 231 pension plans and 159 retiree health and other benefit plans, each state's plans were aggregated to provide one set of pension numbers and one set of retiree health plan numbers for each state. Thus Oregon, which runs one pension plan for state and local employees, can be easily compared with Washington, which runs 12 different pension plans. While most states acknowledge them over a number of years, several show their full impact immediately. Second, most states conduct actuarial valuations on June 30, but 15 perform them at other times, such as December 31. The severe investment losses in the second half of 2008 mean that states that do not smooth and that conduct their asset valuations in December will show pension funding levels that will appear worse off than states that did so on June 30. However, this also means that such states' numbers are likely to show a faster recovery than other states. (In addition, when investments were doing extremely well, their data reflected the full gains immediately, while other states smoothed those gains over time.) Finally, other factors also can impact states' asset and liability estimates, such as assumptions of investment returns, retirement ages and life spans. Conceivably , Pew could have recalculated all states' information using a standard set of assumptions—but we concluded that using states' own data and assumptions was the most objective, transparent and defensible approach to this analysis. In any instance in which a state's assumptions or practices vary in a meaningful way from others and significantly affect our findings, we attempt to explain these circumstances in the report, the state's fact sheet or both. States have a lot of leeway in how they compute their obligations and present their data, so three main challenges arise in comparing their numbers. First, states vary in their smoothing practices—that is, how and when they recognize investment gains and losses. Pew Center on the States To measure how well states are managing their public sector retirement benefit obligations, Pew assigned each state two grades. One grade assessed the state's pension plans and the other rated its retiree health and other benefit plans. For the pension grade, a state could either be a solid performer, in need of improvement or meriting serious concerns. The retiree health care grade only included the "solid performer" and "needs improvement" categories. Because states have Appendix A historically treated pension plans very differently than retiree health benefits, the two grades are based on different criteria. Pensions grade. The pension grade was based on up to four possible points. States with four points were labeled solid performers, those with two or three points were deemed as needing improvement, and those with only one or zero points were classified as meriting serious concerns. The points were distributed as follows: obligations were much simpler and more lenient than those used for the pension assessment. This is because most states have only recently begun to recognize these liabilities and many still have not put aside any assets to pay for these bills coming due. On average, states have only put aside 7.1 percent of the assets needed to adequately fund their retiree health liabilities. * Two points for having a funding ratio of at least 80 percent. The percentage funded is the best indicator of whether a pension plan is in healthy shape and thus is given more weight than the other criteria. The benchmark of 80 percent has been identified by the Government Accountability Office and other experts as the threshold for adequate pension funding. * One point for having an unfunded liability totaling less than covered payroll. The payroll of all employees in a state's pension plan is a good proxy for the state's overall spending capacity, and an unfunded liability that is too high relative to an employer's ability to pay indicates a plan in fiscal trouble. Additionally, pension plans with very high unfunded liabilities relative to covered payrolls tend not only to be poorly funded but also generous relative to the state's willingness and capacity to pay. * One point for paying on average at least 90 percent of the actuarially required contribution during the past five years. States that have paid the actuarially required contribution for a sustained period are on the right track toward being adequately funded. Health care and other non-pension benefits grade. Pew's criteria for grading states' retiree health care and other non-pension benefit Because most states have only recently begun to account for and address these liabilities, Pew's grades measure the progress they are making toward pre-funding. As a result, a "serious concerns" grade was not included. Pew rated as solid performers those states that had set aside more than 7.1 percent of funds to cover the bill coming due. All states that had set aside less than that amount were identified as needing improvement. This allowed Pew researchers to highlight and give credit to states that have begun to fund their retiree health care and other benefits while acknowledging that it is still too soon to expect states to have made meaningful progress. An additional concern in grading state retiree health care and other benefit liabilities was the variation in the generosity of benefits offered. States vary much more in the level of non-pension benefits they provide than they vary with pension benefits. Moreover, for states with minimal (or implicit) benefits, it may be less of a financial necessity to pre-fund, and such states potentially could sustain a pay-as-you-go approach. However, it is still good financial practice to pre-fund, future liabilities. Additionally, in requiring that states assess their obligations for retiree health care benefits, GASB made no distinction in the size of retiree health benefits. We decided to follow that approach in deciding which benefits to include in our analysis. APPENDIX B Exhibit B1. Bridging the Gap—State Pension Grades \| State \| Grade \| Points \| Percentage of accrued liabilities funded \| Unfunded liability as percentage of covered payroll \| Percentage of actuarially required contribution made, 5-year average \| \|---\|---\|---\|---\|---\|---\| \| Alabama \| Needs improvement \| 2 \| 77% \| 93% \| 100% \| \| Alaska \| Serious concerns \| 0 \| 76% \| 158% \| 76% \| \| Arizona \| Solid performer \| 4 \| 80% \| 67% \| 101% \| \| Arkansas \| Solid performer \| 4 \| 87% \| 72% \| 104% \| \| California \| Needs improvement \| 3 \| 87% \| 83% \| 86% \| \| Colorado \| Serious concerns \| 0 \| 70% \| 243% \| 58% \| \| Connecticut \| Serious concerns \| 1 \| 62% \| 449% \| 127% \| \| Delaware \| Solid performer \| 4 \| 98% \| 7% \| 94% \| \| Florida \| Solid performer \| 4 \| 101% \| -7% \| 100% \| \| Georgia \| Solid performer \| 4 \| 92% \| 49% \| 100% \| \| Hawaii \| Serious concerns \| 1 \| 69% \| 137% \| 100% \| \| Idaho \| Solid performer \| 4 \| 93% \| 30% \| 106% \| \| Illinois \| Serious concerns \| 0 \| 54% \| 341% \| 60% \| \| Indiana \| Serious concerns \| 1 \| 72% \| 101% \| 97% \| \| Iowa \| Needs improvement \| 3 \| 89% \| 43% \| 85% \| \| Kansas \| Serious concerns \| 0 \| 59% \| 133% \| 66% \| \| Kentucky \| Serious concerns \| 0 \| 64% \| 234% \| 83% \| \| Louisiana \| Serious concerns \| 1 \| 70% \| 181% \| 102% \| \| Maine \| Solid performer \| 4 \| 80% \| 14% \| 105% \| \| Maryland \| Serious concerns \| 0 \| 78% \| 102% \| 85% \| \| Massachusetts \| Serious concerns \| 1 \| 63% \| 207% \| 93% \| \| Michigan \| Needs improvement \| 3 \| 84% \| 97% \| 85% \| \| Minnesota \| Needs improvement \| 3 \| 81% \| 91% \| 84% \| \| Mississippi \| Serious concerns \| 1 \| 73% \| 143% \| 98% \| \| Missouri \| Needs improvement \| 2 \| 83% \| 102% \| 83% \| \| Montana \| Solid performer \| 4 \| 84% \| 86% \| 113% \| \| Nebraska \| Solid performer \| 4 \| 92% \| 37% \| 98% \| \| Nevada \| Serious concerns \| 1 \| 76% \| 140% \| 97% \| \| New Hampshire \| Serious concerns \| 1 \| 68% \| 109% \| 95% \| \| New Jersey \| Serious concerns \| 0 \| 73% \| 137% \| 33% \| \| New Mexico \| Needs improvement \| 2 \| 83% \| 101% \| 89% \| \| New York \| Solid performer \| 4 \| 107% \| -41% \| 100% \| \| North Carolina \| Solid performer \| 4 \| 99% \| 2% \| 100% \| \| North Dakota \| Needs improvement \| 3 \| 87% \| 51% \| 70% \| \| Ohio \| Solid performer \| 4 \| 87% \| 85% \| 96% \| \| Oklahoma \| Serious concerns \| 0 \| 61% \| 220% \| 70% \| \| Oregon \| Needs improvement \| 2 \| 80% \| 132% \| 86% \| \| Pennsylvania \| Needs improvement \| 3 \| 87% \| 78% \| 52% \| \| Rhode Island \| Serious concerns \| 1 \| 61% \| 277% \| 100% \| \| South Carolina \| Serious concerns \| 1 \| 70% \| 139% \| 100% \| \| South Dakota \| Solid performer \| 4 \| 97% \| 13% \| 100% \| \| Tennessee \| Solid performer \| 4 \| 95% \| 20% \| 100% \| \| Texas \| Needs improvement \| 3 \| 91% \| 35% \| 87% \| \| Utah \| Solid performer \| 4 \| 84% \| 80% \| 100% \| \| Vermont \| Needs improvement \| 3 \| 88% \| 41% \| 81% \| \| Virginia \| Needs improvement \| 3 \| 84% \| 71% \| 87% \| \| Washington \| Needs improvement \| 3 \| 100% \| -1%* \| 37% \| \| West Virginia \| Serious concerns \| 1 \| 64% \| 188% \| 164% \| \| Wisconsin \| Solid performer \| 4 \| 100% \| 2%* \| 100% \| \| Wyoming \| Needs improvement \| 2 \| 79% \| 82% \| 101% \| *While Washington and Wisconsin are approximately 100 percent funded, Washington has a slight surplus and Wisconsin has a slight unfunded liability. NOTE: When states run a pension surplus, they have a negative unfunded liability and thus the unfunded liability as a percentage of covered payroll is negative. SOURCE: Pew Center on the States, 2010. Pew Center on the States Appendix B Exhibit B2. Bridging the Gap—State Retiree Health Care and Other Non-pension Benefit Grades \| State \| Grade \| Points \| \|---\|---\|---\| \| Alabama \| Needs improvement \| 0 \| \| Alaska \| Solid performer \| 1 \| \| Arizona \| Solid performer \| 1 \| \| Arkansas \| Needs improvement \| 0 \| \| California \| Needs improvement \| 0 \| \| Colorado \| Solid performer \| 1 \| \| Connecticut \| Needs improvement \| 0 \| \| Delaware \| Needs improvement \| 0 \| \| Florida \| Needs improvement \| 0 \| \| Georgia \| Needs improvement \| 0 \| \| Hawaii \| Needs improvement \| 0 \| \| Idaho \| Needs improvement \| 0 \| \| Illinois \| Needs improvement \| 0 \| \| Indiana \| Needs improvement \| 0 \| \| Iowa \| Needs improvement \| 0 \| \| Kansas \| Needs improvement \| 0 \| \| Kentucky \| Solid performer \| 1 \| \| Louisiana \| Needs improvement \| 0 \| \| Maine \| Needs improvement \| 0 \| \| Maryland \| Needs improvement \| 0 \| \| Massachusetts \| Needs improvement \| 0 \| \| Michigan \| Needs improvement \| 0 \| \| Minnesota \| Needs improvement \| 0 \| \| Mississippi \| Needs improvement \| 0 \| \| State \| Grade \| Points \| Percentage funded \| \|---\|---\|---\|---\| \| Montana \| Needs improvement \| 0 \| 0.0% \| \| Nebraska does not measure its retiree health or other benefits \| \| \| \| \| Nevada \| Needs improvement \| 0 \| 0.0% \| \| New Hampshire \| Needs improvement \| 0 \| 5.4% \| \| New Jersey \| Needs improvement \| 0 \| 0.0% \| \| New Mexico \| Needs improvement \| 0 \| 5.5% \| \| New York \| Needs improvement \| 0 \| 0.0% \| \| North Carolina \| Needs improvement \| 0 \| 2.1% \| \| North Dakota \| Solid performer \| 1 \| 34.3% \| \| Ohio \| Solid performer \| 1 \| 38.2% \| \| Oklahoma \| Needs improvement \| 0 \| 0.0% \| \| Oregon \| Solid performer \| 1 \| 29.8% \| \| Pennsylvania \| Needs improvement \| 0 \| 0.9% \| \| Rhode Island \| Needs improvement \| 0 \| 0.0% \| \| South Carolina \| Needs improvement \| 0 \| 1.7% \| \| South Dakota \| Needs improvement \| 0 \| 0.0% \| \| Tennessee \| Needs improvement \| 0 \| 0.0% \| \| Texas \| Needs improvement \| 0 \| 2.5% \| \| Utah \| Needs improvement \| 0 \| 0.7% \| \| Vermont \| Needs improvement \| 0 \| 0.2% \| \| Virginia \| Solid performer \| 1 \| 33.9% \| \| Washington \| Needs improvement \| 0 \| 0.0% \| \| West Virginia \| Needs improvement \| 0 \| 4.0% \| \| Wisconsin \| Solid performer \| 1 \| 24.0% \| \| Wyoming \| Needs improvement \| 0 \| 0.0% \| SOURCE: Pew Center on the States, 2010. Data Collection Pension Plans Included in Pew's Data Collection Alabama: Teachers' Retirement System, Employees' Retirement System, Judicial Retirement Fund. Alaska: Public Employees' Retirement System, Teachers' Retirement and Pension System, Employee's Retirement and Pension System, Alaska National Guard and Naval Militia Retirement System, Elected Public Officials' Retirement Plan. Arizona: Arizona State Retirement System, Public Safety Personnel Retirement System, Elected Officials' Retirement Plan, Corrections Officer Retirement Plan. Arkansas: Arkansas Public Employees' Retirement System, Arkansas Teachers' Retirement System, Judicial Retirement System, Highway and Transportation Retirement System, State Police Retirement System. California: Public Employees' Retirement System, Legislative Retirement Fund, Judicial Retirement Fund, Judicial Retirement Fund 2, Volunteer Firefighters Fund, State Teachers' Retirement Fund, State Teachers' Retirement Fund Cash Balance, State Teachers' Retirement Fund Defined Benefit Supplement. Colorado: State and School Division, State Division, School Division, Judicial Division, Local Government Division. Connecticut: State Employees' Retirement System, Teachers' Retirement System, Judicial Retirement System. Delaware: State Employees' Pension Plan, New State Police Pension Plan, Judiciary Pension Plan, State Police Retirement System (Closed), Diamond State Port Corporation, County and Municipal Police Firefighters, County and Municipal Other Employees, Volunteer Firemen. Florida: Florida Retirement System, Florida Retiree Health Insurance Subsidy. Georgia: Employees' Retirement System, Teachers Retirement System, Public School Employees' Retirement System, Legislative Retirement System, Judicial Retirement System, Georgia Military Pension Fund. Hawaii: Employees' Retirement System. Pew Center on the States Idaho: Public Employees' Retirement Fund Base Plan. Illinois: State Employees' Retirement System, Judges' Retirement System, General Assembly Retirement System, Teachers' Retirement System, State Universities Retirement System. Indiana: State Police Retirement Fund, Public Employees' Retirement Fund—State, Excise Police, Gaming Agent and Conservation Enforcement Officers' Retirement Fund, Judges' Retirement System, Prosecuting Attorneys' Retirement Fund, Legislators' Retirement System, State Teachers' Retirement Fund, 1977 Police Officers' and Firefighters' Pension and Disability Fund. Iowa: Iowa Public Employees' Retirement System, Peace Officers Retirement, Accident and Disability System, Iowa Judicial Retirement System. Kansas: Kansas Public Employees' Retirement System Kentucky: Kentucky Employees' Retirement System—Nonhazardous, Kentucky Employees' Retirement System— Hazardous, State Police Retirement System, Judicial Retirement Fund, Legislators' Retirement Fund, Kentucky Teachers' Retirement System. Louisiana: Louisiana State Employees' Retirement System (LASERS), Teachers Retirement System of Louisiana (TRSLA), Louisiana School Employees Retirement System (LSERS), Louisiana State Police Retirement System (LSPRS). Maine: Maine Public Employees Retirement System. Maryland: Teachers' Retirement and Pension System, Employees' Retirement and Pension System, Judges' Retirement System, State Police Retirement System, Law Enforcement Officers' Retirement Pension System, Maryland Transit Administration Pension Plan. Massachusetts: State Employees' Retirement System, Teachers' Retirement System, State-Boston Retirement System. Michigan: Legislative Retirement System, State Police Retirement System (SPRS), State Employees' Retirement System (SERS), Public School Employees' Retirement System (PSERS), Judicial Retirement System (JRS), Military Retirement Plan (MRP). Appendix C Minnesota: Correctional Employees' Retirement Fund, State Employees Retirement Fund, Elective State Officers Fund, Judicial Retirement Fund, Legislative Retirement Fund, State Patrol Retirement Fund, Public Employees Retirement Fund, Police and Fire Fund, Public Employees' Correctional Fund, Teachers' Retirement Fund. North Dakota: Public Employees' Retirement System, Highway Patrol Retirement System, Retirement Plan for the Employees of Job Service North Dakota, Teachers' Fund for Retirement. Mississippi: Public Employees' Retirement System, Mississippi Highway Safety Patrol Retirement System, Municipal Retirement System, Supplemental Legislative Retirement Plan. Missouri: Missouri State Employees' Plan, Public School Retirement System, Missouri Patrol Employees' Retirement System, Public Education Employees' Retirement System¸ Judicial Plan, University Plan. Montana: Public Employees' Retirement System— Defined Benefit Retirement Plan, Sheriff's Retirement System, Highway Patrol Officers' Retirement System, Game Warden and Peace Officers' Retirement System, Firefighters' Unified Retirement System, Municipal Police Officers' Retirement System, Judges' Retirement System, Teachers' Retirement System. Nebraska: State Employees' Retirement, County Employees, Schools, Judges, State Patrol. Nevada: Public Employees' Retirement System, Legislative Retirement System, Judicial Retirement System. New Hampshire: Employees Group, Teachers Group, Police Officers Group, Firefighters Group, Judicial. New Jersey: Public Employees' Retirement System, Teachers' Pension and Annuity Fund, Judicial Retirement System, Consolidated Police and Firemen's Pension Fund, Police and Firemen's Retirement System, Prison Officers' Pension Fund, State Police Retirement System. New Mexico: Public Employees' Retirement System, Judicial Retirement System, Volunteer Firefighters Retirement Fund, Magistrate Retirement System, Education Employees' Retirement System. New York: Employees' Retirement System, Police and Fire Retirement System. North Carolina: Teachers' and State Employees' Retirement System, Consolidated Judicial Retirement System, Legislative Retirement System, Firemen's and Rescue Squad Workers' Pension Fund, National Guard Pension Plan, Registers' of Deeds' Retirement System, Local Governmental Employees' Retirement System. Ohio: Ohio Public Employees Retirement System, State Teacher Retirement System, State Highway Patrol Retirement System. Oklahoma: Oklahoma Firefighters Pension Retirement System, Oklahoma Public Employees' Retirement System, Uniform Retirement System for Judges and Justices, Police Pension and Retirement System, Teachers' Retirement System, Oklahoma Law Enforcement Retirement System, Wildlife Conservation Retirement Plan. Oregon: Public Employees Retirement System. Pennsylvania: State Employees' Retirement System, Public School Employees' Retirement System. Rhode Island: Employees' Retirement System—State Employees, Employees' Retirement System—Teachers, State Police Retirement Benefits Trust, Judicial Retirement Benefits Trusts. South Carolina: South Carolina Retirement System, Police Officers' Retirement System, General Assembly Retirement System, Judges' and Solicitors' Retirement System, National Guard Retirement System. South Dakota: South Dakota Retirement System, South Dakota Cement Pension Trust Fund, Department of Labor Employee Retirement System. Tennessee: State Employees, Teachers, and Higher Education Employees Pension Plan (SETHEEPP), Political Subdivision Defined Benefit Plan (PSPP). Texas: Employees Retirement System of Texas Plan, Law Enforcement and Custodial Officer Supplemental Retirement Fund, Judicial Retirement System of Texas Plan One, Judicial Retirement System of Texas Plan Two, Teacher Retirement System of Texas, Texas Statewide Emergency Services Retirement Act (TSESRA) Fund. Utah: Public Employees Noncontributory Retirement System (Noncontributory System), Public Employees Contributory Retirement System (Contributory System), Firefighters Retirement System, Public Safety Retirement System, Judges Retirement System, Utah Governors and Legislators Retirement Plan. Appendix C Vermont: Vermont State Retirement System (VSRS), State Teachers' Retirement System (STRS), Vermont Municipal Employees' Retirement System (MERS). Arkansas: Arkansas State Employee Health Insurance Plan, Arkansas State Police Medical and Rx Plan,19 state run plans for public colleges and universities. Virginia: Virginia Retirement Systems, State Police Officers' Retirement System (SPORS), Virginia Law Officers' Retirement System (VaLORS), Judicial Retirement System (JRS). Washington: Public Employees' Retirement System Plan 1, Public Employees' Retirement System 2/3, Teachers' Retirement System Plan 1, Teachers' Retirement System 2/3, School Employees' Retirement System, Law Enforcement Officers' and Fire Fighters' Retirement System—Plan 1, Law Enforcement Officers' and Fire Fighters' Retirement System 2, Public Safety Employees' Retirement System, Washington State Patrol Retirement System (WSPRS), Judicial Retirement System, Judges' Retirement Fund, Volunteer Fire Fighters', Reserve Officers' Relief and Pension Fund. West Virginia: The Public Employees' Retirement System (PERS), Teachers' Retirement System (TRS), The Public Safety Death, Disability, and Retirement Fund (PSDDRF); State Police Retirement System (SPRS), Judges' Retirement System (JRS). Wisconsin: Wisconsin Retirement System. Wyoming: Public Employees Pension Plan, Wyoming State Highway Patrol, Game and Fish Warden and Criminal Investigator Retirement Plan; Volunteer Firemen's Pension Plan, Paid Firemen's Pension Plan A, Paid Firemen's Pension Plan B, Wyoming Judicial Retirement Plan, Wyoming Law Enforcement Retirement Plan (effective 2002). Retiree Health and Other Benefit Plans in Pew's Data Collection Alabama: Retired State Employees' Health Care Trusts, Retired Education Employees' Health Care Trust. Alaska: Public Employees' Retirement System Other Postemployment Benefit (OPEB), Teachers' Retirement System OPEB, Elected Public Officials' Retirement Plan OPEB, Judicial Retirement System OPEB. Arizona: Health Insurance Premium Benefit, Long Term Disability Program, Health Insurance Premium Subsidy— Public Safety Personnel Retirement System, Health Insurance Premium Subsidy—Elected Officials Retirement Plan, Health Insurance Premium Subsidy—Corrections Officer Retirement Plan. Pew Center on the States California: State of California OPEB, University of California Retiree Health Plan, Medicare Premium Payment Program. Colorado: Public Employees' Retirement Association (PERA) Health Care Trust Fund, University of Colorado OPEB, Retiree Medical Premium Refund Plan, Retiree Medical Premium Subsidy for PERA Participants, Umbrella RX Plan. Connecticut: State Employee OPEB Plan, Retired Teacher Healthcare Plan. Delaware: Delaware OPEB Fund Trust. Florida: Florida OPEB. Georgia: Board of Regents Retiree Health Benefit Fund, Georgia Retiree Health Benefit Fund, State Employees' Assurance Department. Hawaii: Employer-Union Health Benefits Trust Fund (EUTF), Voluntary Employees' Benefit Association Trust. Idaho: Retiree Healthcare, Long-Term Disability, Life Insurance, University of Idaho—Medical, Dental, Life. Illinois: Health, Dental, Vision, Life, Community College Health Insurance Security Fund, Teacher Health Insurance Security Fund (excluding Chicago.) Indiana: State Personnel Healthcare Plan, Legislatures' Healthcare Plan, Indiana State Police Healthcare Plan, Conservation and Excise Police Healthcare Plan. Iowa: Medical Insurance and University Funds (Medical, Dental, Life). Kansas: Health Insurance. Kentucky: Kentucky Retirement Systems Insurance Fund— Non Hazardous, Kentucky Retirement Systems Insurance Fund—Hazardous, Kentucky Legislators Retirement PlanInsurance, Kentucky Judicial Retirement Plan—Insurance, State Police Retirement System—Insurance, Kentucky Teachers' Retirement System. Louisiana: Office of Group Benefits Plan, Definity Health Plan. Maine: State Employees, First Responders, Teachers, Life Insurance Plan. Maryland: State Employee and Retiree Health and Welfare Benefits Program. Appendix C Massachusetts: State Retiree Benefits Trust Fund. Michigan: Legislative Retirement System (LRS), State Police Retirement System (SPRS), State Employees' Retirement System (SERS), Public School Employees' Retirement System (PSERS), Judges' Retirement System (JRS), Life Insurance. Public Employees' Benefit Board—Medical, Dental, Vision; SAIF Healthcare, Oregon Health and Science University Healthcare. Minnesota: State Plan, Metropolitan Council Plan, University of Minnesota Plan. Mississippi: Medical and Life Insurance Plan. Missouri: Missouri Consolidated Health Care Plan (MCHCP), Healthcare and Life Insurance: Missouri State Employees' Retirement System (MOSERS), Missouri Department of Transportation and Missouri State Highway Patrol Medical and Life Insurance Plan (MHPML), Conservation Employees' Insurance Plan (CEIP). Montana: State of Montana, Montana University System. Nebraska: Nebraska does not provide any data regarding its liability for retiree health care or other non-pension benefits. Nevada: Retirees' Fund. New Hampshire: Employee and Retiree Benefit Risk Management Fund, Group II—Police Officers and Firefighters, Group I—Teachers, Group I—Political Subdivision Employees, Group I—State Employees. New Jersey: State OPEB, Local OPEB. New Mexico: Retiree Health Care Authority. New York: New York State Health Insurance Program, State University of New York OPEB, City University of New York OPEB. North Carolina: Retiree Health Benefit Fund, Disability Income Plan. North Dakota: Retiree Health Insurance Credit Fund, Retiree Health Insurance Health Care, Job Service North Dakota OPEB. Ohio: Retiree Medical Account—Healthcare, State Teacher Retirement System—OPEB, SHPRS—OPEB. Oklahoma: The Oklahoma State and Education Employee Group Insurance Board (OSEEGIB). Oregon: Retirement Health Insurance Account (RHIA), Retiree Health Insurance Premium Account (RHIPA), Pennsylvania: Retired Employees Health Program, Retired Pennsylvania State Police Program, Pennsylvania Judiciary, Pennsylvania House of Representatives, Pennsylvania Senate. Rhode Island: Rhode Island Retiree Health Care Benefit PlanState Employees, Rhode Island Retiree Health Care Benefit Plan—Teachers, Rhode Island Retiree Health Care Benefit Plan—Judges, Rhode Island Retiree Health Care Benefit Plan—State Police, Rhode Island Retiree Health Care Benefit Plan—Legislators. South Carolina: South Carolina Retiree Health Insurance Trust Fund (SCRHITF), Long Term Disability Insurance Trust Fund (LTDITF), South Carolina Retirement System Retiree Life Insurance, Police Officers' Retirement System Retiree Life Insurance. South Dakota: South Dakota OPEB. Tennessee: Employee Group Plan, Teacher Group Plan, Medicare Supplement: State, Medicare Supplement: Teachers. Texas: University of Texas System Employee Group Plan ("UT Plan"), A&M Care Health and Life Plan ("A&M Plan"), Employees Retirement System (ERS), Teachers Retirement System. Utah: Other Postemployment Retirement Plan, Utah Retirement Employees Post Employment Healthcare Plan. Vermont: Vermont State Retirement System, State Teachers' Retirement System. Virginia: Group Life Insurance Fund, Retiree Health Insurance Credit Fund, Disability Insurance Trust Fund, Line of Duty Death and Disability, Pre-Medicare Retiree Healthcare. Washington: State OPEB, K-12 OPEB, Political Subdivision OPEB. West Virginia: Retiree Health Benefit Trust Fund (RHBT). Wisconsin: State's Health Insurance Plan, Duty Disability Fund, Retiree Life Insurance Fund. Wyoming: Retiree Health Insurance Plan. 901 e Street, NW, 10thfloor • Washington, DC 20004 www.pewcenteronthestates.org
Week of February 26 – March 5, 2017 Sunday, February 26th 8:30 am Holy Eucharist, Rite II 9:30 am Convention Update, Adult Forum Christian Formation for all ages, parish hall Choir Practice, nave 10:30 am Holy Eucharist, Rite II 11:45 am Cursillo 4th sunDay!, parish hall Tuesday, February 28th 6:30 pm Shrove Tuesday Pancake Supper, parish hall Wednesday, March 1st 7:00 pm Ash Wednesday Service, nave Sunday, March 5th 8:30 am Holy Eucharist, Rite II 9:30 am The Best Way to Pray, Adult Forum, parish hall Christian Formation for all ages, parish hall Choir Practice, nave 10:30 am Holy Eucharist, Rite II Notes from the Interim Rector The Best Way to Pray: Adult Sunday School During Lent What's the best way to pray? The best way to pray is the one that works best for you. As a matter of fact, there are probably several ways of praying that suit you. That's been my personal experience. My prayer life regularly includes prayers of gratitude and intercession, centering prayer, Collects from the Prayer Book, and journaling. And I'm open to experiencing other forms of prayer along the way. I invite you to join me at 9:30 a.m. in the Parish Hall during the Sundays of Lent as we explore and experience five of those other forms of prayer. My guess is that one or more of them might just appeal to you. I've found a couple of them quite helpful. Each Sunday, I'll share a little bit about the personality type that may find a particular prayer form helpful. Then, after an introduction to the prayer form, we'll spend a few minutes using it. I'll send you home with some "homework" for further use of the newly introduced prayer form. I hope to see you there. The Rev. Bill Blackerby, Interim Rector Acolyte Master Would you like to work with the incredible youth of our parish? Would you like to help prepare them to participate in our weekly services? We are looking for an acolyte master to serve in this wonderful and important ministry. Please let Father Bill know if you are interested in volunteering. Weekly & Monthly Reminders Save the Date Tues, Feb 28th Shrove Tuesday Pancake Supper, 6:30 pm Wed, Mar 1st Ash Wednesday Service, 7:00 pm Wed, Mar 15th Lent Soup & Program with Susanna Whitsett, 6:30 pm Wed, Mar 22nd Lent Soup & Program with Rob Morpeth, 6:30 pm Thurs, Apr 13th Maundy Thursday Service, 7:00 pm Fri, Apr 14th Good Friday Service & Stations of the Cross, 7:00 pm Sat, Apr 15th Easter Vigil, 7:00 pm Sun, Apr 16th Easter Sunday Church Happenings Shrove Tuesday Pancake Supper, February 28th at 6:30 pm, parish hall It's time to prepare for Lent with our annual Shrove Tuesday pancake supper. Come have fun & fellowship with one another, feasting on pancakes, bacon, sausage & other delights! Sign up at PerfectPotluck.com to let us know what you are bringing. perfectpotluck.com – coordinator: greer password: ecohs Ash Wednesday Service, March 1st at 7:00 pm, nave Holy Eucharist and Imposition of Ashes Remember that you are dust and to dust you shall return Almighty God, you have created us out of the dust of the earth: Grant that these ashes may be to us a sign of our mortality and penitence, that we may remember that it is only by your gracious gift that we are given everlasting life; through Jesus Christ our Savior. Amen. The service of Ash Wednesday invites us to the observance of a holy Lent. Cursillo 4th sunDAY!, February 26th at 11:45 am All past Cursillistas are invited to reunion together every 4th Sunday of the month. Our first get together will be February 26th. Feel free to bring a brown bag lunch. If you are interested in attending, contact Kim Sorensen, firstname.lastname@example.org, for more information. Upcoming 2017 Cursillo Weekends: * April 6th – 9th (deadline Feb 28th) * June 8th – 11th * Sept 7th – 10th * Oct 5th – 8th Cookies for Beans & Rice As part of our Beans & Rice Ministry, we like to add a small bag of cookies (homemade cookies, storebought cookies, brownies, etc.) to the bag of food staples that we provide each month to those in need. This treat is greatly appreciated. Please consider signing up (by yourself or with a friend) to provide cookies for one of the Rice & Beans Ministry Saturdays during the year. Sign up and get all the details at: http://holyspirit-al.org/volunteer-spot/ Diocesan Convention Update The theme of the 186th Diocesan Convention was, "Why Jesus? Telling the Compelling Story of God's Love." Keri Ann Atkinson, Roy Clem, and Mary Hodgetts attended as delegates for Holy Spirit. They went to various workshops and voted on resolutions for the diocese. The following resolutions were passed: * Resolution for Continuing the Offering of Anti-Racism Training that is required for all ordained persons, diocesan staff, and those elected as delegates to General Convention and those elected or appointed to serve on diocesan committees, commissions, or boards. * Resolution Recognizing a Dormant Parish. At the request of St. John's Deaf Church, Vestavia Hills, to be declared dormant. This is the parish across the street from St. Stephens and has been struggling with a declining membership for many years. The Diocese will determine how to handle the assets of the Parish. * Resolution urging the Diocese and member Parishes to seek establishment of resettlement communities for refugees and immigrants in Alabama. This resolution called for the Diocese to affirm a 1948 United Nations resolution called the Universal Declaration of Human Rights that established the recognition of the inherent dignity and of the equal and unalienable rights of all members of the human family as the foundation of freedom, justice, and peace in the world. It also called for the Diocese to reaffirm a Diocesan resolution from Alabama's 181st Convention of the Diocese that affirms the mandate of the Gospel of Jesus Christ that the Church be no respecter of persons but serve all our neighbors whoever they are and wherever we find them. After a lot of word smithing, the term establish resettlement communities was changed to say offer hospitality and resources as needed. In addition to the terms refugees and immigrants the word migrants was added. Bishop's Visitation Schedule: One Piece of Bad News and Two Pieces of Good News During his annual address to convention and in a letter that accompanied the Bishop's visitation schedule through 2020, Bishop Sloan announced a difficult decision that Diocesan Council and the Bishop made about this year's diocesan budget. The Bishop said, "At the budget meeting we were faced with the unhappy fact that we had more than $300,000 less than we needed to fund all of the ministries across the Diocese, and so some cuts had to be made. I suggested to the Council that it made sense for us to not hire an assistant bishop in 2017, which saved us well over half of that gap." As a result of this difficult decision the Bishop will not visit every parish every year. This means that the Bishop's next visit to Holy Spirit will be November 18, 2018. The first piece of good news in the face of this change in visitation scheduling is that the Bishop and Council are committed to maintaining the support that the Diocese gives to college work, Sawyerville Day Camp, youth ministries, Camp McDowell, and Special Session. The funding to these essential ministries will not be cut. Instead, Council and the Bishop will look for other ways to trim the budget. The second piece of good news affects people who want to be confirmed or received into the Episcopal Church; they will NOT have to wait until the Bishop visits their parishes. Bishop Sloan said that he is working with Camp McDowell to arrange several Sunday afternoon gatherings for Confirmation and Reception in St. Francis Chapel at Camp! Additionally, members from one parish may travel to another parish where the Bishop is visiting to be confirmed or received. While it is disappointing that the Bishop cannot visit every parish every year, I think that the Bishop and Council made the right decision not to hire an assistant bishop at this time. In my opinion, it is far more important that we as a diocese support the ministries of the church that mean so much to so many people. The Bishop did say in his address and letter that he hopes that next year's budget permits the diocese to hire an assistant bishop but that depends on the generosity of parishes. Please let me know if you have any questions about any of this. Financial Update Contributions Thank you for your generous support of our parish. Below is a summary of the contributions received during the week ending on Sunday, February 19, 2017. Bishops and Clergy: Justin Welby, Archbishop of Canterbury; Michael Bruce Curry, Presiding Bishop ECUSA; Kee Sloan, Alabama Bishop; Bill Blackerby, Interim Rector; Stan Wright, Priest Affiliate Diocesan Prayer Cycle: Our companion dioceses of Alaska & the Virgin Islands & their bishops Mark & Ambrose; Parish Administrators; Parish Vestries Ministries and Programs within The Church of the Holy Spirit: Parish Life, Choir, Altar Guild, InviteWelcomeConnect, Stewardship For Nation and Local Community: Donald Trump, President; Robert Bentley, Governor; Communities of Calera, Alabaster, Helena, Maylene, & Pelham For all people everywhere, especially: those living in Syria and all war-torn countries Healing & Guidance for members, relatives and friends of Holy Spirit: Richard Smith (Victoria Knierim); Carl Raymond (Allyson Agee); Jo Cochran (Judy Dykes); Roxie & Stan Wright; Debra Dewees (Glenda Jones); Bud Montgomery, Henry (Carol Smedley); Kim & Luke Sloan, Nila Whetsell, Roy Wolfe, David, Obie, Brian, Bill & Debbie (Katy Brooks); Karen Marshall (Allyson Agee); Barbara Carroll (Harriet & Bill Meeks); Jaxson (Mary Hodgetts); Jim Mankoski (Allyson Agee); Dan Poset; Shannon Bogert & family (Amanda Wilbanks); Buzz Palmer; Isabelle Jackson; Hal Skalka; Will Graham; Lou Malone (Sharon Poset); Zara Golightly (Mandy Golightly); Julia Jackson; Charlotte Callough (M.E. Spencer); Jimmy Lee (Rodney Dilbeck); Betty Marek; Greg, Tyler, Derek, & Josh Hussey; Robert Harrison, Scarlet Harenburg (Tara Portney); Val Autrey; J.T. Peterson; Barb Diehl (Jim Hamilton); Hailey For those serving in the armed services: Hall Graham (Julia Jackson), MarkMcKay (Gladys McKay) For all who have died, may light perpetual shine upon them. Upcoming Birthdays: Michael Matthews (3/3), Claudia Maxwell (3/4), Mandy Curry (3/4), Mike Stephens (3/5), Val Autrey (3/9), Judy Dykes (3/10), Janet Cooley (3/11) Upcoming Anniversaries: Shirley & Jim Hamilton (2/28) The Episcopal Church of the Holy Spirit The Rev. Bill Blackerby, Interim Rector email@example.com -205-837-9861 858 Kent Dairy Rd; PO Box 2365 Alabaster, AL 35007 - -
MEIT: Memory Efficient Itemset Tree for Targeted Association Rule Mining Philippe Fournier-Viger 1 , Espérance Mwamikazi 1 , Ted Gueniche 1 and Usef Faghihi 1Department of Computer Science, University of Moncton, Canada 2Department of Computer Science, Sull Ross State University, TX, USA email@example.com,{eem7706, firstname.lastname@example.org, email@example.com Abstract. The Itemset Tree is an efficient data structure for performing targeted queries for itemset mining and association rule mining. It is incrementally updatable by inserting new transactions and it provides efficient querying and updating algorithms. However, an important limitation of the IT structure, concerning scalability, is that it consumes a large amount of memory. In this paper, we address this limitation by proposing an improved data structure named MEIT (Memory Efficient Itemset Tree). It offers an efficient node compression mechanism for reducing IT node size. It also performs on-the-fly node decompression for restoring compressed information when needed. An experimental study with datasets commonly used in the data mining literature representing various types of data shows that MEIT are up to 60 % smaller than IT (43% on average). Keywords: frequent pattern mining, association rule mining, itemset mining, itemset tree, memory constraint, targeted queries 1 Introduction Association rule mining [1] is a fundamental data mining task with wide applications [2]. It consists of discovering associations in a transaction database. To mine association rules in a database, a user has to provide two thresholds, namely the minimum confidence and minimum support thresholds [1]. Several algorithms have been proposed to discover association rules such as Apriori, FPGrowth, HMine, Eclat and TopKRules [1, 2, 3, 4, 10, 11]. However, those algorithms are batch algorithms, i.e. if new data is added to the input database, users need to run the algorithms again to get updated results. This is inefficient when new data is regularly added to databases. To address this problem, incremental versions of batch algorithms were proposed [5, 6]. Nevertheless, these algorithms still suffer from an important limitation. That is, they are designed to discover (and update) all association rules in a database (meeting the user-defined thresholds mentioned above) rather than allowing the user to perform targeted queries. Targeted queries are useful for applications where the user wants to discover association rules involving a subset of the items contained in a database, 2 instead of all items [7, 8]. To process targeted queries for association rule mining efficiently in the context of static or incremental databases, the Itemset Tree (IT) data structure was proposed [7, 8]. The IT is a tree structure, which can be incrementally updated and efficiently queried. The IT structure allows performing a vast array of important targeted queries such as (1) calculating the frequency of a given set of items, (2) discovering all valid association rules given a set of items as antecedent and (3) finding all frequent itemsets subsuming a set of items and their support [7, 8]. The IT structure has various applications such as predicting missing items in shopping carts in real-time [9]. However, ITs are inefficient when it comes to memory efficiency. Thus, to use ITs for large and/or incremental databases, we need to improve their memory efficiency. Given this limitation, an important research question is: Could we design a more memory efficient structure for targeted association rule mining? In this paper, we answer this question positively by proposing an improved IT structure that we name the Memory Efficient Itemset Tree (MEIT). The contributions of this work are twofold. First, we propose the MEIT structure. It incorporates effective tree node compression and decompression mechanims to reduce the information stored in IT nodes and restore it when needed. Second, we perform an extensive experimental study on six datasets commonly used in the data mining literature to compare the MEIT and IT data structures. Results show that MEIT is up to 60 % smaller than an IT (43% on average). The remainder of this paper is organized as follows. Section 2 reviews the problem of association rule mining and the definition of IT. Section 3 describes the MEIT. Section 4 presents the experimental study. Finally, Section 5 draws a conclusion and discusses future work. 2 Related Work Association rule mining is a fundamental data mining problem [2]. It is stated as follows [1]. Let I = {a1, a2, …an} be a finite set of items. A transaction database is a set of transactions T={t1,t2…tm} where each transaction tj ⊆ I (1≤ j ≤ m) represents a set of items purchased by a customer at a given time. An itemset is an unordered set of distinct items X ⊆ I. The support count of an itemset X is denoted as sup(X) and is defined as the number of transactions that contain X. An association rule X→Y is a relationship between two itemsets X, Y such that X, Y ⊆ I and X ∩ Y = Ø. The support of a rule X→Y is defined as sup(X→Y) = sup(X∪Y) / \|T\|. The confidence of a rule X→Y is defined as conf(X→Y) = sup(X∪Y) / sup(X). The problem of mining association rules [1] is to find all association rules in a database having a support no less than a user-defined threshold minsup and a confidence no less than a user-defined threshold minconf. For instance, Figure 1 shows a transaction database (left) and the corresponding association rules (right) for minsup = 0.5 and minconf = 0.5. For example, rule {1}→{4} has a support of 0.5 because it appears in two transactions out of 6 (t1 and t4). Furthermore, it has a confidence of 0.75 because {1, 4} appears in two transactions while {1} appears in 3 transactions. Mining associations is generally done in two steps [1]. Step 1 is to discover all frequent itemsets in the database (itemsets appearing in at least minsup × \|T\| transactions). Step 2 is to generate association rules using the frequent itemsets found in Step 1. For each frequent itemset X, pairs of frequent itemsets P and Q = X – P are selected to generate rules of the form P→Q. For each such rule P→Q, if sup (P→Q) ≥ minsup and conf (P→Q) ≥ minconf , the rule is output. The most popular algorithms for association rule mining such as FPGrowth, HMine, Eclat and Apriori [1, 2, 3, 4, 10] are batch algorithms. Fig. 1. A transaction database (left) and some association rules found (right) \| TID \| Transactions \| \|---\|---\| \| t1 \| {1, 4} \| \| t2 \| {2, 5} \| \| t3 \| {1, 2, 3} \| \| t4 \| {1, 2, 4} \| \| t5 \| {2,5} \| \| ID \| Rule \| Supp. \| \| Conf. \| \|---\|---\|---\|---\|---\| \| r1 \| {2}→{5} \| 0.33 \| 0.4 1.0 0.66 1.0 0.4 0.66 \| \| \| r2 \| {5}→{2} \| 0.33 \| \| \| \| r3 \| {1}→{4} \| 0.33 \| \| \| \| r4 \| {4}→{1} \| 0.33 \| \| \| \| r5 \| {2}→{4} \| 0.33 \| \| \| \| r6 \| {4}→{2} \| 0.33 \| \| \| As an alternative to batch algorithms, the Itemset-Tree data structure was proposed. It is a structure designed for efficiently processing targeted queries on a transaction database [7, 8]. An IT is built by recursively inserting transactions from a transaction database, or any other sources, into the tree. It can be incrementally updated by inserting new transactions after the initial tree construction. An IT is formally defined as a tree where each IT node k stores (1) an itemset i(k), (2) the support count s(k) of the itemset and (3) pointers to children nodes when the node is not a leaf. The itemset associated to an IT node represents a transaction or the intersection of some transactions [7]. The root of an itemset tree is always the empty set . Figure 2 shows the algorithm for inserting a transaction in an IT. For instance, Figure 3 shows the six steps for the construction of an IT for the database depicted in the left part of Figure 1. In Step A, the transaction {1, 4} is inserted as a child of the root with a support of 1. In Step B, the transaction {2, 5} is inserted as a child of the root with a support of 1. In Step C, the transaction {1, 2, 3} is inserted into the tree. Because {1, 4} and {1, 2, 3} share the same leading item {1} according to the lexical ordering of items, a new node is created for the itemset {1} with a support of 2, such that {1, 2, 3} and {1, 4} are its children. In Step D, the transaction {1, 2, 4} is inserted into the tree. Given that {1, 2, 3} and {1, 2 4} share the same first leading items according to the lexical ordering, a node {1, 2} is created with a support of 2 with nodes {1, 2, 3} and {1, 2, 4} as its children. In Step E, the transaction {2, 5} is inserted into the tree. Since the transaction is already in the tree, its support count is incremented by 1 and no node is created. Finally, in Step F, the transaction {2, 4} is inserted. Since this transaction shares the itemset {2} with {2, 5}, a node {2} with a support of 3 is created with {2, 4} and {2, 5} as its children. Note that when the support of a node is increased in an IT, the support of all its ancestors is also increased. The expected cost of transaction insertion in an IT is ≈ O(1) [7]. For a proof that the transaction insertion algorithm is correct, the readers are referred to the paper proposing the IT structure [7]. An IT allows performing efficient queries for itemset mining and association rule mining such as (1) calculating the frequency of a set of items, (2) discovering all valid association rules containing a set of items as antecedent and (3) finding all frequent itemsets subsuming a set of items and their frequency. Because of space limitation, we here only briefly explain the query-processing algorithm for counting the support of an itemset. The other query processing algorithms work in a similar way and the readers are referred to [7, 8] for more details. The pseudo-code of the query processing algorithm for support counting is shown in Figure 4. Consider the case of calculating the support of itemset {1, 2}. The algorithm starts from the root. Since the query itemset {1, 2} is not contained in and is smaller than the root itemset, the algorithm will visits the root's child nodes, which are {1, 2} and {2, 5}. Then given that the query itemset is equal to the itemset of the node {1, 2}, the support of 2 attached to the node {1, 2} will be kept and the subtree of that node will not be explored. The subtree {2, 5} will not be explored because the last item of {2, 5} is larger than the last item of {1, 2}. The algorithm will terminate and return 2 as the support count of {1, 2}. The expected cost of calculating the frequency of an itemset with this algorithm is ≈ O(n), where n is the number of distinct items in it. Improved querying algorithms for IT have recently been proposed [8]. Our proposal in this paper is compatible with both the old and the new querying algorithms. ``` INSERT(a transaction to be inserted s, an itemset-tree T) 1. r = root(T); s(r) := s(r) + 1; 2. IF i(s) = i(r) THEN exit; 3. Choose Ts = subtree(r) such that i(root(Ts) is comparable with s 4. If Ts does not exist THEN 5. create a new son x for r, items(x) = s and f(x) = 1; 6. ELSE IF i(root(Ts)) s THEN call Construct(s, Ts) 7. ELSE IF s i(root(Ts) THEN create a new node x as a son of r 8. and a father of root(Ts); i(x) := s; s(x) := s(root(Ts))+1; 9. ELSE create two nodes x and y, x as the father of root(Ts), 10. such that .i(x) = s root(Ts), s(x) = s(root(Ts))+1, 11. and y as a son of x, such that i(y) = s, s(y) = 1. ``` Fig. 2. The algorithm for transaction insertion in an Itemset-tree Lastly, note that IT should not be confused with trie-based structures used in pattern mining algorithms such as the FP-Tree structure used by FPGrowth [3]. In an FP-Tree, each node contains a single item and each branch represents a transaction. In an IT, each node represents a transaction or the intersection of some transactions [7, 8]. The trie-based structures and the IT are designed for a different purpose. 3 The Memory-Efficient Itemset-Tree We now describe MEIT, our improved IT data structure for targeted association rule mining. MEIT is an enhanced form of IT that uses an efficient and effective node compression scheme to reduce the memory usage of IT. We have designed the MEIT based on three observations that are formalized by the following three properties. ``` COUNT(an itemset s, an itemset-tree T) 12. r = root(T); 13. IF s ⊆ r THEN s(s) := s(s)+ s(r); 14. IF r < s according to lexical order AND last-item(r) < last-item(s) THEN 15. FOR EACH subtree T of r DO 16. s(s) := s(s) + COUNT(s, T); 17. RETURN s(s); ``` Fig. 4. The algorithm for processing a support count query on an IT Property 1. In an IT, transactions are inteserted by traversing branches in a top-tobottom manner. Rationale. The insertion algorithm is given in Figure 3 and detailed in [7]. As it can be seen from the pseudo-code of this algorithm, the tree is always traversed in a top-to-bottom order to find the appropriate location for inserting a transaction (either by creating new node(s) or by raising the support of an existing node). Property 2. Queries on an IT are always processed by traversing tree branches in a top-to-bottom manner. Rationale. In Figure 4, we have presented the pseudo-code of the algorithm for processing a support count query. As it can be seen from the pseudo code, the branches from the tree are traversed from top to bottom rather than from bottom to top. Other querying algorithms are described in [7, 8] and they also respect this property. Property 3. Let k be an IT node and parent(k) be its parent. The relationship i(parent(k)) i(k) holds between k and its parents. More generally, this property is transitive. Therefore, it can be said that for any ancestor x of k, i(x) i(k). Example 1. Consider the itemset {1, 2, 4} of the leftmost leaf node of Figure 3(F). The itemset of this node contains the itemset {1, 2} of its parent node. The itemset of this latter node contains the itemset {1} of its parent node. This latter contains the itemset of its parent. Based on the aforementioned properties, we propose an efficient scheme for compressing node information in IT to improve its memory efficiency. It comprises two mechanisms, which are node compression and node decompression. Definition 1. Node compression. Consider a node k of an itemset tree having an uncompressed itemset i(k) such that i(k) (i.e. k is not the root). Suppose k has n ancestor nodes denoted as ancestor1(k), ancestor2(k), … ancestorn(k). Compressing node k consists of setting i(k) to i(k) / ⋃ . Example 2. For instance, Figure 5 shows the construction of an IT where the node compression scheme is applied on each new node during the IT construction, for the dataset of Figure 1 (left). During Step A and Step B, the transaction {1, 4} and {2, 5} are inserted into the IT with no compression because their parent is the empty set. In Step C, the transaction {1, 2, 3} is inserted. A new node {1} is created as a common ancestor of {1, 2, 3} and {1, 4}. The nodes {1, 2, 3} and {1, 4} are thus compressed respectively as {2, 3} and {4}. In Step D, the transaction {1, 2, 4} is inserted. A new node {2} is created as a common ancestor of {1, 2, 3} and {1, 2, 4} (note that {1, 2, 4} is represented as {4} in the tree because it is compressed). The nodes {1, 2, 3} and {1, 2, 4} are compressed respectively as {3} and {4}. In Step E, the transaction {2, 5} is inserted. Because this transaction already appears in the tree, the support of the corresponding node and its ancestors is increased. Finally, in Step F, the transaction {2, 4} is inserted. A new node {2} is created as a common ancestor of {2, 4} and {2, 5}. The nodes {2, 4} and {2, 5} are compressed respectively as {4} and {5}. By comparing the compressed trees of Figure 5 with the corresponding itemset tree of Figure 3(F), we can see that the total number of items stored in nodes is greatly reduced by compression. The tree of Figure 5 contains 8 items, while the tree of Figure 3(F) contains 16 items. Having described the node compression scheme, we next describe how decompression is performed to restore the original information. Definition 2. Node decompression. Consider a node k of an itemset tree having a compressed itemset i(k) such that i(k) (i.e. k is not the root). Suppose that k has n ancestor nodes denoted as ancestor1(k), ancestor2(k), … ancestorn(k). Node decompression consists of calculating i(k) ∪ [⋃ ] to obtain the uncompressed representation of i(k). Example 3. Consider the leftmost leaf node of Figure 5(F). It contains the itemset {4}, which is the compressed representation of the itemset {1, 2, 4} (cf. Figure 3(F)). To restore the uncompressed representation, the union of the itemsets of the ancestor nodes with the itemset {4} is performed. The result is ∪{1}∪{2}∪{4} = {1, 2, 4}. Note that the root can be ignored when performing the union of ancestor itemsets. This is because the root node always contains the empty set, and thus never changes the result of node decompression. Definition 3. Memory Efficient Itemset Tree (MEIT). A MEIT is an IT where (1) node compression is applied during tree construction so that each node content is compressed and (2) where node decompression is performed on-the-fly during tree construction and query processing to restore node information when required. We next show that node compression/decompression can be applied during tree construction and query processing, and that applying compression/decompression does not affect the result of queries. Property 4. Node compression is always applicable during transaction insertion. To demonstrate that node compression can always be applied to compress new nodes that are created by the transaction insertion algorithm, we need to examine the conditions that have to be met to perform node compression. The first condition that has to be met to apply node compression to a given node is that the node has at least a parent node. The only node that does not have a parent in an IT is the root node and the root is never compressed by definition (cf. Definition 1). Second, to perform compression of a node k, it is necessary to access ancestor nodes' itemsets to perform their union. This condition is always met during tree construction because branches are always traversed from top to bottom rather than from bottom to top (Property 1). Therefore, the itemsets of ancestor nodes can be collected while traversing each branch so that the information required for compression is always available to the transaction insertion algorithm. Therefore, any node that is visited by the transaction insertion algorithm can be compressed when it is created. Property 5. Node decompression is always applicable for transaction insertion. To demonstrate that node decompression can always be applied by the transaction insertion algorithm, we use a similar reasoning as for Property 4. As mentioned, the transaction insertion algorithm traverses branches from top to bottom starting from the root (Property 1). This traversal order makes it possible to collect the itemsets of nodes visited while traversing a branch so that ancestor nodes' itemsets are always available for performing decompression of a node. Therefore, any node that is visited by the transaction insertion algorithm can be decompressed. Property 6. Node decompression is always applicable during query processing. For query processing, only decompression is used to answer queries. It must be noted that by definition queries are not allowed to modify an IT (transaction insertion is not viewed as a query in IT terminology [7]). Similar to transaction insertion, queries are always processed by traversing IT branches from top to bottom rather than from bottom to top (Property 2), as it can be seen for example in the pseudo-code of Figure 4. Because of this traversal order, the information required for decompressing each node can be collected as the branches are traversed by keeping itemsets from the same branch into memory. Therefore, any node that is visited by one of the query processing algorithm can be decompressed. Property 7. Performing node compression/decompression does not affect query results. Compressing an itemset and decompressing it does not result in a loss of information, by the definition of compression and decompression. Itemsets are compressed during transaction insertion and are decompressed on the fly when needed during transaction insertion and query processing. Because of this, the process of compression/decompression is completely transparent to the operations of the transaction insertion and query processing. Thus, it does not affect query results. Implementing node compression efficiently. In the following, we explain why the complexity of node compression is linear. When a new node k is inserted into an MEIT, the cost of compression consists of performing the union of the itemset to be inserted m with the itemsets of the n ancestors of k, to calculate i(k) = m / ⋃ . To perform the union of the ancestor itemsets efficiently, one can notice that when a node is inserted, all ancestor nodes already in the tree have been compressed. Given that compressed nodes do not share items with their ancestors, the union of the ancestor itemsets can be performed simply by a concatenation in linear time rather than by an expensive union operation. Now let's consider how to perform the set subtraction of the itemset ⋃ from m. To perform this operation efficiently, itemsets in the tree should always be sorted in lexicographical order. If itemsets are in lexicographical order (or any other total order), set subtraction can be performed efficiently by the means of a two-way comparison, which requires scanning m and the itemset ⋃ at most one time. Thus the complexity of set subtraction is O( m + k ) and the complexity of concatenation is linear. Implementing node decompression efficiently. The complexity of node decompression is also linear. Let k be a node having n ancestors ancestor1(k), ancestor2(k), … ancestorn(k) when the tree is traversed from top to bottom from the root to k. To restore the itemset compressed in node k, it is necessary to perform the union of all itemsets stored in its ancestor nodes ancestor1(k), ancestor2(k), … ancestorn(k) with i(k), as previously mentioned. Performing the union of several sets can be costly if implemented naïvely. To implement the union efficiently, we suggest using the following strategy. All items stored in each tree node should be sorted according to the lexical ordering (or any other total order). Then, while recursively traversing the tree from top to bottom to reach k, the union can be efficiently performed by simply concatening the itemsets i(ancestor1(k)), i(ancestor2(k)), … i(ancestorn(k)) with i(k), in that order. Thus the cost of node decompression is O(m), where m is the cardinality of the decompressed itemset. In practice, the cost of decompression is even smaller because intermediate concatenation results can be kept into memory when traversing a branch from top to bottom. For instance, consider a node k and its parent parent(k). The concatenation of i(k) and parent(i(k)) needs only to be performed once for all descendant nodes of k. This implementation strategy can greatly improve efficiency. 4 Experimental Study We have implemented MEIT and IT in Java. The IT and MEIT source codes as well as all the datasets used in the experiments can be downloaded from http://goo.gl/hDtdt as part of the open-source SPMF data mining software. The following experiments are performed on a computer with a Core i5 processor running Windows 7 and 1 GB of free RAM. All memory measurements were performed using the core Java API. Experiments were carried on real-life and synthetic datasets commonly used in the association rule mining literature, namely Accidents, C73D10K, Chess, Connect, Mushrooms, Pumsb and Retail. Table 1 summarizes their characteristics. Experiment 1. Memory Usage Comparison. We first compared the size of IT and MEIT for all datasets. To assess the efficiency of node compression, we measured the total number of items (including duplicates) stored in IT and MEIT nodes for each dataset. Results are shown in Table 1. As it can be seen in the third column of Table 1, the compression of nodes achieved by MEIT varies from 26.4 % to 88.7 % with an average of 58.7 %. The largest compression is achieved for dense datasets (e.g. Mushrooms), while less compression is achieved for sparse datasets (e.g. Retail). This is because transactions in dense datasets share more items. Thus, the intersection of transactions is larger than in sparse datasets. Thus, each IT node generally contains more items than for a sparse dataset. This gives more potential for compression in the MEIT. Because MEIT only compress itemsets inside nodes and nodes contain other information such as pointers to child nodes, it is also important to compare the total memory usage of MEIT and IT. To do that, we measured the total memory usage of IT and MEIT. Results are shown in Table 2. The third column shows that a compression of 13 % to 60 % is achieved, with an average of 43 %. We can conclude that the compression of itemset information has a considerable impact on the total memory usage. Table 1. Datasets' Characteristics \| Dataset \| Transaction count \| \| Distinct items count \| \| \| \|---\|---\|---\|---\|---\|---\| \| Accidents \| \| 340,183 \| \| 468 \| 22 \| \| C73D10K \| \| 10,000 \| \| 1,592 \| 73 \| \| Chess \| \| 3,196 \| \| 75 \| 37 \| \| Connect \| \| 67,557 \| \| 129 \| 43 \| \| Mushrooms \| \| 8,416 \| \| 128 \| 23 \| \| Pumsb \| \| 49,046 \| \| 7,116 \| 74 \| Table 1. Memory Usage of IT and MEIT (total items stored) \| Dataset \| IT size (items) \| MEIT size (items) \| Size reduction (%) \| \|---\|---\|---\|---\| \| Accidents \| 16057697 \| 5262555 \| 67.2% \| \| C73D10K \| 882196 \| 508878 \| 42.3% \| \| Chess \| 196579 \| 39550 \| 79.9% \| \| Connect \| 4446791 \| 1092208 \| 75.4% \| \| Mushrooms \| 308976 \| 35003 \| 88.7% \| \| Pumsb \| 4046316 \| 2773440 \| 31.5% \| \| Retail \| 938568 \| 690889 \| 26.4% \| Table 2. Total Memory Usage of IT and MEIT (MB) \| Dataset \| IT size (MB) \| MEIT size (MB) \| Size reduction (%) \| \|---\|---\|---\|---\| \| Accidents \| 84.1 \| 43 \| 49% \| \| C73D10K \| 4 \| 2.6 \| 36% \| \| Chess \| 1 \| 0.4 \| 60% \| \| Connect \| 21.8 \| 9 \| 59% \| \| Mushrooms \| 1.7 \| 0.7 \| 60% \| \| Pumsb \| 18.3 \| 13.5 \| 26% \| \| Retail \| 7.3 \| 6.4 \| 13% \| Experiment 2. Compression Overhead. We next compared the construction time of MEIT and IT for each dataset to assess the overhead in terms of execution time incurred by node compression and decompression. Results are shown in Table 3. As it can be seen, the overhead during tree construction is generally more or less the same for each dataset, averaging 45 %. We expected such an overhead because additional operations have to be performed to compress and decompress node information on- the-fly. We also compared the query processing time of MEIT and IT for 10,000 random queries for each dataset to assess the overhead of on-the-fly decompression in terms of execution time for query processing. Results are shown in Table 4. As it can be seen, the overhead for query processing is generally more or less the same for each dataset, averaging 44 %. Again, we expected such an overhead because of extra operations performed for on-the-fly node decompression in MEIT. For real applications, we believe that this overhead is an excellent trade-off given that it allows building itemset-trees that can contains up to twice more information into memory (cf. Experiment 1). Moreover, as it can be seen in this experiment, the overhead in terms of execution time is predictable. It is more or less the same for each dataset no matter the size of the dataset or the type of data stored. In future work, we will assess the possibility of using caching algorithms to store the uncompressed form of frequently accessed nodes to reduce the overhead for popular queries. Table 3. Tree construction time and 10K query processing time for IT/MEIT \| Dataset \| Tree construction time (s) \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| IT \| \| MEIT \| \| IT \| \| \| \| Accidents \| \| 3.71 \| \| 5.82 \| \| 880.4 \| 1696.8 \| \| C73D10K \| \| 0.25 \| \| 0.38 \| \| 23.8 \| 39.9 \| \| Chess \| \| 0.22 \| \| 0.30 \| \| 2.6 \| 5.0 \| \| Connect \| \| 0.56 \| \| 0.82 \| \| 153.5 \| 231.1 \| \| Mushrooms \| 0.21 \| \| 0.23 \| \| 1.0 \| \| \| \| Pumsb \| 0.63 \| \| 0.95 \| \| 134.2 \| \| \| \| Retail \| 4.33 \| \| 7.75 \| \| 84.8 \| \| \| 5 Conclusion An efficient data structure for performing targeted queries for itemset mining and association rule mining is the Itemset Tree. However, a major drawback of the IT structure is that it consumes a large amount of memory. In this paper, we addressed this drawback by proposing an improved data structure named the Memory Efficient Itemset Tree. During transaction insertion, it employs an effective node compression mechanism for reducing the size of tree nodes. Moreover, during transaction insertion or query processing, it relies on an on-the-fly node decompression mechanism for restoring node content. Our experimental study with several datasets that are commonly used in the data mining literature shows that MEIT are up to 60 % smaller than IT, with an average of 43 %. In terms of execution time, results show that the overhead for on-the-fly decompression is predictable. The amount of overhead is more or less the same for each dataset no matter the amount of data or the type of data stored. We believe that the overhead cost is an excellent trade-off between execution time and memory given that it allows building itemset-trees that can store up to twice the amount of information for the same amount of memory. For future work, we will explore other possibilities for compressing IT such as exploiting the links between nodes. We also plan to develop a caching mechanism, which would store the decompressed form of the most frequently visited nodes to improve efficiency for popular queries. We also plan to develop new querying algorithms for targeted top-k association rule mining [11, 12]. Source code of IT and MEIT as well as all the datasets used in the experiments can be downloaded from http://goo.gl/hDtdt as part of the open-source SPMF data mining software. Acknowledgment. This work has been financed by an NSERC Discovery grant from the Government of Canada. References 1. Agrawal, R., Imielminski, T., Swami, A.: Mining Association Rules Between Sets of Items in Large Databases. In: Proc. ACM Intern. Conf. on Management of Data, pp. 207-216, ACM Press (1993) 2. Han, J., Kamber, M.: Data Mining: Concepts and Techniques, 2nd ed. Morgan Kaufmann, San Francisco (2006) 3. Han, J., Pei, J., Yin, Y., Mao, R.: Mining Frequent Patterns without Candidate Generation. Data Mining and Knowledge Discovery 8, 53-87 (2004) 4. Pei, J., Han, J., Lu, H., Nishio, S., Tang, S., Yang, D.: H-Mine: Fast and space-preserving frequent pattern mining in large databases. IIE Transactions 39 (6), 593-605 (2007) 5. Cheung, D. W., Han, J., Ng, V. T., Wong, C. Y.: Maintenance of discovered association rules in large databases: An incremental updating technique. In: Proceedings of the Twelfth International Conference on Data Engineering, pp. 106-114. IEEE Press (1996) 6. Ezeife, C. I., Su, Y.: Mining incremental association rules with generalized FP-tree. In: Proc. of the 15th Canadian Conf. on Artificial Intelligence (AI 2002). LNCS, vol. 2338, pp. 147-160. Springer, Heidelberg. (2002) 7. Kubat, M., Hafez, A., Raghavan, V. V., Lekkala, J. R., Chen, W. K.: Itemset trees for targeted association querying. IEEE Transactions on Knowledge and Data Engineering 15(6), 1522-1534 (2003) 8. Lavergne, J., Benton, R., Raghavan, V. V. : Min-Max itemset trees for dense and categorical datasets. In: Proc. 20th International Symposium on Methodologies for Intelligent Systems (ISMIS 2012). LNCS, vol. 7661, pp. 51-60. Springer, Heidelberg (2012) 9. Wickramaratna, K., Kubat, M., & Premaratne, K.: Predicting missing items in shopping carts. IEEE Transactions on Knowledge and Data Engineering 21(7), 985-998 (2009) 10. Zaki, M. J., Gouda, K.: Fast vertical mining using diffsets. In: Proc. of the ninth ACM SIGKDD international conference on Knowledge Discovery and Data mining, pp. 326335. ACM Press (2003) 11. Fournier-Viger, P., Wu, C.-W., Tseng, V. S.: Mining Top-K Association Rules. In Proc. of the 25th Canadian Conf. on Artificial Intelligence (AI 2012). LNAI, vol. 7310, pp. 61-73. Springer, Heidelberg (2012) 12. Fournier-Viger, P., Tseng, V.S.: Mining Top-K Non-Redundant Association Rules. Proc. 20th International Symposium on Methodologies for Intelligent Systems (ISMIS 2012), LNCS vol. 7661, pp. 31- 40, Springer, Heidelberg (2012)
Gap Analysis Report on Incoherent Scatter Data COOPEUS Deliverable 2.2 Prepared by Anders Tjulin a , Phil Erickson b and Ingemar Häggström a ( a EISCAT Scientific Association, b MIT Haystack Observatory) 2013-05-20 1 Introduction The high-latitude atmosphere and ionosphere are important for studies of the relationship between Solar and Terrestrial conditions as well as the coupling of the different altitude regions in the Earth's atmosphere. That is why a large amount of effort has been dedicated to these studies in the polar regions. Since the systems that are studied are global in their nature, and not limited to national borders or political borders, the full view of the atmospheric and geospace environment is only possible through international collaborations. Incoherent scatter radar (ISR) systems are important research tools in the studies of the upper atmosphere and the ionosphere, and the standard high-level data from these systems contain electron density, electron and ion temperatures, and line-of-sight plasma flow as functions of time and altitude. There are about a dozen active ISR systems in the world at the present. Three of these systems are operated by EISCAT Scientific Association 1 and they are located in the northern FennoScandinavia and on Svalbard with transmitters/receivers in Tromsø (Norway) and Longyearbyen (Svalbard) and additional receivers in Kiruna (Sweden) and Sodankylä (Finland). A next-generation ISR system, called EISCAT_3D 2 , is now in the Preparatory Phase and is planned to be going into commissioning within six years from now. The corresponding US atmospheric ISR systems are Millstone Hill 3 in Massachusetts (run by MIT), Jicamarca Radio Observatory 4 in Peru (run by Cornell), and Arecibo 5 , Sondrestrom 6 and AMISR 7 (the Advanced Modular Incoherent Scatter Radar, run by SRI). The European and American ISR communities are relatively well integrated already with, for instance, incoherent scatter World Days, coordinated through the International Union of Radio Science (URSI), which is a programme of coordinated observations in order to provide a data set of synoptic ionospheric parameters on a global scale. There are about 20 World Days per year, scattered through the seasons. There are also common workshops and meetings, and the 1 www.eiscat.se 2 www.eiscat3d.se 3 www.haystack.mit.edu/obs/mhr 4 jicamarca.ece.cornell.edu 5 www.naic.edu 6 isr.sri.com 7 amisr.com Madrigal database system is used as standard repository for high-level ISR data from the different systems around the world. However, one of the aims of Work Package 2 of the COOPEUS project is to integrate the different worldwide ISR systems more in terms of standards and procedures for lower level data storage and data sharing. The goal of the present gap analysis has been to analyse the data practices at different ISR systems in the project in order to identify areas where harmonisation activities are needed. This document is a result from initial discussions between EISCAT (Ingemar Häggström, Ingrid Mann, Anders Tjulin) and MIT Haystack observatory (Phil Erickson, Frank Lind). 2 Different levels of data ISR systems produce vast amounts of raw data which can be stored and transferred at different levels of reduction. There are many similarities between the different ISR systems in the world, and this opens up possibilities to standardise the data level formats for simplified scientific collaboration between the systems. 2.1 The signal chain The typical flow for the signal from ISR observations can be described in block form as follows: For simplicity, the diagram only shows the interface boundaries that are generating data products typically used for long term storage. The individual processing elements often have other intermediate products as a result of their internal calculation chains, but these are usually transient in memory or across a network and not useful for storage. The software signal patterns for ISRs has been discussed by Grydeland et al. (2005) on a general level, and they are also discussed in Section 5 of the Open Radar Initiative RF Signal Format Standard Definition document 8 . The Open Radar Initiative is a project initiated in order to develop technology for radio science applications that is both reliable and reusable. For the purposes of this discussion, the typical signal chain shown above uses the following two major software pattern classes during its operation: Transformation: Elements that extract information from their input and pass that information along to output, usually through signal processing operations. These elements often provide a significant amount of data reduction with the trade-off of information loss from the original 8 www.openradar.org/data/attach/Documents(2f)OpenRadarRFSignalObject/attachments/rf_signal_object.pdf signal. Naturally, that information loss is arranged in a manner so that it does not remove information needed for later stages in the signal processing chain. Weaving: Elements that increase information content by, in addition to their inputs, adding time or space aligned metadata. This additional metadata is applied in order to enable later stages in the signal processing flow to correctly interpret the contained information in the signal. There are three typically persisted data formats in the ISR signal processing, corresponding to the different blocks in the illustration above. These are: Radio frequency signal data: This is a voltage level representation of a radio frequency (RF) signal, as captured by a single digital receiver channel. Sufficient metadata associated with the signal, source, processing, and coherence are incorporated at this level. These metadata are intended to be sufficient to understand the context of the signal from the data itself. Correlation product data: This is a correlation level representation of RF signal data after pairwise auto- and/or cross-correlation has been applied, in space and/or time. Most usually, some amount of temporal averaging has occurred at this stage. Some systems also, at this stage, perform spatial averaging such as application of summation rules to full-resolution lag profiles. Significant amounts of metadata are also added in order to characterise system parameters such as the beam position and calibration constants for instance. Fitted plasma parameter data: This is a plasma parameter level representation of the ionospheric state as derived from correlation level products. This stage is intended to be the final measurement value, with estimates of the uncertainty, for the parameters analysed as a function of space and time. In certain signal chains, fitted parameter records representing basic or fundamental parameters, such as electron and ion temperatures and line-of-sight velocity, may be combined across time delimited records to produce derived parameters, such as neutral temperature and vector velocity, as another fitted plasma parameter record output. The international ISR community is beginning to converge on uniform standards and descriptions for these three persisted formats, but the level of the efforts vary widely at each of these three levels within the major ISR systems in use today. In the following sections we discuss the current status of these harmonisation efforts at each of these three levels of data. 2.2 Radio frequency signal data The radio frequency signal data format is well-defined at each ISR facility since it is simply the raw voltage level data from the receivers. However, this also means that the format is system dependent to a high degree. Until relatively recently, RF signal voltage data space requirements were sufficiently burdensome that systems often did not persist this data, which meant that there was no need for harmonisation of the data at this level. However, with advances in digital receiver, computing, and storage capability, many active ISR systems are moving to routine storage of RF signal data and therefore a need for a standardised format at the RF signal level has arisen. EISCAT At the EISCAT ISR systems it is possible to save the voltage sample streams. However, this is not done routinely at the present because of the large storage requirements. The experiment files are also needed here in order to understand from where the samples in the data come. The raw data are saved only for the cases where they would add some more insight to the data such as when running the VHF radar in interferometric mode. This data format from the EISCAT systems are only usable for a handful of very expert users of the system. If an EISCAT user wishes to have raw data from an experiment, there is a possibility to connect their own data recorders to the radar system at the stage from where they want their raw data. This process should certainly be more streamlined at the time when the EISCAT_3D system starts operating. Millstone Hill The Millstone Hill ISR has retained all RF signal voltage data for experiments since December 2001. All data processing in the Millstone Hill system starts with these data as the fundamental input. The stored bandwidths are typically about 100 kHz around the centre frequency which is sufficient for most ion line measurements. The data are stored in baseband I/Q format in a continuous manner with fixed size records and a minimal data header. At present an internal data format is used for the production MIDAS-W software radar system, but a robust and well defined HDF5 export file format 9 is available. Within the HDF5 file, separate branches contain baseband I/Q data (the RF signal) and metadata specific to Millstone Hill with information on the system state such as the selected antenna, transmitter power, and timing mode. The fields and formats for these items are documented separately in the Open Radar Initiative RF Signal Format 10 and Open Radar Initiative Millstone Radar System Status 11 documents already provided to the COOPEUS effort. External feedback on the Open Radar HDF5 format was collected from several end users of RF signal data during its development, and was incorporated into the draft standard. The end users involved have included those whose primary experience is with hard target radar measurements. AMISR The AMISR systems have the capability of generating and storing RF signal voltage data using a dedicated RADAC card in a proper mode. The bandwidths of the stored data vary. An HDF5 export file storage format has been used for some time, and is well tested with external users of direct RF signal information. The Millstone Hill HDF5 standard was in fact based on initial experience with AMISR HDF5 formats, and was designed to provide largely the same user experience. 9 www.hdfgroup.org/HDF5/ 10 www.openradar.org/data/attach/Documents(2f)OpenRadarRFSignalObject/attachments/rf_signal_object.pdf 11 www.openradar.org/data/attach/Documents(2f)OpenRadarRFSignalObject/attachments/millstone_system_st atus_object.pdf 2.3 Correlated product data Correlated products (or the frequency domain equivalents of auto- and cross-power spectra) are produced by signal chain elements applying auto- and cross-correlation operators to RF signal voltages. Typically, some amount of time averaging of these correlation products occurs as well. An estimate of the variance on the correlated products is also produced at this stage, as it is necessary for proper data weighting and fitting later on. A specification of the radar ambiguity function is included here, since it has information about the instrumental distortion introduced by the transmitted waveform and the RF signal chain's effective impulse response. The data volume expands significantly for the returns from each radar sweep, defined here as a transmitted pulse plus the ionospheric return, due to the need to form many correlation lag products in the time domain (or frequency bins in the frequency domain). However, the data are reduced in volume when successive radar sweep lag products are time averaged, most usually through mean or L1 (e.g. median) operations. If M lags are computed but N radar sweeps are time averaged, then the data expansion factor is M / N , and this can sometimes be much less than unity. In some systems, further data processing is applied to individual time averaged lag products. Summation rules: A transform averaging together those lag products that are considered to be from an ionospheric volume possessing the same plasma parameters (i.e. one which is statistically stationary in a spatial and temporal sense, where the temporal stationary property has already been invoked using time averaging). Lag profile inversion: An inverse approach which attempts to remove the effects of transmission waveforms and receiver impulse responses, to produce a lag profile which can be analysed assuming essentially an ideal radar ambiguity function. This technique is also known as lag profile regularisation in the literature. Regardless of which operation is chosen, the output is still a lag profile matrix which means that the data container format is similar in most cases, but with extra metadata added containing information on the additional signal processing effects. Persisted correlated product information has been used in active ISR systems for far longer than RF signal voltage persistence, but no uniform format for these correlated products exists. EISCAT The EISCAT ISR systems use GUISDAP 12 (Grand Unified Incoherent Scatter Design and Analysis Package) as the container for correlated product storage. The GUISDAP experiment specification was introduced in the mid 1990s (Lehtinen and Huuskonen, 1996). Nowadays most EISCAT data, even from the early days, are described in GUISDAP, and it is the standard format used for long term storage of the data. GUISDAP is a program package that is at the present written in MATLAB 6, and it includes the description of the data files. It is a binary format compatible with the ".mat"-standard file 12 www.eiscat.se/groups/Documentation/UserGuides/GUISDAP/gup87.html format as it was defined in MATLAB 4. The data files are intended to be directly read by the MATLAB software included in the GUISDAP package during the analysis. The metadata corresponding to the correlated data are saved in a parameter block. The format of these blocks have changed somewhat over time. The amount of metadata is just sufficient for the analysis but should ideally contain more details. For instance, at the present only one value of the transmitter power and the antenna pointing direction is recorded per data dump, which normally takes on the order of five seconds. This time resolution is not sufficient when the power level fluctuates (which happens if the EISCAT Heating facility is used in connection to the measurements) or when the antenna direction is changed continuously during the measurements. Millstone Hill There are two formats in use at the Millstone ISR system. The CMST format (Command/Status) container has been used for correlated product storage since the MIDAS-1 system came online in 1992–1993, and it is still the persistence format for the current MIDAS-W and MIDAS-M software radar systems. This data format was developed jointly with EISCAT at that time. The CMST representation is an XDR endianagnostic binary format to support the transport of information across networks. Its implementation is complex, and Millstone Hill discussions have centred on an upgrade of this format to an HDF5 base or similar in the future. The IFAM format is also in use. After summation rules have been applied, a single IFAM record is produced either in memory or (rarely) persisted to disk, as the container for input to the main INSCAL incoherent scatter fitting program. IFAM records are intended to contain all relevant metadata and auto-correlation functions needed to accomplish height-by-height determination of plasma parameters, including system state metadata and radar ambiguity function representation. However, this format is not intended for more complex processing such as full profile analysis where a CMST input is more suitable. IFAM specification exists only in Fortran and Python code at the moment and not as a formal document. 2.4 Fitted plasma parameter data The ISR community has a long established data container for storage of fitted plasma parameters as a function of space and time. The Madrigal distributed database system 13 , whose development started in 1980 at Millstone Hill, is now the standard community repository for all ISR data systems. The source code is distributed in an open source manner through the OpenMadrigal initiative 14 . In the Madrigal system, data are divided into different experiments, and each experiment has a defined overall start and end time. Catalogue and header records provide overall metadata such as experiment and site descriptions. Within an experiment, data are organised into individual records, each with its own start and end time. A record can contain one-dimesional values (single per record) and two-dimensional values (vector of parameters). The 13 www.eiscat.se/madrigal 14 www.openmadrigal.org specification of the physical units for each value is provided as well, and most parameters also include an associated uncertainty where appropriate. A derived parameter engine inside Madrigal allows additional parameters to be provided to users alongside the fitted parameters where appropriate (e.g. neutral temperature), and the engine also provides metadata values (e.g. background magnetic field, IRI reference ionospheric model parameters) as an aid for science analysis and interpretation. The derived values are limited to expressions that can be calculated within a single experiment record (i.e. time-limited), potentially using available external parameters within Madrigal itself. Derived parameters requiring more complex calculations are calculated by separate programs, which then create their own new Madrigal experiment files. An example of these parameters might be data products that synthesise information from multiple measurement records. The underlying record data format was defined by the US CEDAR community in the late 1980s and is based on 16 bit integers, with significant restrictions on precision. The Madrigal system is moving within the next year or two to an underlying HDF5 flexible format in order to remove these limitations of the format. While it is true that all ISR sites produce fitted data in Madrigal form, the structure of each site's data record differs widely. For example, Millstone Hill provides not only onedimensional uncertainties in each plasma parameter, but also two-dimensional parameter correlations (i.e. correlation of T i with T e ). These are not yet commonly used by the ISR community, but are a partial step toward providing the full covariance matrix for each measurement as a means of conveying the maximum amount of information about measurement "confusion". The ISR sites may also use different parameter type codes for what is essentially the same measurement, although this situation has improved considerably in recent years as a result of careful Madrigal and CEDAR database curation. The organisation of the records is also different within particular experiments, especially when considering different transmission waveforms producing different effective range resolutions in final data. For example, Millstone Hill at the moment produces a single batch calibrated file in which records cycle through all interleaved/simultaneous measurements at the same start/end time, while other systems such as AMISR produce separate experiment files for each waveform or equivalently each effective range resolution. Based on experience from teaching at ISR summer schools, the latter approach is often preferred by the users. A more uniform experiment organisation across the different ISR facilities would significantly ease the intellectual burden for a new user when trying to navigate the various measurement result files. 2.5 Discussion The data most requested by the users are by far the fitted plasma parameters, that is the derived physical data. Less than 10% of the users request raw voltage level data, and very few are interested in data at intermediate level such as the correlated product data. The raw voltage level data is the most expensive data to store and transfer, but it is useful in specific experiments and for developing new measurement and data analysis techniques, so it would be useful to standardise the format for easier exchange between users and systems. The COOPEUS HDF5 experience of AMISR and Millstone Hill provides a place to start for discussions aimed at defining a common RF voltage format across the community. The data at intermediate levels are the most convenient form of data for exchange and storage, because the data volume is decreased to a more manageable level while still retaining sufficient information for further analysis. By storing these data it is also possible to recalculate plasma parameters at later stages following possible new understanding of the upper atmospheric processes. Today there is no standard data format at this level so this is the area that needs most work for the harmonisation between the different ISR systems. We have to remember that this format works well for internal use at all present systems, it is when interacting with other systems that problems may arise at present. Following an examination of the specifications at Millstone Hill and EISCAT, common features of these correlated product formats have been identified. These could be used as a starting point for a common format for correlated data. This is an initial list and would need to be expanded and corrected in a discussion process within the ISR community. Experience has also shown that it is useful to have a record of how system parameters were commanded separately from how the system actually performed; this implies though that actual system state needs to be recorded during experiment operations for all key variables. The list of common features for the correlated data at EISCAT and Millstone Hill follows: COOPEUS \| System metadata \| Antenna – specified for TX and RX systems separately: \| \| \| \|---\|---\|---\|---\| \| \| \| For each beam: \| \| \| \| \| \| For each feed polarisation: \| \| \| Transmitter: \| \| \| \| \| \| Modulation envelope time history: \| \| \| \| Receiver: \| \| \| \| \| \| For each channel: \| \| \| \| \| \| Receiver timing: \| \| Correlated product data \| \| \| \| \| \| For each lag profile: \| \| \| 3 Future plans within the COOPEUS project The plans for future interactions between EISCAT and its US counterparts are to continue the video-conferencing. In addition, a two day workshop is planned to take place preceding the COOPEUS annual meeting in September. 4 References Grydeland, T., Lind, F. D., Erickson, P. J., and Holt, J. M., "Software Radar signal processing", Annales Geophysicae, 23, 109–121, doi:10.5194/angeo-23-109-2005, 2005. Lehtinen, M. S., and Huuskonen, A., "General incoherent scatter analysis and GUISDAP", Journal of Atmospheric and Terrestrial Physics, 58, 435–452, doi:10.1016/00219169(95)00047-X, 1996.

Subsets and Splits

No community queries yet

The top public SQL queries from the community will appear here once available.